Contract analysis

I. SUBPOENA COVER PAGE (Form AO 88A / 88B Equivalent) A. Court of Issuance This subpoena is issued from the United States District Court for the Eastern District of Texas, marshall Division, in accordance with Federal Rule of Civil Procedure 45(a)(2). B. Identification of the Case This subpoena is issued in connection with the civil action styled Optiwave Semiconductor Corp. v. Lumicore Technologies, Inc., Case No. 2

II. NOTICE OF DEPOSITION OF MELISSA CHEN (NON-PARTY WITNESS) NOTICE OF DEPOSITION OF NON-PARTY WITNESS MELISSA CHEN PURSUANT TO FED. R. CIV. P. 30 AND 45 Date: January 22, 2025 A. Notice to All Parties TO ALL PARTIES AND THEIR COUNSEL OF RECORD: PLEASE TAKE NOTICE that Plaintiff Optiwave Semiconductor Corp. ("Optiwave" or "Plaintiff"), by and through its undersigned attorneys of record, will take the oral deposition

1. Employment History at Lumicore Technologies, Inc. — Ms. Chen's employment at Lumicore Technologies, Inc. from approximately 2020 through 2024, including her positions held, titles, job descriptions, responsibilities, and reporting relationships within the engineering department. This includes, without limitation, her relationship to and interactions with members of Lumicore's senior management, including Dr. Sandr

2. Role on the LumiLink 400G-ZR+ Design and Development Team — Ms. Chen's role on the LumiLink 400G-ZR+ design and development team at Lumicore, including her specific technical contributions to the design, engineering, testing, and validation of the accused product. This area of inquiry will encompass the timeline of development, the design methodologies employed, the allocation of engineering tasks among team membe

3. Knowledge of Optiwave Patents and Patent Applications — Ms. Chen's knowledge of, access to, and review of published patent applications and issued patents owned by or assigned to Optiwave Semiconductor Corp., including but not limited to Published Application No. 2018/0123456 (corresponding to U.S. Patent No. 10,891,193, the '193 Patent), U.S. Patent No. 10,234,847 (the '847 Patent), U.S. Patent No. 9,678,562 (the

4. Internal Communications Regarding Optiwave's Patent Portfolio — Communications, meetings, or discussions within Lumicore's engineering team, management, or legal department regarding Optiwave Semiconductor Corp.'s patent portfolio, individual patent applications, or issued patents during the design phase of the LumiLink 400G-ZR+ in 2021–2022. This includes formal meetings, informal discussions, email exchanges, an

5. Design-Around and Freedom-to-Operate Analyses — Ms. Chen's knowledge of any design-around analyses, freedom-to-operate studies, infringement risk assessments, patent clearance studies, or similar evaluations conducted by or on behalf of Lumicore Technologies, Inc. in connection with the LumiLink 400G-ZR+ or any other Accused Product. This includes the identity of the individuals or outside counsel who conducted or

6. Instructions or Directives from Lumicore Management Regarding Optiwave IP — Ms. Chen's knowledge of any instructions, directives, policies, or guidance from Lumicore management—including Dr. Sandra Michaud (CTO), Dr. Eric Dalmqvist (VP of Product Development), and Raymond Bautista (General Counsel)—regarding Optiwave Semiconductor Corp.'s intellectual property, including any instructions to review, avoid, design a

7. Prior-Art References and Technical Literature — Ms. Chen's knowledge of prior-art references, published scientific literature, conference papers, technical standards documents, or other technical literature reviewed during the LumiLink 400G-ZR+ design process, including the sources of such materials and the purposes for which they were reviewed.

8. Departure from Lumicore and Transition to Veridian Photonics — The circumstances of Ms. Chen's departure from Lumicore Technologies, Inc. and her subsequent transition to employment at Veridian Photonics, Inc., including the reasons for her departure, any exit procedures followed, the retention or return of documents and materials, and any post-employment obligations or restrictions imposed by Lumicore.

9. Documents and Materials in Ms. Chen's Possession — Any documents, engineering notebooks, lab notebooks, design journals, electronic files, personal technical notes, or other materials currently in Ms. Chen's possession, custody, or control that relate to any of the foregoing topics, including materials retained from her employment at Lumicore Technologies, Inc. The foregoing description of anticipated areas of inq

III. SCHEDULE A DOCUMENTS AND ELECTRONICALLY STORED INFORMATION TO BE PRODUCED A. Definitions and Instructions

1. Definitions. As used in this Schedule A and throughout this subpoena, the following definitions shall apply: a. "YOU" or "YOUR" refers to Melissa Chen, the recipient of this subpoena, individually and in her capacity as a former employee of Lumicore Technologies, Inc. and current employee of Veridian Photonics, Inc. b. "LUMICORE" refers to Lumicore Technologies, Inc. (also referred to as "LTC"), a corporation orga

2. Instructions. The following instructions apply to all document requests contained in this Schedule A: a. You are directed to produce all responsive documents and ESI in your possession, custody, or control. Documents are deemed to be in your "possession, custody, or control" if you have the legal right or practical ability to obtain them, whether they are in your physical possession, maintained on your behalf by a

IV. ADDITIONAL NOTICES AND ADVISEMENTS A. Duty to Preserve You are hereby directed to preserve all documents and electronically stored information responsive to this subpoena and the document requests set forth in Schedule A. You must immediately take all reasonable steps to prevent the deletion, destruction, alteration, modification, overwriting, or other disposal of any documents or ESI that may be responsive to th

1. Right to Object. You have the right to serve written objections to this subpoena within fourteen (14) days after service of the subpoena, or before the time specified for compliance if that time is less than fourteen (14) days. Objections must be served on the party or attorney designated in the subpoena before the earlier of the time specified for compliance or fourteen (14) days after the subpoena is served. See

2. Right to Move to Quash or Modify. You have the right to move to quash or modify this subpoena under Federal Rule of Civil Procedure 45(d)(3) if the subpoena: (a) fails to allow a reasonable time to comply; (b) requires a person to comply beyond the geographical limits specified in Rule 45(c); (c) requires disclosure of privileged or other protected matter, if no exception or waiver applies; (d) subjects you to und

3. Privilege and Work-Product Protection. If you withhold any document or ESI on the basis of a claim of privilege or protection as trial-preparation material, you must, before the time for compliance, provide a privilege log describing each withheld document with sufficient specificity to enable the parties and the Court to evaluate the claim. The privilege log must include the information described in Section III.A

4. Inadvertent Production. If you inadvertently produce information that is subject to a claim of privilege or protection as trial-preparation material, you may notify the party that received the information of the claim and the basis for it. After being notified, a party must promptly return, sequester, or destroy the specified information and any copies; must not use or disclose the information until the claim is r

V. PROOF OF SERVICE A. Certificate of Service on Subpoena Recipient I, the undersigned, hereby certify that I served the foregoing Subpoena to Produce Documents, Electronically Stored Information, or Objects and to Permit Inspection, and Subpoena for Deposition (Subpoena Duces Tecum and Deposition Notice), including all attachments, schedules, and exhibits, upon the following individual: Name: Melissa Chen Address: c

VI. SIGNATURE BLOCK AND ATTORNEY CERTIFICATION A. Signature block Respectfully submitted, CALDERWOOD & HARKNESS LLP Attorneys for Plaintiff Optiwave Semiconductor Corp. By: ________ Alan Ngo (CA Bar No. 247819; admitted pro hac vice E.D. Tex.) CALDERWOOD & HARKNESS LLP 350 South Grand Avenue, 48th Floor Los Angeles, CA 90071 Telephone: (213) 555-4200 Facsimile: (213) 555-4201 Email: ango@calderwoodharkness.com Wendy

VII. EXHIBIT 1 COPY OF STIPULATED PROTECTIVE ORDER Reference: Stipulated Protective Order filed at Docket Entry No. 30, entered by the Court on approximately August 19, 2024, in Optiwave Semiconductor Corp. v. Lumicore Technologies, Inc., Case No. 2:24-cv-00319-JRG (E.D. Tex.). The Stipulated Protective Order establishes a three-tier confidentiality framework governing the treatment of confidential information exchan

VIII. EXHIBIT 2 COPIES OF RELEVANT PATENT DOCUMENTS (FOR REFERENCE) For the convenience of Ms. Chen in preparing for her deposition, copies of the face pages and selected claims of the four Patents-in-Suit, as well as the face page of the relevant published patent application, are attached hereto as Exhibit 2. These documents are provided solely for reference purposes to facilitate Ms. Chen's review in preparation fo

1. U.S. Patent No. 10,234,847 (the '847 Patent) Title: "Multi-Channel Silicon Photonic Waveguide Multiplexer with Low Insertion Loss" Filed: September 14, 2016 Issued: March 19, 2019 Inventor(s): David R. Tanaka; Priya S. Venkatesh; Mikhail Orlov Assignee: Optiwave Semiconductor Corp. Face page and Claims 1–15 attached.

2. U.S. Patent No. 10,891,193 (the '193 Patent) Title: "High-Bandwidth Coherent Optical Transceiver Integrated on Silicon Substrate" Filed: April 7, 2017 Issued: January 12, 2021 Inventor(s): David R. Tanaka; Jennifer L. Hwang; Marcus P. Ricci Assignee: Optiwave Semiconductor Corp. Priority: Claims benefit of U.S. Provisional Application No. 62/499,117, filed April 8, 2016 (shared with the '015 Patent) Face page and

3. U.S. Patent No. 9,678,562 (the '562 Patent) Title: "Method for Thermal Management of Photonic Integrated Circuits Using Embedded Micro-Channel Heat Sinks" Filed: November 22, 2014 Issued: June 13, 2017 Inventor(s): Robert K. Shields; Anna C. Lindström Original Assignee: Solara Optics, Inc. Current Assignee: Optiwave Semiconductor Corp. (acquired via Asset Purchase Agreement dated June 15, 2018, for $34.5 million)

4. U.S. Patent No. 11,402,015 (the '015 Patent) Title: "Polarization-Diverse Grating Coupler for Silicon Photonic Transceivers" Filed: August 30, 2019 Issued: August 2, 2022 Inventor(s): Jennifer L. Hwang; David R. Tanaka; Chloe A. Bergeron Assignee: Optiwave Semiconductor Corp. Priority: Claims benefit of U.S. Provisional Application No. 62/499,117, filed April 8, 2016 (shared with the '193 Patent) Face page and Cla

5. Published Application No. 2018/0123456 (corresponding to the '193 Patent) Title: "High-Bandwidth Coherent Optical Transceiver Integrated on Silicon Substrate" Publication Date: May 3, 2018 Applicant: Optiwave Semiconductor Corp. Face page attached. NOTE: The foregoing patent documents are publicly available from the United States Patent and Trademark Office and are provided here solely for Ms. Chen's convenience i