UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA SAN JOSE DIVISION

Plaintiff Optiwave Semiconductor Corp. ("OWS"), by and through its counsel of record, Calderwood & Harkness LLP, and Defendant Lumos Photonics, Inc. ("Lumos"), by and through its counsel of record, Brannick Howell & Stein LLP (collectively, the "Parties"), hereby jointly stipulate to the dismissal of the above-captioned action with prejudice, pursuant to Federal Rule of Civil Procedure 41(a)(1)(A)(ii), and respectfully state as follows:

WHEREAS, on June 3, 2022, Plaintiff OWS filed a Complaint in this Court alleging, among other things, infringement of certain United States patents by Defendant Lumos;

WHEREAS, on July 29, 2022, Defendant Lumos filed an Answer and Counterclaims asserting, among other things, declaratory judgments of non-infringement and invalidity of the patents-in-suit;

WHEREAS, the Parties have engaged in good-faith negotiations and have entered into a confidential Settlement Agreement and Mutual Release, dated April 5, 2023 (the "Settlement Agreement"), which resolves all disputes between them arising out of or related to this action; and

WHEREAS, the Parties now desire to effectuate the terms of the Settlement Agreement by dismissing all claims and counterclaims in this action with prejudice;

NOW, THEREFORE, in consideration of the foregoing recitals and the mutual promises and covenants contained in the Settlement Agreement, the Parties hereby stipulate and agree as follows:

1. Dismissal of Plaintiff's Claims. The Parties hereby stipulate and agree that all claims asserted by Plaintiff Optiwave Semiconductor Corp. against Defendant Lumos Photonics, Inc. in the Complaint filed on June 3, 2022 (Dkt. No. 1), as well as any and all amendments thereto, including without limitation all claims of infringement of U.S. Patent Nos. 10,234,567; 10,891,234; 11,045,678; and 11,312,890, together with any and all claims for damages, injunctive relief, enhanced damages, attorneys' fees, costs, and any other relief sought therein, are hereby dismissed with prejudice. This dismissal shall operate as an adjudication on the merits pursuant to Federal Rule of Civil Procedure 41(a)(1)(B).

2. Dismissal of Defendant's Counterclaims. The Parties hereby stipulate and agree that all counterclaims asserted by Defendant Lumos Photonics, Inc. against Plaintiff Optiwave Semiconductor Corp. in the Answer and Counterclaims filed on July 29, 2022 (Dkt. No. 18), as well as any and all amendments thereto, including without limitation all counterclaims for declaratory judgment of non-infringement and invalidity of U.S. Patent Nos. 10,234,567; 10,891,234; 11,045,678; and 11,312,890 under 35 U.S.C. §§ 102, 103, and 112, together with any and all claims for damages, attorneys' fees, costs, and any other relief sought therein, are hereby dismissed with prejudice. This dismissal shall likewise operate as an adjudication on the merits pursuant to Federal Rule of Civil Procedure 41(a)(1)(B).

3. Costs and Attorneys' Fees. Each Party shall bear its own costs, expenses, and attorneys' fees incurred in connection with this action, including without limitation all fees and costs associated with the prosecution and defense of the claims and counterclaims, discovery, motion practice, and the negotiation and execution of the Settlement Agreement. No Party shall seek to recover any costs or attorneys' fees from any other Party, whether by motion, bill of costs, or otherwise, in connection with this action.

4. No Admissions. This Joint Stipulation of Dismissal with Prejudice and the dismissal of this action shall not constitute, and shall not be construed as, an admission by either Party of any fact, claim, defense, liability, or wrongdoing of any kind. Without limiting the generality of the foregoing, neither the filing of this Joint Stipulation nor the entry of any order of dismissal shall be deemed or construed as an admission, concession, or finding of: (a) infringement or non-infringement of any patent; (b) validity or invalidity of any patent claim; (c) enforceability or unenforceability of any patent; (d) liability or non-liability of any Party; or (e) the truth or falsity of any allegation made by any Party in this action. The terms of this Joint Stipulation may not be offered or received in evidence in any action or proceeding for any purpose, except as may be necessary to enforce the Settlement Agreement or this Joint Stipulation, or as otherwise required by law.

5. Retention of Jurisdiction. The Court shall retain jurisdiction over this matter solely for the limited purpose of enforcing the terms of the Settlement Agreement and Mutual Release, dated April 5, 2023, between the Parties. Except as expressly set forth in the preceding sentence, the Court's jurisdiction over this action and the Parties shall terminate upon entry of the order of dismissal. Any dispute arising under or relating to the Settlement Agreement that does not require enforcement by this Court shall be resolved in accordance with the dispute resolution provisions set forth therein.

6. Proposed Order. A proposed Order of Dismissal with Prejudice, consistent with this Joint Stipulation, is submitted herewith for the Court's review and signature. The Parties respectfully request that the Court enter the proposed Order at its earliest convenience.

WHEREFORE, the Parties respectfully request that the Court enter the accompanying Proposed Order of Dismissal with Prejudice, dismissing all claims and counterclaims in this action with prejudice, with each Party bearing its own costs and attorneys' fees, and retaining jurisdiction solely for the purpose of enforcing the terms of the Parties' Settlement Agreement and Mutual Release dated April 5, 2023.

Dated: April 10, 2023

Respectfully submitted,

For Plaintiff Optiwave Semiconductor Corp.:

CALDERWOOD & HARKNESS LLP

By: /s/ Alan Ngo

________________________________________

Alan Ngo (Cal. Bar No. 287,614; USPTO Reg. No. 52,871) One Embarcadero Center, 34th Floor San Francisco, California 94111 Telephone: (415) 772-1200 Facsimile: (415) 772-1201

Email: ango@calderwoodharkness.com

Attorneys for Plaintiff Optiwave Semiconductor Corp.

For Defendant Lumos Photonics, Inc.:

BRANNICK HOWELL & STEIN LLP

By: /s/ Victoria Ashworth

________________________________________

Victoria Ashworth (Cal. Bar No. 305,249) 555 California Street, Suite 2800 San Francisco, California 94104 Telephone: (415) 439-8500 Facsimile: (415) 439-8501

Email: vashworth@brannickhowell.com

Attorneys for Defendant Lumos Photonics, Inc.

CERTIFICATE OF SERVICE

I, Omar Siddiqui, an associate at Calderwood & Harkness LLP, hereby certify that on April 10, 2023, I caused the foregoing Joint Stipulation of Dismissal with Prejudice and the accompanying [Proposed] Order of Dismissal with Prejudice to be electronically filed with the Clerk of the Court using the Court's CM/ECF system. Pursuant to the Court's Electronic Case Filing Administrative Policies and Procedures, all counsel of record in this action are registered CM/ECF users, and service of the foregoing document will be accomplished by the CM/ECF system's automatic electronic notification of such filing to all registered participants.

I declare under penalty of perjury under the laws of the United States that the foregoing is true and correct.

By: /s/ Omar Siddiqui

________________________________________

Omar Siddiqui (Cal. Bar No. 318,772) CALDERWOOD & HARKNESS LLP One Embarcadero Center, 34th Floor San Francisco, California 94111 Telephone: (415) 772-1200

Email: osiddiqui@calderwoodharkness.com

OPTIWAVE SEMICONDUCTOR CORP., a Delaware corporation,	Case No. 5:22-cv-03417-EJD
<!-- indent:2 -->Plaintiff,<!-- /indent -->	Hon. Edward J. Torvelis
v.	JOINT STIPULATION OF DISMISSAL WITH PREJUDICE

LUMOS PHOTONICS, INC., a Delaware corporation,

Defendant.

UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA SAN JOSE DIVISION
Plaintiff Optiwave Semiconductor Corp. ("OWS"), by and through its counsel of record, Calderwood & Harkness LLP, and Defendant Lumos Photonics, Inc. ("Lumos"), by and through its counsel of record, Brannick Howell & Stein LLP (collectively, the "Parties"), hereby jointly stipulate to the dismissal of the above-captioned action with prejudice, pursuant to Federal Rule of Civil Procedure 41(a)(1)(A)(ii), and respectfully state as follows:
WHEREAS, on June 3, 2022, Plaintiff OWS filed a Complaint in this Court alleging, among other things, infringement of certain United States patents by Defendant Lumos;
WHEREAS, on July 29, 2022, Defendant Lumos filed an Answer and Counterclaims asserting, among other things, declaratory judgments of non-infringement and invalidity of the patents-in-suit;
WHEREAS, the Parties have engaged in good-faith negotiations and have entered into a confidential Settlement Agreement and Mutual Release, dated April 5, 2023 (the "Settlement Agreement"), which resolves all disputes between them arising out of or related to this action; and
WHEREAS, the Parties now desire to effectuate the terms of the Settlement Agreement by dismissing all claims and counterclaims in this action with prejudice;
NOW, THEREFORE, in consideration of the foregoing recitals and the mutual promises and covenants contained in the Settlement Agreement, the Parties hereby stipulate and agree as follows:
1. Dismissal of Plaintiff's Claims. The Parties hereby stipulate and agree that all claims asserted by Plaintiff Optiwave Semiconductor Corp. against Defendant Lumos Photonics, Inc. in the Complaint filed on June 3, 2022 (Dkt. No. 1), as well as any and all amendments thereto, including without limitation all claims of infringement of U.S. Patent Nos. 10,234,567; 10,891,234; 11,045,678; and 11,312,890, together with any and all claims for damages, injunctive relief, enhanced damages, attorneys' fees, costs, and any other relief sought therein, are hereby dismissed with prejudice. This dismissal shall operate as an adjudication on the merits pursuant to Federal Rule of Civil Procedure 41(a)(1)(B).
2. Dismissal of Defendant's Counterclaims. The Parties hereby stipulate and agree that all counterclaims asserted by Defendant Lumos Photonics, Inc. against Plaintiff Optiwave Semiconductor Corp. in the Answer and Counterclaims filed on July 29, 2022 (Dkt. No. 18), as well as any and all amendments thereto, including without limitation all counterclaims for declaratory judgment of non-infringement and invalidity of U.S. Patent Nos. 10,234,567; 10,891,234; 11,045,678; and 11,312,890 under 35 U.S.C. §§ 102, 103, and 112, together with any and all claims for damages, attorneys' fees, costs, and any other relief sought therein, are hereby dismissed with prejudice. This dismissal shall likewise operate as an adjudication on the merits pursuant to Federal Rule of Civil Procedure 41(a)(1)(B).
3. Costs and Attorneys' Fees. Each Party shall bear its own costs, expenses, and attorneys' fees incurred in connection with this action, including without limitation all fees and costs associated with the prosecution and defense of the claims and counterclaims, discovery, motion practice, and the negotiation and execution of the Settlement Agreement. No Party shall seek to recover any costs or attorneys' fees from any other Party, whether by motion, bill of costs, or otherwise, in connection with this action.
4. No Admissions. This Joint Stipulation of Dismissal with Prejudice and the dismissal of this action shall not constitute, and shall not be construed as, an admission by either Party of any fact, claim, defense, liability, or wrongdoing of any kind. Without limiting the generality of the foregoing, neither the filing of this Joint Stipulation nor the entry of any order of dismissal shall be deemed or construed as an admission, concession, or finding of: (a) infringement or non-infringement of any patent; (b) validity or invalidity of any patent claim; (c) enforceability or unenforceability of any patent; (d) liability or non-liability of any Party; or (e) the truth or falsity of any allegation made by any Party in this action. The terms of this Joint Stipulation may not be offered or received in evidence in any action or proceeding for any purpose, except as may be necessary to enforce the Settlement Agreement or this Joint Stipulation, or as otherwise required by law.
5. Retention of Jurisdiction. The Court shall retain jurisdiction over this matter solely for the limited purpose of enforcing the terms of the Settlement Agreement and Mutual Release, dated April 5, 2023, between the Parties. Except as expressly set forth in the preceding sentence, the Court's jurisdiction over this action and the Parties shall terminate upon entry of the order of dismissal. Any dispute arising under or relating to the Settlement Agreement that does not require enforcement by this Court shall be resolved in accordance with the dispute resolution provisions set forth therein.
6. Proposed Order. A proposed Order of Dismissal with Prejudice, consistent with this Joint Stipulation, is submitted herewith for the Court's review and signature. The Parties respectfully request that the Court enter the proposed Order at its earliest convenience.
WHEREFORE, the Parties respectfully request that the Court enter the accompanying Proposed Order of Dismissal with Prejudice, dismissing all claims and counterclaims in this action with prejudice, with each Party bearing its own costs and attorneys' fees, and retaining jurisdiction solely for the purpose of enforcing the terms of the Parties' Settlement Agreement and Mutual Release dated April 5, 2023.
Dated: April 10, 2023
Respectfully submitted,
For Plaintiff Optiwave Semiconductor Corp.:
CALDERWOOD & HARKNESS LLP
By: /s/ Alan Ngo
________________________________________
Alan Ngo (Cal. Bar No. 287,614; USPTO Reg. No. 52,871) One Embarcadero Center, 34th Floor San Francisco, California 94111 Telephone: (415) 772-1200 Facsimile: (415) 772-1201
Email: ango@calderwoodharkness.com
Attorneys for Plaintiff Optiwave Semiconductor Corp.
For Defendant Lumos Photonics, Inc.:
BRANNICK HOWELL & STEIN LLP
By: /s/ Victoria Ashworth
________________________________________
Victoria Ashworth (Cal. Bar No. 305,249) 555 California Street, Suite 2800 San Francisco, California 94104 Telephone: (415) 439-8500 Facsimile: (415) 439-8501
Email: vashworth@brannickhowell.com
Attorneys for Defendant Lumos Photonics, Inc.
CERTIFICATE OF SERVICE
I, Omar Siddiqui, an associate at Calderwood & Harkness LLP, hereby certify that on April 10, 2023, I caused the foregoing Joint Stipulation of Dismissal with Prejudice and the accompanying [Proposed] Order of Dismissal with Prejudice to be electronically filed with the Clerk of the Court using the Court's CM/ECF system. Pursuant to the Court's Electronic Case Filing Administrative Policies and Procedures, all counsel of record in this action are registered CM/ECF users, and service of the foregoing document will be accomplished by the CM/ECF system's automatic electronic notification of such filing to all registered participants.
I declare under penalty of perjury under the laws of the United States that the foregoing is true and correct.
By: /s/ Omar Siddiqui
________________________________________
Omar Siddiqui (Cal. Bar No. 318,772) CALDERWOOD & HARKNESS LLP One Embarcadero Center, 34th Floor San Francisco, California 94111 Telephone: (415) 772-1200
Email: osiddiqui@calderwoodharkness.com
OPTIWAVE SEMICONDUCTOR CORP., a Delaware corporation, | Case No. 5:22-cv-03417-EJD
Plaintiff, | Hon. Edward J. Torvelis
v. | JOINT STIPULATION OF DISMISSAL WITH PREJUDICE
LUMOS PHOTONICS, INC., a Delaware corporation,
Defendant.

UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA SAN JOSE DIVISION

CALDERWOOD & HARKNESS LLP

BRANNICK HOWELL & STEIN LLP

CERTIFICATE OF SERVICE

Record

Parties

Dates

Amounts