[sheet: Invoice Summary]

Field	Value
Firm Name	Calderwood & Harkness LLP
Firm Address	One Embarcadero Center, 34th Floor, San Francisco, CA 94111
Invoice Date	July 10, 2022
Invoice Number	SC-2022-07-04781
Billing Period	June 1, 2022 – June 30, 2022
Matter Number	1014-00003
Matter Description	Optiwave Semiconductor Corp. v. Lumos Photonics, Inc., Case No. 5:22-cv-03417-EJD (N.D. Cal.)
Client Name	Optiwave Semiconductor Corp.
Client Address	2775 Augustine Drive, Suite 400, San Jose, CA 95054
Client EIN	47-3918264
Client Contact	Sandra Ellison, General Counsel
Billing Partner	Marcus Delgado
Responsible Partner	Alan Ngo
Fee Arrangement	Blended hourly rate with 10% volume discount on standard rates
Evergreen Retainer	$100,000 per quarter
Total Professional Fees (before discount)	$198,550.00
Volume discount (10%)	($19,855.00)
Total Professional Fees (after discount)	$178,695.00
Total Disbursements & Costs	$14,327.45
Total Current Charges	$193,022.45
Retainer Applied	$100,000.00
Balance Due	$93,022.45
Payment Terms	Net 30 days

[sheet: Timekeeper Summary]

Timekeeper	Title	Standard Rate ($/hr)	Discount (%)	Effective Rate ($/hr)	Hours Billed	Fees Before discount	Fees After discount
Alan Ngo	Partner	$1,150.00	10%	$1,035.00	42.3	$48,645.00	$43,780.50
Marcus Delgado	Partner	$1,050.00	10%	$945.00	12.5	$13,125.00	$11,812.50
Omar Siddiqui	Senior Associate	$785.00	10%	$706.50	98.6	$77,401.00	$69,660.90
Christy Bauer	Associate	$625.00	10%	$562.50	95.0	$59,375.00	$53,437.50
TOTAL	248.4	$198,546.00	$178,691.40

[sheet: Time Detail]

Date	Timekeeper	Hours	Effective Rate ($/hr)	Amount	Task Code	Activity Description
2022-06-01	Alan Ngo	2.5	$1,035.00	$2,587.50	L110	Review and revise final draft of Complaint for Patent Infringement asserting U.S. Patent Nos. 10,234,567; 10,891,234; 11,045,678; and 11,312,890 against Lumos Photonics, Inc.; conference with O. Siddiqui regarding infringement allegations for LumosBridge 800G and LumosEdge 400ZR+ products
2022-06-01	Omar Siddiqui	6.8	$706.50	$4,804.20	L110	Draft and revise Complaint for Patent Infringement; incorporate claim charts for all four patents-in-suit; draft jurisdictional allegations re: 28 U.S.C. §§ 1331, 1338(a) and venue under 28 U.S.C. § 1400(b) based on Lumos's Santa Clara office at 4750 Great America Parkway, Suite 320
2022-06-01	Christy Bauer	7.2	$562.50	$4,050.00	L110	Research and draft factual background for Complaint; compile patent prosecution history summaries for all four asserted patents; prepare exhibits including patent face pages and representative claim charts
2022-06-02	Alan Ngo	3.0	$1,035.00	$3,105.00	L110	Final review of Complaint; conference with S. Ellison (OWS General Counsel) regarding filing strategy and willfulness allegations; review Civil Cover Sheet (JS 44) and Summons
2022-06-02	Omar Siddiqui	4.5	$706.50	$3,179.25	L110	Finalize Complaint incorporating partner comments; prepare Civil Cover Sheet (JS 44) identifying cause of action under 35 U.S.C. § 271 and demand exceeding $75 million; draft Corporate Disclosure Statement disclosing Vantage Point Capital Partners Fund IV, LP (~62% ownership)
2022-06-02	Christy Bauer	5.5	$562.50	$3,093.75	L110	Prepare Summons for issuance; confirm Lumos registered agent (Ashgrove Services Inc., 818 West 7th Street, Suite 930, Los Angeles, CA 90017); finalize exhibit binders for filing
2022-06-02	Marcus Delgado	1.2	$945.00	$1,134.00	L110	Review engagement economics; conference with A. Ngo regarding filing and initial retainer application
2022-06-03	Alan Ngo	3.8	$1,035.00	$3,933.00	L120	File Complaint, Civil Cover Sheet, Corporate Disclosure Statement, and Summons in U.S. District Court for the Northern District of California (San Jose Division); case assigned No. 5:22-cv-03417-EJD before Hon. Edward J. Torvelis; conference with S. Ellison regarding filing confirmation
2022-06-03	Omar Siddiqui	5.2	$706.50	$3,673.80	L120	Coordinate electronic filing of Complaint and ancillary documents; review filed-stamped copies; prepare litigation hold notice for OWS key custodians; begin drafting material litigation notification letter to First Pacific Commerce Bank, N.A.
2022-06-03	Christy Bauer	4.0	$562.50	$2,250.00	L120	Assist with ECF filing; prepare service package for Lumos via registered agent Ashgrove Services Inc.; open matter files and docketing entries
2022-06-06	Omar Siddiqui	3.5	$706.50	$2,472.75	L130	Draft letter to First Pacific Commerce Bank, N.A. (345 Montgomery Street, San Francisco, CA 94104) notifying of filing of patent infringement action per OWS's $40 million revolving credit facility covenants; review with S. Ellison
2022-06-06	Alan Ngo	1.5	$1,035.00	$1,552.50	L130	Review and approve litigation notification letter to First Pacific Commerce Bank, N.A.; conference with S. Ellison regarding IP lien implications
2022-06-06	Christy Bauer	2.8	$562.50	$1,575.00	L130	Research revolving credit facility covenants related to material litigation; prepare supporting documentation for bank notification letter
2022-06-07	Omar Siddiqui	3.2	$706.50	$2,260.80	L140	Begin preparation of case management materials; review Judge Torvelis's standing orders and Patent Local Rules for N.D. Cal.; outline key deadlines and scheduling framework
2022-06-07	Christy Bauer	3.5	$562.50	$1,968.75	L140	Research Judge Torvelis's prior patent case rulings and Markman hearing practices; compile summary of procedural preferences and typical case management timelines
2022-06-08	Christy Bauer	6.0	$562.50	$3,375.00	L140	Research Lumos Photonics public filings (10-K, 10-Q) on Nasdaq (ticker: LMPH) for accused product revenue data; compile initial analysis of LumosBridge 800G and LumosEdge 400ZR+ sales figures (~$148.6 million combined CY 2022 revenue per 10-K); research market capitalization (~$1.87 billion as of filing date)
2022-06-08	Omar Siddiqui	2.8	$706.50	$1,978.20	L140	Review Lumos public filings with C. Bauer; analyze accused product revenue streams for damages modeling; prepare preliminary revenue allocation analysis
2022-06-09	Alan Ngo	2.0	$1,035.00	$2,070.00	L140	Conference with O. Siddiqui and C. Bauer regarding Lumos financial analysis; review initial damages framework based on accused product revenue; discuss royalty rate benchmarks from comparable patent licenses
2022-06-09	Omar Siddiqui	3.0	$706.50	$2,119.50	L140	Research comparable patent licenses in silicon photonics and integrated photonics space for royalty rate analysis; review Georgia-Pacific factors framework; prepare preliminary damages outline
2022-06-10	Omar Siddiqui	4.0	$706.50	$2,826.00	L140	Prepare initial case management conference materials; review N.D. Cal. Patent Local Rules for claim construction scheduling requirements; begin drafting Joint Case Management Statement
2022-06-10	Christy Bauer	3.2	$562.50	$1,800.00	L140	Assist with case management conference preparation; research claim construction briefing schedule templates under N.D. Cal. Patent Local Rules 4-1 through 4-5
2022-06-13	Alan Ngo	2.0	$1,035.00	$2,070.00	L140	Conference call with S. Ellison and T. Marchetti (OWS VP of IP) regarding initial discovery strategy; discuss claim construction timeline and deposition priorities for named inventors (Dr. K. Fong, H. Tanaka, Dr. A. Osei)
2022-06-13	Omar Siddiqui	3.5	$706.50	$2,472.75	L140	Prepare memorandum summarizing discovery strategy discussion; outline key custodian list and document categories; research ESI best practices for semiconductor design files
2022-06-13	Marcus Delgado	1.5	$945.00	$1,417.50	A101	Review matter staffing and billing; conference with A. Ngo regarding associate utilization and outside expert engagement timeline

2022-06-14	Christy Bauer	5.8	$562.50	$3,262.50	L140	Research prior art references identified by Lumos in cease-and-desist response; analyze Tanaka U.S. Patent No. 9,456,012 as potential prior art against '567 Patent; review Chen & Liu journal article (2016) on segmented taper couplers
2022-06-14	Omar Siddiqui	4.2	$706.50	$2,967.30	L140	Review prior art analysis prepared by C. Bauer; assess potential invalidity defenses for each asserted patent; prepare counter-arguments memorandum addressing Tanaka '012 reference and Chen & Liu article
2022-06-15	Omar Siddiqui	3.5	$706.50	$2,472.75	L150	Draft initial disclosures under FRCP 26(a)(1); compile list of persons with discoverable information; identify initial document categories for production
2022-06-15	Alan Ngo	1.8	$1,035.00	$1,863.00	L150	Review initial disclosure draft; conference with O. Siddiqui regarding scope of disclosure obligations and privilege considerations
2022-06-16	Christy Bauer	4.0	$562.50	$2,250.00	L150	Research and compile list of relevant agreements for initial disclosures including license agreements, supply contracts with Pinnacle Semiconductor Foundry Co., and cross-license agreements with third parties
2022-06-16	Omar Siddiqui	3.5	$706.50	$2,472.75	L150	Continue drafting initial disclosures; prepare document index for key custodian files; coordinate with OWS IT department on document preservation protocols
2022-06-17	Christy Bauer	4.5	$562.50	$2,531.25	L150	Assist with initial disclosure preparation; draft computation of damages section referencing Clearpath IP Valuation Services pre-litigation valuation ($42.8 million for four asserted patents; $215 million portfolio-level); identify insurance and indemnity agreements
2022-06-17	Omar Siddiqui	2.5	$706.50	$1,766.25	L150	Review damages computation section of initial disclosures; coordinate with Clearpath IP Valuation Services on supporting documentation; finalize witness list
2022-06-20	Alan Ngo	3.5	$1,035.00	$3,622.50	L150	Review initial disclosures draft; conference with M. Delgado regarding budget projections against Board-approved $4.2 million litigation budget; discuss expert retention timeline (Dr. H. Whitfield, Dr. L. Kessler)
2022-06-20	Marcus Delgado	2.3	$945.00	$2,173.50	A101	Review matter budget and phase projections; prepare preliminary budget breakdown by litigation phase (claim construction, fact discovery, expert discovery, dispositive motions, trial); compare against $4.2 million Board-approved budget
2022-06-20	Omar Siddiqui	3.0	$706.50	$2,119.50	L150	Revise initial disclosures per partner comments; update witness list and document categories; prepare privilege log framework
2022-06-21	Omar Siddiqui	5.0	$706.50	$3,532.50	L150	Continue initial disclosure preparation; compile patent file histories for all four patents-in-suit; coordinate with T. Marchetti on OWS patent portfolio documentation (87 issued U.S. patents; 14 pending applications)
2022-06-21	Christy Bauer	3.5	$562.50	$1,968.75	L150	Assist with patent file history compilation; organize prosecution correspondence, office actions, and amendment histories for '567, '234, '678, and '890 Patents
2022-06-21	Alan Ngo	2.2	$1,035.00	$2,277.00	L150	Review compiled patent file histories; identify key prosecution statements for claim construction analysis; conference with O. Siddiqui on prosecution history estoppel risks
2022-06-22	Christy Bauer	6.5	$562.50	$3,656.25	L150	Research Lumos product technical specifications from public sources for infringement contentions; analyze LumosBridge 800G optical engine (segmented taper design, micro-transfer-printed III-V gain elements, separate CMOS driver die with copper pillar micro-bumps); analyze LumosEdge 400ZR+ pluggable transceiver
2022-06-22	Omar Siddiqui	4.0	$706.50	$2,826.00	L150	Review technical analysis of accused products; begin mapping claim elements to Lumos product features; prepare preliminary infringement contentions outline for '567 Patent claims 1, 4, 7, and 12
2022-06-23	Alan Ngo	2.5	$1,035.00	$2,587.50	L160	Prepare for upcoming strategy call with OWS Board representatives; review case posture and timeline; outline key strategic considerations including potential early mediation and IPR risks
2022-06-23	Omar Siddiqui	3.8	$706.50	$2,684.70	L160	Prepare case strategy memorandum addressing IPR petition risks; analyze PTAB institution rates for silicon photonics patents; review Lumos's patent portfolio for potential counterclaim patents
2022-06-23	Christy Bauer	2.5	$562.50	$1,406.25	L160	Research Lumos Photonics patent portfolio (42 issued U.S. patents; 8 pending applications) for potential counterclaim analysis; identify patents related to silicon photonics coupling and integration technologies
2022-06-24	Alan Ngo	2.5	$1,035.00	$2,587.50	L160	Strategy conference call with S. Ellison, D. Fairbanks III, and R. Torres (Vantage Point Capital Partners) regarding case status, expected Markman timeline, and damages projections (>$75 million based on 7.5% royalty rate applied to accused product revenue)
2022-06-24	Marcus Delgado	1.5	$945.00	$1,417.50	L160	Participate in strategy conference call with client and Vantage Point representatives; discuss litigation funding and budget allocation for expert retention
2022-06-24	Omar Siddiqui	2.8	$706.50	$1,978.20	L160	Prepare follow-up memorandum from strategy call; summarize action items including expert retention, preliminary injunction analysis, and discovery timeline
2022-06-27	Omar Siddiqui	4.2	$706.50	$2,967.30	L160	Prepare case status memorandum for OWS and Vantage Point; summarize key risks including potential narrow claim constructions of 'adiabatically coupled,' 'continuously varying germanium concentration,' 'monolithically formed,' and 'co-integrated' limitations
2022-06-27	Christy Bauer	3.0	$562.50	$1,687.50	L160	Research claim construction precedent for key disputed terms; analyze Federal Circuit decisions regarding 'adiabatically coupled' in optical waveguide context; prepare research memorandum
2022-06-27	Alan Ngo	1.5	$1,035.00	$1,552.50	L160	Review case status memorandum; provide comments on claim construction risk analysis; conference with O. Siddiqui regarding response strategy for anticipated Lumos Answer

2022-06-28	Christy Bauer	4.8	$562.50	$2,700.00	L120	Coordinate service of Summons and Complaint on Lumos Photonics, Inc. via registered agent Ashgrove Services Inc.; prepare proof of service; confirm service effected June 28, 2022; calculate response deadline
2022-06-28	Alan Ngo	1.5	$1,035.00	$1,552.50	L120	Review proof of service on Lumos; conference with O. Siddiqui regarding anticipated Answer and Counterclaims; discuss claim construction preparation timeline
2022-06-28	Omar Siddiqui	3.0	$706.50	$2,119.50	L120	Review proof of service; calendar response deadline (July 19, 2022); prepare memorandum on anticipated defenses and counterclaims based on Lumos pre-litigation correspondence
2022-06-29	Omar Siddiqui	3.8	$706.50	$2,684.70	L140	Draft ESI protocol framework; identify key custodians for OWS document preservation (Dr. P. Ramanathan, Dr. K. Fong, Dr. A. Osei, T. Marchetti, S. Ellison, R. Iyer, L. Zhang, H. Tanaka); review litigation hold compliance
2022-06-29	Christy Bauer	3.2	$562.50	$1,800.00	L140	Assist with ESI protocol preparation; research N.D. Cal. model ESI orders; prepare proposed search term list for document collection
2022-06-29	Marcus Delgado	1.5	$945.00	$1,417.50	A101	Review monthly billing entries; approve invoice for June 2022; confirm retainer application and trust account balances
2022-06-29	Alan Ngo	2.0	$1,035.00	$2,070.00	L140	Review ESI protocol framework; conference with O. Siddiqui on proposed custodian list and search parameters; discuss proportionality considerations under FRCP 26(b)(1)
2022-06-30	Omar Siddiqui	4.0	$706.50	$2,826.00	L140	Finalize initial case management materials; review proposed protective order templates; coordinate with C. Bauer on document collection from OWS
2022-06-30	Christy Bauer	5.5	$562.50	$3,093.75	L140	Continue document collection coordination; set up review platform; index patent prosecution files for '567, '234, '678, and '890 Patents; catalog OWS design files relating to Pinnacle Semiconductor Foundry Co. 45nm SOI fabrication process
2022-06-30	Alan Ngo	2.0	$1,035.00	$2,070.00	L160	Prepare for initial case management conference scheduled August 15, 2022; outline proposed schedule including Markman hearing target of January 30, 2023; review Brannick Howell & Stein LLP filing of appearance (V. Ashworth, lead partner)
2022-06-30	Marcus Delgado	1.0	$945.00	$945.00	A101	Month-end matter administration; review staffing levels and projected hours for July 2022
2022-06-30	Omar Siddiqui	3.0	$706.50	$2,119.50	L140	Review document collection status; prepare monthly case activity summary; update internal case tracking system and docket
2022-06-30	Alan Ngo	2.0	$1,035.00	$2,070.00	L140	Month-end review of case status and upcoming deadlines; conference with S. Ellison regarding July priorities including Answer review and initial case management conference preparation
2022-06-30	Christy Bauer	3.2	$562.50	$1,800.00	L160	Prepare research memorandum on Brannick Howell & Stein LLP defense team; review V. Ashworth's prior patent litigation experience in N.D. Cal.; compile summary of defense counsel's Markman hearing track record
2022-06-30	Marcus Delgado	1.5	$945.00	$1,417.50	A101	Finalize monthly billing review; prepare engagement letter update for expanded scope of representation; review conflict check clearance for additional Lumos-related entities
2022-06-30	Omar Siddiqui	2.8	$706.50	$1,978.20	L160	Prepare preliminary outline of claim construction positions for all four patents-in-suit; identify key claim terms requiring construction; review intrinsic evidence for each disputed term

[sheet: Disbursements]

Date	Category	Description	Vendor / Payee	Amount
2022-06-01	Document Management	Relativity platform setup and hosting — matter 1014-00003 (June)	Everest eDiscovery Solutions LLC	$4,250.00
2022-06-03	Court Filing Fees	Complaint filing fee — U.S. District Court, N.D. Cal., Case No. 5:22-cv-03417-EJD	U.S. District Court, N.D. Cal.	$402.00
2022-06-03	Court Filing Fees	Civil Cover Sheet (JS 44) and Summons issuance	U.S. District Court, N.D. Cal.	$0.00
2022-06-08	Online Research	Westmark Data Systems research — patent prosecution history, prior art searches, N.D. Cal. procedural rules	Hollowell Solutions	$3,847.20
2022-06-08	Public Records / SEC Filings	Lumos Photonics (LMPH) 10-K, 10-Q retrieval and analysis — Nasdaq filings	SEC EDGAR / Data Services	$185.00
2022-06-14	Online Research	IEEE Xplore and technical journal database access for prior art analysis	IEEE / Technical Databases	$412.50
2022-06-15	Copying / Reproduction	Reproduction of patent file histories (4 patents-in-suit, ~2,400 pages)	Internal Reproduction	$720.00
2022-06-20	Courier / Delivery	Overnight delivery of litigation hold notice and filing packages to OWS	Severin Partners LLC	$127.50
2022-06-22	Copying / Reproduction	Reproduction and binding of Complaint and exhibits for client and internal files	Internal Reproduction	$345.00
2022-06-24	Telephone / Conferencing	Conference call charges — client strategy calls (June)	Telecom Services	$83.25
2022-06-28	Service of Process	Service of Summons and Complaint on Lumos Photonics, Inc. via Ashgrove Services Inc., Los Angeles, CA	National Process Serving Inc.	$275.00
2022-06-30	Travel	Travel expenses — A. Ngo, San Francisco to San Jose (OWS HQ) for in-person strategy meeting	Various	$380.00
2022-06-30	Miscellaneous	Docket monitoring service setup — Case No. 5:22-cv-03417-EJD	Beaumont Services Inc. / Docket Services	$300.00
2022-06-30	Document Management	Relativity platform data processing — initial document upload (12.4 GB)	Everest eDiscovery Solutions LLC	$3,000.00
TOTAL DISBURSEMENTS	$14,327.45

[sheet: Trust Account]

Date	Description	Deposits	Withdrawals	Balance
2022-05-18	Initial evergreen retainer deposit received from OWS (Q2 2022)	$100,000.00	$100,000.00
2022-07-10	Application of retainer to June 2022 invoice (Invoice No. SC-2022-07-04781)	$100,000.00	$0.00
Balance Carried Forward	$0.00

[sheet: Budget Tracker]

Category	Budget Allocation	June 2022 Actual	Cumulative to Date	Remaining Budget	% of Budget Used
Professional Fees (C&H)	$2,800,000.00	$178,695.00	$178,695.00	$2,621,305.00	6.4%
Costs & Disbursements	$350,000.00	$14,327.45	$14,327.45	$335,672.55	4.1%
Expert Fees (Technical — Whitfield)	$250,000.00	$0.00	$0.00	$250,000.00	0.0%
Expert Fees (Damages — Apex Claim Analytics)	$200,000.00	$0.00	$0.00	$200,000.00	0.0%
Miscellaneous / Contingency	$600,000.00	$0.00	$0.00	$600,000.00	0.0%
GRAND TOTAL	$4,200,000.00	$193,022.45	$193,022.45	$4,006,977.55	4.6%

[sheet: Invoice Summary]
Field | Value
Firm Name | Calderwood & Harkness LLP
Firm Address | One Embarcadero Center, 34th Floor, San Francisco, CA 94111
Invoice Date | July 10, 2022
Invoice Number | SC-2022-07-04781
Billing Period | June 1, 2022 – June 30, 2022
Matter Number | 1014-00003
Matter Description | Optiwave Semiconductor Corp. v. Lumos Photonics, Inc., Case No. 5:22-cv-03417-EJD (N.D. Cal.)
Client Name | Optiwave Semiconductor Corp.
Client Address | 2775 Augustine Drive, Suite 400, San Jose, CA 95054
Client EIN | 47-3918264
Client Contact | Sandra Ellison, General Counsel
Billing Partner | Marcus Delgado
Responsible Partner | Alan Ngo
Fee Arrangement | Blended hourly rate with 10% volume discount on standard rates
Evergreen Retainer | $100,000 per quarter
Total Professional Fees (before discount) | $198,550.00
Volume discount (10%) | ($19,855.00)
Total Professional Fees (after discount) | $178,695.00
Total Disbursements & Costs | $14,327.45
Total Current Charges | $193,022.45
Retainer Applied | $100,000.00
Balance Due | $93,022.45
Payment Terms | Net 30 days
[sheet: Timekeeper Summary]
Timekeeper | Title | Standard Rate ($/hr) | Discount (%) | Effective Rate ($/hr) | Hours Billed | Fees Before discount | Fees After discount
Alan Ngo | Partner | $1,150.00 | 10% | $1,035.00 | 42.3 | $48,645.00 | $43,780.50
Marcus Delgado | Partner | $1,050.00 | 10% | $945.00 | 12.5 | $13,125.00 | $11,812.50
Omar Siddiqui | Senior Associate | $785.00 | 10% | $706.50 | 98.6 | $77,401.00 | $69,660.90
Christy Bauer | Associate | $625.00 | 10% | $562.50 | 95.0 | $59,375.00 | $53,437.50
TOTAL | 248.4 | $198,546.00 | $178,691.40
[sheet: Time Detail]
Date | Timekeeper | Hours | Effective Rate ($/hr) | Amount | Task Code | Activity Description
2022-06-01 | Alan Ngo | 2.5 | $1,035.00 | $2,587.50 | L110 | Review and revise final draft of Complaint for Patent Infringement asserting U.S. Patent Nos. 10,234,567; 10,891,234; 11,045,678; and 11,312,890 against Lumos Photonics, Inc.; conference with O. Siddiqui regarding infringement allegations for LumosBridge 800G and LumosEdge 400ZR+ products
2022-06-01 | Omar Siddiqui | 6.8 | $706.50 | $4,804.20 | L110 | Draft and revise Complaint for Patent Infringement; incorporate claim charts for all four patents-in-suit; draft jurisdictional allegations re: 28 U.S.C. §§ 1331, 1338(a) and venue under 28 U.S.C. § 1400(b) based on Lumos's Santa Clara office at 4750 Great America Parkway, Suite 320
2022-06-01 | Christy Bauer | 7.2 | $562.50 | $4,050.00 | L110 | Research and draft factual background for Complaint; compile patent prosecution history summaries for all four asserted patents; prepare exhibits including patent face pages and representative claim charts
2022-06-02 | Alan Ngo | 3.0 | $1,035.00 | $3,105.00 | L110 | Final review of Complaint; conference with S. Ellison (OWS General Counsel) regarding filing strategy and willfulness allegations; review Civil Cover Sheet (JS 44) and Summons
2022-06-02 | Omar Siddiqui | 4.5 | $706.50 | $3,179.25 | L110 | Finalize Complaint incorporating partner comments; prepare Civil Cover Sheet (JS 44) identifying cause of action under 35 U.S.C. § 271 and demand exceeding $75 million; draft Corporate Disclosure Statement disclosing Vantage Point Capital Partners Fund IV, LP (~62% ownership)
2022-06-02 | Christy Bauer | 5.5 | $562.50 | $3,093.75 | L110 | Prepare Summons for issuance; confirm Lumos registered agent (Ashgrove Services Inc., 818 West 7th Street, Suite 930, Los Angeles, CA 90017); finalize exhibit binders for filing
2022-06-02 | Marcus Delgado | 1.2 | $945.00 | $1,134.00 | L110 | Review engagement economics; conference with A. Ngo regarding filing and initial retainer application
2022-06-03 | Alan Ngo | 3.8 | $1,035.00 | $3,933.00 | L120 | File Complaint, Civil Cover Sheet, Corporate Disclosure Statement, and Summons in U.S. District Court for the Northern District of California (San Jose Division); case assigned No. 5:22-cv-03417-EJD before Hon. Edward J. Torvelis; conference with S. Ellison regarding filing confirmation
2022-06-03 | Omar Siddiqui | 5.2 | $706.50 | $3,673.80 | L120 | Coordinate electronic filing of Complaint and ancillary documents; review filed-stamped copies; prepare litigation hold notice for OWS key custodians; begin drafting material litigation notification letter to First Pacific Commerce Bank, N.A.
2022-06-03 | Christy Bauer | 4.0 | $562.50 | $2,250.00 | L120 | Assist with ECF filing; prepare service package for Lumos via registered agent Ashgrove Services Inc.; open matter files and docketing entries
2022-06-06 | Omar Siddiqui | 3.5 | $706.50 | $2,472.75 | L130 | Draft letter to First Pacific Commerce Bank, N.A. (345 Montgomery Street, San Francisco, CA 94104) notifying of filing of patent infringement action per OWS's $40 million revolving credit facility covenants; review with S. Ellison
2022-06-06 | Alan Ngo | 1.5 | $1,035.00 | $1,552.50 | L130 | Review and approve litigation notification letter to First Pacific Commerce Bank, N.A.; conference with S. Ellison regarding IP lien implications
2022-06-06 | Christy Bauer | 2.8 | $562.50 | $1,575.00 | L130 | Research revolving credit facility covenants related to material litigation; prepare supporting documentation for bank notification letter
2022-06-07 | Omar Siddiqui | 3.2 | $706.50 | $2,260.80 | L140 | Begin preparation of case management materials; review Judge Torvelis's standing orders and Patent Local Rules for N.D. Cal.; outline key deadlines and scheduling framework
2022-06-07 | Christy Bauer | 3.5 | $562.50 | $1,968.75 | L140 | Research Judge Torvelis's prior patent case rulings and Markman hearing practices; compile summary of procedural preferences and typical case management timelines
2022-06-08 | Christy Bauer | 6.0 | $562.50 | $3,375.00 | L140 | Research Lumos Photonics public filings (10-K, 10-Q) on Nasdaq (ticker: LMPH) for accused product revenue data; compile initial analysis of LumosBridge 800G and LumosEdge 400ZR+ sales figures (~$148.6 million combined CY 2022 revenue per 10-K); research market capitalization (~$1.87 billion as of filing date)
2022-06-08 | Omar Siddiqui | 2.8 | $706.50 | $1,978.20 | L140 | Review Lumos public filings with C. Bauer; analyze accused product revenue streams for damages modeling; prepare preliminary revenue allocation analysis
2022-06-09 | Alan Ngo | 2.0 | $1,035.00 | $2,070.00 | L140 | Conference with O. Siddiqui and C. Bauer regarding Lumos financial analysis; review initial damages framework based on accused product revenue; discuss royalty rate benchmarks from comparable patent licenses
2022-06-09 | Omar Siddiqui | 3.0 | $706.50 | $2,119.50 | L140 | Research comparable patent licenses in silicon photonics and integrated photonics space for royalty rate analysis; review Georgia-Pacific factors framework; prepare preliminary damages outline
2022-06-10 | Omar Siddiqui | 4.0 | $706.50 | $2,826.00 | L140 | Prepare initial case management conference materials; review N.D. Cal. Patent Local Rules for claim construction scheduling requirements; begin drafting Joint Case Management Statement
2022-06-10 | Christy Bauer | 3.2 | $562.50 | $1,800.00 | L140 | Assist with case management conference preparation; research claim construction briefing schedule templates under N.D. Cal. Patent Local Rules 4-1 through 4-5
2022-06-13 | Alan Ngo | 2.0 | $1,035.00 | $2,070.00 | L140 | Conference call with S. Ellison and T. Marchetti (OWS VP of IP) regarding initial discovery strategy; discuss claim construction timeline and deposition priorities for named inventors (Dr. K. Fong, H. Tanaka, Dr. A. Osei)
2022-06-13 | Omar Siddiqui | 3.5 | $706.50 | $2,472.75 | L140 | Prepare memorandum summarizing discovery strategy discussion; outline key custodian list and document categories; research ESI best practices for semiconductor design files
2022-06-13 | Marcus Delgado | 1.5 | $945.00 | $1,417.50 | A101 | Review matter staffing and billing; conference with A. Ngo regarding associate utilization and outside expert engagement timeline
2022-06-14 | Christy Bauer | 5.8 | $562.50 | $3,262.50 | L140 | Research prior art references identified by Lumos in cease-and-desist response; analyze Tanaka U.S. Patent No. 9,456,012 as potential prior art against '567 Patent; review Chen & Liu journal article (2016) on segmented taper couplers
2022-06-14 | Omar Siddiqui | 4.2 | $706.50 | $2,967.30 | L140 | Review prior art analysis prepared by C. Bauer; assess potential invalidity defenses for each asserted patent; prepare counter-arguments memorandum addressing Tanaka '012 reference and Chen & Liu article
2022-06-15 | Omar Siddiqui | 3.5 | $706.50 | $2,472.75 | L150 | Draft initial disclosures under FRCP 26(a)(1); compile list of persons with discoverable information; identify initial document categories for production
2022-06-15 | Alan Ngo | 1.8 | $1,035.00 | $1,863.00 | L150 | Review initial disclosure draft; conference with O. Siddiqui regarding scope of disclosure obligations and privilege considerations
2022-06-16 | Christy Bauer | 4.0 | $562.50 | $2,250.00 | L150 | Research and compile list of relevant agreements for initial disclosures including license agreements, supply contracts with Pinnacle Semiconductor Foundry Co., and cross-license agreements with third parties
2022-06-16 | Omar Siddiqui | 3.5 | $706.50 | $2,472.75 | L150 | Continue drafting initial disclosures; prepare document index for key custodian files; coordinate with OWS IT department on document preservation protocols
2022-06-17 | Christy Bauer | 4.5 | $562.50 | $2,531.25 | L150 | Assist with initial disclosure preparation; draft computation of damages section referencing Clearpath IP Valuation Services pre-litigation valuation ($42.8 million for four asserted patents; $215 million portfolio-level); identify insurance and indemnity agreements
2022-06-17 | Omar Siddiqui | 2.5 | $706.50 | $1,766.25 | L150 | Review damages computation section of initial disclosures; coordinate with Clearpath IP Valuation Services on supporting documentation; finalize witness list
2022-06-20 | Alan Ngo | 3.5 | $1,035.00 | $3,622.50 | L150 | Review initial disclosures draft; conference with M. Delgado regarding budget projections against Board-approved $4.2 million litigation budget; discuss expert retention timeline (Dr. H. Whitfield, Dr. L. Kessler)
2022-06-20 | Marcus Delgado | 2.3 | $945.00 | $2,173.50 | A101 | Review matter budget and phase projections; prepare preliminary budget breakdown by litigation phase (claim construction, fact discovery, expert discovery, dispositive motions, trial); compare against $4.2 million Board-approved budget
2022-06-20 | Omar Siddiqui | 3.0 | $706.50 | $2,119.50 | L150 | Revise initial disclosures per partner comments; update witness list and document categories; prepare privilege log framework
2022-06-21 | Omar Siddiqui | 5.0 | $706.50 | $3,532.50 | L150 | Continue initial disclosure preparation; compile patent file histories for all four patents-in-suit; coordinate with T. Marchetti on OWS patent portfolio documentation (87 issued U.S. patents; 14 pending applications)
2022-06-21 | Christy Bauer | 3.5 | $562.50 | $1,968.75 | L150 | Assist with patent file history compilation; organize prosecution correspondence, office actions, and amendment histories for '567, '234, '678, and '890 Patents
2022-06-21 | Alan Ngo | 2.2 | $1,035.00 | $2,277.00 | L150 | Review compiled patent file histories; identify key prosecution statements for claim construction analysis; conference with O. Siddiqui on prosecution history estoppel risks
2022-06-22 | Christy Bauer | 6.5 | $562.50 | $3,656.25 | L150 | Research Lumos product technical specifications from public sources for infringement contentions; analyze LumosBridge 800G optical engine (segmented taper design, micro-transfer-printed III-V gain elements, separate CMOS driver die with copper pillar micro-bumps); analyze LumosEdge 400ZR+ pluggable transceiver
2022-06-22 | Omar Siddiqui | 4.0 | $706.50 | $2,826.00 | L150 | Review technical analysis of accused products; begin mapping claim elements to Lumos product features; prepare preliminary infringement contentions outline for '567 Patent claims 1, 4, 7, and 12
2022-06-23 | Alan Ngo | 2.5 | $1,035.00 | $2,587.50 | L160 | Prepare for upcoming strategy call with OWS Board representatives; review case posture and timeline; outline key strategic considerations including potential early mediation and IPR risks
2022-06-23 | Omar Siddiqui | 3.8 | $706.50 | $2,684.70 | L160 | Prepare case strategy memorandum addressing IPR petition risks; analyze PTAB institution rates for silicon photonics patents; review Lumos's patent portfolio for potential counterclaim patents
2022-06-23 | Christy Bauer | 2.5 | $562.50 | $1,406.25 | L160 | Research Lumos Photonics patent portfolio (42 issued U.S. patents; 8 pending applications) for potential counterclaim analysis; identify patents related to silicon photonics coupling and integration technologies
2022-06-24 | Alan Ngo | 2.5 | $1,035.00 | $2,587.50 | L160 | Strategy conference call with S. Ellison, D. Fairbanks III, and R. Torres (Vantage Point Capital Partners) regarding case status, expected Markman timeline, and damages projections (>$75 million based on 7.5% royalty rate applied to accused product revenue)
2022-06-24 | Marcus Delgado | 1.5 | $945.00 | $1,417.50 | L160 | Participate in strategy conference call with client and Vantage Point representatives; discuss litigation funding and budget allocation for expert retention
2022-06-24 | Omar Siddiqui | 2.8 | $706.50 | $1,978.20 | L160 | Prepare follow-up memorandum from strategy call; summarize action items including expert retention, preliminary injunction analysis, and discovery timeline
2022-06-27 | Omar Siddiqui | 4.2 | $706.50 | $2,967.30 | L160 | Prepare case status memorandum for OWS and Vantage Point; summarize key risks including potential narrow claim constructions of 'adiabatically coupled,' 'continuously varying germanium concentration,' 'monolithically formed,' and 'co-integrated' limitations
2022-06-27 | Christy Bauer | 3.0 | $562.50 | $1,687.50 | L160 | Research claim construction precedent for key disputed terms; analyze Federal Circuit decisions regarding 'adiabatically coupled' in optical waveguide context; prepare research memorandum
2022-06-27 | Alan Ngo | 1.5 | $1,035.00 | $1,552.50 | L160 | Review case status memorandum; provide comments on claim construction risk analysis; conference with O. Siddiqui regarding response strategy for anticipated Lumos Answer
2022-06-28 | Christy Bauer | 4.8 | $562.50 | $2,700.00 | L120 | Coordinate service of Summons and Complaint on Lumos Photonics, Inc. via registered agent Ashgrove Services Inc.; prepare proof of service; confirm service effected June 28, 2022; calculate response deadline
2022-06-28 | Alan Ngo | 1.5 | $1,035.00 | $1,552.50 | L120 | Review proof of service on Lumos; conference with O. Siddiqui regarding anticipated Answer and Counterclaims; discuss claim construction preparation timeline
2022-06-28 | Omar Siddiqui | 3.0 | $706.50 | $2,119.50 | L120 | Review proof of service; calendar response deadline (July 19, 2022); prepare memorandum on anticipated defenses and counterclaims based on Lumos pre-litigation correspondence
2022-06-29 | Omar Siddiqui | 3.8 | $706.50 | $2,684.70 | L140 | Draft ESI protocol framework; identify key custodians for OWS document preservation (Dr. P. Ramanathan, Dr. K. Fong, Dr. A. Osei, T. Marchetti, S. Ellison, R. Iyer, L. Zhang, H. Tanaka); review litigation hold compliance
2022-06-29 | Christy Bauer | 3.2 | $562.50 | $1,800.00 | L140 | Assist with ESI protocol preparation; research N.D. Cal. model ESI orders; prepare proposed search term list for document collection
2022-06-29 | Marcus Delgado | 1.5 | $945.00 | $1,417.50 | A101 | Review monthly billing entries; approve invoice for June 2022; confirm retainer application and trust account balances
2022-06-29 | Alan Ngo | 2.0 | $1,035.00 | $2,070.00 | L140 | Review ESI protocol framework; conference with O. Siddiqui on proposed custodian list and search parameters; discuss proportionality considerations under FRCP 26(b)(1)
2022-06-30 | Omar Siddiqui | 4.0 | $706.50 | $2,826.00 | L140 | Finalize initial case management materials; review proposed protective order templates; coordinate with C. Bauer on document collection from OWS
2022-06-30 | Christy Bauer | 5.5 | $562.50 | $3,093.75 | L140 | Continue document collection coordination; set up review platform; index patent prosecution files for '567, '234, '678, and '890 Patents; catalog OWS design files relating to Pinnacle Semiconductor Foundry Co. 45nm SOI fabrication process
2022-06-30 | Alan Ngo | 2.0 | $1,035.00 | $2,070.00 | L160 | Prepare for initial case management conference scheduled August 15, 2022; outline proposed schedule including Markman hearing target of January 30, 2023; review Brannick Howell & Stein LLP filing of appearance (V. Ashworth, lead partner)
2022-06-30 | Marcus Delgado | 1.0 | $945.00 | $945.00 | A101 | Month-end matter administration; review staffing levels and projected hours for July 2022
2022-06-30 | Omar Siddiqui | 3.0 | $706.50 | $2,119.50 | L140 | Review document collection status; prepare monthly case activity summary; update internal case tracking system and docket
2022-06-30 | Alan Ngo | 2.0 | $1,035.00 | $2,070.00 | L140 | Month-end review of case status and upcoming deadlines; conference with S. Ellison regarding July priorities including Answer review and initial case management conference preparation
2022-06-30 | Christy Bauer | 3.2 | $562.50 | $1,800.00 | L160 | Prepare research memorandum on Brannick Howell & Stein LLP defense team; review V. Ashworth's prior patent litigation experience in N.D. Cal.; compile summary of defense counsel's Markman hearing track record
2022-06-30 | Marcus Delgado | 1.5 | $945.00 | $1,417.50 | A101 | Finalize monthly billing review; prepare engagement letter update for expanded scope of representation; review conflict check clearance for additional Lumos-related entities
2022-06-30 | Omar Siddiqui | 2.8 | $706.50 | $1,978.20 | L160 | Prepare preliminary outline of claim construction positions for all four patents-in-suit; identify key claim terms requiring construction; review intrinsic evidence for each disputed term
[sheet: Disbursements]
Date | Category | Description | Vendor / Payee | Amount
2022-06-01 | Document Management | Relativity platform setup and hosting — matter 1014-00003 (June) | Everest eDiscovery Solutions LLC | $4,250.00
2022-06-03 | Court Filing Fees | Complaint filing fee — U.S. District Court, N.D. Cal., Case No. 5:22-cv-03417-EJD | U.S. District Court, N.D. Cal. | $402.00
2022-06-03 | Court Filing Fees | Civil Cover Sheet (JS 44) and Summons issuance | U.S. District Court, N.D. Cal. | $0.00
2022-06-08 | Online Research | Westmark Data Systems research — patent prosecution history, prior art searches, N.D. Cal. procedural rules | Hollowell Solutions | $3,847.20
2022-06-08 | Public Records / SEC Filings | Lumos Photonics (LMPH) 10-K, 10-Q retrieval and analysis — Nasdaq filings | SEC EDGAR / Data Services | $185.00
2022-06-14 | Online Research | IEEE Xplore and technical journal database access for prior art analysis | IEEE / Technical Databases | $412.50
2022-06-15 | Copying / Reproduction | Reproduction of patent file histories (4 patents-in-suit, ~2,400 pages) | Internal Reproduction | $720.00
2022-06-20 | Courier / Delivery | Overnight delivery of litigation hold notice and filing packages to OWS | Severin Partners LLC | $127.50
2022-06-22 | Copying / Reproduction | Reproduction and binding of Complaint and exhibits for client and internal files | Internal Reproduction | $345.00
2022-06-24 | Telephone / Conferencing | Conference call charges — client strategy calls (June) | Telecom Services | $83.25
2022-06-28 | Service of Process | Service of Summons and Complaint on Lumos Photonics, Inc. via Ashgrove Services Inc., Los Angeles, CA | National Process Serving Inc. | $275.00
2022-06-30 | Travel | Travel expenses — A. Ngo, San Francisco to San Jose (OWS HQ) for in-person strategy meeting | Various | $380.00
2022-06-30 | Miscellaneous | Docket monitoring service setup — Case No. 5:22-cv-03417-EJD | Beaumont Services Inc. / Docket Services | $300.00
2022-06-30 | Document Management | Relativity platform data processing — initial document upload (12.4 GB) | Everest eDiscovery Solutions LLC | $3,000.00
TOTAL DISBURSEMENTS | $14,327.45
[sheet: Trust Account]
Date | Description | Deposits | Withdrawals | Balance
2022-05-18 | Initial evergreen retainer deposit received from OWS (Q2 2022) | $100,000.00 | $100,000.00
2022-07-10 | Application of retainer to June 2022 invoice (Invoice No. SC-2022-07-04781) | $100,000.00 | $0.00
Balance Carried Forward | $0.00
[sheet: Budget Tracker]
Category | Budget Allocation | June 2022 Actual | Cumulative to Date | Remaining Budget | % of Budget Used
Professional Fees (C&H) | $2,800,000.00 | $178,695.00 | $178,695.00 | $2,621,305.00 | 6.4%
Costs & Disbursements | $350,000.00 | $14,327.45 | $14,327.45 | $335,672.55 | 4.1%
Expert Fees (Technical — Whitfield) | $250,000.00 | $0.00 | $0.00 | $250,000.00 | 0.0%
Expert Fees (Damages — Apex Claim Analytics) | $200,000.00 | $0.00 | $0.00 | $200,000.00 | 0.0%
Miscellaneous / Contingency | $600,000.00 | $0.00 | $0.00 | $600,000.00 | 0.0%
GRAND TOTAL | $4,200,000.00 | $193,022.45 | $193,022.45 | $4,006,977.55 | 4.6%

[sheet: Invoice Summary]

Record

Parties

Dates

Amounts