Contract analysis

I. PRELIMINARY STATEMENT OWS objects to Lumicore's interrogatories to the extent they seek information protected by the attorney-client privilege, the work-product doctrine, or the joint-defense/common-interest privilege. Nothing in these responses is intended to, nor shall it be construed to, waive any such privilege or protection. By providing these responses, OWS does not waive any privilege or protection with res

II. GENERAL OBJECTIONS OWS makes the following General Objections, each of which is incorporated by reference into each of OWS's specific responses set forth below as if fully restated therein:

1. OWS objects to the definitions and instructions set forth in Lumicore's First Set of Interrogatories to the extent they seek to impose obligations on OWS beyond those required by the Federal Rules of Civil Procedure, the Local Rules of the United States District Court for the Eastern District of Texas, and the Court's Scheduling Order (D.E. 27, entered August 12, 2024). OWS will respond to each interrogatory in ac

2. OWS objects to any interrogatory that is overly broad, unduly burdensome, or disproportionate to the needs of the case under Federal Rule of Civil Procedure 26(b)(1), considering the importance of the issues at stake in the action, the amount in controversy, the parties' relative access to relevant information, the parties' resources, the importance of the discovery in resolving the issues, and whether the burden

3. OWS objects to any interrogatory to the extent it calls for the production of documents rather than narrative answers. Where appropriate, OWS will produce responsive documents in accordance with its document production obligations and refers Lumicore to those productions pursuant to Federal Rule of Civil Procedure 33(d), which permits a responding party to specify records from which the answer may be derived or as

4. OWS objects to any interrogatory to the extent it seeks information already in Lumicore's possession, custody, or control, or that is equally available to Lumicore from public sources, including but not limited to publicly available patent files, SEC filings, published patent applications, and records maintained by the United States Patent and Trademark Office.

5. OWS objects to any interrogatory that contains compound, conjunctive, or disjunctive sub-parts to the extent such sub-parts cause the interrogatory to exceed the twenty-five (25) interrogatory limit established by Federal Rule of Civil Procedure 33(a)(1). OWS reserves the right to treat discrete sub-parts of any interrogatory as separate interrogatories for purposes of the numerical limitation.

6. OWS objects to any interrogatory seeking information that is subject to the Stipulated Protective Order entered by the Court (D.E. 30, entered August 19, 2024), which establishes three tiers of confidentiality designations: "Confidential," "Highly Confidential — Attorneys' Eyes Only," and "Highly Confidential — Source Code." OWS will designate information responsive to Lumicore's interrogatories in accordance with

7. These General Objections are incorporated by reference into each specific response set forth below, as if fully restated in each such response. The assertion of specific objections in connection with any particular interrogatory shall not be construed as a waiver of these General Objections or of any other objection available to OWS, whether or not expressly stated.

III. INTERROGATORY RESPONSES INTERROGATORY NO. 1 Interrogatory: Identify each person involved in the conception and/or development of the inventions claimed in each of the Asserted Patents, and for each such person, state the nature and extent of his or her involvement. Objections: OWS objects to this interrogatory to the extent it is overbroad, as the phrase "involved in the conception and/or development" could be c

1. OWS – Terralink Semiconductor License Agreement (2020): In 2020, OWS entered into a license agreement with Terralink Semiconductor, Inc. The agreement provides for a running royalty of 6.5% on licensed product revenue. Terralink's licensed revenue under this agreement has been approximately $45 million to date. The license covers the '847 Patent and the '562 Patent.

2. OWS – NovaWave Corp. License Agreement (2021): In 2021, OWS entered into a license agreement with NovaWave Corp. The agreement provides for a running royalty of 9.0% on licensed product revenue. NovaWave's licensed revenue under this agreement has been approximately $22 million to date. The license covers the '847 Patent, the '193 Patent, and the '562 Patent.

3. OWS – Helix Integrated Photonics License Agreement (2022): In 2022, OWS entered into a license agreement with Helix Integrated Photonics, Inc. The agreement provides for a running royalty of 7.75% on licensed product revenue, plus an upfront lump-sum payment of $2.5 million. Helix's licensed revenue under this agreement has been approximately $68 million to date. The license covers all four asserted patents — the

1. Dr. Jian-Wei Huang — Chief Technology Officer, Optiwave Semiconductor Corp., 4810 Bayside Technology Parkway, Suite 300, Santa Clara, California 95054. Dr. Huang has knowledge of the patented technology underlying each of the four asserted patents, OWS's product design and development process, and technical comparisons between OWS's products and Lumicore's accused products. Dr. Huang was deposed on November 5, 202

2. Dr. Nikolai Petrov — Vice President of Engineering, Photonics Division, Optiwave Semiconductor Corp., 4810 Bayside Technology Parkway, Suite 300, Santa Clara, California 95054. Dr. Petrov has knowledge of the patented technology, OWS's product development history, the technical operation of the patented inventions, and the technical analysis of Lumicore's accused products.

3. Rebecca Tanaka — General Counsel, Optiwave Semiconductor Corp., 4810 Bayside Technology Parkway, Suite 300, Santa Clara, California 95054. Ms. Tanaka has knowledge of pre-suit investigations of Lumicore's products, OWS's licensing outreach efforts, the engagement of FairPoint Licensing Group as licensing agent, the engagement of litigation counsel, and overall case management and strategy, subject to the attorney-

4. Kevin Ng — Lead Engineer, Benchmark Semiconductor Analysis, LLC, 2244 Mission College Boulevard, Santa Clara, California 95054. Mr. Ng conducted detailed teardown and reverse-engineering analyses of Lumicore's accused products, including: (a) the LumiLink 400G-ZR+ (teardown report delivered December 12, 2022); (b) the LumiLink 800G-DR8 (teardown report delivered June 2023); and (c) the LumiEdge 1600G-LR (teardown

5. Angela Reeves — Managing Director, FairPoint Licensing Group, LLC, 500 Sansome Street, Suite 1400, San Francisco, California 94111. Ms. Reeves has knowledge of OWS's pre-suit licensing outreach to Lumicore, including the content and purpose of the January 15, 2023 and May 15, 2023 licensing letters and the April 20, 2023 in-person licensing meeting held in Austin, Texas. Ms. Reeves was deposed on December 10, 2024

6. Gregory Falk — Independent consultant; former Vice President of Engineering, Solara Optics, Inc. Mr. Falk has knowledge of the development of the '562 Patent, Solara Optics's silicon-photonics technology, the industry context and competitive landscape for silicon-photonic transceivers, and the commercial significance of the patented innovations.

7. Dr. Caroline Ashford — Professor of Electrical Engineering & Photonics, Northfield Institute of Technology, Evanston, Illinois. Dr. Ashford has been retained as OWS's technical and infringement expert in this action. Dr. Ashford will provide expert opinions on infringement (literal and under the doctrine of equivalents) and validity (rebuttal of Lumicore's invalidity contentions) in her expert reports, which are d

8. Dr. Lawrence Keating — Managing Director, Meridian Economic Consulting Group, LLC, 233 South Wacker Drive, Suite 4400, Chicago, Illinois 60606. Dr. Keating has been retained as OWS's damages expert in this action. Dr. Keating will provide expert analysis and testimony on lost profits, reasonable royalty, and enhanced damages in his expert report, which is due June 15, 2025.

9. Melissa Chen — Former engineer at Lumicore Technologies, Inc.; currently employed at Veridian Photonics, Inc. OWS has knowledge and belief that Ms. Chen was a member of Lumicore's LumiLink 400G-ZR+ design team and has knowledge regarding Lumicore's awareness of OWS's published patent applications during the product design phase in 2021–2022. A third-party subpoena has been served on Ms. Chen (January 22, 2025), an

1. Pre-Suit Notice Letters: FairPoint Licensing Group, LLC, acting as OWS's authorized licensing agent, sent a detailed licensing and notice letter to Lumicore's General Counsel, Raymond Bautista, on January 15, 2023. The January 15, 2023 letter identified the '847 Patent, the '193 Patent, and the '562 Patent by number, described the patented technology and its relevance to Lumicore's LumiLink 400G-ZR+ product, and p

2. In-Person Meeting: On April 20, 2023, Angela Reeves of FairPoint Licensing Group and Rebecca Tanaka of OWS met in person with Raymond Bautista, Lumicore's General Counsel, and Catherine "Kate" Rourke of Hawthorne Vega & Cruz LLP, Lumicore's outside counsel, at a meeting held in Austin, Texas. During this meeting, OWS's representatives presented claim charts mapping the asserted patents to Lumicore's accused produc

3. Lumicore's Declination: On July 10, 2023, Lumicore, through its outside counsel at Hawthorne Vega & Cruz LLP, formally declined to take a license, stating that it had obtained "competent legal opinions" concluding that its products do not infringe the asserted patents. Lumicore has refused to produce those opinion-of-counsel letters in this litigation, asserting attorney-client privilege. OWS's Motion to Compel Pr

4. Continued and Expanded Infringement: After receiving actual notice of the asserted patents and declining to take a license, Lumicore launched its LumiEdge 1600G-LR transceiver module in the fourth quarter of 2023. OWS alleges that the LumiEdge 1600G-LR infringes the '193 Patent and the '015 Patent. Lumicore's decision to launch a new accused product after receiving notice of the asserted patents and declining to e

5. Design-Phase Awareness of OWS Patents: OWS has evidence that during the design phase of the LumiLink 400G-ZR+ in 2021–2022, Lumicore's design team accessed and reviewed OWS's published patent applications, including specifically Published Application No. 2018/0123456, which corresponds to the '193 Patent. OWS's information and belief regarding this fact is based in part on knowledge obtained from Melissa Chen, a f

6. Deposition Admissions: Dr. Sandra Michaud, Lumicore's Chief Technology Officer, admitted during her deposition on November 19, 2024 that she personally reviewed OWS Published Application No. 2018/0123456 (corresponding to the '193 Patent) during the LumiLink 400G-ZR+ design phase. While Dr. Michaud denied knowledge of the issued patents until she received the FairPoint licensing letter, her admission that she revi

1. Dr. Priya Ramaswamy — Chief Executive Officer, Optiwave Semiconductor Corp.

2. Rebecca Tanaka — General Counsel, Optiwave Semiconductor Corp.

3. Dr. Jian-Wei Huang — Chief Technology Officer, Optiwave Semiconductor Corp.

4. David Leitner — Chief Financial Officer, Optiwave Semiconductor Corp.

5. Franklin Osei — Board Chair, Optiwave Semiconductor Corp.; Managing Partner, Ridgeline Capital Partners, LP, 200 Clarendon Street, 40th Floor, Boston, Massachusetts 02116. The decision to file this lawsuit was authorized by OWS Board Resolution No. 2024-07. Ridgeline Capital Partners, LP, the majority owner of OWS (holding an approximately 55% equity stake, acquired in 2019 for $780 million), approved the litigati