Contract analysis

I. INTRODUCTION AND IDENTIFICATION OF DECLARANT

1. My name is Melissa Chen. I am over eighteen (18) years of age, I am competent to testify in this matter, and I make this declaration based on my own personal knowledge. If called as a witness, I could and would testify competently to the facts set forth herein.

2. I am currently employed as a Senior Photonic IC Design Engineer at Veridian Photonics, Inc., a California corporation. I have held this position since approximately early 2024.

3. I have no financial interest in the outcome of this litigation. I am not a party to this action, and I am not being compensated by Plaintiff Optiwave Semiconductor Corp. ("OWS" or "Optiwave"), its counsel, or any other party beyond reasonable witness fees and reimbursement of expenses incurred in connection with my time in providing this declaration and any associated testimony.

4. I make this declaration in response to a subpoena duces tecum and deposition notice served upon me on January 22, 2025. I voluntarily provide this declaration because I believe it is important that the Court have access to truthful, first-hand information regarding the matters described herein, and I understand my obligation to provide complete and accurate testimony.

II. EDUCATIONAL BACKGROUND AND PROFESSIONAL QUALIFICATIONS

5. I hold a Bachelor of Science degree in Electrical Engineering from the University of California, Berkeley, which I received in 2013. I subsequently earned a Master of Science degree in Electrical Engineering with a concentration in Photonics and Optoelectronics from Stanford University, which I received in 2015. My graduate research focused on silicon photonic waveguide design and coherent transceiver architecture

6. I have approximately ten (10) years of professional experience in the fields of silicon photonics and photonic integrated circuit ("PIC") design. Throughout my career, I have been directly involved in the design, simulation, layout, and testing of photonic integrated circuits for optical transceiver modules used in data center and telecommunications applications.

7. My areas of professional expertise include silicon photonic transceiver design, waveguide multiplexing architectures, coherent detection module design, photonic IC layout and integration, and related semiconductor fabrication processes. I have worked extensively with silicon-on-insulator ("SOI") platform technologies and have hands-on experience with the design and characterization of grating couplers, arrayed wav

8. My educational background and professional experience qualify me to understand and describe the engineering activities at Lumicore Technologies, Inc. ("Lumicore") that I personally observed and participated in during my employment there, as set forth in this declaration.

III. EMPLOYMENT HISTORY AT LUMICORE TECHNOLOGIES, INC.

9. I was employed by Lumicore Technologies, Inc. from approximately June 2020 through approximately February 2024. During this period, Lumicore's headquarters and principal engineering facilities were located at 9200 Spectrum Boulevard, Building C, Austin, Texas 78759.

10. When I joined Lumicore in June 2020, I was hired as a Photonic IC Design Engineer on the company's photonic IC design team. In approximately March 2022, I was promoted to Senior Photonic IC Design Engineer, a title I held for the remainder of my tenure at the company.

11. Throughout my employment at Lumicore, I reported to and worked under the direction of Dr. Sandra Michaud, who served as Lumicore's Chief Technology Officer ("CTO"), and Dr. Eric Dalmqvist, who served as Lumicore's Vice President of Product Development. Dr. Michaud provided overall technical direction and strategic guidance for the photonic IC design team, while Dr. Dalmqvist managed the day-to-day product develop

12. I was a core member of the engineering team responsible for the design and development of the LumiLink 400G-ZR+ transceiver module (the "LumiLink 400G-ZR+"), which was Lumicore's first coherent pluggable transceiver product targeting the hyperscale data center interconnect market. My specific responsibilities on the LumiLink 400G-ZR+ design team included photonic IC layout design, silicon waveguide design and opt

13. The LumiLink 400G-ZR+ was commercially launched by Lumicore in the third quarter of 2022, specifically in August 2022, following approximately eighteen (18) months of active design and development work that began in early 2021.

14. I am also generally aware of Lumicore's subsequent transceiver products, including the LumiLink 800G-DR8, which was launched in the first quarter of 2023 (approximately January 2023), and the LumiEdge 1600G-LR, which was launched in the fourth quarter of 2023 (approximately October 2023). While my primary design responsibilities during my tenure at Lumicore were focused on the LumiLink 400G-ZR+ program, I had vis

IV. AWARENESS OF OPTIWAVE SEMICONDUCTOR CORP.'S PATENT PORTFOLIO AND PUBLISHED APPLICATIONS A. General Awareness of OWS as a Competitor

15. During my employment at Lumicore, Optiwave Semiconductor Corp. ("OWS") was widely recognized within the silicon photonics industry as a leading United States-based supplier of transceiver modules designed for hyperscale data center applications. OWS, headquartered at 4810 Bayside Technology Parkway, Suite 300, Santa Clara, California 95054, was one of a small number of companies — along with Lumicore — that was d

16. The Lumicore engineering team was generally aware of OWS's product lines, including the OWS-400ZR and OWS-800XR transceiver module families, which competed directly with Lumicore's planned and eventual product offerings in the 400G and 800G transceiver segments. OWS's products were frequently discussed in engineering team meetings and design reviews as competitive benchmarks, and OWS's published product specifica

17. OWS was also known in the industry to hold a significant patent portfolio related to silicon photonic transceiver technologies. Based on my knowledge and the information available to the engineering team during the relevant time period, OWS held approximately one hundred forty-two (142) issued United States patents and had approximately fifty-eight (58) pending United States patent applications. The breadth and d

18. During the active design phase of the LumiLink 400G-ZR+ module, which took place approximately during the period from early 2021 through mid-2022, members of the Lumicore engineering team — including me — accessed and reviewed United States Published Patent Application No. 2018/0123456 (hereinafter, the "Published Application"), which is titled "High-Bandwidth Coherent Optical Transceiver Integrated on Silicon Su

19. As I later came to understand, this Published Application corresponds to what is now United States Patent No. 10,891,193 (the "'193 Patent"), which was filed on April 7, 2017, and issued on January 12, 2021. The '193 Patent is one of the patents asserted by OWS in this litigation.

20. The Published Application was identified during a competitive intelligence and prior-art landscape analysis that was conducted by and at the direction of the Lumicore engineering team during the LumiLink 400G-ZR+ development process. To the best of my recollection, this landscape analysis was initiated in approximately the first quarter of 2021, shortly after the formal commencement of the LumiLink 400G-ZR+ desig

21. I personally reviewed the Published Application in detail, including its claims, specification, and figures. My review included a careful reading of the independent and dependent claims, as well as the detailed description and accompanying drawings, which disclosed, among other things, a silicon-photonic transceiver architecture, coherent detection module designs, waveguide multiplexer structures, and approaches

22. I was not the only member of the Lumicore engineering team to review the Published Application. To my knowledge, other members of the LumiLink 400G-ZR+ design team also reviewed it. Significantly, the review was known to and participated in by senior engineering leadership at Lumicore. Specifically, I recall that Dr. Sandra Michaud, Lumicore's CTO, reviewed the Published Application and discussed its contents wit

23. The purpose of the team's review of the Published Application was multi-fold. First, the team reviewed it to understand OWS's claimed technology and the scope of OWS's disclosed transceiver architecture. Second, the review was intended to assess the competitive landscape and to understand how OWS's approach to coherent transceiver design compared to the approach that the Lumicore team was developing for the LumiL

24. The Published Application was discussed in multiple internal team settings during the 2021–2022 design phase. To the best of my recollection, the Published Application was specifically referenced or its disclosure discussed in the following contexts: (a) Engineering team meetings held approximately bi-weekly during the early design phase (first and second quarters of 2021), during which the competitive landscape

25. I recall that during the design review meeting referenced in paragraph 24(b) above, at least one member of the engineering team raised a question about whether the LumiLink 400G-ZR+ design, as then proposed, might overlap with OWS's published claims. I recall that Dr. Michaud acknowledged the question but indicated that the team should proceed with the design and that any intellectual property issues would be add

26. In addition to the Published Application discussed above, the Lumicore engineering team was aware of, and in some cases reviewed, other OWS patents or published applications during the LumiLink 400G-ZR+ design phase. To the best of my recollection, these included the following:

27. U.S. Patent No. 10,234,847 (the '847 Patent). This patent, titled "Multi-Channel Silicon Photonic Waveguide Multiplexer with Low Insertion Loss," was issued on March 19, 2019. I recall that the '847 Patent, or its corresponding published application, was identified during the same prior-art landscape analysis that identified the Published Application discussed in Section IV.B above. The '847 Patent was relevant t

28. U.S. Patent No. 9,678,562 (the '562 Patent). This patent, titled "Method for Thermal Management of Photonic Integrated Circuits Using Embedded Micro-Channel Heat Sinks," was issued on June 13, 2017. I understand that the '562 Patent was originally assigned to Solara Optics, Inc. and was subsequently acquired by OWS pursuant to an asset purchase agreement dated June 15, 2018. The thermal management approaches disc

29. U.S. Patent No. 11,402,015 (the '015 Patent). This patent, titled "Polarization-Diverse Grating Coupler for Silicon Photonic Transceivers," was issued on August 2, 2022. Because this patent issued during the later stages of the LumiLink 400G-ZR+ design phase, my recollection of the team's review of this specific patent is less detailed than my recollection regarding the other patents discussed above. However, I a

30. I also understand that the '562 Patent and the '847 Patent are in a continuation relationship. To the extent the engineering team reviewed the disclosures of either patent, the team would have been exposed to the related disclosures contained in both patents' shared prosecution history and specification.

V. RELATIONSHIP BETWEEN REVIEWED OWS DISCLOSURES AND LUMILINK 400G-ZR+ DESIGN

31. Based on my personal involvement in the design of the LumiLink 400G-ZR+ module and my review of the OWS Published Application (No. 2018/0123456, corresponding to the '193 Patent), I am able to describe factual observations regarding the relationship between the OWS disclosures reviewed by the Lumicore engineering team and the design approach ultimately adopted for the LumiLink 400G-ZR+ module. I do not offer any

32. Based on my personal observations, there were areas of general technical overlap between the transceiver architecture disclosed in the OWS Published Application and the design approach adopted for the LumiLink 400G-ZR+ module. Specifically, I observed similarities in the following areas: (a) Waveguide Multiplexer Structures. The LumiLink 400G-ZR+ design incorporated a multi-channel silicon photonic waveguide mult

33. During the design phase, members of the Lumicore engineering team discussed the possibility that the LumiLink 400G-ZR+ design might implicate OWS's intellectual property. As I described in paragraph 25 above, at least one member of the engineering team raised a question during a design review meeting in approximately June or July 2021 about potential overlap between the proposed LumiLink design and OWS's publishe

34. To the best of my knowledge, no engineer on the LumiLink 400G-ZR+ design team was instructed to conduct a formal design-around analysis or to modify the proposed transceiver architecture specifically to avoid the claims disclosed in the OWS Published Application or any other OWS patent. Similarly, to my knowledge, no freedom-to-operate assessment was requested by or provided to the engineering team during the 202

VI. ABSENCE OF FORMAL DESIGN-AROUND OR FREEDOM-TO-OPERATE ANALYSIS

35. To my knowledge, no formal design-around analysis was commissioned, conducted, or provided to the LumiLink 400G-ZR+ engineering team during the 2021–2022 design and development phase of the LumiLink 400G-ZR+ module. I am not aware of any written design-around report, memorandum, or similar document being circulated to the engineering team during this period.

36. Similarly, to my knowledge, no formal freedom-to-operate opinion or clearance assessment with respect to OWS's patent portfolio was commissioned, conducted, or provided to the LumiLink 400G-ZR+ engineering team during the 2021–2022 design and development phase.

37. I am not aware of any instructions from Lumicore's legal department, including from Raymond Bautista, Lumicore's General Counsel, or from any outside counsel, directing the engineering team to avoid or design around OWS's patent claims during the 2021–2022 design phase. To the best of my recollection, neither Mr. Bautista nor any other attorney communicated to the engineering team during this period regarding OWS

38. I understand from publicly available filings in this litigation that Lumicore referenced "competent legal opinions" in a letter dated July 10, 2023, in which Lumicore declined a patent license from OWS. I have no personal knowledge of when any such legal opinions were obtained, who prepared them, or whether the LumiLink 400G-ZR+ engineering team was consulted in their preparation. I was not asked at any point dur

VII. EVENTS FOLLOWING FAIRPOINT LICENSING GROUP'S NOTICE LETTERS

39. I have some awareness of communications between FairPoint Licensing Group, LLC ("FairPoint") and Lumicore concerning OWS's patent portfolio, based on information that was communicated to me and other members of the engineering team during the course of my employment at Lumicore.

40. I recall that in approximately late January or early February 2023, Dr. Eric Dalmqvist informed the engineering team — during a team meeting or in a communication to the team — that Lumicore had received a licensing letter from an entity called FairPoint Licensing Group, acting on behalf of OWS, identifying certain OWS patents and alleging that Lumicore's products potentially infringed those patents. I understand

41. Following Dr. Dalmqvist's communication to the team regarding the FairPoint letter, I recall that at least some members of the engineering team were asked to review the identified patents and to provide preliminary technical assessments of whether the accused products — at that time, the LumiLink 400G-ZR+ — practiced the identified patent claims. I participated in this review to some extent and provided informal

42. I also have some awareness of a second licensing letter from FairPoint, which I understand was dated May 15, 2023. To the best of my recollection, the team was informed that this second letter added the '015 Patent (U.S. Patent No. 11,402,015) to the list of asserted patents and expanded the scope of accused products to include the LumiLink 800G-DR8 module.

43. I am generally aware that an in-person licensing meeting took place on approximately April 20, 2023, in Austin, Texas, between representatives of FairPoint and Lumicore. I was not personally invited to or present at this meeting. To the best of my recollection, the engineering team was not directly involved in preparation for this meeting, although I recall that Dr. Dalmqvist may have been asked to provide some t

44. I recall being informed — either by Dr. Dalmqvist or through general team communications — that Lumicore had decided to decline FairPoint's licensing offer. I understand this declination was communicated in a letter dated July 10, 2023. I do not recall being given any detailed explanation for the decision to decline, other than a general indication that Lumicore's legal team had evaluated the situation and determ

45. To the best of my knowledge, after receipt of the FairPoint notice letters, the engineering team was not directed to pursue any modifications or design-arounds to the LumiLink 400G-ZR+ or LumiLink 800G-DR8 products. I am not aware of any design modifications being implemented to either product in response to the FairPoint notice letters or in response to any analysis of OWS's patent claims. Both products continue

46. With respect to the LumiEdge 1600G-LR module, which was launched by Lumicore in the fourth quarter of 2023 (approximately October 2023), I have the following knowledge. The LumiEdge 1600G-LR design program was underway during the period when Lumicore was actively engaged in the FairPoint licensing discussions and had received both the January 15, 2023 and May 15, 2023 notice letters. Based on my observations duri

VIII. DEPARTURE FROM LUMICORE AND CURRENT EMPLOYMENT

47. I voluntarily departed from Lumicore Technologies, Inc. in approximately February 2024. My departure was a personal career decision based on my desire to pursue new professional opportunities. My departure was not related to this litigation, to any dispute with Lumicore, or to any of the matters described in this declaration.

48. I am currently employed as a Senior Photonic IC Design Engineer at Veridian Photonics, Inc., a California corporation, a position I have held since approximately March 2024.

49. Upon my departure from Lumicore, I executed standard separation documents. I am subject to a non-disclosure agreement ("NDA") with Lumicore that I signed at the commencement of my employment. I have complied with the terms of this NDA throughout my employment and since my departure. My testimony in this declaration concerns facts within my personal knowledge — specifically, my own observations, actions, and parti

50. I have not been asked by Lumicore or its counsel, Hawthorne Vega & Cruz LLP — including Catherine "Kate" Rourke and Darren Cho — to refrain from providing testimony in this matter. No representative of Lumicore or its counsel has contacted me to discourage, limit, or otherwise influence my testimony.

IX. DOCUMENTS PRODUCED OR AVAILABLE

51. In response to the subpoena duces tecum served upon me on January 22, 2025, I have identified and am prepared to produce certain documents that are within my possession, custody, or control that are responsive to the subpoena's requests and relevant to the matters described in this declaration.