Contract analysis

I. INTRODUCTION AND OVERVIEW A. Purpose and Scope This Infringement Claim Chart is served as part of the P.R. 3-1 Infringement Contentions of Plaintiff Optiwave Semiconductor Corp. ("OWS" or "Plaintiff") pursuant to the Patent Rules for the Eastern District of Texas. These contentions are served in compliance with the Court's Docket Control Order entered on July 22, 2024 (Dkt. 38), which set the deadline for service

1. LumiLink 400G-ZR+ The LumiLink 400G-ZR+ is Lumicore's 400G coherent optical transceiver module, designed for data center interconnect and metro/regional network applications. The LumiLink 400G-ZR+ was commercially launched in the third quarter of 2022 and has been continuously manufactured, marketed, sold, offered for sale, and imported into the United States by Lumicore since that date. Based on Lumicore's public

2. LumiLink 800G-DR8 The LumiLink 800G-DR8 is Lumicore's 800G silicon-photonics transceiver module, designed for next-generation data center interconnect and high-performance computing applications. The LumiLink 800G-DR8 was commercially launched in the first quarter of 2023 and has been continuously manufactured, marketed, sold, offered for sale, and imported into the United States by Lumicore since that date. Based

1. Benchmark Semiconductor Analysis, LLC — Teardown Report for the LumiLink 400G-ZR+ (delivered December 12, 2022, by lead teardown engineer Kevin Ng). This comprehensive teardown report includes detailed physical and analytical characterization of the LumiLink 400G-ZR+ module, including the silicon photonic PIC, the embedded micro-channel heat-sink structures, the thermal monitoring elements, and the waveguide multi

2. Benchmark Semiconductor Analysis, LLC — Follow-On Teardown Report for the LumiLink 800G-DR8 (completed June 2023). This teardown report provides analogous physical and analytical characterization of the LumiLink 800G-DR8 module, including the silicon photonic PIC and embedded micro-channel heat-sink structures.

3. Lumicore Design Documents Produced in discovery. Lumicore has produced in discovery a substantial body of design, engineering, and fabrication documents relating to the accused products. These documents have been designated under the three-tier Stipulated Protective Order entered August 19, 2024 (Dkt. 42), with certain documents designated "Highly Confidential — Attorneys' Eyes Only" and others designated "Highly

4. Deposition Testimony of Dr. Sandra Michaud, Lumicore Chief Technology Officer (November 19, 2024). Dr. Michaud testified regarding Lumicore's design decisions, the architecture of the accused products, and the thermal management approaches employed in the LumiLink product line. Certain testimony obtained after the date of service of these initial contentions will be referenced in supplemental contentions anticipat

5. Deposition Testimony of Kevin Ng, Benchmark Semiconductor Analysis, LLC (January 7, 2025). Mr. Ng testified regarding the teardown methodology, chain of custody for accused product samples, and specific structural findings relevant to the claim limitations. This testimony was obtained after the date of service of these initial contentions and will be incorporated in supplemental contentions.

6. Published Product Datasheets and Marketing Materials. Lumicore's publicly available product datasheets, application notes, and marketing materials for the LumiLink 400G-ZR+ and LumiLink 800G-DR8 describe various features and specifications of the accused products, including thermal management capabilities.

7. Expert Analysis by Dr. Caroline Ashford. Dr. Caroline Ashford, Professor of Electrical Engineering and Photonics at the Northfield Institute of Technology in Evanston, Illinois, has been retained by OWS as its technical and infringement expert for the '562 Patent. Dr. Ashford's preliminary analysis confirms that the accused products practice each and every limitation of the asserted claims. Dr. Ashford's full expe

II. CLAIM CHART STRUCTURE AND CONVENTIONS A. Format Each asserted claim of the '562 Patent is presented in a two-column claim chart format, as is customary for P.R. 3-1 Infringement Contentions in this District. The format of each claim chart is as follows: Left Column — Claim Language: The left column sets forth the verbatim claim language of the '562 Patent, broken down limitation by limitation. The preamble of eac

III. CLAIM 1 — INDEPENDENT CLAIM Claim 1 Full Text Claim 1 of U.S. Patent No. 9,678,562 recites:

1. A method for thermal management of a photonic integrated circuit, comprising: (a) providing a photonic integrated circuit formed on a semiconductor substrate; (b) forming a plurality of micro-channels in or on said semiconductor substrate, each micro-channel having a hydraulic diameter of less than 1 mm; (c) circulating a coolant fluid through said plurality of micro-channels to dissipate heat generated by said ph

IV. CLAIM 4 — DEPENDENT CLAIM (DEPENDS FROM CLAIM 1) Claim 4 Full Text Claim 4 of U.S. Patent No. 9,678,562 recites:

4. The method of claim 1, wherein the micro-channels are formed by deep reactive ion etching and have an aspect ratio of at least 5:1. Claim 4 depends from independent Claim 1 and adds a further limitation specifying the fabrication method and structural geometry of the micro-channels. Claim Chart — Claim 4

V. CLAIM 6 — DEPENDENT CLAIM (DEPENDS FROM CLAIM 1) Claim 6 Full Text Claim 6 of U.S. Patent No. 9,678,562 recites:

6. The method of claim 1, further comprising a thermal monitoring element positioned within or adjacent to the micro-channels to provide real-time temperature feedback. Claim 6 depends from independent Claim 1 and adds a further limitation directed to the integration of a thermal monitoring element with the micro-channel heat-sink system to enable real-time temperature feedback. Claim Chart — Claim 6

VI. CLAIM 11 — DEPENDENT CLAIM (DEPENDS FROM CLAIM 1) Claim 11 Full Text Claim 11 of U.S. Patent No. 9,678,562 recites:

11. The method of claim 1, wherein said micro-channels are sealed by bonding a cap layer to the semiconductor substrate using a hermetic bonding process. Claim 11 depends from independent Claim 1 and adds a further limitation specifying the method by which the micro-channels are sealed — namely, through the bonding of a cap layer to the semiconductor substrate using a hermetic bonding process. Claim Chart — Claim 11

VII. SUMMARY OF INFRINGEMENT CONTENTIONS FOR THE '562 PATENT A. Literal Infringement — All Asserted Claims Based on the detailed limitation-by-limitation analysis set forth in Sections III through VI above, OWS contends that both the LumiLink 400G-ZR+ and the LumiLink 800G-DR8 literally infringe each and every limitation of Claims 1, 4, 6, and 11 of U.S. Patent No. 9,678,562. The infringement of each claim limitation

VIII. APPENDIX — ANNOTATED TEARDOWN PHOTOGRAPHS AND FIGURES The following annotated teardown photographs and figures are provided in support of the infringement contentions set forth in this Claim Chart. Each figure is derived from the Benchmark Semiconductor Analysis, LLC teardown reports for the accused products and has been annotated to show the correspondence between the identified structures and the limitations

IX. CERTIFICATE OF SERVICE I hereby certify that on September 16, 2024, this Infringement Claim Chart for U.S. Patent No. 9,678,562 (Claims 1, 4, 6, and 11), together with all accompanying appendices and exhibits, was served upon counsel of record for Defendant Lumicore Technologies, Inc. by electronic means via the Court's CM/ECF electronic filing system and by electronic mail to the following: Catherine "Kate" Rour