Contract analysis

From: Alan Ngo <ango@calderwoodharkness.com> To: Rebecca Tanaka <rtanaka@optiwavesemi.com> Cc: Marcus Delgado <mdelgado@calderwoodharkness.com> Date: Mon, 22 Apr 2024 04:47:00 -0000 Subject: Optiwave Semiconductor Corp. v. Lumicore Technologies, Inc. — Complaint Filed Today (E.D. Tex.)

I am pleased to confirm that Calderwood & Harkness, together with local counsel Whitmore & Callahan LLP (Jim Callahan), filed our complaint against Lumicore Technologies, Inc. this afternoon in the United States District Court for the Eastern District of Texas, marshall Division. The case has been assigned Case No. 2:24-cv-00319-JRG and drawn to Judge James R. Gilstrap. Attached for Optiwave's records are the filed c

- **Count I** — Infringement of U.S. Patent No. 10,234,847 (the '847 Patent — "Multi-Channel Silicon Photonic Waveguide Multiplexer with Low Insertion Loss") - **Count II** — Infringement of U.S. Patent No. 10,891,193 (the '193 Patent — "High-Bandwidth Coherent Optical Transceiver Integrated on Silicon Substrate") - **Count III** — Infringement of U.S. Patent No. 9,678,562 (the '562 Patent — "Method for Thermal Manag

The complaint alleges literal infringement across all accused products and, as to Claims 3 and 7 of the '193 Patent and Claim 12 of the '015 Patent, infringement under the doctrine of equivalents. The three accused product lines are the LumiLink 400G-ZR+, the LumiLink 800G-DR8, and the LumiEdge 1600G-LR. We seek approximately $210 million in damages — comprising lost profits, reasonable royalties, and enhanced damage

Venue is proper in the Eastern District of Texas based on Lumicore's sales and technical support office at 2700 Earl Campbell Parkway, Suite 150, Tyler, TX 75701, as well as its sales of the accused products to customers with facilities in the district, including Pinnacle Data Systems, LLC (Longview, TX), Frontier Cloud Services, Inc. (Marshall, TX), and CrossPoint Networking Corp. (Plano, TX).

*Service.* The summons has been submitted to the Clerk but has not yet issued. Once it issues, we will arrange for prompt service on Lumicore's registered agent, National Agent Services Corp., at 850 New Burton Road, Suite 201, Dover, DE 19904. Lumicore will then have 21 days from service to respond. As you would expect, they will likely seek an extension, which is customary, and we will coordinate with you on any st

*Pro Hac Vice.* The pro hac vice applications for me, Wendy Schultz, and Omar Siddiqui were filed on April 18, 2024, with Jim Callahan designated as local counsel. We expect those to be granted shortly.

As discussed, we will separately send a coverage notification letter to Pacific Rim Insurance Group under Policy No. PLI-2023-08812 to ensure timely notice of the action and preserve coverage for defense costs on any counterclaims and potential adverse judgment exposure. We will copy you on that correspondence.

A reminder that the litigation hold memorandum was distributed on March 22, 2024, and remains in full effect. Rebecca, please confirm at your earliest convenience that all 14 identified custodians have acknowledged receipt and that Optiwave's IT department has suspended any auto-deletion protocols for the identified data sources. This is important to confirm now that the action is on file.

Please feel free to share this filing confirmation with Dr. Priya Ramaswamy, David Leitner, and Franklin Osei at Ridgeline Capital Partners as you see fit. I am happy to schedule a call with the Optiwave leadership team or the Board to walk through the complaint and discuss the path forward at everyone's convenience.

As you know, the complaint is a public filing, and Lumicore will be aware of the case once served. If Optiwave wishes to coordinate any internal or external communications in the interim — for example, to Ridgeline's investment committee or to Weston Fidelity Bank — now would be the right time to think through that sequencing. We are glad to assist with any of that.

This is a significant milestone, Rebecca. We are well-positioned. The pre-suit record — Benchmark Semiconductor Analysis's teardown reports, the FairPoint Licensing Group correspondence (the January 15, 2023 and May 15, 2023 letters and the April 20, 2023 in-person meeting), and the evidence of Lumicore's awareness of Optiwave's patent portfolio — all support a strong case on both liability and willfulness. We look f

Please don't hesitate to reach out with any questions. We'll be in touch as soon as the summons issues.

**Alan Ngo** Partner Calderwood & Harkness LLP 350 South Grand Avenue, 48th Floor Los Angeles, CA 90071 T: (213) 555-4180 E: ango@calderwoodharkness.com

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