Contract analysis

I. Purpose and Representation I am Alan Ngo, a Partner in the intellectual Property Litigation Practice Group at Calderwood & Harkness LLP ("C&H"). This firm serves as litigation counsel for Optiwave Semiconductor Corp. ("OWS"), a Delaware corporation with its principal place of business located at 4810 Bayside Technology Parkway, Suite 300, Santa Clara, California 95054, in connection with a patent infringement acti

II. Identification of the Action A. Case Caption and Court The action is captioned as follows: Optiwave Semiconductor Corp. v. Lumicore Technologies, Inc. Case No. 2:24-cv-00319-JRG United States District Court for the Eastern District of Texas, marshall Division Before the Honorable James R. Gilstrap, United States District Judge Date Filed: April 22, 2024 A true and correct copy of the Original Complaint (Docket En

1. U.S. Patent No. 10,234,847 — "Multi-Channel Silicon Photonic Waveguide Multiplexer with Low Insertion Loss" (the "'847 Patent");

2. U.S. Patent No. 10,891,193 — "High-Bandwidth Coherent Optical Transceiver Integrated on Silicon Substrate" (the "'193 Patent");

3. U.S. Patent No. 9,678,562 — "Method for Thermal Management of Photonic Integrated Circuits Using Embedded Micro-Channel Heat Sinks" (the "'562 Patent"); and

4. U.S. Patent No. 11,402,015 — "Polarization-Diverse Grating Coupler for Silicon Photonic Transceivers" (the "'015 Patent"). Copies of all four asserted patents are enclosed with this letter. The seven counts set forth in the complaint are as follows: • Counts I through IV: Direct infringement under 35 U.S.C. § 271(a), one count for each of the four asserted patents; • Count V: Induced infringement under 35 U.S.C. §

III. Anticipated Counterclaims Against OWS A. Expected Counterclaims As of the date of this letter, Lumicore has not yet filed an answer or counterclaims in the action, the complaint having been filed only two days prior, on April 22, 2024. However, based on the pre-suit correspondence between the parties and the assessments of our litigation team, OWS has a reasonable and well-founded basis to expect that Lumicore w

1. Declaratory Judgment of Non-Infringement: Lumicore is expected to seek a declaratory judgment that its LumiLink 400G-ZR+, LumiLink 800G-DR8, and LumiEdge 1600G-LR products do not infringe any valid and enforceable claim of the four asserted patents;

2. Declaratory Judgment of Invalidity: Lumicore is expected to seek a declaratory judgment that one or more claims of the asserted patents are invalid under 35 U.S.C. §§ 102 (anticipation) and 103 (obviousness), based on prior art references identified in Lumicore's pre-suit correspondence; and

3. Unenforceability / Inequitable Conduct: Based on statements and implications in Lumicore's pre-suit correspondence, OWS anticipates that Lumicore may assert a counterclaim for unenforceability of one or more of the asserted patents on the ground of inequitable conduct before the United States Patent and Trademark Office during prosecution of the patents. These anticipated counterclaims, if and when filed, could ex

IV. Identification of the Insured and Policy A. Insured Party Information Full Legal Name: Optiwave Semiconductor Corp. Employer Identification Number (EIN): 46-3921087 State of Incorporation: Delaware Principal Place of Business: 4810 Bayside Technology Parkway, Suite 300, Santa Clara, California 95054 Registered Agent (Delaware): Capitol Statutory Services, Inc., 1209 Orange Street, Wilmington, Delaware 19801 Chief

1. Dr. Priya Ramaswamy, Chief Executive Officer;

2. Dr. Jian-Wei Huang, Chief Technology Officer and named inventor on three of the four asserted patents (the '847 Patent, the '193 Patent, and the '015 Patent);

3. Rebecca Tanaka, General Counsel;

4. Franklin Osei, Chair of the Board of Directors and designee of Ridgeline Capital Partners, LP; and

5. Such other directors and officers of OWS as may be identified as the litigation progresses and counterclaims are formally filed and developed. OWS reserves the right to supplement this list as additional information becomes available regarding the scope and nature of Lumicore's counterclaims and any individual exposure of OWS's officers and directors.

V. Background Factual Summary A. OWS's Business OWS is a California-based fabless semiconductor company specializing in the design, development, and sale of silicon photonics chipsets and transceiver modules for data-center interconnects and high-speed optical networking applications. OWS was founded in 2011 and currently employs approximately 1,250 people across its operations in Santa Clara, California, and additio

VI. Specific Coverage Requests and Required Actions A. Acknowledgment of Coverage OWS respectfully requests that Pacific Rim provide a written acknowledgment, within thirty (30) days of receipt of this letter (or within such shorter period as may be required by the terms of the Policy), confirming that the above-described matter constitutes a covered claim or potential claim under Policy No. PLI-2023-08812. Specifica

VII. Enclosures The following documents are enclosed with this letter for Pacific Rim's records and review:

1. Copy of the Original Complaint filed April 22, 2024 (Docket Entry No. 1);

2. Copy of the Civil Cover Sheet (JS-44) filed April 22, 2024 (Docket Entry No. 2);

3. Copies of the four asserted United States utility patents: U.S. Patent No. 10,234,847; U.S. Patent No. 10,891,193; U.S. Patent No. 9,678,562; and U.S. Patent No. 11,402,015; and

4. Copy of the Summons issued April 25, 2024.

VIII. Reservation of Rights by OWS OWS expressly reserves all of its rights under Policy No. PLI-2023-08812 and applicable law, including but not limited to the right to seek coverage for any and all defense costs, indemnity obligations, adverse judgment exposure, and other covered losses arising from or relating to the above-referenced action and any counterclaims asserted therein. This reservation of rights extends

IX. Closing We reiterate our request that Pacific Rim provide prompt written acknowledgment of this notice and confirm coverage for the defensive aspects of this litigation, including the anticipated counterclaims, at the earliest opportunity. We further request the assignment of a dedicated claims adjuster or coverage counsel, as described above. Please direct all correspondence and communications regarding this mat

1. Original Complaint (Docket Entry No. 1)

2. Civil Cover Sheet (JS-44) (Docket Entry No. 2)

3. U.S. Patent Nos. 10,234,847; 10,891,193; 9,678,562; and 11,402,015

4. Summons issued April 25, 2024