Contract analysis

I. PURPOSE AND LEGAL OBLIGATION 1.1 Nature of This Directive Calderwood & Harkness LLP ("C&H") has been retained by Optiwave Semiconductor Corp. ("OWS" or the "Company") as lead litigation counsel in connection with anticipated patent infringement litigation against Lumicore Technologies, Inc. ("Lumicore"). The anticipated action will be filed in the United States District Court for the Eastern District of Texas, mar

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 • Original Assignee: Optiwave Semiconductor Corp. • Status: Active; all maintenance fees current.

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 • Original Assignee: Solara Optics, Inc. • Acquired by OWS: Via Asset Purchase Agreement dated June 15, 2018, pursuant to which OWS acquired twelve (12) patents from Solara Optics, Inc. (including the '562 P

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 • Original Assignee: Optiwave Semiconductor Corp. • Status: Active; all maintenance fees current. Patent Family Relationships The '562 Patent and the '847 Patent are members of the same patent family, sharing a continuation relationship.

II. EFFECTIVE DATE AND DURATION 2.1 Immediate Effect This litigation hold is effective immediately upon distribution of this memorandum, which shall be deemed to have occurred on March 22, 2024. The hold shall remain in full force and effect until Calderwood & Harkness LLP provides express written notice that the hold has been released. No oral communication, informal statement, or implied understanding shall be suff

III. SCOPE OF PRESERVATION 3.1 Subject Matter Categories The litigation hold encompasses all documents, electronically stored information, and tangible items relating to, referring to, or concerning any of the following subject matter categories. Each category is described in detail below. The categories are not mutually exclusive, and a single document may be responsive to multiple categories. The descriptions below

I. Ridgeline Capital Partners, LP All documents, ESI, and tangible items relating to OWS's communications and interactions with Ridgeline Capital Partners, LP (200 Clarendon Street, 40th Floor, Boston, MA 02116; Managing Partner: Franklin Osei), the private equity sponsor that holds approximately 55% of OWS's equity (acquired in 2019 for approximately $780 million), to the extent such materials relate to: • The Lumic

IV. CUSTODIAN LIST 4.1 Identified Custodians The following fourteen (14) individuals have been identified as custodians whose files, devices, accounts, and records must be subject to this litigation hold. Each individual listed below is a person who, based on C&H's preliminary investigation and discussions with OWS's General Counsel, is likely to have possession, custody, or control of documents and ESI relevant to t

1. Receipt and review: That the custodian has received a copy of this Litigation Hold Memorandum dated March 22, 2024, and has read and understood its contents and requirements.

2. Understanding of preservation obligation: That the custodian understands his or her obligation to preserve all documents, ESI, and tangible items within the scope of this hold, and that no responsive materials may be deleted, destroyed, modified, or disposed of.

3. Identification of data locations: That the custodian has identified all locations — both physical and electronic — where he or she maintains or has access to potentially relevant materials, including but not limited to office files, home files, personal devices used for work, external hard drives or USB drives, personal email accounts used for business communications, personal cloud storage accounts, and any other

4. Agreement to comply: That the custodian agrees to comply with the hold and to notify Rebecca Tanaka and Wendy Schultz at Calderwood & Harkness LLP immediately of any issues, including any awareness that relevant materials may have been lost, deleted, or destroyed. Completed acknowledgment forms should be returned to Rebecca Tanaka (OWS General Counsel) with a copy to Wendy Schultz (C&H).

V. DATA SOURCE INVENTORY 5.1 Enterprise Systems The following enterprise data sources have been identified as containing or likely containing documents and ESI within the scope of this litigation hold. The IT Department, in coordination with the Director of IT, is responsible for implementing the preservation actions specified below for each data source. C&H requests that the IT Department provide a written confirmat

VI. IMPLEMENTATION INSTRUCTIONS 6.1 Immediate Actions Required (Within 48 Hours) The following actions must be completed within forty-eight (48) hours of the date of this memorandum (i.e., by 5:00 p.m. Pacific Time on March 24, 2024):

1. IT Department: Implement all technical preservation steps identified in Section V above, including: applying litigation hold tags to all custodian email accounts in Strathmore Data Systems; suspending all auto-deletion and routine destruction policies for identified data sources and custodians; suspending backup tape recycling schedules; and suspending device refresh programs for custodian devices. If any particul

2. Rebecca Tanaka (General Counsel): Distribute a copy of this memorandum to each of the fourteen (14) custodians identified in Section IV, together with a copy of the Custodian Acknowledgment Form (Exhibit A). Distribution should be made via hand delivery or secure internal email, with read-receipt confirmation requested.

3. Each Custodian: Upon receipt, review this memorandum in its entirety. Complete and return the Custodian Acknowledgment Form (Exhibit A) within five (5) business days, identifying all physical and electronic locations where the custodian maintains potentially relevant materials, and disclosing any awareness that relevant materials may already have been lost, deleted, or destroyed.

4. IT Department: Provide C&H with a written confirmation of all technical preservation measures implemented, including a description of each measure taken, the date of implementation, and the systems and custodians affected. This confirmation should be provided within five (5) business days of receipt of this memorandum. 6.2 Ongoing Obligations The preservation obligations established by this memorandum are not limi

VII. CONSEQUENCES OF NON-COMPLIANCE The consequences of failing to comply with this litigation hold are severe and cannot be overstated. As discussed in Section 1.2 above, Federal Rule of Civil Procedure 37(e) authorizes courts to impose sanctions when electronically stored information that should have been preserved in the anticipation or conduct of litigation is lost because a party failed to take reasonable steps

VIII. CONTACT INFORMATION For questions regarding this litigation hold, the scope of preservation, or the implementation of any preservation measures described in this memorandum, please contact any of the following individuals: Wendy Schultz Lead Associate, IP Litigation Calderwood & Harkness LLP 350 South Grand Avenue, 48th Floor Los Angeles, CA 90071 Telephone: (213) 555-4820 Email: wschultz@calderwoodharkness.com

IX. EXHIBIT A — CUSTODIAN ACKNOWLEDGMENT FORM CUSTODIAN ACKNOWLEDGMENT FORM LITIGATION HOLD — OPTIWAVE SEMICONDUCTOR CORP. Anticipated Litigation Against Lumicore Technologies, Inc. PRIVILEGED & CONFIDENTIAL — ATTORNEY-CLIENT COMMUNICATION / ATTORNEY WORK PRODUCT Custodian Name: _____________ Title: _____________ Department: _____________ Acknowledgment of Receipt and Understanding By signing below, I confirm the fol

1. Receipt and Review. I have received a copy of the Litigation Hold Memorandum dated March 22, 2024, issued by Calderwood & Harkness LLP (the "Hold Memorandum"). I have read and reviewed the Hold Memorandum in its entirety and understand its contents and requirements.

2. Understanding of Preservation Obligation. I understand that I am obligated to preserve all documents, electronically stored information ("ESI"), and tangible items within the scope of the litigation hold described in the Hold Memorandum. I understand that I may not delete, destroy, discard, overwrite, modify, alter, or otherwise dispose of any materials within the scope of the hold, regardless of any existing docu

3. Identification of Data Locations. I have identified below all locations — physical and electronic — where I maintain or have access to potentially relevant materials. I understand that this identification must be complete and accurate, and that I must promptly notify Rebecca Tanaka and Calderwood & Harkness LLP if I subsequently identify additional locations. Physical Locations (e.g., office files, home files, sto

4. Disclosure of Prior Deletions or Losses. I have identified below any materials that I am aware may have already been deleted, destroyed, or lost, and the circumstances thereof. If I am not aware of any such deletions or losses, I have indicated "None" below. ________________________________________ ________________________________________ ________________________________________

5. Agreement to Comply. I agree to comply with all requirements of the litigation hold as described in the Hold Memorandum. I agree to preserve all relevant materials in my possession, custody, or control for the duration of the hold. I agree to notify Rebecca Tanaka (OWS General Counsel) and Wendy Schultz (Calderwood & Harkness LLP) immediately if I become aware of any issues relating to the preservation of relevant

X. SIGNATURE BLOCK This Litigation Hold Memorandum is issued by Calderwood & Harkness LLP on behalf of Optiwave Semiconductor Corp. as of the date first set forth above. CALDERWOOD & HARKNESS LLP By: ________ Name: Alan Ngo Title: Partner, IP Litigation Date: March 22, 2024 By: ________ Name: Wendy Schultz Title: Associate, IP Litigation Date: March 22, 2024 PRIVILEGED & CONFIDENTIAL — ATTORNEY-CLIENT COMMUNICATION /