1014-00004 · Hawthorne Vega & Cruz LLP · Discovery

second-rfps-to-lumicore.docx DOCUMENT Litigation

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UNITED STATES DISTRICT COURT EASTERN DISTRICT OF TEXAS MARSHALL DIVISION

PLAINTIFF OPTIWAVE SEMICONDUCTOR CORP.'S SECOND SET OF REQUESTS FOR PRODUCTION OF DOCUMENTS TO DEFENDANT LUMICORE TECHNOLOGIES, INC.

(Request Nos. 86–115)

Date Served: November 4, 2024

I. INTRODUCTORY STATEMENT

Plaintiff Optiwave Semiconductor Corp. ("OWS"), by and through its counsel of record, Calderwood & Harkness LLP and local counsel Whitmore & Callahan LLP, hereby propounds its Second Set of Requests for Production of Documents (Request Nos. 86–115) upon Defendant Lumicore Technologies, Inc. ("Lumicore"), pursuant to Federal Rules of Civil Procedure 26 and 34, the Local Rules of the United States District Court for the Eastern District of Texas, and the Court's Scheduling Order (D.E. 27, entered August 12, 2024).

Lumicore shall produce all responsive, non-privileged documents within thirty (30) days of service of these Requests, or as otherwise agreed by the parties or ordered by the Court. To the extent Lumicore requires additional time to locate, collect, or review certain categories of responsive documents, OWS is willing to discuss a reasonable rolling-production schedule, provided that Lumicore promptly identifies the categories requiring additional time and provides a good-faith timeline for their production.

These supplemental Requests for Production are necessitated by gaps identified in Lumicore's responses and document productions in connection with OWS's First Set of Requests for Production (Request Nos. 1–85, served August 26, 2024). As previously communicated via correspondence from Wendy Schultz to Samantha Briggs dated October 28, 2024, OWS identified specific deficiencies in Lumicore's productions, including, without limitation, missing source-code repositories for photonic-IC control firmware and DSP code referenced in the deposition testimony of Lumicore's Chief Technology Officer, Dr. Sandra Michaud, and the absence of mask files and photonic-IC layout data that Lumicore acknowledged exist but failed to produce. These supplemental Requests are designed to address those deficiencies, to seek additional categories of documents relevant to the issues raised by the pleadings and discovery to date, and to ensure the completeness of the record as the parties approach the close of fact discovery.

All documents responsive to these Requests shall be produced in accordance with the ESI Protocol Agreement dated August 15, 2024, and the Stipulated Protective Order (D.E. 30), including the three-tier confidentiality designations established therein: "Confidential," "Highly Confidential — Attorneys' Eyes Only," and "Highly Confidential — Source Code." To the extent any responsive documents contain source code or mask data, such materials shall be produced under the "Highly Confidential — Source Code" designation and in the manner prescribed by the ESI Protocol Agreement and the Stipulated Protective Order.

II. DEFINITIONS

As used in these Requests for Production, the following terms shall have the meanings set forth below. These definitions are intended to supplement, not supplant, the definitions contained in the Federal Rules of Civil Procedure and the Local Rules of this Court. To the extent any definition herein conflicts with the Federal Rules, the broader definition shall apply.

A. "Asserted Patents" shall mean the following United States patents, each of which has been asserted by OWS against Lumicore in this action:

(1) U.S. Patent No. 10,234,847 (the "'847 Patent"), entitled "Multi-Channel Silicon Photonic Waveguide Multiplexer with Low Insertion Loss," filed September 14, 2016, issued March 19, 2019, and assigned to OWS;

(2) U.S. Patent No. 10,891,193 (the "'193 Patent"), entitled "High-Bandwidth Coherent Optical Transceiver Integrated on Silicon Substrate," filed April 7, 2017, issued January 12, 2021, and assigned to OWS;

(3) U.S. Patent No. 9,678,562 (the "'562 Patent"), entitled "Method for Thermal Management of Photonic Integrated Circuits Using Embedded Micro-Channel Heat Sinks," filed November 22, 2014, issued June 13, 2017, and assigned to OWS; and

(4) U.S. Patent No. 11,402,015 (the "'015 Patent"), entitled "Polarization-Diverse Grating Coupler for Silicon Photonic Transceivers," filed August 30, 2019, issued August 2, 2022, and assigned to OWS.

B. "Accused Products" shall mean the following products manufactured, sold, offered for sale, used, and/or imported by Lumicore, as identified in OWS's Infringement Contentions (D.E. 33, served September 30, 2024):

(1) The LumiLink 400G-ZR+ coherent optical transceiver module (launched in or about the third quarter of 2022);

(2) The LumiLink 800G-DR8 optical transceiver module (launched in or about the first quarter of 2023); and

(3) The LumiEdge 1600G-LR optical transceiver module (launched in or about the fourth quarter of 2023).

The term "Accused Products" includes all versions, revisions, engineering samples, prototypes, evaluation units, pre-production units, and variants of the foregoing products, regardless of model number designation, SKU, or product code, and regardless of the customer for whom such products were manufactured, configured, or customized.

C. "Document" or "Documents" shall have the broadest meaning permissible under Federal Rule of Civil Procedure 34(a) and shall include, without limitation, all writings, drawings, graphs, charts, photographs, sound recordings, images, electronically stored information ("ESI"), and other data or data compilations, in any medium, from which information can be obtained, whether directly or after translation by the responding party into a reasonably usable form. The term includes, without limitation, source code, hardware description language ("HDL") files, layout files, mask files, GDSII files, OASIS files, simulation data, spreadsheets, databases, emails, text messages, instant messages, Meridian Solutions messages, Northgate Data Systems messages, calendar entries, voicemail recordings, and all other materials stored in electronic or physical form.

D. "You," "Your," and "Lumicore" shall mean Lumicore Technologies, Inc., together with its current and former officers, directors, employees, agents, representatives, subsidiaries, affiliates, predecessors, successors, and assigns, and any persons or entities acting or purporting to act on its behalf. Without limiting the generality of the foregoing, the term includes, but is not limited to, the following individuals: Chief Executive Officer Thomas Kessler; Chief Technology Officer Dr. Sandra Michaud; General Counsel Raymond Bautista; Vice President of Product Development Dr. Eric Dalmqvist; and Chief Financial Officer Janet Moreno.

E. "Relating to" or "Concerning" shall mean referring to, reflecting, evidencing, constituting, describing, discussing, analyzing, mentioning, embodying, identifying, or pertaining to the subject matter in question, whether directly or indirectly, in whole or in part.

F. "Communication" shall mean every disclosure, transfer, or exchange of information, whether oral, written, or electronic, between two or more persons, including but not limited to emails, text messages, instant messages (including messages sent or received via Meridian Solutions, Northgate Data Systems, or similar collaboration platforms), memoranda, letters, facsimiles, presentations, meeting notes, handwritten notes, and any other form of correspondence or dialogue.

G. "Person" shall mean any natural person, corporation, partnership, limited liability company, joint venture, association, governmental body or agency, or any other legal, commercial, or organizational entity or body.

H. "Source Code" shall mean all human-readable programming instructions, hardware description language code (including, without limitation, Verilog, VHDL, and SystemVerilog), register transfer level ("RTL") descriptions, netlists, firmware, embedded software, application software, scripts, configuration files, build files, makefiles, testbench code, verification scripts, synthesis scripts, place-and-route scripts, and all associated inline comments, documentation, and readme files. The term includes all such materials regardless of the programming language in which they are written and regardless of the medium on which they are stored.

I. "Mask Files" or "Mask Data" shall mean all photomask layout data, GDSII stream format files, OASIS format files, photonic-IC layout files, reticle data, mask-order specifications, mask-shop instructions, and all design-rule check ("DRC") reports, layout-versus-schematic ("LVS") reports, and electrical-rule check ("ERC") reports used in connection with or generated during the design, verification, or fabrication of photonic integrated circuits, electronic integrated circuits, or optical components incorporated in or designed for incorporation in the Accused Products.

J. "Fabrication Run Data" shall mean all records, reports, logs, databases, and other documentation relating to semiconductor fabrication runs, wafer lots, foundry work orders, process-of-record documentation, wafer-process specifications, yield data (including die yield, wafer yield, and cumulative yield), parametric test data, wafer acceptance test ("WAT") results, in-line monitoring data, lot travelers, bin-sort data, and wafer maps for wafers containing photonic integrated circuits, electronic integrated circuits, or other semiconductor components incorporated in or designed for incorporation in the Accused Products.

K. "Relevant Time Period" shall mean the period from January 1, 2020 through the date of Lumicore's production in response to these Requests, unless a different time period is expressly specified in a particular Request. Where a Request specifies a particular start date, the end date shall be the date of production unless otherwise stated.

III. INSTRUCTIONS

A. General Instructions

The following instructions apply to each of the Requests for Production set forth below. To the extent these instructions conflict with any applicable Federal Rule, Local Rule, or Court Order, the applicable Rule or Order shall control.

1. Each Request shall be construed independently and shall not be read as limiting or restricting the scope of any other Request. To the extent any two or more Requests overlap in scope, Lumicore need only produce a single copy of any Document responsive to more than one Request, provided that Lumicore identifies the Requests to which each such Document is responsive.

2. If any Document responsive to any Request is withheld, in whole or in part, on the grounds of attorney-client privilege, work-product protection, or any other privilege or immunity from discovery, Lumicore shall provide a privilege log entry for each such Document in compliance with Federal Rule of Civil Procedure 26(b)(5)(A) and the Court's Scheduling Order (D.E. 27). Each privilege log entry shall contain sufficient detail to enable OWS and, if necessary, the Court to assess the validity of the asserted privilege, including: (a) the type of Document; (b) the date of the Document; (c) the author(s) and recipient(s) of the Document (including all persons copied); (d) a description of the subject matter of the Document that is sufficiently detailed to assess the privilege claim without revealing privileged content; and (e) the specific privilege(s) asserted.

3. Documents shall be produced as they are kept in the ordinary course of business, or shall be organized and labeled to correspond to the categories in these Requests, in accordance with Federal Rule of Civil Procedure 34(b)(2)(E).

4. Source Code and Mask Files shall be produced in their native format in accordance with the ESI Protocol Agreement dated August 15, 2024. Source Code shall be made available for review at a designated secure facility or via a secure source-code review platform, as specified in the "Highly Confidential — Source Code" tier of the Stipulated Protective Order (D.E. 30). Mask Files in GDSII or OASIS format shall be produced in their native binary format, accompanied by any associated layer-mapping files, technology files, or display-configuration files necessary to render the layout data in a commercially available layout viewer (e.g., Marlowe Health IT, Mentor Calibre, or Halcyon Services Inc.).

5. Where a Request seeks "all Documents," it includes Documents in the possession, custody, or control of Lumicore, including but not limited to Documents held by Lumicore's agents, consultants, contract engineers, foundry partners, design houses, mask shops, assembly and test subcontractors, or other third parties, to the extent that Lumicore has a legal right or practical ability to obtain such Documents.

6. If any Document responsive to any Request has been lost, discarded, destroyed, overwritten, or is otherwise unavailable, Lumicore shall: (a) identify the Document with reasonable specificity; (b) describe its contents to the best of Lumicore's knowledge, information, and belief; (c) state the circumstances of its loss, destruction, or unavailability, including when and how the loss or destruction occurred; (d) identify the last known custodian of the Document; and (e) identify any other person who may have knowledge of the Document's contents.

7. If Lumicore contends that any Request is overbroad, unduly burdensome, or disproportionate to the needs of the case, Lumicore shall: (a) produce all responsive Documents as to which no objection is asserted; (b) identify with particularity the specific portion(s) of the Request to which Lumicore objects; and (c) describe the basis for the objection in sufficient detail to allow OWS and the Court to evaluate the objection. General or boilerplate objections shall not be deemed sufficient.

B. Continuing Obligation

Pursuant to Federal Rule of Civil Procedure 26(e), Lumicore has a continuing obligation to supplement its responses and document productions in a timely manner if it learns that a response is in some material respect incomplete or incorrect, and if the additional or corrective information has not otherwise been made known to OWS during the discovery process or in writing. This obligation extends to all Requests contained herein and shall continue through trial.

IV. REQUESTS FOR PRODUCTION

REQUEST FOR PRODUCTION NO. 86:

All Source Code, including but not limited to RTL code, firmware, embedded software, FPGA design code, ASIC design code, testbench code, verification scripts, synthesis scripts, and associated build and configuration files, Relating to the design, development, testing, verification, and manufacture of the LumiLink 400G-ZR+ coherent optical transceiver module, including all versions, branches, tags, and revisions maintained in any source-code repository or version-control system (including, without limitation, Git, Subversion (SVN), Perforce, Mercurial, or any other version-control system), from January 1, 2020 through the present.

This Request specifically targets Source Code files and repositories that were not produced in response to OWS's First Set of Requests for Production Nos. 12, 14, and 27. In particular, OWS seeks the photonic-IC control firmware and digital signal processing ("DSP") code that Dr. Sandra Michaud identified during her November 19, 2024 deposition as residing in Lumicore's internal "PhotonCore" repository (Michaud Dep. Tr. at 142:8–143:15). Dr. Michaud testified that the PhotonCore repository contains firmware modules responsible for controlling the tunable laser source, the modulator bias control loop, and the coherent receiver DSP pipeline within the LumiLink 400G-ZR+ module, none of which were included in Lumicore's prior production.

REQUEST FOR PRODUCTION NO. 87:

All Source Code, including but not limited to RTL code, firmware, embedded software, FPGA design code, ASIC design code, testbench code, verification scripts, synthesis scripts, and associated build and configuration files, Relating to the design, development, testing, verification, and manufacture of the LumiLink 800G-DR8 optical transceiver module, including all versions, branches, tags, and revisions maintained in any source-code repository or version-control system, from January 1, 2021 through the present.

REQUEST FOR PRODUCTION NO. 88:

All Source Code, including but not limited to RTL code, firmware, embedded software, FPGA design code, ASIC design code, testbench code, verification scripts, synthesis scripts, and associated build and configuration files, Relating to the design, development, testing, verification, and manufacture of the LumiEdge 1600G-LR optical transceiver module, including all versions, branches, tags, and revisions maintained in any source-code repository or version-control system, from January 1, 2022 through the present.

REQUEST FOR PRODUCTION NO. 89:

All photonic-IC layout files, including but not limited to GDSII stream format files, OASIS format files, and any other photonic-IC or electronic-IC layout data files, Relating to the photonic integrated circuit(s) incorporated in or designed for incorporation in the LumiLink 400G-ZR+ coherent optical transceiver module, from January 1, 2020 through the present. This Request encompasses all tape-out versions, design revisions, intermediate layout iterations, and final production layout files, together with any associated layer-mapping files, technology files, or display-configuration files.

REQUEST FOR PRODUCTION NO. 90:

All photonic-IC layout files, including but not limited to GDSII stream format files, OASIS format files, and any other photonic-IC or electronic-IC layout data files, Relating to the photonic integrated circuit(s) incorporated in or designed for incorporation in the LumiLink 800G-DR8 optical transceiver module, from January 1, 2021 through the present. This Request encompasses all tape-out versions, design revisions, intermediate layout iterations, and final production layout files, together with any associated layer-mapping files, technology files, or display-configuration files.

REQUEST FOR PRODUCTION NO. 91:

All photonic-IC layout files, including but not limited to GDSII stream format files, OASIS format files, and any other photonic-IC or electronic-IC layout data files, Relating to the photonic integrated circuit(s) incorporated in or designed for incorporation in the LumiEdge 1600G-LR optical transceiver module, from January 1, 2022 through the present. This Request encompasses all tape-out versions, design revisions, intermediate layout iterations, and final production layout files, together with any associated layer-mapping files, technology files, or display-configuration files.

REQUEST FOR PRODUCTION NO. 92:

All Mask Data, reticle data, and associated photomask specifications used in the fabrication of photonic integrated circuits, electronic integrated circuits, or optical components incorporated in any Accused Product, including but not limited to mask-order documentation, mask-shop work orders, mask-inspection reports, mask-defect reports, mask-revision logs, pellicle specifications, and any correspondence with mask shops or photomask vendors (including, without limitation, Ridgeway Industries, Kestrel Industries, and Tarrant & Co.) Relating to the fabrication of masks for any Accused Product or any component thereof.

REQUEST FOR PRODUCTION NO. 93:

All design-rule check ("DRC") reports and layout-versus-schematic ("LVS") reports generated during the design, verification, and sign-off of photonic-IC and electronic-IC layouts for any Accused Product, including but not limited to reports identifying design-rule violations, layout discrepancies, electrical-rule check ("ERC") violations, antenna-rule violations, and density-check results. This Request also encompasses all sign-off records, waivers of design-rule violations, and any documentation of intentional design-rule deviations approved by Lumicore's design team for any Accused Product.

REQUEST FOR PRODUCTION NO. 94:

All Fabrication Run Data for wafers containing photonic integrated circuits incorporated in or designed for incorporation in the LumiLink 400G-ZR+ coherent optical transceiver module, from January 1, 2021 through the present. Without limiting the generality of this Request, responsive Documents include foundry work orders, lot travelers, wafer-lot identification numbers, process-of-record specifications, split-lot records, in-line monitoring data, yield data (including die yield, wafer yield, and cumulative yield), parametric test results, wafer acceptance test ("WAT") results, bin-sort data, wafer maps, and any foundry-generated reports summarizing fabrication results for each lot.

REQUEST FOR PRODUCTION NO. 95:

All Fabrication Run Data for wafers containing photonic integrated circuits incorporated in or designed for incorporation in the LumiLink 800G-DR8 optical transceiver module, from January 1, 2022 through the present. Without limiting the generality of this Request, responsive Documents include the same categories of documents identified in Request No. 94.

REQUEST FOR PRODUCTION NO. 96:

All Fabrication Run Data for wafers containing photonic integrated circuits incorporated in or designed for incorporation in the LumiEdge 1600G-LR optical transceiver module, from January 1, 2023 through the present. Without limiting the generality of this Request, responsive Documents include the same categories of documents identified in Request No. 94.

REQUEST FOR PRODUCTION NO. 97:

All agreements, contracts, purchase orders, statements of work, master service agreements, quality agreements, non-disclosure agreements, and all amendments, addenda, supplements, and exhibits thereto, between Lumicore and any semiconductor foundry, fabrication facility, mask shop, or contract manufacturer Relating to the fabrication of photonic integrated circuits, electronic integrated circuits, or other semiconductor components incorporated in or designed for incorporation in any Accused Product. This Request includes, without limitation, agreements with Drayton Holdings, Thackeray Holdings, Ridgeline & Co., and any other foundry or fabrication partner that has manufactured wafers, dies, or components for any Accused Product.

REQUEST FOR PRODUCTION NO. 98:

All design files, simulation files, computer-aided design ("CAD") drawings, schematic diagrams, block diagrams, and engineering specifications Relating to the waveguide multiplexer or wavelength-division multiplexing ("WDM") component(s) of any Accused Product. Without limiting the generality of this Request, responsive Documents include design files for arrayed waveguide grating ("AWG") designs, Mach-Zehnder interferometer ("MZI")-based multiplexer designs, ring-resonator-based multiplexer designs, echelle grating designs, and any other photonic multiplexing architecture employed in any Accused Product. This Request also encompasses simulation data (including insertion-loss simulations, crosstalk simulations, and passband-shape simulations) generated during the design and optimization of such components.

This Request Relates to the asserted claims of the '847 Patent, specifically Claims 1, 3, 5, 9, and 14, and to the disputed claim-construction term "waveguide multiplexer" as briefed in the parties' Joint Claim Construction Statement (D.E. 38, filed October 21, 2024).

REQUEST FOR PRODUCTION NO. 99:

All design files, simulation files, schematic diagrams, block diagrams, and engineering specifications Relating to the coherent detection module(s) or coherent receiver component(s) of any Accused Product, including but not limited to optical hybrid designs (including 90-degree and 120-degree optical hybrid configurations), balanced photodetector configurations, transimpedance amplifier ("TIA") integration, and local oscillator ("LO") integration on silicon photonic substrates. This Request also encompasses simulation data (including sensitivity simulations, signal-to-noise ratio modeling, and bit-error-rate predictions) generated during the design and optimization of such components.

This Request Relates to the asserted claims of the '193 Patent, specifically Claims 1, 3, 7, 10, 15, and 18, and to the disputed claim-construction terms "integrated on a silicon substrate" and "coherent detection module" as briefed in the parties' Joint Claim Construction Statement (D.E. 38). This Request is also relevant to OWS's doctrine-of-equivalents contentions for Claims 3 and 7 of the '193 Patent, as set forth in OWS's Infringement Contentions (D.E. 33).

REQUEST FOR PRODUCTION NO. 100:

All design files, simulation files, thermal modeling data, computational fluid dynamics ("CFD") analysis reports, finite element analysis ("FEA") thermal simulation data, schematic diagrams, and engineering specifications Relating to the thermal management system(s) of any Accused Product, including but not limited to micro-channel heat sink designs, embedded cooling channel geometries, thermal-interface material ("TIM") specifications, heat-spreader designs, and any active or passive thermal management solutions incorporated in or designed for incorporation in any Accused Product. This Request also encompasses thermal characterization data, including junction-temperature measurements, thermal-resistance measurements, and thermal-impedance data.

This Request Relates to the asserted claims of the '562 Patent, specifically Claims 1, 4, 6, and 11, and to the disputed claim-construction term "micro-channel heat sink" as briefed in the parties' Joint Claim Construction Statement (D.E. 38).

REQUEST FOR PRODUCTION NO. 101:

All design files, simulation files, finite-difference time-domain ("FDTD") simulation data, eigenmode expansion ("EME") simulation data, schematic diagrams, and engineering specifications Relating to the grating coupler(s) of any Accused Product, including but not limited to polarization-diverse grating coupler designs, two-dimensional grating designs, sub-wavelength grating structures, apodized grating designs, polarization-splitting elements, and any other grating-coupler architecture employed in any Accused Product. This Request also encompasses coupling-efficiency simulation data, polarization-dependent loss simulations, wavelength-sensitivity analysis, and far-field radiation pattern simulations for such components.

This Request Relates to the asserted claims of the '015 Patent, specifically Claims 1, 5, 8, 12, and 16, and to the disputed claim-construction term "polarization-diverse grating coupler" as briefed in the parties' Joint Claim Construction Statement (D.E. 38). This Request is also relevant to OWS's doctrine-of-equivalents contention for Claim 12 of the '015 Patent regarding the "two-dimensional sub-wavelength grating" limitation, as set forth in OWS's Infringement Contentions (D.E. 33).

REQUEST FOR PRODUCTION NO. 102:

All optical simulation data, including but not limited to beam propagation method ("BPM") simulation results, FDTD simulation results, EME simulation results, and circuit-level photonic simulation results (including simulations performed using Marlowe Systems, Marlowe Technologies, cadence VPI, Luceda IPKISS, or any other photonic simulation platform), for any photonic component incorporated in or designed for incorporation in any Accused Product. Without limiting the generality of this Request, responsive Documents include insertion-loss characterization data, crosstalk analysis data, polarization-dependent loss ("PDL") modeling data, coupling-efficiency simulations, mode-field distribution data, and any other optical performance simulation results generated during the design, optimization, or verification of photonic components for any Accused Product.

REQUEST FOR PRODUCTION NO. 103:

All engineering change orders ("ECOs"), design change notices ("DCNs"), engineering change notices ("ECNs"), revision history logs, product-change notifications, and all associated documentation Reflecting modifications to the design of any Accused Product or any photonic-IC, electronic-IC, or optical component thereof, from initial design concept through current production. This Request encompasses all such change documentation regardless of whether the change was implemented, deferred, or rejected, and includes the stated reason for each proposed change, the technical description of the change, the approval status, and the identity of all individuals involved in approving or implementing the change.

REQUEST FOR PRODUCTION NO. 104:

All tape-out checklists, tape-out sign-off documentation, tape-out review meeting minutes, tape-out approval records, and tape-out readiness assessments for each photonic-IC or electronic-IC tape-out associated with any Accused Product. This Request includes documentation for all tape-outs, including initial tape-outs, re-spins, and engineering-change tape-outs, and encompasses any pre-tape-out verification reports, post-tape-out review notes, and any communications among Lumicore personnel or between Lumicore and its foundry partners regarding tape-out readiness or tape-out results.

REQUEST FOR PRODUCTION NO. 105:

All minutes, agendas, presentations, slide decks, attendee lists, and action-item lists for design review meetings Relating to any Accused Product, from initial concept through current production. Without limiting the generality of this Request, responsive Documents include records of preliminary design reviews ("PDRs"), critical design reviews ("CDRs"), production readiness reviews ("PRRs"), test readiness reviews ("TRRs"), and any ad hoc or informal design review meetings conducted by Lumicore's engineering teams for any Accused Product.

This Request specifically encompasses the design-phase meetings identified in Dr. Sandra Michaud's deposition testimony (Michaud Dep. Tr. at 87:3–89:22, November 19, 2024), during which OWS's published patent applications were allegedly reviewed and discussed by members of Lumicore's product design team. Dr. Michaud testified that slides were presented at certain design review meetings that included citations to OWS's published patent applications, and that action items were assigned in connection with those discussions. OWS seeks all documents generated in connection with or reflecting the substance of those meetings.

REQUEST FOR PRODUCTION NO. 106:

All version-control commit logs, check-in histories, branch and merge records, tag records, and associated metadata (including, without limitation, author identification, timestamp, commit message, file path, and diff or change summary) for all Source Code and design-file repositories Relating to any Accused Product, from January 1, 2020 through the present. This Request encompasses commit logs and change histories maintained in any version-control system, including Git, Subversion (SVN), Perforce, Mercurial, or any other version-control platform used by Lumicore, and includes logs for all branches, including development branches, release branches, feature branches, and hotfix branches.

REQUEST FOR PRODUCTION NO. 107:

All test reports, characterization data, performance benchmarking data, and qualification test results for any Accused Product, including but not limited to: (a) optical performance data, including insertion loss, return loss, extinction ratio, bit-error rate ("BER"), optical signal-to-noise ratio ("OSNR"), modulation amplitude, receiver sensitivity, and wavelength accuracy; (b) thermal performance data, including junction temperature measurements, thermal resistance measurements (θJA, θJC), and thermal-impedance data; (c) electrical performance data, including power consumption, signal integrity, and eye-diagram measurements; and (d) reliability test data, including high-temperature operating life ("HTOL") test results, highly accelerated stress test ("HAST") results, thermal cycling test results, mechanical shock and vibration test results, and damp-heat test results. This Request encompasses all such data generated during development, qualification, and production, and includes data from both internal Lumicore testing and testing performed by third-party test laboratories or customers.

REQUEST FOR PRODUCTION NO. 108:

All design-for-manufacturing ("DFM") analysis reports, process design kits ("PDKs") used (including documentation and release notes for each PDK version), foundry-provided design rules (including photonic-specific design rules, electronic design rules, and combined photonic-electronic design rules), optical-proximity-correction ("OPC") files, and manufacturing-readiness assessments for photonic-IC components incorporated in or designed for incorporation in any Accused Product. This Request also encompasses any DFM-related correspondence between Lumicore and its foundry partners regarding design-rule compliance, yield-enhancement strategies, or process-compatibility issues for photonic-IC components of any Accused Product.

REQUEST FOR PRODUCTION NO. 109:

All Communications between Lumicore and any foundry, fabrication facility, mask shop, or contract manufacturer Relating to the fabrication, yield improvement, process optimization, defect analysis, failure analysis, or wafer-level testing of photonic-IC components incorporated in or designed for incorporation in any Accused Product. Without limiting the generality of this Request, responsive Documents include emails, meeting minutes, teleconference notes, trip reports for foundry visits, engineering lot disposition discussions, yield-enhancement action items, and any correspondence regarding process splits, test-chip results, or process-of-record changes affecting photonic-IC components of any Accused Product.

REQUEST FOR PRODUCTION NO. 110:

All bills of materials ("BOMs"), including component-level BOMs, sub-assembly BOMs, and system-level BOMs, for each Accused Product, from initial production through the present, including all revisions and amendments thereto. This Request encompasses BOMs maintained in any format, including BOMs stored in enterprise resource planning ("ERP") systems (such as SAP, Ridgeline Industries, or Northpoint Software), product lifecycle management ("PLM") systems, or standalone spreadsheets, and includes the identification of each component by part number, manufacturer, and supplier, together with the quantity, unit cost, and extended cost of each component.

REQUEST FOR PRODUCTION NO. 111:

All Documents Relating to any analysis, evaluation, investigation, development, or implementation of non-infringing design alternatives for any Accused Product or any component thereof, including but not limited to design-around studies, alternative-architecture evaluations, feasibility assessments, cost analyses, timeline estimates, performance-impact assessments, and all Communications (whether internal to Lumicore or with third parties) regarding the identification, evaluation, or implementation of any non-infringing design alternative.

This Request follows up on the deficiency identified during the deposition of Lumicore's Rule 30(b)(6) designee on Topic 14 (non-infringing alternatives), at which the designee was unable to identify any specific non-infringing design alternatives that Lumicore had evaluated or considered. Additionally, the deposition of General Counsel Raymond Bautista on December 3, 2024, confirmed that no formal design-around analysis was commissioned by Lumicore prior to the launch of the LumiEdge 1600G-LR module in the fourth quarter of 2023. OWS seeks all documents bearing on the availability, feasibility, cost, and timing of non-infringing alternatives, which are relevant to, among other things, OWS's claims for damages, including lost profits and reasonable royalty, and to the question of irreparable harm in connection with any motion for injunctive relief.

REQUEST FOR PRODUCTION NO. 112:

All Documents Relating to any redesign, re-engineering, modification, or alteration of any Accused Product or any component thereof undertaken, planned, or considered after April 22, 2024 (the date OWS filed its Complaint in this action), including but not limited to design specifications, engineering plans, project timelines, milestone schedules, staffing plans, resource-allocation documents, cost estimates, capital-expenditure requests, and all Communications (whether internal to Lumicore or with third parties, including foundry partners and customers) regarding any proposed, planned, or actual redesign or modification.

Lumicore has represented in prior discovery responses that a redesign of the Accused Products to avoid the Asserted Patents would require approximately eighteen (18) to twenty-four (24) months. OWS seeks all documents that corroborate, qualify, or contradict that estimate, including any internal engineering assessments, project-management documents, or consultant reports bearing on the scope, cost, and timeline of any such redesign effort.

REQUEST FOR PRODUCTION NO. 113:

All Documents Relating to any review, analysis, assessment, evaluation, or discussion within Lumicore (or between Lumicore and any third party) of any of the Asserted Patents or any published patent application corresponding thereto, at any time from January 1, 2016 through the present. Without limiting the generality of this Request, responsive Documents include any opinion letters, freedom-to-operate analyses, claim charts, infringement analyses, validity analyses, design-around assessments, and any Communications among Lumicore personnel or between Lumicore and outside counsel, patent agents, or technical consultants regarding any of the Asserted Patents. This Request specifically encompasses Documents Relating to Published Application No. US 2018/0123456, which corresponds to the '193 Patent.

Dr. Sandra Michaud's November 19, 2024 deposition testimony confirmed that she personally reviewed OWS's Published Application No. US 2018/0123456 during the design phase of the LumiLink 400G-ZR+ module (Michaud Dep. Tr. at 156:4–158:12). Additionally, OWS anticipates testimony from former Lumicore engineer Melissa Chen (now employed by Veridian Photonics, Inc.) that members of Lumicore's LumiLink 400G-ZR+ design team accessed and reviewed multiple OWS published patent applications during the product design phase in 2021–2022. This Request is directly relevant to OWS's willful-infringement allegations, as set forth in Counts V through VIII of OWS's First Amended Complaint (D.E. 22).

REQUEST FOR PRODUCTION NO. 114:

All Documents Relating to any prior-art searches, freedom-to-operate ("FTO") analyses, patentability searches, patentability opinions, invalidity searches, or invalidity opinions conducted by or on behalf of Lumicore Relating to any of the Asserted Patents or the technology embodied in any Accused Product. Without limiting the generality of this Request, responsive Documents include search reports, search queries and strategies, instructions to search firms or patent-search vendors (including, without limitation, Marlowe Asset Management Patent Analytics, Inc.), search results, prior-art reference lists, annotated prior-art references, claim charts mapping prior art to patent claims, and any Communications between Lumicore and any search firm, patent-search vendor, or outside counsel regarding the scope, methodology, or results of any such search or analysis.

REQUEST FOR PRODUCTION NO. 115:

All internal design documents, engineering notebooks, invention disclosures, invention records, technical memoranda, design specifications, simulation reports, test reports, and any other Documents created by Lumicore or any of its current or former employees between January 1, 2016 and August 30, 2019 (the filing date of the '015 Patent) that Lumicore contends support its prior-conception defense to the validity of the '015 Patent, as asserted in Lumicore's Invalidity Contentions (D.E. 36, served October 14, 2024).

In its Invalidity Contentions, Lumicore cited "internal design documents" dated 2016–2017 as purported evidence of prior conception of the subject matter claimed in the '015 Patent. OWS seeks production of all such documents in order to assess the merits of Lumicore's prior-conception defense, including but not limited to the sufficiency of corroboration as required under Price v. Symsek, 988 F.2d 1187 (Fed. Cir. 1993), and its progeny. This Request also encompasses any documents Relating to the reduction to practice of any invention that Lumicore contends was conceived prior to the '015 Patent's filing date, including prototypes, test results, fabrication records, and any Communications with third parties regarding the conception or development of such invention.

V. CERTIFICATION

The undersigned counsel hereby certifies that this Second Set of Requests for Production of Documents is consistent with and proportional to the needs of this case, considering the importance of the issues at stake in the action, the amount in controversy, the parties' relative access to relevant information, the parties' resources, the importance of the discovery in resolving the issues, and whether the burden or expense of the proposed discovery outweighs its likely benefit. These Requests are not propounded for any improper purpose, including to harass Lumicore, to cause unnecessary delay, or to needlessly increase the cost of litigation, and are served in compliance with Federal Rule of Civil Procedure 26(b)(1) and the Court's Scheduling Order (D.E. 27).

The undersigned further certifies that counsel for OWS made a good-faith effort to confer with counsel for Lumicore regarding the scope and necessity of these supplemental Requests prior to service. Specifically, Wendy Schultz of Calderwood & Harkness LLP corresponded with Samantha Briggs of Hawthorne Vega & Cruz LLP on October 28, 2024, identifying the deficiencies in Lumicore's prior productions and describing the categories of additional documents OWS intended to seek. A follow-up telephonic conference between Ms. Schultz and Ms. Briggs took place on October 31, 2024, during which the parties discussed, but were unable to resolve, certain of the outstanding production issues, necessitating the service of these supplemental Requests.

Respectfully submitted,

CALDERWOOD & HARKNESS LLP

By: ________

Alan Ngo (CA Bar No. 287451; admitted pro hac vice) Marcus Delgado (TX Bar No. 24098317) Wendy Schultz (CA Bar No. 301289; admitted pro hac vice) Omar Siddiqui (CA Bar No. 312764; admitted pro hac vice) 350 South Grand Avenue, 48th Floor Los Angeles, California 90071 Telephone: (213) 443-7200 Facsimile: (213) 443-7201 ango@calderwoodharkness.com mdelgado@calderwoodharkness.com wschultz@calderwoodharkness.com osiddiqui@calderwoodharkness.com

WHITMORE & CALLAHAN LLP

James "Jim" Callahan (TX Bar No. 24056892) 110 North College Avenue, Suite 800 Tyler, Texas 75702 Telephone: (903) 555-4100 Facsimile: (903) 555-4101 jcallahan@whitmorecallahan.com

Counsel for Plaintiff Optiwave Semiconductor Corp.

CERTIFICATE OF SERVICE

I hereby certify that on November 4, 2024, a true and correct copy of the foregoing Plaintiff Optiwave Semiconductor Corp.'s Second Set of Requests for Production of Documents to Defendant Lumicore Technologies, Inc. (Request Nos. 86–115) was served upon the following counsel of record for Defendant Lumicore Technologies, Inc. via the Court's CM/ECF electronic filing system and by electronic mail:

Catherine "Kate" Rourke Darren Cho Samantha Briggs Rohan Iyer Hawthorne Vega & Cruz LLP 600 Congress Avenue, Suite 2400 Austin, Texas 78701 krourke@hawthornevega.com dcho@hawthornevega.com sbriggs@hawthornevega.com riyer@hawthornevega.com

Maria Garza Trask Eddington LLP 425 East Front Street, Suite 300 Tyler, Texas 75701 mgarza@traskeddington.com

Counsel for Defendant Lumicore Technologies, Inc.

By: ________

Alan Ngo

OPTIWAVE SEMICONDUCTOR CORP.,

Plaintiff,

v.	Case No. 2:24-cv-00319-JRG
LUMICORE TECHNOLOGIES, INC.,	Judge James R. Gilstrap

Defendant.

UNITED STATES DISTRICT COURT EASTERN DISTRICT OF TEXAS MARSHALL DIVISION
PLAINTIFF OPTIWAVE SEMICONDUCTOR CORP.'S SECOND SET OF REQUESTS FOR PRODUCTION OF DOCUMENTS TO DEFENDANT LUMICORE TECHNOLOGIES, INC.
(Request Nos. 86–115)
Date Served: November 4, 2024
I. INTRODUCTORY STATEMENT
Plaintiff Optiwave Semiconductor Corp. ("OWS"), by and through its counsel of record, Calderwood & Harkness LLP and local counsel Whitmore & Callahan LLP, hereby propounds its Second Set of Requests for Production of Documents (Request Nos. 86–115) upon Defendant Lumicore Technologies, Inc. ("Lumicore"), pursuant to Federal Rules of Civil Procedure 26 and 34, the Local Rules of the United States District Court for the Eastern District of Texas, and the Court's Scheduling Order (D.E. 27, entered August 12, 2024).
Lumicore shall produce all responsive, non-privileged documents within thirty (30) days of service of these Requests, or as otherwise agreed by the parties or ordered by the Court. To the extent Lumicore requires additional time to locate, collect, or review certain categories of responsive documents, OWS is willing to discuss a reasonable rolling-production schedule, provided that Lumicore promptly identifies the categories requiring additional time and provides a good-faith timeline for their production.
These supplemental Requests for Production are necessitated by gaps identified in Lumicore's responses and document productions in connection with OWS's First Set of Requests for Production (Request Nos. 1–85, served August 26, 2024). As previously communicated via correspondence from Wendy Schultz to Samantha Briggs dated October 28, 2024, OWS identified specific deficiencies in Lumicore's productions, including, without limitation, missing source-code repositories for photonic-IC control firmware and DSP code referenced in the deposition testimony of Lumicore's Chief Technology Officer, Dr. Sandra Michaud, and the absence of mask files and photonic-IC layout data that Lumicore acknowledged exist but failed to produce. These supplemental Requests are designed to address those deficiencies, to seek additional categories of documents relevant to the issues raised by the pleadings and discovery to date, and to ensure the completeness of the record as the parties approach the close of fact discovery.
All documents responsive to these Requests shall be produced in accordance with the ESI Protocol Agreement dated August 15, 2024, and the Stipulated Protective Order (D.E. 30), including the three-tier confidentiality designations established therein: "Confidential," "Highly Confidential — Attorneys' Eyes Only," and "Highly Confidential — Source Code." To the extent any responsive documents contain source code or mask data, such materials shall be produced under the "Highly Confidential — Source Code" designation and in the manner prescribed by the ESI Protocol Agreement and the Stipulated Protective Order.
II. DEFINITIONS
As used in these Requests for Production, the following terms shall have the meanings set forth below. These definitions are intended to supplement, not supplant, the definitions contained in the Federal Rules of Civil Procedure and the Local Rules of this Court. To the extent any definition herein conflicts with the Federal Rules, the broader definition shall apply.
A. "Asserted Patents" shall mean the following United States patents, each of which has been asserted by OWS against Lumicore in this action:
(1) U.S. Patent No. 10,234,847 (the "'847 Patent"), entitled "Multi-Channel Silicon Photonic Waveguide Multiplexer with Low Insertion Loss," filed September 14, 2016, issued March 19, 2019, and assigned to OWS;
(2) U.S. Patent No. 10,891,193 (the "'193 Patent"), entitled "High-Bandwidth Coherent Optical Transceiver Integrated on Silicon Substrate," filed April 7, 2017, issued January 12, 2021, and assigned to OWS;
(3) U.S. Patent No. 9,678,562 (the "'562 Patent"), entitled "Method for Thermal Management of Photonic Integrated Circuits Using Embedded Micro-Channel Heat Sinks," filed November 22, 2014, issued June 13, 2017, and assigned to OWS; and
(4) U.S. Patent No. 11,402,015 (the "'015 Patent"), entitled "Polarization-Diverse Grating Coupler for Silicon Photonic Transceivers," filed August 30, 2019, issued August 2, 2022, and assigned to OWS.
B. "Accused Products" shall mean the following products manufactured, sold, offered for sale, used, and/or imported by Lumicore, as identified in OWS's Infringement Contentions (D.E. 33, served September 30, 2024):
(1) The LumiLink 400G-ZR+ coherent optical transceiver module (launched in or about the third quarter of 2022);
(2) The LumiLink 800G-DR8 optical transceiver module (launched in or about the first quarter of 2023); and
(3) The LumiEdge 1600G-LR optical transceiver module (launched in or about the fourth quarter of 2023).
The term "Accused Products" includes all versions, revisions, engineering samples, prototypes, evaluation units, pre-production units, and variants of the foregoing products, regardless of model number designation, SKU, or product code, and regardless of the customer for whom such products were manufactured, configured, or customized.
C. "Document" or "Documents" shall have the broadest meaning permissible under Federal Rule of Civil Procedure 34(a) and shall include, without limitation, all writings, drawings, graphs, charts, photographs, sound recordings, images, electronically stored information ("ESI"), and other data or data compilations, in any medium, from which information can be obtained, whether directly or after translation by the responding party into a reasonably usable form. The term includes, without limitation, source code, hardware description language ("HDL") files, layout files, mask files, GDSII files, OASIS files, simulation data, spreadsheets, databases, emails, text messages, instant messages, Meridian Solutions messages, Northgate Data Systems messages, calendar entries, voicemail recordings, and all other materials stored in electronic or physical form.
D. "You," "Your," and "Lumicore" shall mean Lumicore Technologies, Inc., together with its current and former officers, directors, employees, agents, representatives, subsidiaries, affiliates, predecessors, successors, and assigns, and any persons or entities acting or purporting to act on its behalf. Without limiting the generality of the foregoing, the term includes, but is not limited to, the following individuals: Chief Executive Officer Thomas Kessler; Chief Technology Officer Dr. Sandra Michaud; General Counsel Raymond Bautista; Vice President of Product Development Dr. Eric Dalmqvist; and Chief Financial Officer Janet Moreno.
E. "Relating to" or "Concerning" shall mean referring to, reflecting, evidencing, constituting, describing, discussing, analyzing, mentioning, embodying, identifying, or pertaining to the subject matter in question, whether directly or indirectly, in whole or in part.
F. "Communication" shall mean every disclosure, transfer, or exchange of information, whether oral, written, or electronic, between two or more persons, including but not limited to emails, text messages, instant messages (including messages sent or received via Meridian Solutions, Northgate Data Systems, or similar collaboration platforms), memoranda, letters, facsimiles, presentations, meeting notes, handwritten notes, and any other form of correspondence or dialogue.
G. "Person" shall mean any natural person, corporation, partnership, limited liability company, joint venture, association, governmental body or agency, or any other legal, commercial, or organizational entity or body.
H. "Source Code" shall mean all human-readable programming instructions, hardware description language code (including, without limitation, Verilog, VHDL, and SystemVerilog), register transfer level ("RTL") descriptions, netlists, firmware, embedded software, application software, scripts, configuration files, build files, makefiles, testbench code, verification scripts, synthesis scripts, place-and-route scripts, and all associated inline comments, documentation, and readme files. The term includes all such materials regardless of the programming language in which they are written and regardless of the medium on which they are stored.
I. "Mask Files" or "Mask Data" shall mean all photomask layout data, GDSII stream format files, OASIS format files, photonic-IC layout files, reticle data, mask-order specifications, mask-shop instructions, and all design-rule check ("DRC") reports, layout-versus-schematic ("LVS") reports, and electrical-rule check ("ERC") reports used in connection with or generated during the design, verification, or fabrication of photonic integrated circuits, electronic integrated circuits, or optical components incorporated in or designed for incorporation in the Accused Products.
J. "Fabrication Run Data" shall mean all records, reports, logs, databases, and other documentation relating to semiconductor fabrication runs, wafer lots, foundry work orders, process-of-record documentation, wafer-process specifications, yield data (including die yield, wafer yield, and cumulative yield), parametric test data, wafer acceptance test ("WAT") results, in-line monitoring data, lot travelers, bin-sort data, and wafer maps for wafers containing photonic integrated circuits, electronic integrated circuits, or other semiconductor components incorporated in or designed for incorporation in the Accused Products.
K. "Relevant Time Period" shall mean the period from January 1, 2020 through the date of Lumicore's production in response to these Requests, unless a different time period is expressly specified in a particular Request. Where a Request specifies a particular start date, the end date shall be the date of production unless otherwise stated.
III. INSTRUCTIONS
A. General Instructions
The following instructions apply to each of the Requests for Production set forth below. To the extent these instructions conflict with any applicable Federal Rule, Local Rule, or Court Order, the applicable Rule or Order shall control.
1. Each Request shall be construed independently and shall not be read as limiting or restricting the scope of any other Request. To the extent any two or more Requests overlap in scope, Lumicore need only produce a single copy of any Document responsive to more than one Request, provided that Lumicore identifies the Requests to which each such Document is responsive.
2. If any Document responsive to any Request is withheld, in whole or in part, on the grounds of attorney-client privilege, work-product protection, or any other privilege or immunity from discovery, Lumicore shall provide a privilege log entry for each such Document in compliance with Federal Rule of Civil Procedure 26(b)(5)(A) and the Court's Scheduling Order (D.E. 27). Each privilege log entry shall contain sufficient detail to enable OWS and, if necessary, the Court to assess the validity of the asserted privilege, including: (a) the type of Document; (b) the date of the Document; (c) the author(s) and recipient(s) of the Document (including all persons copied); (d) a description of the subject matter of the Document that is sufficiently detailed to assess the privilege claim without revealing privileged content; and (e) the specific privilege(s) asserted.
3. Documents shall be produced as they are kept in the ordinary course of business, or shall be organized and labeled to correspond to the categories in these Requests, in accordance with Federal Rule of Civil Procedure 34(b)(2)(E).
4. Source Code and Mask Files shall be produced in their native format in accordance with the ESI Protocol Agreement dated August 15, 2024. Source Code shall be made available for review at a designated secure facility or via a secure source-code review platform, as specified in the "Highly Confidential — Source Code" tier of the Stipulated Protective Order (D.E. 30). Mask Files in GDSII or OASIS format shall be produced in their native binary format, accompanied by any associated layer-mapping files, technology files, or display-configuration files necessary to render the layout data in a commercially available layout viewer (e.g., Marlowe Health IT, Mentor Calibre, or Halcyon Services Inc.).
5. Where a Request seeks "all Documents," it includes Documents in the possession, custody, or control of Lumicore, including but not limited to Documents held by Lumicore's agents, consultants, contract engineers, foundry partners, design houses, mask shops, assembly and test subcontractors, or other third parties, to the extent that Lumicore has a legal right or practical ability to obtain such Documents.
6. If any Document responsive to any Request has been lost, discarded, destroyed, overwritten, or is otherwise unavailable, Lumicore shall: (a) identify the Document with reasonable specificity; (b) describe its contents to the best of Lumicore's knowledge, information, and belief; (c) state the circumstances of its loss, destruction, or unavailability, including when and how the loss or destruction occurred; (d) identify the last known custodian of the Document; and (e) identify any other person who may have knowledge of the Document's contents.
7. If Lumicore contends that any Request is overbroad, unduly burdensome, or disproportionate to the needs of the case, Lumicore shall: (a) produce all responsive Documents as to which no objection is asserted; (b) identify with particularity the specific portion(s) of the Request to which Lumicore objects; and (c) describe the basis for the objection in sufficient detail to allow OWS and the Court to evaluate the objection. General or boilerplate objections shall not be deemed sufficient.
B. Continuing Obligation
Pursuant to Federal Rule of Civil Procedure 26(e), Lumicore has a continuing obligation to supplement its responses and document productions in a timely manner if it learns that a response is in some material respect incomplete or incorrect, and if the additional or corrective information has not otherwise been made known to OWS during the discovery process or in writing. This obligation extends to all Requests contained herein and shall continue through trial.
IV. REQUESTS FOR PRODUCTION
REQUEST FOR PRODUCTION NO. 86:
All Source Code, including but not limited to RTL code, firmware, embedded software, FPGA design code, ASIC design code, testbench code, verification scripts, synthesis scripts, and associated build and configuration files, Relating to the design, development, testing, verification, and manufacture of the LumiLink 400G-ZR+ coherent optical transceiver module, including all versions, branches, tags, and revisions maintained in any source-code repository or version-control system (including, without limitation, Git, Subversion (SVN), Perforce, Mercurial, or any other version-control system), from January 1, 2020 through the present.
This Request specifically targets Source Code files and repositories that were not produced in response to OWS's First Set of Requests for Production Nos. 12, 14, and 27. In particular, OWS seeks the photonic-IC control firmware and digital signal processing ("DSP") code that Dr. Sandra Michaud identified during her November 19, 2024 deposition as residing in Lumicore's internal "PhotonCore" repository (Michaud Dep. Tr. at 142:8–143:15). Dr. Michaud testified that the PhotonCore repository contains firmware modules responsible for controlling the tunable laser source, the modulator bias control loop, and the coherent receiver DSP pipeline within the LumiLink 400G-ZR+ module, none of which were included in Lumicore's prior production.
REQUEST FOR PRODUCTION NO. 87:
All Source Code, including but not limited to RTL code, firmware, embedded software, FPGA design code, ASIC design code, testbench code, verification scripts, synthesis scripts, and associated build and configuration files, Relating to the design, development, testing, verification, and manufacture of the LumiLink 800G-DR8 optical transceiver module, including all versions, branches, tags, and revisions maintained in any source-code repository or version-control system, from January 1, 2021 through the present.
REQUEST FOR PRODUCTION NO. 88:
All Source Code, including but not limited to RTL code, firmware, embedded software, FPGA design code, ASIC design code, testbench code, verification scripts, synthesis scripts, and associated build and configuration files, Relating to the design, development, testing, verification, and manufacture of the LumiEdge 1600G-LR optical transceiver module, including all versions, branches, tags, and revisions maintained in any source-code repository or version-control system, from January 1, 2022 through the present.
REQUEST FOR PRODUCTION NO. 89:
All photonic-IC layout files, including but not limited to GDSII stream format files, OASIS format files, and any other photonic-IC or electronic-IC layout data files, Relating to the photonic integrated circuit(s) incorporated in or designed for incorporation in the LumiLink 400G-ZR+ coherent optical transceiver module, from January 1, 2020 through the present. This Request encompasses all tape-out versions, design revisions, intermediate layout iterations, and final production layout files, together with any associated layer-mapping files, technology files, or display-configuration files.
REQUEST FOR PRODUCTION NO. 90:
All photonic-IC layout files, including but not limited to GDSII stream format files, OASIS format files, and any other photonic-IC or electronic-IC layout data files, Relating to the photonic integrated circuit(s) incorporated in or designed for incorporation in the LumiLink 800G-DR8 optical transceiver module, from January 1, 2021 through the present. This Request encompasses all tape-out versions, design revisions, intermediate layout iterations, and final production layout files, together with any associated layer-mapping files, technology files, or display-configuration files.
REQUEST FOR PRODUCTION NO. 91:
All photonic-IC layout files, including but not limited to GDSII stream format files, OASIS format files, and any other photonic-IC or electronic-IC layout data files, Relating to the photonic integrated circuit(s) incorporated in or designed for incorporation in the LumiEdge 1600G-LR optical transceiver module, from January 1, 2022 through the present. This Request encompasses all tape-out versions, design revisions, intermediate layout iterations, and final production layout files, together with any associated layer-mapping files, technology files, or display-configuration files.
REQUEST FOR PRODUCTION NO. 92:
All Mask Data, reticle data, and associated photomask specifications used in the fabrication of photonic integrated circuits, electronic integrated circuits, or optical components incorporated in any Accused Product, including but not limited to mask-order documentation, mask-shop work orders, mask-inspection reports, mask-defect reports, mask-revision logs, pellicle specifications, and any correspondence with mask shops or photomask vendors (including, without limitation, Ridgeway Industries, Kestrel Industries, and Tarrant & Co.) Relating to the fabrication of masks for any Accused Product or any component thereof.
REQUEST FOR PRODUCTION NO. 93:
All design-rule check ("DRC") reports and layout-versus-schematic ("LVS") reports generated during the design, verification, and sign-off of photonic-IC and electronic-IC layouts for any Accused Product, including but not limited to reports identifying design-rule violations, layout discrepancies, electrical-rule check ("ERC") violations, antenna-rule violations, and density-check results. This Request also encompasses all sign-off records, waivers of design-rule violations, and any documentation of intentional design-rule deviations approved by Lumicore's design team for any Accused Product.
REQUEST FOR PRODUCTION NO. 94:
All Fabrication Run Data for wafers containing photonic integrated circuits incorporated in or designed for incorporation in the LumiLink 400G-ZR+ coherent optical transceiver module, from January 1, 2021 through the present. Without limiting the generality of this Request, responsive Documents include foundry work orders, lot travelers, wafer-lot identification numbers, process-of-record specifications, split-lot records, in-line monitoring data, yield data (including die yield, wafer yield, and cumulative yield), parametric test results, wafer acceptance test ("WAT") results, bin-sort data, wafer maps, and any foundry-generated reports summarizing fabrication results for each lot.
REQUEST FOR PRODUCTION NO. 95:
All Fabrication Run Data for wafers containing photonic integrated circuits incorporated in or designed for incorporation in the LumiLink 800G-DR8 optical transceiver module, from January 1, 2022 through the present. Without limiting the generality of this Request, responsive Documents include the same categories of documents identified in Request No. 94.
REQUEST FOR PRODUCTION NO. 96:
All Fabrication Run Data for wafers containing photonic integrated circuits incorporated in or designed for incorporation in the LumiEdge 1600G-LR optical transceiver module, from January 1, 2023 through the present. Without limiting the generality of this Request, responsive Documents include the same categories of documents identified in Request No. 94.
REQUEST FOR PRODUCTION NO. 97:
All agreements, contracts, purchase orders, statements of work, master service agreements, quality agreements, non-disclosure agreements, and all amendments, addenda, supplements, and exhibits thereto, between Lumicore and any semiconductor foundry, fabrication facility, mask shop, or contract manufacturer Relating to the fabrication of photonic integrated circuits, electronic integrated circuits, or other semiconductor components incorporated in or designed for incorporation in any Accused Product. This Request includes, without limitation, agreements with Drayton Holdings, Thackeray Holdings, Ridgeline & Co., and any other foundry or fabrication partner that has manufactured wafers, dies, or components for any Accused Product.
REQUEST FOR PRODUCTION NO. 98:
All design files, simulation files, computer-aided design ("CAD") drawings, schematic diagrams, block diagrams, and engineering specifications Relating to the waveguide multiplexer or wavelength-division multiplexing ("WDM") component(s) of any Accused Product. Without limiting the generality of this Request, responsive Documents include design files for arrayed waveguide grating ("AWG") designs, Mach-Zehnder interferometer ("MZI")-based multiplexer designs, ring-resonator-based multiplexer designs, echelle grating designs, and any other photonic multiplexing architecture employed in any Accused Product. This Request also encompasses simulation data (including insertion-loss simulations, crosstalk simulations, and passband-shape simulations) generated during the design and optimization of such components.
This Request Relates to the asserted claims of the '847 Patent, specifically Claims 1, 3, 5, 9, and 14, and to the disputed claim-construction term "waveguide multiplexer" as briefed in the parties' Joint Claim Construction Statement (D.E. 38, filed October 21, 2024).
REQUEST FOR PRODUCTION NO. 99:
All design files, simulation files, schematic diagrams, block diagrams, and engineering specifications Relating to the coherent detection module(s) or coherent receiver component(s) of any Accused Product, including but not limited to optical hybrid designs (including 90-degree and 120-degree optical hybrid configurations), balanced photodetector configurations, transimpedance amplifier ("TIA") integration, and local oscillator ("LO") integration on silicon photonic substrates. This Request also encompasses simulation data (including sensitivity simulations, signal-to-noise ratio modeling, and bit-error-rate predictions) generated during the design and optimization of such components.
This Request Relates to the asserted claims of the '193 Patent, specifically Claims 1, 3, 7, 10, 15, and 18, and to the disputed claim-construction terms "integrated on a silicon substrate" and "coherent detection module" as briefed in the parties' Joint Claim Construction Statement (D.E. 38). This Request is also relevant to OWS's doctrine-of-equivalents contentions for Claims 3 and 7 of the '193 Patent, as set forth in OWS's Infringement Contentions (D.E. 33).
REQUEST FOR PRODUCTION NO. 100:
All design files, simulation files, thermal modeling data, computational fluid dynamics ("CFD") analysis reports, finite element analysis ("FEA") thermal simulation data, schematic diagrams, and engineering specifications Relating to the thermal management system(s) of any Accused Product, including but not limited to micro-channel heat sink designs, embedded cooling channel geometries, thermal-interface material ("TIM") specifications, heat-spreader designs, and any active or passive thermal management solutions incorporated in or designed for incorporation in any Accused Product. This Request also encompasses thermal characterization data, including junction-temperature measurements, thermal-resistance measurements, and thermal-impedance data.
This Request Relates to the asserted claims of the '562 Patent, specifically Claims 1, 4, 6, and 11, and to the disputed claim-construction term "micro-channel heat sink" as briefed in the parties' Joint Claim Construction Statement (D.E. 38).
REQUEST FOR PRODUCTION NO. 101:
All design files, simulation files, finite-difference time-domain ("FDTD") simulation data, eigenmode expansion ("EME") simulation data, schematic diagrams, and engineering specifications Relating to the grating coupler(s) of any Accused Product, including but not limited to polarization-diverse grating coupler designs, two-dimensional grating designs, sub-wavelength grating structures, apodized grating designs, polarization-splitting elements, and any other grating-coupler architecture employed in any Accused Product. This Request also encompasses coupling-efficiency simulation data, polarization-dependent loss simulations, wavelength-sensitivity analysis, and far-field radiation pattern simulations for such components.
This Request Relates to the asserted claims of the '015 Patent, specifically Claims 1, 5, 8, 12, and 16, and to the disputed claim-construction term "polarization-diverse grating coupler" as briefed in the parties' Joint Claim Construction Statement (D.E. 38). This Request is also relevant to OWS's doctrine-of-equivalents contention for Claim 12 of the '015 Patent regarding the "two-dimensional sub-wavelength grating" limitation, as set forth in OWS's Infringement Contentions (D.E. 33).
REQUEST FOR PRODUCTION NO. 102:
All optical simulation data, including but not limited to beam propagation method ("BPM") simulation results, FDTD simulation results, EME simulation results, and circuit-level photonic simulation results (including simulations performed using Marlowe Systems, Marlowe Technologies, cadence VPI, Luceda IPKISS, or any other photonic simulation platform), for any photonic component incorporated in or designed for incorporation in any Accused Product. Without limiting the generality of this Request, responsive Documents include insertion-loss characterization data, crosstalk analysis data, polarization-dependent loss ("PDL") modeling data, coupling-efficiency simulations, mode-field distribution data, and any other optical performance simulation results generated during the design, optimization, or verification of photonic components for any Accused Product.
REQUEST FOR PRODUCTION NO. 103:
All engineering change orders ("ECOs"), design change notices ("DCNs"), engineering change notices ("ECNs"), revision history logs, product-change notifications, and all associated documentation Reflecting modifications to the design of any Accused Product or any photonic-IC, electronic-IC, or optical component thereof, from initial design concept through current production. This Request encompasses all such change documentation regardless of whether the change was implemented, deferred, or rejected, and includes the stated reason for each proposed change, the technical description of the change, the approval status, and the identity of all individuals involved in approving or implementing the change.
REQUEST FOR PRODUCTION NO. 104:
All tape-out checklists, tape-out sign-off documentation, tape-out review meeting minutes, tape-out approval records, and tape-out readiness assessments for each photonic-IC or electronic-IC tape-out associated with any Accused Product. This Request includes documentation for all tape-outs, including initial tape-outs, re-spins, and engineering-change tape-outs, and encompasses any pre-tape-out verification reports, post-tape-out review notes, and any communications among Lumicore personnel or between Lumicore and its foundry partners regarding tape-out readiness or tape-out results.
REQUEST FOR PRODUCTION NO. 105:
All minutes, agendas, presentations, slide decks, attendee lists, and action-item lists for design review meetings Relating to any Accused Product, from initial concept through current production. Without limiting the generality of this Request, responsive Documents include records of preliminary design reviews ("PDRs"), critical design reviews ("CDRs"), production readiness reviews ("PRRs"), test readiness reviews ("TRRs"), and any ad hoc or informal design review meetings conducted by Lumicore's engineering teams for any Accused Product.
This Request specifically encompasses the design-phase meetings identified in Dr. Sandra Michaud's deposition testimony (Michaud Dep. Tr. at 87:3–89:22, November 19, 2024), during which OWS's published patent applications were allegedly reviewed and discussed by members of Lumicore's product design team. Dr. Michaud testified that slides were presented at certain design review meetings that included citations to OWS's published patent applications, and that action items were assigned in connection with those discussions. OWS seeks all documents generated in connection with or reflecting the substance of those meetings.
REQUEST FOR PRODUCTION NO. 106:
All version-control commit logs, check-in histories, branch and merge records, tag records, and associated metadata (including, without limitation, author identification, timestamp, commit message, file path, and diff or change summary) for all Source Code and design-file repositories Relating to any Accused Product, from January 1, 2020 through the present. This Request encompasses commit logs and change histories maintained in any version-control system, including Git, Subversion (SVN), Perforce, Mercurial, or any other version-control platform used by Lumicore, and includes logs for all branches, including development branches, release branches, feature branches, and hotfix branches.
REQUEST FOR PRODUCTION NO. 107:
All test reports, characterization data, performance benchmarking data, and qualification test results for any Accused Product, including but not limited to: (a) optical performance data, including insertion loss, return loss, extinction ratio, bit-error rate ("BER"), optical signal-to-noise ratio ("OSNR"), modulation amplitude, receiver sensitivity, and wavelength accuracy; (b) thermal performance data, including junction temperature measurements, thermal resistance measurements (θJA, θJC), and thermal-impedance data; (c) electrical performance data, including power consumption, signal integrity, and eye-diagram measurements; and (d) reliability test data, including high-temperature operating life ("HTOL") test results, highly accelerated stress test ("HAST") results, thermal cycling test results, mechanical shock and vibration test results, and damp-heat test results. This Request encompasses all such data generated during development, qualification, and production, and includes data from both internal Lumicore testing and testing performed by third-party test laboratories or customers.
REQUEST FOR PRODUCTION NO. 108:
All design-for-manufacturing ("DFM") analysis reports, process design kits ("PDKs") used (including documentation and release notes for each PDK version), foundry-provided design rules (including photonic-specific design rules, electronic design rules, and combined photonic-electronic design rules), optical-proximity-correction ("OPC") files, and manufacturing-readiness assessments for photonic-IC components incorporated in or designed for incorporation in any Accused Product. This Request also encompasses any DFM-related correspondence between Lumicore and its foundry partners regarding design-rule compliance, yield-enhancement strategies, or process-compatibility issues for photonic-IC components of any Accused Product.
REQUEST FOR PRODUCTION NO. 109:
All Communications between Lumicore and any foundry, fabrication facility, mask shop, or contract manufacturer Relating to the fabrication, yield improvement, process optimization, defect analysis, failure analysis, or wafer-level testing of photonic-IC components incorporated in or designed for incorporation in any Accused Product. Without limiting the generality of this Request, responsive Documents include emails, meeting minutes, teleconference notes, trip reports for foundry visits, engineering lot disposition discussions, yield-enhancement action items, and any correspondence regarding process splits, test-chip results, or process-of-record changes affecting photonic-IC components of any Accused Product.
REQUEST FOR PRODUCTION NO. 110:
All bills of materials ("BOMs"), including component-level BOMs, sub-assembly BOMs, and system-level BOMs, for each Accused Product, from initial production through the present, including all revisions and amendments thereto. This Request encompasses BOMs maintained in any format, including BOMs stored in enterprise resource planning ("ERP") systems (such as SAP, Ridgeline Industries, or Northpoint Software), product lifecycle management ("PLM") systems, or standalone spreadsheets, and includes the identification of each component by part number, manufacturer, and supplier, together with the quantity, unit cost, and extended cost of each component.
REQUEST FOR PRODUCTION NO. 111:
All Documents Relating to any analysis, evaluation, investigation, development, or implementation of non-infringing design alternatives for any Accused Product or any component thereof, including but not limited to design-around studies, alternative-architecture evaluations, feasibility assessments, cost analyses, timeline estimates, performance-impact assessments, and all Communications (whether internal to Lumicore or with third parties) regarding the identification, evaluation, or implementation of any non-infringing design alternative.
This Request follows up on the deficiency identified during the deposition of Lumicore's Rule 30(b)(6) designee on Topic 14 (non-infringing alternatives), at which the designee was unable to identify any specific non-infringing design alternatives that Lumicore had evaluated or considered. Additionally, the deposition of General Counsel Raymond Bautista on December 3, 2024, confirmed that no formal design-around analysis was commissioned by Lumicore prior to the launch of the LumiEdge 1600G-LR module in the fourth quarter of 2023. OWS seeks all documents bearing on the availability, feasibility, cost, and timing of non-infringing alternatives, which are relevant to, among other things, OWS's claims for damages, including lost profits and reasonable royalty, and to the question of irreparable harm in connection with any motion for injunctive relief.
REQUEST FOR PRODUCTION NO. 112:
All Documents Relating to any redesign, re-engineering, modification, or alteration of any Accused Product or any component thereof undertaken, planned, or considered after April 22, 2024 (the date OWS filed its Complaint in this action), including but not limited to design specifications, engineering plans, project timelines, milestone schedules, staffing plans, resource-allocation documents, cost estimates, capital-expenditure requests, and all Communications (whether internal to Lumicore or with third parties, including foundry partners and customers) regarding any proposed, planned, or actual redesign or modification.
Lumicore has represented in prior discovery responses that a redesign of the Accused Products to avoid the Asserted Patents would require approximately eighteen (18) to twenty-four (24) months. OWS seeks all documents that corroborate, qualify, or contradict that estimate, including any internal engineering assessments, project-management documents, or consultant reports bearing on the scope, cost, and timeline of any such redesign effort.
REQUEST FOR PRODUCTION NO. 113:
All Documents Relating to any review, analysis, assessment, evaluation, or discussion within Lumicore (or between Lumicore and any third party) of any of the Asserted Patents or any published patent application corresponding thereto, at any time from January 1, 2016 through the present. Without limiting the generality of this Request, responsive Documents include any opinion letters, freedom-to-operate analyses, claim charts, infringement analyses, validity analyses, design-around assessments, and any Communications among Lumicore personnel or between Lumicore and outside counsel, patent agents, or technical consultants regarding any of the Asserted Patents. This Request specifically encompasses Documents Relating to Published Application No. US 2018/0123456, which corresponds to the '193 Patent.
Dr. Sandra Michaud's November 19, 2024 deposition testimony confirmed that she personally reviewed OWS's Published Application No. US 2018/0123456 during the design phase of the LumiLink 400G-ZR+ module (Michaud Dep. Tr. at 156:4–158:12). Additionally, OWS anticipates testimony from former Lumicore engineer Melissa Chen (now employed by Veridian Photonics, Inc.) that members of Lumicore's LumiLink 400G-ZR+ design team accessed and reviewed multiple OWS published patent applications during the product design phase in 2021–2022. This Request is directly relevant to OWS's willful-infringement allegations, as set forth in Counts V through VIII of OWS's First Amended Complaint (D.E. 22).
REQUEST FOR PRODUCTION NO. 114:
All Documents Relating to any prior-art searches, freedom-to-operate ("FTO") analyses, patentability searches, patentability opinions, invalidity searches, or invalidity opinions conducted by or on behalf of Lumicore Relating to any of the Asserted Patents or the technology embodied in any Accused Product. Without limiting the generality of this Request, responsive Documents include search reports, search queries and strategies, instructions to search firms or patent-search vendors (including, without limitation, Marlowe Asset Management Patent Analytics, Inc.), search results, prior-art reference lists, annotated prior-art references, claim charts mapping prior art to patent claims, and any Communications between Lumicore and any search firm, patent-search vendor, or outside counsel regarding the scope, methodology, or results of any such search or analysis.
REQUEST FOR PRODUCTION NO. 115:
All internal design documents, engineering notebooks, invention disclosures, invention records, technical memoranda, design specifications, simulation reports, test reports, and any other Documents created by Lumicore or any of its current or former employees between January 1, 2016 and August 30, 2019 (the filing date of the '015 Patent) that Lumicore contends support its prior-conception defense to the validity of the '015 Patent, as asserted in Lumicore's Invalidity Contentions (D.E. 36, served October 14, 2024).
In its Invalidity Contentions, Lumicore cited "internal design documents" dated 2016–2017 as purported evidence of prior conception of the subject matter claimed in the '015 Patent. OWS seeks production of all such documents in order to assess the merits of Lumicore's prior-conception defense, including but not limited to the sufficiency of corroboration as required under Price v. Symsek, 988 F.2d 1187 (Fed. Cir. 1993), and its progeny. This Request also encompasses any documents Relating to the reduction to practice of any invention that Lumicore contends was conceived prior to the '015 Patent's filing date, including prototypes, test results, fabrication records, and any Communications with third parties regarding the conception or development of such invention.
V. CERTIFICATION
The undersigned counsel hereby certifies that this Second Set of Requests for Production of Documents is consistent with and proportional to the needs of this case, considering the importance of the issues at stake in the action, the amount in controversy, the parties' relative access to relevant information, the parties' resources, the importance of the discovery in resolving the issues, and whether the burden or expense of the proposed discovery outweighs its likely benefit. These Requests are not propounded for any improper purpose, including to harass Lumicore, to cause unnecessary delay, or to needlessly increase the cost of litigation, and are served in compliance with Federal Rule of Civil Procedure 26(b)(1) and the Court's Scheduling Order (D.E. 27).
The undersigned further certifies that counsel for OWS made a good-faith effort to confer with counsel for Lumicore regarding the scope and necessity of these supplemental Requests prior to service. Specifically, Wendy Schultz of Calderwood & Harkness LLP corresponded with Samantha Briggs of Hawthorne Vega & Cruz LLP on October 28, 2024, identifying the deficiencies in Lumicore's prior productions and describing the categories of additional documents OWS intended to seek. A follow-up telephonic conference between Ms. Schultz and Ms. Briggs took place on October 31, 2024, during which the parties discussed, but were unable to resolve, certain of the outstanding production issues, necessitating the service of these supplemental Requests.
Respectfully submitted,
CALDERWOOD & HARKNESS LLP
By: ________
Alan Ngo (CA Bar No. 287451; admitted pro hac vice) Marcus Delgado (TX Bar No. 24098317) Wendy Schultz (CA Bar No. 301289; admitted pro hac vice) Omar Siddiqui (CA Bar No. 312764; admitted pro hac vice) 350 South Grand Avenue, 48th Floor Los Angeles, California 90071 Telephone: (213) 443-7200 Facsimile: (213) 443-7201 ango@calderwoodharkness.com mdelgado@calderwoodharkness.com wschultz@calderwoodharkness.com osiddiqui@calderwoodharkness.com
WHITMORE & CALLAHAN LLP
James "Jim" Callahan (TX Bar No. 24056892) 110 North College Avenue, Suite 800 Tyler, Texas 75702 Telephone: (903) 555-4100 Facsimile: (903) 555-4101 jcallahan@whitmorecallahan.com
Counsel for Plaintiff Optiwave Semiconductor Corp.
CERTIFICATE OF SERVICE
I hereby certify that on November 4, 2024, a true and correct copy of the foregoing Plaintiff Optiwave Semiconductor Corp.'s Second Set of Requests for Production of Documents to Defendant Lumicore Technologies, Inc. (Request Nos. 86–115) was served upon the following counsel of record for Defendant Lumicore Technologies, Inc. via the Court's CM/ECF electronic filing system and by electronic mail:
Catherine "Kate" Rourke Darren Cho Samantha Briggs Rohan Iyer Hawthorne Vega & Cruz LLP 600 Congress Avenue, Suite 2400 Austin, Texas 78701 krourke@hawthornevega.com dcho@hawthornevega.com sbriggs@hawthornevega.com riyer@hawthornevega.com
Maria Garza Trask Eddington LLP 425 East Front Street, Suite 300 Tyler, Texas 75701 mgarza@traskeddington.com
Counsel for Defendant Lumicore Technologies, Inc.
By: ________
Alan Ngo
OPTIWAVE SEMICONDUCTOR CORP.,
Plaintiff,
v. | Case No. 2:24-cv-00319-JRG
LUMICORE TECHNOLOGIES, INC., | Judge James R. Gilstrap
Defendant.

UNITED STATES DISTRICT COURT EASTERN DISTRICT OF TEXAS MARSHALL DIVISION

I. INTRODUCTORY STATEMENT

II. DEFINITIONS

III. INSTRUCTIONS

IV. REQUESTS FOR PRODUCTION

REQUEST FOR PRODUCTION NO. 86:

REQUEST FOR PRODUCTION NO. 87:

REQUEST FOR PRODUCTION NO. 88:

REQUEST FOR PRODUCTION NO. 89:

REQUEST FOR PRODUCTION NO. 90:

REQUEST FOR PRODUCTION NO. 91:

REQUEST FOR PRODUCTION NO. 92:

REQUEST FOR PRODUCTION NO. 93:

REQUEST FOR PRODUCTION NO. 94:

REQUEST FOR PRODUCTION NO. 95:

REQUEST FOR PRODUCTION NO. 96:

REQUEST FOR PRODUCTION NO. 97:

REQUEST FOR PRODUCTION NO. 98:

REQUEST FOR PRODUCTION NO. 99:

REQUEST FOR PRODUCTION NO. 100:

REQUEST FOR PRODUCTION NO. 101:

REQUEST FOR PRODUCTION NO. 102:

REQUEST FOR PRODUCTION NO. 103:

REQUEST FOR PRODUCTION NO. 104:

REQUEST FOR PRODUCTION NO. 105:

REQUEST FOR PRODUCTION NO. 106:

REQUEST FOR PRODUCTION NO. 107:

REQUEST FOR PRODUCTION NO. 108:

REQUEST FOR PRODUCTION NO. 109:

REQUEST FOR PRODUCTION NO. 110:

REQUEST FOR PRODUCTION NO. 111:

REQUEST FOR PRODUCTION NO. 112:

REQUEST FOR PRODUCTION NO. 113:

REQUEST FOR PRODUCTION NO. 114:

REQUEST FOR PRODUCTION NO. 115:

V. CERTIFICATION

CALDERWOOD & HARKNESS LLP

WHITMORE & CALLAHAN LLP

CERTIFICATE OF SERVICE

OPTIWAVE SEMICONDUCTOR CORP.,

Record

Parties

Dates

Amounts