[sheet: Invoice Summary]
Field | Value
Firm Name | Calderwood & Harkness LLP
Firm Address | One Embarcadero Center, 34th Floor, San Francisco, CA 94111
Invoice Date | February 10, 2023
Invoice Number | SC-2023-02-0478-07
Client | Optiwave Semiconductor Corp.
Client Address | 2775 Augustine Drive, Suite 400, San Jose, CA 95054
Client Contact | Sandra Ellison, General Counsel
Matter Number | 1014-00003
Matter Description | Optiwave Semiconductor Corp. v. Lumos Photonics, Inc., Case No. 5:22-cv-03417-EJD (N.D. Cal.)
Billing Period | January 1, 2023 – January 31, 2023
Responsible Partner | Alan Ngo
Billing Partner | Marcus Delgado
Fee Arrangement | Blended hourly — 10% volume discount on standard rates
Total Professional Fees (this period) | $198,742.50
Total Costs & Disbursements (this period) | $18,634.22
Total Current Charges | $217,376.72
Retainer Balance (beginning of period) | $100,000.00
Retainer Applied This Period | $0.00
Amount Due This Invoice | $217,376.72
Payment Terms | Net 30 days
Cumulative Fees Billed To Date (matter inception through 01/31/2023) | $1,412,865.00
Cumulative Costs To Date | $224,718.44
Cumulative Expert Fees To Date (Whitfield + Apex) | $348,600.00
Cumulative Total Spend To Date | $1,986,183.44
Board-Approved Litigation Budget | $4,200,000.00
Budget Remaining | $2,213,816.56
[sheet: Timekeeper Summary]
Timekeeper | Title/Role | Standard Rate ($/hr) | Discount (%) | Effective Rate ($/hr) | Hours Worked | Total Fees
Alan Ngo | Partner (Responsible) | $1,150.00 | 10% | $1,035.00 | 62.5 | $64,687.50
Marcus Delgado | Partner (Billing) | $1,050.00 | 10% | $945.00 | 8.0 | $7,560.00
Omar Siddiqui | Senior Associate (Lead) | $785.00 | 10% | $706.50 | 104.5 | $73,879.50
Christy Bauer | Associate | $625.00 | 10% | $562.50 | 93.5 | $52,615.50
TOTAL | 268.5 | $198,742.50
[sheet: Time Detail]
Date | Timekeeper | Effective Rate ($/hr) | Hours | Amount | Description of Services
2023-01-02 | Alan Ngo | $1,035.00 | 3.0 | $3,105.00 | Review updated case strategy materials and revised claim construction positions; conference call with O. Siddiqui regarding Reply Claim Construction Brief outline and allocation of drafting responsibilities
2023-01-02 | Omar Siddiqui | $706.50 | 4.5 | $3,179.25 | Research and draft sections of Reply Claim Construction Brief addressing Lumos's prosecution history estoppel arguments for '567 Patent (U.S. 10,234,567) and '678 Patent (U.S. 11,045,678); review Festo analysis and applicant's prosecution remarks re 'monolithically formed' limitation
2023-01-02 | Christy Bauer | $562.50 | 3.5 | $1,968.75 | Research case law supporting Optiwave's proposed construction of 'adiabatically coupled' term; compile relevant intrinsic evidence from '567 Patent prosecution history
2023-01-03 | Omar Siddiqui | $706.50 | 5.0 | $3,532.50 | Continue drafting Reply Brief sections addressing '234 Patent (U.S. 10,891,234) 'graded buffer layer' and 'continuously varying germanium concentration' terms; analyze Lumos's reliance on step-graded buffer prior art
2023-01-03 | Christy Bauer | $562.50 | 6.0 | $3,375.00 | Draft Reply Brief sections rebutting Lumos's extrinsic evidence arguments (Dr. Raymond Ng testimony); analyze Defendant's reliance on technical dictionaries for 'adiabatically coupled' and 'continuously varying germanium concentration' claim terms
2023-01-04 | Alan Ngo | $1,035.00 | 3.5 | $3,622.50 | Review and revise drafts of Reply Claim Construction Brief; strategy conference with O. Siddiqui and C. Bauer regarding argument structure for all 11 disputed claim terms
2023-01-04 | Omar Siddiqui | $706.50 | 4.0 | $2,826.00 | Draft Reply Brief sections on '890 Patent (U.S. 11,312,890) claim terms; analyze Lumos's arguments regarding 'co-integrated' and 'single-chip photonic transceiver' limitations
2023-01-04 | Christy Bauer | $562.50 | 4.5 | $2,531.25 | Draft Reply Brief sections addressing Lumos's proposed construction of 'waveguide taper region' and 'optical mode converter'; compile prosecution history citations for '567 and '234 Patents
2023-01-05 | Alan Ngo | $1,035.00 | 2.0 | $2,070.00 | Review revised Reply Brief draft sections; provide editorial comments and strategic direction on prosecution history estoppel arguments
2023-01-05 | Omar Siddiqui | $706.50 | 5.0 | $3,532.50 | Continue drafting Reply Brief; incorporate analysis of prosecution history for '890 Patent (U.S. 11,312,890) regarding 'co-integrated' limitation added to distinguish separately fabricated driver circuits
2023-01-05 | Christy Bauer | $562.50 | 5.5 | $3,093.75 | Research additional case law on claim construction canons; draft Reply Brief sections addressing Lumos's Phillips v. AWH arguments regarding ordinary meaning of 'monolithically formed'
2023-01-06 | Alan Ngo | $1,035.00 | 4.0 | $4,140.00 | Final review and edit of Reply Claim Construction Brief; conference call with client (Sandra Ellison, Ted Marchetti) regarding brief filing strategy
2023-01-06 | Omar Siddiqui | $706.50 | 3.5 | $2,472.75 | Incorporate A. Ngo's edits into Reply Brief; finalize argument sections on all 11 disputed terms; coordinate with C. Bauer on exhibit preparation
2023-01-06 | Christy Bauer | $562.50 | 3.0 | $1,687.50 | Finalize Reply Brief exhibits and declaration cross-references; cite-check and format for filing
2023-01-09 | Omar Siddiqui | $706.50 | 2.0 | $1,413.00 | File OWS's Reply Claim Construction Brief (15 pages) with the Court; serve on Brannick Howell & Stein LLP via ECF
2023-01-09 | Christy Bauer | $562.50 | 1.5 | $843.75 | Confirm ECF filing and service; update case docket tracking; organize final filed copies of Reply Brief and exhibits
2023-01-10 | Omar Siddiqui | $706.50 | 3.5 | $2,472.75 | Begin preparation of Markman hearing demonstrative slides; review Joint Claim Construction and Prehearing Statement (filed Oct. 14, 2022) to confirm all 11 disputed terms are addressed
2023-01-10 | Christy Bauer | $562.50 | 3.0 | $1,687.50 | Research Markman hearing best practices and recent demonstrative formats used in N.D. Cal. patent cases; compile annotated patent claim charts for demonstrative preparation
2023-01-11 | Alan Ngo | $1,035.00 | 2.0 | $2,070.00 | Review initial demonstrative slide outline; provide guidance on presentation structure and key visual arguments for each disputed claim term
2023-01-11 | Omar Siddiqui | $706.50 | 4.0 | $2,826.00 | Continue drafting demonstrative slides; create annotated patent figures showing claim element mapping for '567 and '234 Patents
2023-01-11 | Christy Bauer | $562.50 | 5.5 | $3,093.75 | Draft demonstrative slides for Markman hearing: annotated patent figures for '567, '234, '678, '890 Patents; side-by-side comparison charts of proposed claim constructions
2023-01-12 | Alan Ngo | $1,035.00 | 2.5 | $2,587.50 | Conference with Dr. Harold Whitfield (Whitfield Technical Consulting Group) regarding technical tutorial presentation content; review draft tutorial slides on silicon photonics fundamentals, adiabatic vs. non-adiabatic waveguide transitions, and monolithic vs. heterogeneous integration
2023-01-12 | Omar Siddiqui | $706.50 | 3.5 | $2,472.75 | Prepare materials for Dr. Whitfield conference; draft outline of technical tutorial topics; research Court's prior Markman hearing procedures in related semiconductor IP cases
2023-01-13 | Omar Siddiqui | $706.50 | 4.0 | $2,826.00 | Continue Markman demonstrative preparation; draft slides illustrating Lumos LumosBridge 800G segmented taper design and LumosEdge 400ZR+ architecture relative to asserted claims
2023-01-13 | Christy Bauer | $562.50 | 4.0 | $2,250.00 | Draft demonstrative slides addressing intrinsic evidence for 'continuously varying germanium concentration' and 'graded buffer layer' terms; create prosecution history timeline visuals
2023-01-16 | Alan Ngo | $1,035.00 | 1.5 | $1,552.50 | Review updated demonstrative slides; conference call with team regarding Markman hearing preparation schedule and task allocation
2023-01-16 | Omar Siddiqui | $706.50 | 4.5 | $3,179.25 | Draft additional demonstrative slides addressing 'single-chip photonic transceiver' and 'integrated laser source' claim terms; analyze Lumos product architecture documents produced in discovery
2023-01-16 | Christy Bauer | $562.50 | 4.5 | $2,531.25 | Research and compile additional extrinsic evidence references for hearing preparation; review Lumos's Sur-Reply Brief (filed January 19, 2023 by leave of Court)
2023-01-17 | Alan Ngo | $1,035.00 | 3.0 | $3,105.00 | Strategy session with O. Siddiqui re: anticipated oral argument issues at Markman hearing; review Lumos's arguments regarding '234 Patent 'graded buffer layer' term and Lumos's step-graded SiGe buffer with Ge fractions of 0.25, 0.50, 0.75, and 1.0
2023-01-17 | Omar Siddiqui | $706.50 | 4.0 | $2,826.00 | Research and analyze additional prior art references cited in Lumos's briefing; prepare rebuttal arguments for 'waveguide taper region' and 'optical mode converter' terms
2023-01-17 | Christy Bauer | $562.50 | 3.5 | $1,968.75 | Research Federal Circuit precedent on claim differentiation doctrine as applied to disputed terms; draft argument notes for A. Ngo's oral argument preparation
2023-01-18 | Omar Siddiqui | $706.50 | 5.5 | $3,885.75 | Prepare Alan Ngo's oral argument outline for Markman hearing; organize argument by claim term across all four patents
2023-01-18 | Christy Bauer | $562.50 | 4.0 | $2,250.00 | Continue demonstrative slide preparation; create visual comparison of Optiwave's and Lumos's proposed constructions for all 11 disputed terms with supporting evidence citations
2023-01-19 | Alan Ngo | $1,035.00 | 2.0 | $2,070.00 | Review Lumos's Sur-Reply Claim Construction Brief (15 pages, filed by leave of Court); assess new arguments and identify rebuttal points for oral argument
2023-01-19 | Omar Siddiqui | $706.50 | 4.5 | $3,179.25 | Analyze Lumos Sur-Reply Brief arguments on 'co-integrated' and 'monolithically formed' terms; research additional authorities cited by Lumos; draft supplemental argument notes
2023-01-19 | Christy Bauer | $562.50 | 4.0 | $2,250.00 | Analyze Lumos Sur-Reply arguments re: '678 Patent 'monolithically formed' term; review applicant's prosecution remarks distinguishing heterogeneous integration approaches; note Lumos's micro-transfer-printed III-V gain elements argument
2023-01-20 | Alan Ngo | $1,035.00 | 2.0 | $2,070.00 | Review finalized demonstrative presentation; approve final hearing materials; conference with O. Siddiqui on rebuttal strategy for Sur-Reply arguments
2023-01-20 | Omar Siddiqui | $706.50 | 6.0 | $4,239.00 | Finalize Markman hearing demonstrative presentation; incorporate rebuttal slides addressing Lumos Sur-Reply arguments; coordinate with Dr. Whitfield on technical tutorial logistics
2023-01-20 | Christy Bauer | $562.50 | 5.0 | $2,812.50 | Prepare hearing binder: compile all claim construction briefs (Opening, Responsive, Reply, Sur-Reply), Joint Prehearing Statement, Whitfield Declaration, prosecution histories for all four patents-in-suit
2023-01-23 | Alan Ngo | $1,035.00 | 5.0 | $5,175.00 | Moot court / practice session for Markman hearing with O. Siddiqui and C. Bauer; rehearse oral argument on key disputed terms including 'adiabatically coupled,' 'continuously varying germanium concentration,' 'monolithically formed,' and 'co-integrated'
2023-01-23 | Omar Siddiqui | $706.50 | 5.0 | $3,532.50 | Participate in moot court session; provide opposing argument simulation; refine demonstrative slides based on practice session feedback
2023-01-23 | Christy Bauer | $562.50 | 4.0 | $2,250.00 | Participate in moot court session; take notes on areas for argument refinement; update hearing binder with revised demonstrative materials
2023-01-24 | Alan Ngo | $1,035.00 | 4.0 | $4,140.00 | Second moot court session; conference call with Dr. Harold Whitfield to finalize technical tutorial presentation for Court; review tutorial content on germanium-on-silicon photodetector architectures (continuously graded vs. step-graded buffers) and MZM driver co-integration
2023-01-24 | Omar Siddiqui | $706.50 | 4.0 | $2,826.00 | Participate in second moot court session; refine oral argument outline based on practice; update demonstrative slides with final revisions
2023-01-24 | Christy Bauer | $562.50 | 4.0 | $2,250.00 | Finalize hearing logistics; confirm courtroom technology setup with Clerk's office; prepare backup hard copies of demonstratives
2023-01-25 | Alan Ngo | $1,035.00 | 3.5 | $3,622.50 | Final preparation for Markman hearing; review complete argument outline; conference call with Sandra Ellison and Ted Marchetti (OWS) regarding hearing expectations
2023-01-25 | Omar Siddiqui | $706.50 | 4.5 | $3,179.25 | Final review of all demonstrative materials and technical tutorial presentation; prepare witness examination outline for Dr. Whitfield's tutorial testimony
2023-01-25 | Christy Bauer | $562.50 | 3.5 | $1,968.75 | Final cite-check of all authorities cited in demonstratives; prepare real-time notes template for hearing
2023-01-26 | Marcus Delgado | $945.00 | 2.0 | $1,890.00 | Review matter budget status; conference with Alan Ngo regarding hearing preparation costs and updated budget forecast
2023-01-26 | Omar Siddiqui | $706.50 | 3.0 | $2,119.50 | Final pre-travel review of all hearing materials; coordinate logistics with courthouse clerk regarding AV equipment and presentation setup
2023-01-26 | Christy Bauer | $562.50 | 2.5 | $1,406.25 | Prepare and organize travel materials; finalize hearing binder index and tabs; confirm all exhibit copies are complete
2023-01-27 | Alan Ngo | $1,035.00 | 4.5 | $4,657.50 | Travel to San Jose; final argument preparation; pre-hearing conference with Dr. Whitfield regarding tutorial testimony logistics
2023-01-27 | Omar Siddiqui | $706.50 | 3.0 | $2,119.50 | Travel to San Jose; final preparation of hearing materials and technology setup at courthouse
2023-01-27 | Christy Bauer | $562.50 | 2.5 | $1,406.25 | Travel to San Jose; final organization of hearing binders and exhibits
2023-01-30 | Alan Ngo | $1,035.00 | 10.0 | $10,350.00 | Attend and argue Markman hearing before Hon. Edward J. Torvelis, U.S.D.C. N.D. Cal. (Case No. 5:22-cv-03417-EJD); 6.5-hour hearing; present oral argument on all 11 disputed claim terms; direct examination of Dr. Whitfield as technical tutorial witness; respond to Court's questions; post-hearing debrief with team
2023-01-30 | Omar Siddiqui | $706.50 | 10.0 | $7,065.00 | Attend Markman hearing; manage demonstrative presentations; provide real-time research support during argument; take detailed notes on Court's questions and reactions; post-hearing debrief
2023-01-30 | Christy Bauer | $562.50 | 10.0 | $5,625.00 | Attend Markman hearing; manage exhibits and hearing binder; provide real-time note-taking and citation support; post-hearing debrief and preliminary assessment
2023-01-31 | Alan Ngo | $1,035.00 | 6.0 | $6,210.00 | Post-Markman hearing internal debrief and preliminary assessment; conference call with Sandra Ellison (OWS) and Rebecca Torres (Vantage Point Capital Partners) regarding hearing impressions; begin drafting internal assessment notes
2023-01-31 | Omar Siddiqui | $706.50 | 5.5 | $3,885.75 | Post-hearing analysis: review hearing transcript (expedited); catalogue Court's questions and comments on each disputed term; begin preliminary assessment of likely claim construction outcomes
2023-01-31 | Christy Bauer | $562.50 | 4.5 | $2,531.25 | Post-hearing analysis: organize hearing notes; compile Court's statements and questions by claim term; begin research on implications of potential adverse constructions
2023-01-31 | Marcus Delgado | $945.00 | 6.0 | $5,670.00 | Review and finalize January billing; update budget tracking; conference with Alan Ngo regarding remaining litigation budget and forecast; prepare quarterly retainer replenishment request for Q1 2023
TOTAL — Alan Ngo | $1,035.00 | 62.5 | $64,687.50
TOTAL — Marcus Delgado | $945.00 | 8.0 | $7,560.00
TOTAL — Omar Siddiqui | $706.50 | 104.5 | $73,879.50
TOTAL — Christy Bauer | $562.50 | 93.5 | $52,615.50
GRAND TOTAL | 268.5 | $198,742.50
[sheet: Costs & Disbursements]
Date | Category | Description | Vendor / Payee | Amount
2023-01-09 | Court Filing Fee | ECF filing — Reply Claim Construction Brief | U.S. District Court, N.D. Cal. | $0.00
2023-01-10 | Online Legal Research | Westmark Data Systems research charges — claim construction case law and prosecution history analysis | Greaves Software | $3,412.18
2023-01-12 | Telephone / Conferencing | Conference call with Dr. Harold Whitfield — technical tutorial preparation | Sterling Reach Solutions | $48.00
2023-01-15 | Photocopying / Printing | Hearing binder preparation — briefs, declarations, prosecution histories (4 sets) | Calderwood & Harkness Reprographics | $1,845.60
2023-01-18 | Court Reporting | Deposit for expedited Markman hearing transcript | Pacific Court Reporters, Inc. | $4,200.00
2023-01-20 | Demonstrative Preparation | High-resolution printing and binding of Markman hearing demonstrative exhibits (color, oversized) | Calderwood & Harkness Reprographics | $2,186.44
2023-01-25 | Telephone / Conferencing | Conference call with client (Ellison, Marchetti) — pre-hearing strategy call | Sterling Reach Solutions | $32.00
2023-01-26 | Courier / Delivery | Overnight delivery of hearing materials and binders to courthouse | Severin Partners LLC | $245.00
2023-01-27 | Travel — Hotel | Hotel accommodations — San Jose, CA (2 nights × 3 attorneys for Markman hearing) | Harborline Corporation San Jose | $2,874.00
2023-01-27 | Travel — Ground Transportation | Car service — San Francisco to San Jose and return (3 attorneys, 2 days) | Bay Area Car Service | $1,240.00
2023-01-30 | Travel — Meals | Working meals during Markman hearing day — team of 3 | Various | $386.00
2023-01-30 | Travel — Parking | Courthouse parking (2 days, 2 vehicles) | Adriatic & Co. | $120.00
2023-01-31 | Postage | Certified mail — service copies | USPS | $42.50
2023-01-31 | Technical Consultant Expense | Dr. Harold Whitfield — travel reimbursement for Markman hearing testimony (Palo Alto to San Jose) | Whitfield Technical Consulting Group, Inc. | $312.50
2023-01-31 | Online Legal Research | Additional Westmark Data Systems/PACER charges — post-hearing research and transcript retrieval | Westmark Data Systems / PACER | $1,890.00
TOTAL COSTS & DISBURSEMENTS | $18,634.22
[sheet: Expert Fees Summary]
Expert / Firm | Role | Period of Service | Hours | Rate ($/hr) | Amount This Period | Cumulative Amount To Date
Dr. Harold Whitfield / Whitfield Technical Consulting Group, Inc. | Technical Expert — Claim Construction & Tutorial Testimony | January 2023 | 48.0 | $650.00 | $31,200.00 | $286,000.00
Dr. Lawrence Kessler / Apex Claim Analytics LLC | Damages Expert — Reasonable Royalty Analysis | January 2023 | 12.0 | $575.00 | $6,900.00 | $62,600.00
TOTAL | 60.0 | $38,100.00 | $348,600.00
[sheet: Retainer & Trust Account]
Item | Amount
Retainer Balance — Beginning of Period (01/01/2023) | $100,000.00
Retainer Deposit — Q1 2023 Replenishment (requested Feb 2023) | $0.00
Retainer Applied to Fees This Period | $0.00
Retainer Balance — End of Period (01/31/2023) | $100,000.00
Total Retainer Deposits to Date (4 quarters) | $400,000.00
Cumulative Retainer Applied to Date | $300,000.00
Note | Q1 2023 retainer replenishment request to be issued in February 2023