[sheet: Privilege Log]
Log Entry No. | Bates Begin | Bates End | Document Date | Document Type | Author(s) | Recipient(s) | CC / Other Recipients | Subject / Description | Privilege Basis | Withheld or Redacted | Responsive to RFP No(s). | Confidentiality Designation
PRIV-0001 | OWS-PRIV-000001 | OWS-PRIV-000004 | 2022-03-10 | Memorandum | Theodore Marchetti (OWS VP of IP) | Sandra Ellison (OWS General Counsel) | Dr. Priya Ramanathan (OWS CEO) | Memorandum re: Assessment of Lumos Photonics' LumosBridge and LumosEdge products for potential infringement of U.S. Patent Nos. 10,234,567 and 10,891,234; request for outside counsel engagement | Attorney-Client Privilege | Withheld in Full | RFP Nos. 12, 15, 47 | Highly Confidential — AEO
PRIV-0002 | OWS-PRIV-000005 | OWS-PRIV-000005 | 2022-03-12 | Email | Sandra Ellison (OWS General Counsel) | Dr. Priya Ramanathan (OWS CEO); Dr. Kevin Fong (OWS CTO) | Email re: Legal assessment of patent infringement claims against Lumos Photonics and recommendation to retain outside patent litigation counsel | Attorney-Client Privilege | Withheld in Full | RFP Nos. 12, 15 | Highly Confidential — AEO
PRIV-0003 | OWS-PRIV-000006 | OWS-PRIV-000009 | 2022-03-14 | Email with Attachment | Theodore Marchetti (OWS VP of IP) | Sandra Ellison (OWS General Counsel) | Email transmitting draft cease-and-desist letter to Lumos Photonics, Inc. regarding U.S. Patent Nos. 10,234,567 and 10,891,234; draft letter attached for legal review and comment | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 15, 22 | Confidential
PRIV-0004 | OWS-PRIV-000010 | OWS-PRIV-000011 | 2022-04-05 | Email | Sandra Ellison (OWS General Counsel) | Dr. Priya Ramanathan (OWS CEO); Theodore Marchetti (OWS VP of IP) | Email re: Analysis of Lumos Photonics' April 4, 2022 response letter denying infringement; legal strategy discussion and recommendation to evaluate litigation | Attorney-Client Privilege | Withheld in Full | RFP Nos. 12, 15, 47 | Highly Confidential — AEO
PRIV-0005 | OWS-PRIV-000012 | OWS-PRIV-000018 | 2022-04-18 | Memorandum | Alan Ngo (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP); Christy Bauer (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel); Theodore Marchetti (OWS VP of IP) | Pre-Suit Infringement Analysis Memorandum — U.S. Patent No. 10,234,567 ('567 Patent): analysis of literal infringement and doctrine of equivalents theories for Claims 1, 4, 7, 12, and 15 against LumosBridge 800G and LumosEdge 400ZR+ products | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 15, 34, 47 | Highly Confidential — AEO
PRIV-0006 | OWS-PRIV-000019 | OWS-PRIV-000025 | 2022-04-25 | Memorandum | Alan Ngo (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP); Christy Bauer (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel); Theodore Marchetti (OWS VP of IP) | Pre-Suit Infringement Analysis Memorandum — U.S. Patent No. 10,891,234 ('234 Patent): analysis of infringement of Claims 1, 3, 5, 8, and 11 against Lumos's germanium photodetector architecture, including discussion of 'continuously varying germanium concentration' limitation risk | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 15, 34, 47 | Highly Confidential — AEO
PRIV-0007 | OWS-PRIV-000026 | OWS-PRIV-000031 | 2022-05-05 | Memorandum | Christy Bauer (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP); Alan Ngo (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel); Theodore Marchetti (OWS VP of IP) | Pre-Suit Infringement Analysis Memorandum — U.S. Patent No. 11,045,678 ('678 Patent): analysis of infringement of Claims 1, 2, 6, 9, and 14 against Lumos's 800G platform, including assessment of 'monolithically formed on a single silicon die' limitation | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 15, 34, 47 | Highly Confidential — AEO
PRIV-0008 | OWS-PRIV-000032 | OWS-PRIV-000037 | 2022-05-08 | Memorandum | Omar Siddiqui (Calderwood & Harkness LLP); Alan Ngo (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel); Theodore Marchetti (OWS VP of IP) | Pre-Suit Infringement Analysis Memorandum — U.S. Patent No. 11,312,890 ('890 Patent): analysis of infringement of Claims 1, 5, 8, and 13 against Lumos's driver circuit architecture, including discussion of 'co-integrated' limitation | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 15, 34, 47 | Highly Confidential — AEO
PRIV-0009 | OWS-PRIV-000038 | OWS-PRIV-000050 | 2022-05-15 | Memorandum | Omar Siddiqui (Calderwood & Harkness LLP); Christy Bauer (Calderwood & Harkness LLP); Alan Ngo (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel); Theodore Marchetti (OWS VP of IP) | Validity Risk Assessment Memorandum — consolidated analysis of invalidity risks under 35 U.S.C. §§ 102, 103, and 112 for all four asserted patents (U.S. Patent Nos. 10,234,567; 10,891,234; 11,045,678; 11,312,890), including analysis of prior art (U.S. 9,456,012 (Tanaka); Chen & Liu (2016); EP 3,234,567 A1 (Nordlicht Photonische GmbH); Iyer & Patel (2018)) and prosecution history estoppel risks | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 15, 34, 47, 56 | Highly Confidential — AEO
PRIV-0010 | OWS-PRIV-000051 | OWS-PRIV-000051 | 2022-05-16 | Email | Alan Ngo (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel) | Marcus Delgado (Calderwood & Harkness LLP) | Email re: Preliminary assessment of strengths and weaknesses of patent infringement claims; discussion of litigation strategy and recommendation to proceed with filing | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 15 | Highly Confidential — AEO
PRIV-0011 | OWS-PRIV-000052 | OWS-PRIV-000060 | 2022-05-20 | Memorandum | Marcus Delgado (Calderwood & Harkness LLP); Alan Ngo (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel) | Douglas Fairbanks III (Vantage Point Capital Partners); Rebecca Torres (Vantage Point Capital Partners) | Litigation Funding Analysis Memorandum — review and analysis of term sheet from Resolute Litigation Finance, LP for partial funding of patent litigation; comparison of self-funding vs. third-party funding economics; recommendation to decline funder and self-fund | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 85 | Highly Confidential — AEO
PRIV-0012 | OWS-PRIV-000061 | OWS-PRIV-000072 | 2022-05-25 | Memorandum | Alan Ngo (Calderwood & Harkness LLP) | OWS Board of Directors; Sandra Ellison (OWS General Counsel) | Douglas Fairbanks III (Vantage Point Capital Partners); Rebecca Torres (Vantage Point Capital Partners) | Litigation Strategy Memorandum — assessment of case strengths and weaknesses across four patents-in-suit; projected damages (>$75 million based on 7.5% royalty rate on $148.6M accused product revenue plus willfulness); litigation budget ($4.2M through trial); venue analysis (N.D. Cal.); recommendation to file suit | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 15, 47, 85 | Highly Confidential — AEO
PRIV-0013 | OWS-PRIV-000073 | OWS-PRIV-000074 | 2022-05-28 | Email | Sandra Ellison (OWS General Counsel) | Alan Ngo (Calderwood & Harkness LLP); Marcus Delgado (Calderwood & Harkness LLP) | Email re: Board direction regarding litigation strategy, budget approval, and authorization to file patent infringement complaint against Lumos Photonics, Inc. | Attorney-Client Privilege | Withheld in Full | RFP Nos. 12, 15 | Highly Confidential — AEO
PRIV-0014 | OWS-PRIV-000075 | OWS-PRIV-000078 | 2022-06-01 | Email with Attachment | Omar Siddiqui (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel); Theodore Marchetti (OWS VP of IP) | Alan Ngo (Calderwood & Harkness LLP) | Email transmitting draft Complaint for Patent Infringement for client review and comment prior to filing; draft complaint attached | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 15 | Confidential
PRIV-0015 | OWS-PRIV-000079 | OWS-PRIV-000080 | 2022-06-02 | Email | Sandra Ellison (OWS General Counsel) | Omar Siddiqui (Calderwood & Harkness LLP); Alan Ngo (Calderwood & Harkness LLP) | Theodore Marchetti (OWS VP of IP) | Email providing client comments on draft complaint; authorizes filing | Attorney-Client Privilege | Withheld in Full | RFP Nos. 12, 15 | Confidential
PRIV-0016 | OWS-PRIV-000081 | OWS-PRIV-000084 | 2022-06-06 | Letter (draft) | Sandra Ellison (OWS General Counsel) | First Pacific Commerce Bank, N.A. | Alan Ngo (Calderwood & Harkness LLP) | Draft letter to First Pacific Commerce Bank, N.A. re: notification of material litigation (Optiwave v. Lumos Photonics) under covenants of $40M revolving credit facility; prepared by Calderwood & Harkness for client review | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 78 | Confidential
PRIV-0017 | OWS-PRIV-000085 | OWS-PRIV-000086 | 2022-07-15 | Email | Alan Ngo (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel); Theodore Marchetti (OWS VP of IP) | Omar Siddiqui (Calderwood & Harkness LLP) | Email re: Analysis of Lumos Photonics' Answer and Counterclaims for declaratory judgment of non-infringement and invalidity under 35 U.S.C. §§ 102, 103, and 112; strategic assessment of defendant's positions | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 15, 47 | Highly Confidential — AEO
PRIV-0018 | OWS-PRIV-000087 | OWS-PRIV-000092 | 2022-08-10 | Memorandum | Omar Siddiqui (Calderwood & Harkness LLP) | Alan Ngo (Calderwood & Harkness LLP) | Internal memorandum re: Claim construction strategy — identification of key disputed terms across all four patents-in-suit, analysis of intrinsic and extrinsic evidence, and recommended proposed constructions; attorney mental impressions and strategy | Attorney Work Product | Withheld in Full | RFP Nos. 34, 47 | Highly Confidential — AEO
PRIV-0019 | OWS-PRIV-000093 | OWS-PRIV-000095 | 2022-08-18 | Email Chain | Alan Ngo (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel); Theodore Marchetti (OWS VP of IP) | Email chain re: Discussion of engagement of Dr. Harold Whitfield (Whitfield Technical Consulting Group, Inc.) as technical expert for claim construction and infringement analysis; scope of expert work and retention terms | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 34, 62 | Confidential
PRIV-0020 | OWS-PRIV-000096 | OWS-PRIV-000098 | 2022-09-05 | Memorandum | Omar Siddiqui (Calderwood & Harkness LLP); Christy Bauer (Calderwood & Harkness LLP) | Alan Ngo (Calderwood & Harkness LLP) | Internal memorandum re: Claim construction discovery plan — proposed deposition topics for named inventors (Dr. Kevin Fong, Hideo Tanaka, Dr. Amara Osei), prosecution history review plan, identification of extrinsic evidence | Attorney Work Product | Withheld in Full | RFP Nos. 34, 47 | Highly Confidential — AEO
PRIV-0021 | OWS-PRIV-000099 | OWS-PRIV-000101 | 2022-09-08 | Email | Alan Ngo (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel) | Omar Siddiqui (Calderwood & Harkness LLP) | Email re: Discussion of OWS's proposed claim constructions for 11 disputed terms and strategy for preliminary claim construction contentions under Patent L.R. 4-1 | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 34, 47 | Highly Confidential — AEO
PRIV-0022 | OWS-PRIV-000102 | OWS-PRIV-000104 | 2022-09-20 | Email Chain | Omar Siddiqui (Calderwood & Harkness LLP) | Dr. Harold Whitfield (Whitfield Technical Consulting Group, Inc.) | Alan Ngo (Calderwood & Harkness LLP); Christy Bauer (Calderwood & Harkness LLP) | Email chain re: Discussion of technical opinions on claim term 'adiabatically coupled' and distinction between continuous and segmented taper designs; attorney direction to expert in anticipation of litigation | Attorney Work Product | Withheld in Full | RFP Nos. 34, 62 | Highly Confidential — AEO
PRIV-0023 | OWS-PRIV-000105 | OWS-PRIV-000112 | 2022-10-10 | Memorandum | Omar Siddiqui (Calderwood & Harkness LLP); Christy Bauer (Calderwood & Harkness LLP) | Alan Ngo (Calderwood & Harkness LLP) | Internal memorandum re: Deposition preparation outline for Dr. Kevin Fong — key topics regarding his understanding of claimed inventions, meaning of 'adiabatically coupled,' 'continuously varying germanium concentration,' and 'co-integrated,' prosecution history, and state of the art | Attorney Work Product | Withheld in Full | RFP Nos. 34, 47 | Highly Confidential — AEO
PRIV-0024 | OWS-PRIV-000113 | OWS-PRIV-000118 | 2022-10-12 | Memorandum | Christy Bauer (Calderwood & Harkness LLP) | Alan Ngo (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP) | Internal memorandum re: Deposition preparation outline for Hideo Tanaka — topics regarding his contributions to the '567 Patent, meaning of key claim terms, his prior invention disclosed in U.S. Patent No. 9,456,012, and prosecution history estoppel issues | Attorney Work Product | Withheld in Full | RFP Nos. 34, 47, 56 | Highly Confidential — AEO
PRIV-0025 | OWS-PRIV-000119 | OWS-PRIV-000124 | 2022-10-14 | Memorandum | Omar Siddiqui (Calderwood & Harkness LLP) | Alan Ngo (Calderwood & Harkness LLP); Christy Bauer (Calderwood & Harkness LLP) | Internal memorandum re: Deposition preparation outline for Dr. Amara Osei — topics regarding her understanding of 'graded buffer layer having a continuously varying germanium concentration' and 'monolithically formed on a single silicon die,' distinction between step-graded and continuously graded buffer designs | Attorney Work Product | Withheld in Full | RFP Nos. 34, 47 | Highly Confidential — AEO
PRIV-0026 | OWS-PRIV-000125 | OWS-PRIV-000126 | 2022-10-20 | Email | Alan Ngo (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel) | Omar Siddiqui (Calderwood & Harkness LLP) | Email re: Debrief on depositions of Dr. Kevin Fong and Hideo Tanaka during claim construction discovery; legal analysis of testimony implications for claim construction positions | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 34, 47 | Highly Confidential — AEO
PRIV-0027 | OWS-PRIV-000127 | OWS-PRIV-000133 | 2022-10-25 | Memorandum | Alan Ngo (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP) | Dr. Lawrence Kessler (Apex Claim Analytics LLC) | Memorandum to damages expert re: Scope of damages expert engagement — outlines reasonable royalty framework under 35 U.S.C. § 284, identifies accused product revenue ($148.6M CY 2022), preliminary royalty rate estimate (7.5%), and Georgia-Pacific factor analysis framework; conveys attorney mental impressions regarding damages strategy | Attorney Work Product | Withheld in Full | RFP Nos. 62, 71 | Highly Confidential — AEO
PRIV-0028 | OWS-PRIV-000134 | OWS-PRIV-000140 | 2022-11-10 | Memorandum | Christy Bauer (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP) | Alan Ngo (Calderwood & Harkness LLP) | Preliminary Damages Framework Memorandum — analysis of reasonable royalty theory, base royalty calculation ($148.6M × 7.5% = $11.145M), pre-suit damages period revenue (~$62.3M), willfulness enhancement potential, and total claimed damages (>$75M); prepared for sharing with Dr. Lawrence Kessler | Attorney Work Product | Withheld in Full | RFP Nos. 62, 71 | Highly Confidential — AEO
PRIV-0029 | OWS-PRIV-000141 | OWS-PRIV-000145 | 2022-11-15 | Memorandum | Christy Bauer (Calderwood & Harkness LLP) | Alan Ngo (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP) | Internal memorandum re: Document review protocol for OWS document production — privilege review workflow, responsiveness coding categories, confidentiality designation guidelines under Stipulated Protective Order | Attorney Work Product | Withheld in Full | RFP Nos. N/A (internal work product) | N/A
PRIV-0030 | OWS-PRIV-000146 | OWS-PRIV-000149 | 2022-11-18 | Email Chain | Omar Siddiqui (Calderwood & Harkness LLP); Christy Bauer (Calderwood & Harkness LLP) | Alan Ngo (Calderwood & Harkness LLP) | Email chain re: Internal discussion of ESI search terms and custodian list for OWS document collection; identification of key custodians (Dr. Ramanathan, Dr. Fong, Dr. Osei, Marchetti, Ellison, Iyer, Zhang, Tanaka); reflects attorney strategy regarding scope of production | Attorney Work Product | Withheld in Full | RFP Nos. N/A (internal work product) | N/A
PRIV-0031 | OWS-PRIV-000150 | OWS-PRIV-000155 | 2022-11-28 | Memorandum | Alan Ngo (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel) | Memorandum re: Analysis of Lumos's First Set of Requests for Production (98 requests) — identification of responsive document categories, privilege and work product issues, recommended objections, and production strategy | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 15 | Highly Confidential — AEO
PRIV-0032 | OWS-PRIV-000156 | OWS-PRIV-000170 | 2022-12-01 | Memorandum (draft) | Omar Siddiqui (Calderwood & Harkness LLP); Christy Bauer (Calderwood & Harkness LLP); Alan Ngo (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel); Theodore Marchetti (OWS VP of IP) | Draft of OWS's Opening Claim Construction Brief — attorney mental impressions, legal analysis, and argument strategy for proposed constructions of 11 disputed claim terms; draft circulated for client review | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 34, 47 | Highly Confidential — AEO
PRIV-0033 | OWS-PRIV-000171 | OWS-PRIV-000173 | 2022-12-03 | Email Chain | Sandra Ellison (OWS General Counsel); Theodore Marchetti (OWS VP of IP) | Alan Ngo (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP) | Email chain re: Client comments on draft Opening Claim Construction Brief; includes technical corrections and strategic suggestions from OWS's VP of IP | Attorney-Client Privilege | Withheld in Full | RFP Nos. 34, 47 | Highly Confidential — AEO
PRIV-0034 | OWS-PRIV-000174 | OWS-PRIV-000182 | 2022-12-15 | Memorandum | Christy Bauer (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP); Alan Ngo (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel) | Internal Memorandum: Rebuttal of Lumos's Prosecution History Estoppel Arguments — analysis of estoppel under Festo for '567 Patent (where 'adiabatically coupled' was added to overcome Tanaka prior art U.S. 9,456,012) and '678 Patent (where 'monolithically formed' was added to overcome hybrid integration references); development of rebuttal arguments | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 34, 47, 56 | Highly Confidential — AEO
PRIV-0035 | OWS-PRIV-000183 | OWS-PRIV-000188 | 2022-12-20 | Email Chain | Alan Ngo (Calderwood & Harkness LLP) | Dr. Harold Whitfield (Whitfield Technical Consulting Group, Inc.) | Omar Siddiqui (Calderwood & Harkness LLP) | Email chain re: Discussion of Lumos's Responsive Claim Construction Brief arguments and preparation of rebuttal technical opinions; attorney direction to expert regarding analysis of defendant's proposed narrow constructions | Attorney Work Product | Withheld in Full | RFP Nos. 34, 62 | Highly Confidential — AEO
PRIV-0036 | OWS-PRIV-000189 | OWS-PRIV-000195 | 2023-01-05 | Memorandum (draft) | Omar Siddiqui (Calderwood & Harkness LLP); Christy Bauer (Calderwood & Harkness LLP); Alan Ngo (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel) | Draft of OWS's Reply Claim Construction Brief — attorney analysis and rebuttal arguments responding to Lumos's claim construction positions and prosecution history estoppel theory; circulated for client review | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 34, 47 | Highly Confidential — AEO
PRIV-0037 | OWS-PRIV-000196 | OWS-PRIV-000200 | 2023-01-15 | Memorandum | Omar Siddiqui (Calderwood & Harkness LLP); Christy Bauer (Calderwood & Harkness LLP) | Alan Ngo (Calderwood & Harkness LLP) | Internal memorandum re: Preparation for Markman hearing — analysis of Lumos's Sur-Reply (filed January 19, 2023, by leave of Court), assessment of Dr. Raymond Ng's anticipated technical tutorial testimony, and moot court preparation notes for Alan Ngo | Attorney Work Product | Withheld in Full | RFP Nos. 34, 47 | Highly Confidential — AEO
PRIV-0038 | OWS-PRIV-000201 | OWS-PRIV-000205 | 2023-01-20 | Email Chain | Alan Ngo (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP) | Dr. Harold Whitfield (Whitfield Technical Consulting Group, Inc.) | Christy Bauer (Calderwood & Harkness LLP) | Email chain re: Finalization of Dr. Whitfield's technical tutorial presentation for the Markman hearing on January 30, 2023; attorney direction regarding scope and emphasis of silicon photonics tutorial content | Attorney Work Product | Withheld in Full | RFP Nos. 34, 62 | Highly Confidential — AEO
PRIV-0039 | OWS-PRIV-000206 | OWS-PRIV-000208 | 2023-01-25 | Email | Christy Bauer (Calderwood & Harkness LLP) | Omar Siddiqui (Calderwood & Harkness LLP) | Alan Ngo (Calderwood & Harkness LLP) | Email re: Status update on Markman hearing preparation — finalization of demonstrative slides, Dr. Whitfield's technical tutorial, logistics for January 30, 2023 hearing before Hon. Edward J. Torvelis | Attorney Work Product | Withheld in Full | RFP Nos. 34 | Confidential
PRIV-0040 | OWS-PRIV-000209 | OWS-PRIV-000215 | 2023-01-28 | Presentation (draft) | Omar Siddiqui (Calderwood & Harkness LLP); Christy Bauer (Calderwood & Harkness LLP); Alan Ngo (Calderwood & Harkness LLP) | Alan Ngo (Calderwood & Harkness LLP) | Draft Markman hearing demonstrative presentation slides with attorney annotations, mental impressions, and strategy notes — includes annotated patent figures, prosecution history timelines, and diagrams of accused Lumos products | Attorney Work Product | Withheld in Full | RFP Nos. 34, 47 | Highly Confidential — AEO
PRIV-0041 | OWS-PRIV-000216 | OWS-PRIV-000226 | 2023-01-30 | Memorandum (draft) | Christy Bauer (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP) | Alan Ngo (Calderwood & Harkness LLP) | Draft Georgia-Pacific 15-Factor Reasonable Royalty Analysis — analysis of each factor in context of OWS patent portfolio, silicon photonics market, Lumos accused products, comparable licenses, and hypothetical negotiation; prepared for Dr. Lawrence Kessler's review | Attorney Work Product | Withheld in Full | RFP Nos. 62, 71 | Highly Confidential — AEO
PRIV-0042 | OWS-PRIV-000227 | OWS-PRIV-000234 | 2023-02-01 | Email Chain | Omar Siddiqui (Calderwood & Harkness LLP) | Dr. Lawrence Kessler (Apex Claim Analytics LLC) | Alan Ngo (Calderwood & Harkness LLP); Christy Bauer (Calderwood & Harkness LLP) | Email chain re: Transmission of draft Georgia-Pacific factor analysis to damages expert; attorney direction regarding damages methodology, royalty base, and willfulness enhancement analysis | Attorney Work Product | Withheld in Full | RFP Nos. 62, 71 | Highly Confidential — AEO
PRIV-0043 | OWS-PRIV-000235 | OWS-PRIV-000248 | 2023-02-21 | Memorandum | Alan Ngo (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP); Christy Bauer (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel); Theodore Marchetti (OWS VP of IP) | Douglas Fairbanks III (Vantage Point Capital Partners); Rebecca Torres (Vantage Point Capital Partners) | Post-Markman Impact Assessment Memorandum — comprehensive analysis of Markman Order issued February 17, 2023 (Court adopted defendant's or defendant-aligned constructions on 8 of 11 terms, plaintiff's on 2, modified on 1); conclusion that infringement theories untenable as to three of four patents and significantly weakened as to the fourth; recommendation to initiate settlement discussions | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 15, 34, 47 | Highly Confidential — AEO
PRIV-0044 | OWS-PRIV-000249 | OWS-PRIV-000254 | 2023-02-22 | Memorandum | Omar Siddiqui (Calderwood & Harkness LLP) | Alan Ngo (Calderwood & Harkness LLP) | Post-Markman Claim-by-Claim Infringement Viability Analysis — '567 Patent — analysis of Claims 1, 4, 7, 12, and 15 under Court's construction of 'adiabatically coupled'; conclusion that Lumos's segmented (non-continuous) taper falls outside construction | Attorney Work Product | Withheld in Full | RFP Nos. 34, 47 | Highly Confidential — AEO
PRIV-0045 | OWS-PRIV-000255 | OWS-PRIV-000260 | 2023-02-22 | Memorandum | Christy Bauer (Calderwood & Harkness LLP) | Alan Ngo (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP) | Post-Markman Claim-by-Claim Infringement Viability Analysis — '234 Patent — analysis of Claims 1, 3, 5, 8, and 11 under Court's construction of 'continuously varying germanium concentration'; conclusion that Lumos's step-graded SiGe buffer (Ge fractions 0.25, 0.50, 0.75, 1.0) clearly excluded | Attorney Work Product | Withheld in Full | RFP Nos. 34, 47 | Highly Confidential — AEO
PRIV-0046 | OWS-PRIV-000261 | OWS-PRIV-000266 | 2023-02-23 | Memorandum | Omar Siddiqui (Calderwood & Harkness LLP) | Alan Ngo (Calderwood & Harkness LLP); Christy Bauer (Calderwood & Harkness LLP) | Post-Markman Claim-by-Claim Infringement Viability Analysis — '678 Patent — analysis of Claims 1, 2, 6, 9, and 14 under Court's construction of 'monolithically formed'; conclusion that Lumos's micro-transfer-printed III-V gain elements bonded to silicon PIC fall outside construction | Attorney Work Product | Withheld in Full | RFP Nos. 34, 47 | Highly Confidential — AEO
PRIV-0047 | OWS-PRIV-000267 | OWS-PRIV-000272 | 2023-02-23 | Memorandum | Christy Bauer (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP) | Alan Ngo (Calderwood & Harkness LLP) | Post-Markman Claim-by-Claim Infringement Viability Analysis — '890 Patent — analysis of Claims 1, 5, 8, and 13 under Court's construction of 'co-integrated'; conclusion that Lumos's separate CMOS driver die flip-chip bonded via copper pillar micro-bumps falls outside; notes weak doctrine of equivalents arguments theoretically possible | Attorney Work Product | Withheld in Full | RFP Nos. 34, 47 | Highly Confidential — AEO
PRIV-0048 | OWS-PRIV-000273 | OWS-PRIV-000280 | 2023-02-24 | Presentation | Alan Ngo (Calderwood & Harkness LLP) | OWS Board of Directors; Sandra Ellison (OWS General Counsel) | Douglas Fairbanks III (Vantage Point Capital Partners); Rebecca Torres (Vantage Point Capital Partners) | Board Presentation: Post-Markman Litigation Assessment and Recommendation — summary of Markman Order impact, diminished litigation value, cost-benefit analysis of continuing (remaining budget ~$1.65M through trial vs. near-zero expected recovery, <5% probability), recommendation to authorize settlement discussions | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 15, 47, 85 | Highly Confidential — AEO
PRIV-0049 | OWS-PRIV-000281 | OWS-PRIV-000288 | 2023-02-25 | Memorandum | Alan Ngo (Calderwood & Harkness LLP) | Douglas Fairbanks III (Vantage Point Capital Partners); Rebecca Torres (Vantage Point Capital Partners) | Sandra Ellison (OWS General Counsel) | Memorandum to Vantage Point Capital Partners re: Markman Outcome and Litigation Value Impairment — analysis of impact on pre-litigation valuation of four asserted patents ($42.8M per Clearpath IP Valuation Services); implications for OWS broader patent portfolio ($215M portfolio valuation) and IP monetization strategy | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 15, 85 | Highly Confidential — AEO
PRIV-0050 | OWS-PRIV-000289 | OWS-PRIV-000295 | 2023-03-02 | Memorandum | Alan Ngo (Calderwood & Harkness LLP); Marcus Delgado (Calderwood & Harkness LLP) | OWS Board of Directors; Sandra Ellison (OWS General Counsel) | Settlement Authority Memorandum — requests formal settlement authority; outlines range of potential outcomes (cross-license with nominal royalty to walk-away with mutual releases); reports total litigation spend to date ($2,549,568 inclusive of expert fees); assesses near-zero probability of recovery post-Markman; recommends accepting walk-away if cross-license unavailable | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 15, 85 | Highly Confidential — AEO
PRIV-0051 | OWS-PRIV-000296 | OWS-PRIV-000298 | 2023-03-05 | Email | Sandra Ellison (OWS General Counsel) | Alan Ngo (Calderwood & Harkness LLP); Marcus Delgado (Calderwood & Harkness LLP) | Email re: Board authorization to proceed with settlement discussions; confirms Board and Vantage Point Capital Partners approval of settlement authority range, including authorization for walk-away settlement as a fallback position | Attorney-Client Privilege | Withheld in Full | RFP Nos. 12, 15 | Highly Confidential — AEO
PRIV-0052 | OWS-PRIV-000299 | OWS-PRIV-000303 | 2023-03-14 | Memorandum (draft) | Alan Ngo (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel) | Draft OWS Cross-License Proposal Term Sheet — proposed cross-license between OWS and Lumos covering OWS's full 87-patent portfolio and Lumos's patent portfolio, with $500,000 nominal royalty from Lumos, mutual covenant not to sue, and dismissal with prejudice; draft for client approval prior to transmission | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 15, 85 | Highly Confidential — AEO
PRIV-0053 | OWS-PRIV-000304 | OWS-PRIV-000310 | 2023-03-20 | Memorandum | Marcus Delgado (Calderwood & Harkness LLP); Alan Ngo (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel) | Douglas Fairbanks III (Vantage Point Capital Partners) | Internal Analysis: Walk-Away vs. Continued Litigation Cost-Benefit Memorandum — compares economics of accepting Lumos's walk-away settlement proposal vs. continuing through trial; calculates remaining litigation costs (~$1.65M) against diminished probability of recovery (<5%); concludes walk-away is economically rational outcome | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 15, 85 | Highly Confidential — AEO
PRIV-0054 | OWS-PRIV-000311 | OWS-PRIV-000313 | 2023-03-22 | Email | Alan Ngo (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel) | Marcus Delgado (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP) | Email re: Lumos's walk-away counteroffer received through Brannick Howell & Stein LLP — mutual releases, $0 payment, each side bears own costs, no license, dismissal with prejudice; attorney recommendation to accept; request for Board and Vantage Point authorization | Attorney-Client Privilege | Withheld in Full | RFP Nos. 12, 15, 85 | Highly Confidential — AEO
PRIV-0055 | OWS-PRIV-000314 | OWS-PRIV-000315 | 2023-03-25 | Email | Sandra Ellison (OWS General Counsel) | Alan Ngo (Calderwood & Harkness LLP); Marcus Delgado (Calderwood & Harkness LLP) | Email re: Client direction to accept walk-away settlement terms; confirms Board and Vantage Point Capital Partners approval of walk-away settlement with Lumos Photonics | Attorney-Client Privilege | Withheld in Full | RFP Nos. 12, 15 | Highly Confidential — AEO
PRIV-0056 | OWS-PRIV-000316 | OWS-PRIV-000320 | 2023-03-28 | Email | Alan Ngo (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel) | Marcus Delgado (Calderwood & Harkness LLP) | Email confirming OWS Board and Vantage Point approval of walk-away settlement terms; outlines next steps for drafting Settlement Agreement and Mutual Release and Joint Stipulation of Dismissal | Attorney-Client Privilege | Withheld in Full | RFP Nos. 12, 15 | Confidential
PRIV-0057 | OWS-PRIV-000321 | OWS-PRIV-000328 | 2023-03-30 | Agreement (draft) | Omar Siddiqui (Calderwood & Harkness LLP); Alan Ngo (Calderwood & Harkness LLP) | Sandra Ellison (OWS General Counsel) | Draft Settlement Agreement and Mutual Release — marked-up draft with attorney comments and redline revisions circulated for client review prior to exchange with opposing counsel | Attorney-Client Privilege / Attorney Work Product | Withheld in Full | RFP Nos. 12, 15, 85 | Highly Confidential — AEO
PRIV-0058 | OWS-PRIV-000329 | OWS-PRIV-000331 | 2023-04-02 | Email Chain | Sandra Ellison (OWS General Counsel) | Alan Ngo (Calderwood & Harkness LLP); Omar Siddiqui (Calderwood & Harkness LLP) | Theodore Marchetti (OWS VP of IP) | Email chain re: Client comments on draft Settlement Agreement and Mutual Release; legal discussion of scope of mutual release provisions and confirmation that no license is granted | Attorney-Client Privilege | Withheld in Full | RFP Nos. 12, 15, 85 | Highly Confidential — AEO
[sheet: Log Summary]
Category | Value
Case Caption | Optiwave Semiconductor Corp. v. Lumos Photonics, Inc.
Case Number | 5:22-cv-03417-EJD (N.D. Cal.)
Court | U.S. District Court for the Northern District of California
Assigned Judge | Hon. Edward J. Torvelis
Calderwood & Harkness Matter Number | 1014-00003
Plaintiff | Optiwave Semiconductor Corp.
Defendant | Lumos Photonics, Inc.
Plaintiff's Counsel | Calderwood & Harkness LLP
Defendant's Counsel | Brannick Howell & Stein LLP
Log Consolidation Date | March 2023
Total Entries | 58
Total Bates Pages Withheld | 331
Entries — Attorney-Client Privilege Only | 12
Entries — Attorney Work Product Only | 14
Entries — Both Attorney-Client Privilege and Attorney Work Product | 32
Entries — Withheld in Full | 58
Entries — Redacted | 0
Document Type — Email | 14
Document Type — Email Chain | 8
Document Type — Email with Attachment | 2
Document Type — Memorandum | 22
Document Type — Memorandum (draft) | 4
Document Type — Presentation | 1
Document Type — Presentation (draft) | 1
Document Type — Letter (draft) | 1
Document Type — Agreement (draft) | 1
Confidentiality — Highly Confidential — AEO | 47
Confidentiality — Confidential | 7
Confidentiality — N/A | 2
Date Range of Logged Documents | March 10, 2022 – April 2, 2023
Earliest Logged Document | PRIV-0001 (March 10, 2022)
Latest Logged Document | PRIV-0058 (April 2, 2023)
Prepared By | Omar Siddiqui, Calderwood & Harkness LLP
Reviewed By | Alan Ngo, Calderwood & Harkness LLP