Contract analysis

1. Purpose of Memorandum This memorandum documents the formal closure of Calderwood & Harkness LLP ("C&H" or the "Firm") Matter No. 1014-00003, Optiwave Semiconductor Corp. v. Lumos Photonics, Inc., Case No. 5:22-cv-03417-EJD, pending in the United States District Court for the Northern District of California, San Jose Division, before the Honorable Edward J. Torvelis. The memorandum provides a comprehensive summary

2. Client and Matter Identification 2.1 Client Information Client Name: Optiwave Semiconductor Corp. ("OWS") Entity Type: Corporation organized and existing under the laws of the State of Delaware. Principal Place of Business: 2775 Augustine Drive, Suite 400, San Jose, California 95054. Employer Identification Number (EIN): 47-3918264. Industry Description: OWS is a fabless semiconductor design company specializing i

3. Engagement Team The following attorneys at Calderwood & Harkness LLP comprised the core engagement team for this matter: Responsible Partner — Alan Ngo. Mr. Ngo is a partner in the Firm's intellectual Property Group, resident in the San Francisco office. Mr. Ngo is a registered patent attorney with the United States Patent and Trademark Office (USPTO Registration No. 52,871). He holds a Bachelor of Science degree

4. Patents-in-Suit OWS asserted four United States patents against Lumos in this action. Each patent relates to various aspects of silicon photonics integrated circuit design, fabrication, and integration. The patents-in-suit and the specific claims asserted are described below. 4.1 U.S. Patent No. 10,234,567 ("the '567 Patent") Title: "Integrated Waveguide Coupler with Tapered Mode Converter for Silicon Photonics Pl

5. Accused Products OWS accused two Lumos product lines of infringing one or more claims of each of the four patents-in-suit. The accused products are described below. LumosBridge™ 800G Optical Engine. The LumosBridge 800G is a co-packaged optics ("CPO") engine designed for integration with hyperscale data center network switches. The product integrates silicon photonic transmit and receive paths with electronic driv

6. Summary of Litigation History 6.1 Pre-Suit Phase (March–May 2022) The events leading to the commencement of this litigation began in early 2022, when OWS's internal intellectual property team, led by Vice President of intellectual Property Ted Marchetti, identified potential infringement of several OWS patents by Lumos's LumosBridge 800G and LumosEdge 400ZR+ product lines. After an initial internal review, OWS ret

7. Final Disposition Disposition: Dismissed with prejudice by Joint Stipulation pursuant to Federal Rule of Civil Procedure 41(a)(1)(A)(ii), by Order of the Court entered April 18, 2023. Settlement Terms: The material terms of the Settlement Agreement and Mutual Release, executed on April 5, 2023, are as follows: (a) No Payment. No payment of any amount in either direction. Neither OWS nor Lumos is obligated to pay a

8. Financial Summary 8.1 Fee Arrangement The engagement was conducted pursuant to a blended hourly rate arrangement, subject to a 10% volume discount on each timekeeper's standard billing rate. In addition, OWS was required to maintain a $100,000 evergreen retainer, replenished on a quarterly basis. The retainer was applied against outstanding fees and costs, with any unused balance to be returned to the client upon

9. Expert Engagements — Status at Closing 9.1 Dr. Harold Whitfield — Whitfield Technical Consulting Group, Inc. Location: Palo Alto, California. Date of Retention: August 2022. Scope of Engagement: Dr. Whitfield was retained to provide expert consulting services in connection with claim construction, infringement analysis, and the preparation and delivery of a technical tutorial presentation for the Markman hearing.

10. Third-Party Notifications First Pacific Commerce Bank, N.A.: In April 2023, C&H assisted OWS in preparing and sending a notification letter to First Pacific Commerce Bank, N.A. ("FPCB"), advising FPCB that the litigation styled Optiwave Semiconductor Corp. v. Lumos Photonics, Inc., Case No. 5:22-cv-03417-EJD, has been resolved by walk-away settlement and dismissed with prejudice by Order of the Court entered Apri

11. Protective Order Compliance and Return of Confidential Materials On September 9, 2022, the Court entered a Stipulated Protective Order governing the treatment of confidential information produced by both parties in the course of discovery. The Protective Order established two tiers of confidentiality designation: (i) "Confidential" and (ii) "Highly Confidential — Attorneys' Eyes Only." During the course of discov

12. File Retention and Destruction Instructions 12.1 Retention Policy All matter files, both paper and electronic, associated with Matter No. 1014-00003 are to be retained in accordance with Calderwood & Harkness LLP's standard Document Retention Policy for Closed Litigation Matters (Firm Policy No. RM-2019-004, as amended). The minimum retention period for closed litigation matter files is seven (7) years from the d

13. Outstanding Action Items The following action items remain to be completed in connection with the closure of Matter No. 1014-00003:

14. Key Lessons and Observations (Summary) A detailed post-mortem memorandum analyzing the strategic, legal, and operational lessons from this matter is planned for completion in May 2023. That memorandum will be prepared by the engagement team and circulated to the intellectual Property Group leadership for internal training and practice development purposes. The following are preliminary observations intended to su