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ATTORNEY WORK PRODUCT — PRIVILEGED AND CONFIDENTIAL

CALDERWOOD & HARKNESS LLP

Internal Document Preservation and Matter File Management Protocol

Optiwave Semiconductor Corp. v. Lumicore Technologies, Inc. Case No. 2:24-cv-00319-JRG (E.D. Tex.)

Date: March 22, 2024

Prepared by: Wendy Schultz, Lead Associate, IP Litigation Group

Reviewed and Approved by: Alan Ngo, Responsible Partner, IP Litigation Group

Classification: ATTORNEY WORK PRODUCT — PRIVILEGED AND CONFIDENTIAL

Distribution: All Calderwood & Harkness LLP personnel assigned to this matter; C&H Records Management Department; C&H Information Technology Department

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I. PURPOSE AND SCOPE

This protocol establishes the internal procedures governing the creation, organization, storage, retention, and eventual disposition of all matter files generated or received by Calderwood & Harkness LLP ("C&H" or the "Firm") in connection with the Firm's representation of Optiwave Semiconductor Corp. ("OWS" or "Client") in patent infringement litigation against Lumicore Technologies, Inc. ("Lumicore"), Case No. 2:24-cv-00319-JRG, pending in the United States District Court for the Eastern District of Texas, marshall Division, before the Honorable James R. Gilstrap. The litigation involves the assertion of four United States patents against Lumicore's photonic integrated circuit products, and the matter is expected to proceed through fact discovery, claim construction, expert discovery, dispositive motions, and trial, with the possibility of appellate proceedings thereafter.

This protocol is issued simultaneously with the Litigation Hold Memorandum transmitted to OWS on March 22, 2024, and is designed to complement the client-side preservation obligations described in that memorandum. While the Litigation Hold Memorandum addresses the Client's obligation to identify, preserve, and collect potentially relevant documents and electronically stored information ("ESI") in its possession, custody, or control, this protocol addresses the Firm's own obligations with respect to all documents and information generated, received, or maintained by C&H in connection with the matter. Together, these two documents form the foundation of a comprehensive preservation framework intended to ensure full compliance with the Firm's ethical obligations, applicable Federal Rules of Civil Procedure, the Local Rules of the Eastern District of Texas, and all orders of the Court.

This protocol applies to all C&H attorneys, paralegals, legal assistants, summer associates, contract attorneys, and staff involved in this matter in any capacity, whether on a full-time or part-time basis, including but not limited to the following individuals:

• Alan Ngo — Responsible Partner, IP Litigation Group

• Marcus Delgado — Billing Partner, IP Litigation Group

• Wendy Schultz — Lead Associate, IP Litigation Group

• Omar Siddiqui — Working Associate, IP Litigation Group

• All paralegals, litigation-support specialists, e-discovery personnel, and contract attorneys assigned to the matter from time to time

In addition to C&H internal personnel, this protocol governs the Firm's coordination with co-counsel, retained experts, and third-party vendors, including but not limited to:

• Whitmore & Callahan LLP — local counsel retained in Tyler, Texas, for purposes of this litigation. Jim Callahan serves as the Local Counsel Partner and is the primary point of contact at Whitmore & Callahan.

• Retained testifying and consulting experts, as described in Section V.B of this protocol.

• Third-party vendors engaged by C&H to provide services in connection with this matter, including reverse-engineering laboratories, patent prosecution consultants, licensing agents, and e-discovery service providers, as described in Section V.C of this protocol.

For reference, the engagement letter between C&H and OWS is dated March 18, 2024, and was executed by Rebecca Tanaka (General Counsel, OWS) on behalf of the Client. The engagement letter sets forth the scope of the Firm's retention, billing arrangements, staffing authority, and related terms.

This protocol is effective immediately upon its circulation to the individuals and departments identified above, and it remains in force through the conclusion of all proceedings in the above-captioned matter (including any post-trial motions, appeals, enforcement proceedings, and any related proceedings), final billing, and satisfaction of all applicable record-retention obligations as set forth in Section VI below.

All case team members are required to read this protocol in its entirety, to comply with its terms, and to execute the Acknowledgment Form attached as Exhibit A.

II. MATTER IDENTIFICATION AND FILE STRUCTURE

A. Matter Number and Naming Convention

The following internal matter identification information has been established for this engagement and must be used in connection with all documents, time entries, costs, and correspondence related to this matter:

Internal C&H Matter Number: 1014-00004

Billing Matter Code: 1014-00004

Client: Optiwave Semiconductor Corp. (EIN: 46-3921087)

Adverse Party: Lumicore Technologies, Inc. (EIN: 81-2547639)

Billing Partner: Marcus Delgado

Responsible Partner: Alan Ngo

All documents created, received, or maintained in connection with this matter must reference the internal matter number 1014-00004. This requirement extends to all time entries, cost submissions, internal memoranda, correspondence, court filings, and any other materials generated or received by C&H personnel in the course of their work on this engagement. Failure to properly code documents and time entries to this matter number may result in misfiling, billing errors, and potential compromise of privilege protections.

When creating new documents or saving materials to the Firm's document management system, all personnel must use the Firm's standard naming conventions in conjunction with the matter number, as further described in Section III.A below.

B. Master File Structure

The following hierarchical folder structure shall be established and maintained on C&H's secure document management system ("DMS"). All matter files must be organized in accordance with this structure. No alternative filing systems, shadow files, or personal filing systems are permitted. The DMS is the single authoritative repository for all materials related to this matter.

1. 01 — Engagement & Administration

This folder contains all documents relating to the establishment and administration of the attorney-client relationship, firm governance of the matter, and financial and budgetary matters. Specifically, this folder shall include the following:

• The executed engagement letter dated March 18, 2024, including all schedules, exhibits, and amendments thereto

• The conflict check memorandum prepared by the C&H General Counsel's Office in connection with the intake of this matter

• All fee agreements, including any amendments to the original fee arrangement

• Budget documents, including the approved litigation budget and any subsequent revisions

• Ridgeline Capital Partners approval materials, including the approval letter dated April 2, 2024, referencing OWS Board Resolution No. 2024-07

• The local counsel retainer agreement with Whitmore & Callahan LLP

• Pro hac vice applications for C&H attorneys seeking admission to the Eastern District of Texas

• Monthly and quarterly billing summaries

• Insurance coverage correspondence with Pacific Rim Insurance Group, including all communications referencing Policy No. PLI-2023-08812

• Case team status reports, including weekly case status memoranda and monthly client reporting packages

2. 02 — Pleadings & Motions

This folder contains all pleadings, motions, briefs, and court orders filed in or issued by the Court. Materials shall be organized chronologically by docket entry number. This folder shall include the following:

• The Complaint and all exhibits thereto, including certified copies of U.S. Patent Nos. 10,234,847 (the "'847 Patent"), 10,891,193 (the "'193 Patent"), 9,678,562 (the "'562 Patent"), and 11,402,015 (the "'015 Patent")

• The civil cover sheet

• The summons and proof of service on Lumicore Technologies, Inc.

• Lumicore's Answer and any Counterclaims

• All motions and briefs filed by either party, including supporting declarations, exhibits, and appendices

• All Court orders, including the Scheduling Order, the Docket Control Order, and any amendments thereto

• Any amicus briefs or statements of interest filed in the case

3. 03 — Infringement Contentions & Claim Charts

This folder contains all materials relating to infringement contentions served pursuant to Patent Rule 3-1 of the Local Rules of the Eastern District of Texas, as well as supporting technical analyses. This folder shall include the following:

• P.R. 3-1 Infringement Contentions served by OWS

• Claim charts for each of the four asserted patents ('847, '193, '562, and '015)

• Summaries of the teardown reports prepared by Benchmark Semiconductor Analysis LLC, including all reverse-engineering data, photographs, and technical analysis

• Supplemental infringement contentions and amended claim charts, if any

• Doctrine of equivalents analysis memoranda prepared by C&H attorneys and experts

• Any correspondence with opposing counsel regarding the sufficiency or scope of infringement contentions

4. 04 — Claim Construction

This folder contains all materials relating to claim construction proceedings, including the parties' filings, expert submissions, and Markman hearing materials. This folder shall include the following:

• The Joint Claim Construction Statement

• OWS's Opening Claim Construction Brief and all supporting exhibits and appendices

• Lumicore's Responsive Claim Construction Brief and all supporting exhibits and appendices

• OWS's Reply Claim Construction Brief

• Any sur-reply briefs permitted by the Court

• Expert declarations submitted in connection with claim construction, including declarations of Dr. Caroline Ashford and Dr. Jian-Wei Huang

• Intrinsic evidence appendices (prosecution histories, prior art references, related patent specifications)

• Extrinsic evidence appendices (dictionaries, treatises, technical standards)

• Technology tutorial submissions and associated demonstrative materials

• Markman hearing slide presentations and preparation materials, including practice session notes

• Proposed claim construction orders submitted by each party

• The Court's Claim Construction Order, once issued

5. 05 — Discovery

This folder contains all materials relating to written discovery, ESI, and discovery disputes. The folder shall be organized into the following subfolders:

• Interrogatories — Sent: All interrogatories propounded by OWS to Lumicore, with responses received

• Interrogatories — Received: All interrogatories propounded by Lumicore to OWS, with responses served

• Requests for Production — Sent: All requests for production of documents propounded by OWS to Lumicore, with responses and production logs

• Requests for Production — Received: All requests for production propounded by Lumicore to OWS, with responses served

• Requests for Admission — Sent: All requests for admission propounded by OWS to Lumicore, with responses received

• Requests for Admission — Received: All requests for admission propounded by Lumicore to OWS, with responses served

• Initial Disclosures: Initial disclosures served by each party pursuant to Fed. R. Civ. P. 26(a)(1) and the Court's Scheduling Order

• Supplemental Disclosures: All supplemental disclosures served by either party

• 30(b)(6) Notices: Rule 30(b)(6) deposition notices served by either party, including topic lists and related correspondence

• ESI Protocol: The ESI Protocol Agreement dated August 15, 2024, and all related correspondence, including search term negotiations and custodian identification discussions

• Protective Order: The Stipulated Protective Order entered by the Court, including the Source Code Protocol, and all executed acknowledgment forms

• Privilege Logs: The initial privilege log (dated October 31, 2024) and supplemental privilege logs (including the supplemental log dated December 15, 2024), together with any correspondence regarding privilege disputes

• Meet-and-Confer Correspondence: All written correspondence documenting meet-and-confer efforts regarding discovery disputes, organized chronologically

• discovery Motions: All motions to compel, motions for protective orders, oppositions, replies, and related court orders

• Third-Party Subpoenas: All subpoenas issued to third parties, including the subpoena to Melissa Chen / Veridian Photonics and the subpoena for records from Solara Optics, together with responses, objections, and any documents produced

6. 06 — Depositions

This folder contains all deposition-related materials, organized by deponent name. For each deponent, a subfolder shall be created containing the deposition notice, the preparation outline (if applicable), the final transcript, the deposition summary, and all exhibits marked and/or used during the deposition. The following depositions have been taken to date:

• Dr. Jian-Wei Huang — Deposition taken November 5, 2024

• Dr. Sandra Michaud — Deposition taken November 19, 2024

• Raymond Bautista — Deposition taken December 3, 2024

• Angela Reeves — Deposition taken December 10, 2024

• Kevin Ng — Deposition taken January 7, 2025

Additional subfolders shall be created as further depositions are noticed and taken. All deposition preparation memoranda shall be stored in the relevant deponent's subfolder and clearly marked as attorney work product.

7. 07 — Expert Materials

This folder contains all materials relating to retained testifying and consulting experts, including retention agreements, communications, draft and final expert reports, supporting data and appendices, preparation memoranda, rebuttal report outlines, and expert deposition materials. The following experts have been retained:

• Dr. Caroline Ashford — Technical/Infringement Expert (retention agreement dated August 1, 2024)

• Dr. Lawrence Keating — Damages Expert (retention agreement dated August 5, 2024)

• Gregory Falk — Industry Expert (retention agreement dated August 8, 2024)

All expert-related materials shall be maintained in expert-specific subfolders within Folder 07. Draft expert reports must be clearly labeled as drafts and must not be deleted or overwritten; all versions shall be retained in accordance with Section III.A below.

8. 08 — Willful Infringement & Enhanced Damages

This folder contains all materials relating to OWS's claim that Lumicore's infringement was willful, and OWS's request for enhanced damages under 35 U.S.C. § 284. This folder shall include the following:

• The willful infringement memorandum prepared by C&H

• The notice/willfulness evidence timeline documenting Lumicore's knowledge of OWS's patents and continued infringing conduct

• The Read factor analysis

• Draft motions and supporting declarations, including declarations of Angela Reeves and Melissa Chen

• Damages scenario analysis spreadsheets modeling the impact of enhanced damages awards at various multiplier levels

9. 09 — Injunctive Relief

This folder contains all materials relating to OWS's request for a permanent injunction and any preliminary injunction analysis. This folder shall include the following:

• Permanent injunction analysis memorandum addressing the Cascade Holdings factors

• Irreparable harm evidence, including market impact data and customer declarations

• Market analysis prepared by C&H and/or retained experts

• Draft injunction orders proposed by OWS

• Bond analysis, including correspondence with Heritage National Surety Co. regarding potential bond requirements

• Customer impact declarations and supporting data

• Voluntary cessation analysis and cease-and-desist correspondence issued by or on behalf of OWS

• Preliminary injunction contingency drafts prepared as a precautionary measure

10. 10 — Validity Defense Analysis

This folder contains all materials relating to C&H's analysis of potential validity challenges that Lumicore may assert and OWS's strategies for defending the validity of the asserted patents. This folder shall include the following:

• Invalidity contentions analysis memoranda for each asserted patent ('847, '193, '562, and '015)

• Secondary considerations of non-obviousness memorandum (commercial success, long-felt need, failure of others, copying, industry praise, licensing)

• Inter partes review ("IPR") risk assessment, including analysis of potential prior art references and institution probabilities

• Inequitable conduct defense analysis memorandum

• Prosecution history review summaries for each asserted patent and related family members

11. 11 — Damages Analysis

This folder contains all materials relating to damages strategy, calculation, and expert analysis. This folder shall include the following:

• The overarching damages strategy memorandum

• Panduit factor analysis (demand for the patented product, absence of acceptable non-infringing substitutes, manufacturing and marketing capability, quantifiable profit attributable to the patented feature)

• Market share displacement analysis, including analysis supporting the 38.2% market share figure

• Comparable license analysis, including review of the following license agreements: OWS-Terralink, OWS-NovaWave, OWS-Helix, Stratos v. ArcLight (settled license), and Coreline v. Prisma (settled license)

• Apportionment analysis addressing the multi-component nature of Lumicore's accused products

• Lumicore financial data summary (derived from production and public filings)

• Price erosion analysis

• Royalty rate negotiation / hypothetical negotiation scenario memoranda

• Client presentation materials used in discussions with OWS management regarding damages expectations and settlement valuation

12. 12 — Dispositive Motions & Daubert

This folder contains all materials relating to summary judgment motions and Daubert challenges. This folder shall include the following:

• Summary judgment strategy memorandum

• Draft summary judgment motions and opposition briefs (both affirmative motions and responses to anticipated Lumicore motions)

• Daubert motions directed at Lumicore's experts, including challenges to Dr. Rajesh Sundaram (Lumicore's technical expert) and Dr. Natasha Volkov (Lumicore's damages expert)

• Materials prepared in anticipation of Lumicore's Daubert challenge to C&H's retained damages expert, Dr. Lawrence Keating

• All supporting declarations, exhibits, appendices, and hearing materials

13. 13 — Trial Preparation

This folder contains all materials relating to preparation for trial, including pretrial filings and trial logistics. This folder shall include the following:

• Trial strategy memorandum

• Proposed jury instructions

• Proposed verdict form

• Witness list (fact and expert witnesses)

• Exhibit list

• Deposition designation charts (video and read-in designations) and related counter-designations

• Demonstrative exhibits (infringement module and damages module)

• Motions in limine (filed by OWS and responses to Lumicore's motions)

• Pre-trial conference statement

• Voir dire questions

• Opening statement outline

• Closing argument outline

• Witness examination outlines (direct and cross)

• Daily trial team reports and war room materials

14. 14 — Settlement & ADR

This folder contains all materials relating to settlement negotiations and alternative dispute resolution proceedings. This folder shall include the following:

• Settlement authority memorandum prepared for OWS management and board review

• Mediation demand letter

• Mediation position statement

• Settlement term sheets and draft settlement agreements

• Settlement approval memorandum template

• Correspondence with opposing counsel regarding settlement discussions (to the extent not otherwise privileged and separately maintained)

• Mediator communications and engagement letters

All materials in this folder are subject to the highest level of confidentiality and access should be restricted to the core case team (Alan Ngo, Wendy Schultz, and Marcus Delgado) unless otherwise authorized.

15. 15 — Correspondence

This folder contains all external correspondence (letters, emails, and other written communications) organized chronologically and by party/recipient. Subfolders shall be maintained for the following categories:

• Opposing Counsel — Hawthorne Vega & Cruz LLP: All correspondence with Kate Rourke (Lead Partner), Darren Cho, Samantha Briggs, and Rohan Iyer

• Local Counsel — Whitmore & Callahan LLP: All correspondence with Jim Callahan

• Client — Optiwave Semiconductor Corp.: All correspondence with Rebecca Tanaka (General Counsel), Franklin Osei (VP Engineering), and other OWS personnel

• Experts: Correspondence with Dr. Caroline Ashford, Dr. Lawrence Keating, and Gregory Falk

• Third Parties: Correspondence with non-party witnesses, third-party subpoena recipients, and other third parties

• Court: All correspondence with chambers and the Clerk of Court

16. 16 — Client Documents / Productions

This folder contains all documents received from OWS for use in the litigation, organized by custodian. This folder encompasses documents collected from the fourteen (14) identified custodians specified in the Litigation Hold Memorandum. Subfolders shall be established for each custodian, with documents organized chronologically within each subfolder. All documents collected from OWS shall be processed, reviewed, and produced in accordance with the ESI Protocol Agreement and the applicable discovery deadlines.

17. 17 — Adverse Party Productions

This folder contains all documents received from Lumicore in discovery. As of the date of this protocol's most recent update, OWS has produced approximately 182,000 documents (approximately 1.4 million pages), and Lumicore has produced approximately 147,000 documents (approximately 980,000 pages). Lumicore's productions shall be organized by production date and Bates range. All documents received from Lumicore must be maintained in accordance with the terms of the Stipulated Protective Order, including applicable confidentiality designations.

18. 18 — Research & Internal Memoranda

This folder contains legal research memoranda, internal strategy memoranda, and other analytical work product not otherwise categorized in the specialized folders described above. All research memoranda shall be clearly labeled with the date, author, and topic of the memorandum.

19. 19 — Privilege Review Materials

This folder contains materials relating to the privilege review process, including privilege review protocols, privilege call logs recording the substance and resolution of privilege review disputes and borderline calls, and clawback records documenting any instances of inadvertent production and subsequent remediation.

C. Document Numbering and Bates Stamping

The following conventions shall govern the numbering and Bates stamping of documents in this matter:

• OWS Productions: All documents produced by OWS to Lumicore shall be Bates stamped with the prefix "OWS" followed by sequential numbering (e.g., OWS0000001, OWS0000002, etc.).

ATTORNEY WORK PRODUCT — PRIVILEGED AND CONFIDENTIAL
CALDERWOOD & HARKNESS LLP
Internal Document Preservation and Matter File Management Protocol
Optiwave Semiconductor Corp. v. Lumicore Technologies, Inc. Case No. 2:24-cv-00319-JRG (E.D. Tex.)
Date: March 22, 2024
Prepared by: Wendy Schultz, Lead Associate, IP Litigation Group
Reviewed and Approved by: Alan Ngo, Responsible Partner, IP Litigation Group
Classification: ATTORNEY WORK PRODUCT — PRIVILEGED AND CONFIDENTIAL
Distribution: All Calderwood & Harkness LLP personnel assigned to this matter; C&H Records Management Department; C&H Information Technology Department
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I. PURPOSE AND SCOPE
This protocol establishes the internal procedures governing the creation, organization, storage, retention, and eventual disposition of all matter files generated or received by Calderwood & Harkness LLP ("C&H" or the "Firm") in connection with the Firm's representation of Optiwave Semiconductor Corp. ("OWS" or "Client") in patent infringement litigation against Lumicore Technologies, Inc. ("Lumicore"), Case No. 2:24-cv-00319-JRG, pending in the United States District Court for the Eastern District of Texas, marshall Division, before the Honorable James R. Gilstrap. The litigation involves the assertion of four United States patents against Lumicore's photonic integrated circuit products, and the matter is expected to proceed through fact discovery, claim construction, expert discovery, dispositive motions, and trial, with the possibility of appellate proceedings thereafter.
This protocol is issued simultaneously with the Litigation Hold Memorandum transmitted to OWS on March 22, 2024, and is designed to complement the client-side preservation obligations described in that memorandum. While the Litigation Hold Memorandum addresses the Client's obligation to identify, preserve, and collect potentially relevant documents and electronically stored information ("ESI") in its possession, custody, or control, this protocol addresses the Firm's own obligations with respect to all documents and information generated, received, or maintained by C&H in connection with the matter. Together, these two documents form the foundation of a comprehensive preservation framework intended to ensure full compliance with the Firm's ethical obligations, applicable Federal Rules of Civil Procedure, the Local Rules of the Eastern District of Texas, and all orders of the Court.
This protocol applies to all C&H attorneys, paralegals, legal assistants, summer associates, contract attorneys, and staff involved in this matter in any capacity, whether on a full-time or part-time basis, including but not limited to the following individuals:
•  Alan Ngo — Responsible Partner, IP Litigation Group
•  Marcus Delgado — Billing Partner, IP Litigation Group
•  Wendy Schultz — Lead Associate, IP Litigation Group
•  Omar Siddiqui — Working Associate, IP Litigation Group
•  All paralegals, litigation-support specialists, e-discovery personnel, and contract attorneys assigned to the matter from time to time
In addition to C&H internal personnel, this protocol governs the Firm's coordination with co-counsel, retained experts, and third-party vendors, including but not limited to:
•  Whitmore & Callahan LLP — local counsel retained in Tyler, Texas, for purposes of this litigation. Jim Callahan serves as the Local Counsel Partner and is the primary point of contact at Whitmore & Callahan.
•  Retained testifying and consulting experts, as described in Section V.B of this protocol.
•  Third-party vendors engaged by C&H to provide services in connection with this matter, including reverse-engineering laboratories, patent prosecution consultants, licensing agents, and e-discovery service providers, as described in Section V.C of this protocol.
For reference, the engagement letter between C&H and OWS is dated March 18, 2024, and was executed by Rebecca Tanaka (General Counsel, OWS) on behalf of the Client. The engagement letter sets forth the scope of the Firm's retention, billing arrangements, staffing authority, and related terms.
This protocol is effective immediately upon its circulation to the individuals and departments identified above, and it remains in force through the conclusion of all proceedings in the above-captioned matter (including any post-trial motions, appeals, enforcement proceedings, and any related proceedings), final billing, and satisfaction of all applicable record-retention obligations as set forth in Section VI below.
All case team members are required to read this protocol in its entirety, to comply with its terms, and to execute the Acknowledgment Form attached as Exhibit A.
II. MATTER IDENTIFICATION AND FILE STRUCTURE
A. Matter Number and Naming Convention
The following internal matter identification information has been established for this engagement and must be used in connection with all documents, time entries, costs, and correspondence related to this matter:
Internal C&H Matter Number: 1014-00004
Billing Matter Code: 1014-00004
Client: Optiwave Semiconductor Corp. (EIN: 46-3921087)
Adverse Party: Lumicore Technologies, Inc. (EIN: 81-2547639)
Billing Partner: Marcus Delgado
Responsible Partner: Alan Ngo
All documents created, received, or maintained in connection with this matter must reference the internal matter number 1014-00004. This requirement extends to all time entries, cost submissions, internal memoranda, correspondence, court filings, and any other materials generated or received by C&H personnel in the course of their work on this engagement. Failure to properly code documents and time entries to this matter number may result in misfiling, billing errors, and potential compromise of privilege protections.
When creating new documents or saving materials to the Firm's document management system, all personnel must use the Firm's standard naming conventions in conjunction with the matter number, as further described in Section III.A below.
B. Master File Structure
The following hierarchical folder structure shall be established and maintained on C&H's secure document management system ("DMS"). All matter files must be organized in accordance with this structure. No alternative filing systems, shadow files, or personal filing systems are permitted. The DMS is the single authoritative repository for all materials related to this matter.
1. 01 — Engagement & Administration
This folder contains all documents relating to the establishment and administration of the attorney-client relationship, firm governance of the matter, and financial and budgetary matters. Specifically, this folder shall include the following:
•  The executed engagement letter dated March 18, 2024, including all schedules, exhibits, and amendments thereto
•  The conflict check memorandum prepared by the C&H General Counsel's Office in connection with the intake of this matter
•  All fee agreements, including any amendments to the original fee arrangement
•  Budget documents, including the approved litigation budget and any subsequent revisions
•  Ridgeline Capital Partners approval materials, including the approval letter dated April 2, 2024, referencing OWS Board Resolution No. 2024-07
•  The local counsel retainer agreement with Whitmore & Callahan LLP
•  Pro hac vice applications for C&H attorneys seeking admission to the Eastern District of Texas
•  Monthly and quarterly billing summaries
•  Insurance coverage correspondence with Pacific Rim Insurance Group, including all communications referencing Policy No. PLI-2023-08812
•  Case team status reports, including weekly case status memoranda and monthly client reporting packages
2. 02 — Pleadings & Motions
This folder contains all pleadings, motions, briefs, and court orders filed in or issued by the Court. Materials shall be organized chronologically by docket entry number. This folder shall include the following:
•  The Complaint and all exhibits thereto, including certified copies of U.S. Patent Nos. 10,234,847 (the "'847 Patent"), 10,891,193 (the "'193 Patent"), 9,678,562 (the "'562 Patent"), and 11,402,015 (the "'015 Patent")
•  The civil cover sheet
•  The summons and proof of service on Lumicore Technologies, Inc.
•  Lumicore's Answer and any Counterclaims
•  All motions and briefs filed by either party, including supporting declarations, exhibits, and appendices
•  All Court orders, including the Scheduling Order, the Docket Control Order, and any amendments thereto
•  Any amicus briefs or statements of interest filed in the case
3. 03 — Infringement Contentions & Claim Charts
This folder contains all materials relating to infringement contentions served pursuant to Patent Rule 3-1 of the Local Rules of the Eastern District of Texas, as well as supporting technical analyses. This folder shall include the following:
•  P.R. 3-1 Infringement Contentions served by OWS
•  Claim charts for each of the four asserted patents ('847, '193, '562, and '015)
•  Summaries of the teardown reports prepared by Benchmark Semiconductor Analysis LLC, including all reverse-engineering data, photographs, and technical analysis
•  Supplemental infringement contentions and amended claim charts, if any
•  Doctrine of equivalents analysis memoranda prepared by C&H attorneys and experts
•  Any correspondence with opposing counsel regarding the sufficiency or scope of infringement contentions
4. 04 — Claim Construction
This folder contains all materials relating to claim construction proceedings, including the parties' filings, expert submissions, and Markman hearing materials. This folder shall include the following:
•  The Joint Claim Construction Statement
•  OWS's Opening Claim Construction Brief and all supporting exhibits and appendices
•  Lumicore's Responsive Claim Construction Brief and all supporting exhibits and appendices
•  OWS's Reply Claim Construction Brief
•  Any sur-reply briefs permitted by the Court
•  Expert declarations submitted in connection with claim construction, including declarations of Dr. Caroline Ashford and Dr. Jian-Wei Huang
•  Intrinsic evidence appendices (prosecution histories, prior art references, related patent specifications)
•  Extrinsic evidence appendices (dictionaries, treatises, technical standards)
•  Technology tutorial submissions and associated demonstrative materials
•  Markman hearing slide presentations and preparation materials, including practice session notes
•  Proposed claim construction orders submitted by each party
•  The Court's Claim Construction Order, once issued
5. 05 — Discovery
This folder contains all materials relating to written discovery, ESI, and discovery disputes. The folder shall be organized into the following subfolders:
•  Interrogatories — Sent: All interrogatories propounded by OWS to Lumicore, with responses received
•  Interrogatories — Received: All interrogatories propounded by Lumicore to OWS, with responses served
•  Requests for Production — Sent: All requests for production of documents propounded by OWS to Lumicore, with responses and production logs
•  Requests for Production — Received: All requests for production propounded by Lumicore to OWS, with responses served
•  Requests for Admission — Sent: All requests for admission propounded by OWS to Lumicore, with responses received
•  Requests for Admission — Received: All requests for admission propounded by Lumicore to OWS, with responses served
•  Initial Disclosures: Initial disclosures served by each party pursuant to Fed. R. Civ. P. 26(a)(1) and the Court's Scheduling Order
•  Supplemental Disclosures: All supplemental disclosures served by either party
•  30(b)(6) Notices: Rule 30(b)(6) deposition notices served by either party, including topic lists and related correspondence
•  ESI Protocol: The ESI Protocol Agreement dated August 15, 2024, and all related correspondence, including search term negotiations and custodian identification discussions
•  Protective Order: The Stipulated Protective Order entered by the Court, including the Source Code Protocol, and all executed acknowledgment forms
•  Privilege Logs: The initial privilege log (dated October 31, 2024) and supplemental privilege logs (including the supplemental log dated December 15, 2024), together with any correspondence regarding privilege disputes
•  Meet-and-Confer Correspondence: All written correspondence documenting meet-and-confer efforts regarding discovery disputes, organized chronologically
•  discovery Motions: All motions to compel, motions for protective orders, oppositions, replies, and related court orders
•  Third-Party Subpoenas: All subpoenas issued to third parties, including the subpoena to Melissa Chen / Veridian Photonics and the subpoena for records from Solara Optics, together with responses, objections, and any documents produced
6. 06 — Depositions
This folder contains all deposition-related materials, organized by deponent name. For each deponent, a subfolder shall be created containing the deposition notice, the preparation outline (if applicable), the final transcript, the deposition summary, and all exhibits marked and/or used during the deposition. The following depositions have been taken to date:
•  Dr. Jian-Wei Huang — Deposition taken November 5, 2024
•  Dr. Sandra Michaud — Deposition taken November 19, 2024
•  Raymond Bautista — Deposition taken December 3, 2024
•  Angela Reeves — Deposition taken December 10, 2024
•  Kevin Ng — Deposition taken January 7, 2025
Additional subfolders shall be created as further depositions are noticed and taken. All deposition preparation memoranda shall be stored in the relevant deponent's subfolder and clearly marked as attorney work product.
7. 07 — Expert Materials
This folder contains all materials relating to retained testifying and consulting experts, including retention agreements, communications, draft and final expert reports, supporting data and appendices, preparation memoranda, rebuttal report outlines, and expert deposition materials. The following experts have been retained:
•  Dr. Caroline Ashford — Technical/Infringement Expert (retention agreement dated August 1, 2024)
•  Dr. Lawrence Keating — Damages Expert (retention agreement dated August 5, 2024)
•  Gregory Falk — Industry Expert (retention agreement dated August 8, 2024)
All expert-related materials shall be maintained in expert-specific subfolders within Folder 07. Draft expert reports must be clearly labeled as drafts and must not be deleted or overwritten; all versions shall be retained in accordance with Section III.A below.
8. 08 — Willful Infringement & Enhanced Damages
This folder contains all materials relating to OWS's claim that Lumicore's infringement was willful, and OWS's request for enhanced damages under 35 U.S.C. § 284. This folder shall include the following:
•  The willful infringement memorandum prepared by C&H
•  The notice/willfulness evidence timeline documenting Lumicore's knowledge of OWS's patents and continued infringing conduct
•  The Read factor analysis
•  Draft motions and supporting declarations, including declarations of Angela Reeves and Melissa Chen
•  Damages scenario analysis spreadsheets modeling the impact of enhanced damages awards at various multiplier levels
9. 09 — Injunctive Relief
This folder contains all materials relating to OWS's request for a permanent injunction and any preliminary injunction analysis. This folder shall include the following:
•  Permanent injunction analysis memorandum addressing the Cascade Holdings factors
•  Irreparable harm evidence, including market impact data and customer declarations
•  Market analysis prepared by C&H and/or retained experts
•  Draft injunction orders proposed by OWS
•  Bond analysis, including correspondence with Heritage National Surety Co. regarding potential bond requirements
•  Customer impact declarations and supporting data
•  Voluntary cessation analysis and cease-and-desist correspondence issued by or on behalf of OWS
•  Preliminary injunction contingency drafts prepared as a precautionary measure
10. 10 — Validity Defense Analysis
This folder contains all materials relating to C&H's analysis of potential validity challenges that Lumicore may assert and OWS's strategies for defending the validity of the asserted patents. This folder shall include the following:
•  Invalidity contentions analysis memoranda for each asserted patent ('847, '193, '562, and '015)
•  Secondary considerations of non-obviousness memorandum (commercial success, long-felt need, failure of others, copying, industry praise, licensing)
•  Inter partes review ("IPR") risk assessment, including analysis of potential prior art references and institution probabilities
•  Inequitable conduct defense analysis memorandum
•  Prosecution history review summaries for each asserted patent and related family members
11. 11 — Damages Analysis
This folder contains all materials relating to damages strategy, calculation, and expert analysis. This folder shall include the following:
•  The overarching damages strategy memorandum
•  Panduit factor analysis (demand for the patented product, absence of acceptable non-infringing substitutes, manufacturing and marketing capability, quantifiable profit attributable to the patented feature)
•  Market share displacement analysis, including analysis supporting the 38.2% market share figure
•  Comparable license analysis, including review of the following license agreements: OWS-Terralink, OWS-NovaWave, OWS-Helix, Stratos v. ArcLight (settled license), and Coreline v. Prisma (settled license)
•  Apportionment analysis addressing the multi-component nature of Lumicore's accused products
•  Lumicore financial data summary (derived from production and public filings)
•  Price erosion analysis
•  Royalty rate negotiation / hypothetical negotiation scenario memoranda
•  Client presentation materials used in discussions with OWS management regarding damages expectations and settlement valuation
12. 12 — Dispositive Motions & Daubert
This folder contains all materials relating to summary judgment motions and Daubert challenges. This folder shall include the following:
•  Summary judgment strategy memorandum
•  Draft summary judgment motions and opposition briefs (both affirmative motions and responses to anticipated Lumicore motions)
•  Daubert motions directed at Lumicore's experts, including challenges to Dr. Rajesh Sundaram (Lumicore's technical expert) and Dr. Natasha Volkov (Lumicore's damages expert)
•  Materials prepared in anticipation of Lumicore's Daubert challenge to C&H's retained damages expert, Dr. Lawrence Keating
•  All supporting declarations, exhibits, appendices, and hearing materials
13. 13 — Trial Preparation
This folder contains all materials relating to preparation for trial, including pretrial filings and trial logistics. This folder shall include the following:
•  Trial strategy memorandum
•  Proposed jury instructions
•  Proposed verdict form
•  Witness list (fact and expert witnesses)
•  Exhibit list
•  Deposition designation charts (video and read-in designations) and related counter-designations
•  Demonstrative exhibits (infringement module and damages module)
•  Motions in limine (filed by OWS and responses to Lumicore's motions)
•  Pre-trial conference statement
•  Voir dire questions
•  Opening statement outline
•  Closing argument outline
•  Witness examination outlines (direct and cross)
•  Daily trial team reports and war room materials
14. 14 — Settlement & ADR
This folder contains all materials relating to settlement negotiations and alternative dispute resolution proceedings. This folder shall include the following:
•  Settlement authority memorandum prepared for OWS management and board review
•  Mediation demand letter
•  Mediation position statement
•  Settlement term sheets and draft settlement agreements
•  Settlement approval memorandum template
•  Correspondence with opposing counsel regarding settlement discussions (to the extent not otherwise privileged and separately maintained)
•  Mediator communications and engagement letters
All materials in this folder are subject to the highest level of confidentiality and access should be restricted to the core case team (Alan Ngo, Wendy Schultz, and Marcus Delgado) unless otherwise authorized.
15. 15 — Correspondence
This folder contains all external correspondence (letters, emails, and other written communications) organized chronologically and by party/recipient. Subfolders shall be maintained for the following categories:
•  Opposing Counsel — Hawthorne Vega & Cruz LLP: All correspondence with Kate Rourke (Lead Partner), Darren Cho, Samantha Briggs, and Rohan Iyer
•  Local Counsel — Whitmore & Callahan LLP: All correspondence with Jim Callahan
•  Client — Optiwave Semiconductor Corp.: All correspondence with Rebecca Tanaka (General Counsel), Franklin Osei (VP Engineering), and other OWS personnel
•  Experts: Correspondence with Dr. Caroline Ashford, Dr. Lawrence Keating, and Gregory Falk
•  Third Parties: Correspondence with non-party witnesses, third-party subpoena recipients, and other third parties
•  Court: All correspondence with chambers and the Clerk of Court
16. 16 — Client Documents / Productions
This folder contains all documents received from OWS for use in the litigation, organized by custodian. This folder encompasses documents collected from the fourteen (14) identified custodians specified in the Litigation Hold Memorandum. Subfolders shall be established for each custodian, with documents organized chronologically within each subfolder. All documents collected from OWS shall be processed, reviewed, and produced in accordance with the ESI Protocol Agreement and the applicable discovery deadlines.
17. 17 — Adverse Party Productions
This folder contains all documents received from Lumicore in discovery. As of the date of this protocol's most recent update, OWS has produced approximately 182,000 documents (approximately 1.4 million pages), and Lumicore has produced approximately 147,000 documents (approximately 980,000 pages). Lumicore's productions shall be organized by production date and Bates range. All documents received from Lumicore must be maintained in accordance with the terms of the Stipulated Protective Order, including applicable confidentiality designations.
18. 18 — Research & Internal Memoranda
This folder contains legal research memoranda, internal strategy memoranda, and other analytical work product not otherwise categorized in the specialized folders described above. All research memoranda shall be clearly labeled with the date, author, and topic of the memorandum.
19. 19 — Privilege Review Materials
This folder contains materials relating to the privilege review process, including privilege review protocols, privilege call logs recording the substance and resolution of privilege review disputes and borderline calls, and clawback records documenting any instances of inadvertent production and subsequent remediation.
C. Document Numbering and Bates Stamping
The following conventions shall govern the numbering and Bates stamping of documents in this matter:
•  OWS Productions: All documents produced by OWS to Lumicore shall be Bates stamped with the prefix "OWS" followed by sequential numbering (e.g., OWS0000001, OWS0000002, etc.).
•  Internal C&H Work Product: Internal C&H work product shall be sequentially numbered with the prefix "SC-WP" for internal tracking purposes (e.g., SC-WP-0001, SC-WP-0002, etc.). This numbering system is for internal organizational purposes only and does not represent a production Bates stamp.
•  Lumicore Productions: Documents received from Lumicore shall retain Lumicore's Bates numbering as applied by Lumicore or its counsel.
•  Third-Party Productions: Documents received from third parties in response to subpoenas or other requests shall retain the third-party's Bates prefixes and numbering scheme as applied by the producing party.
All Bates stamping shall be applied by the Firm's e-discovery team or the designated e-discovery vendor in accordance with industry-standard practices. The Bates stamp shall appear in a consistent location (lower right corner) and shall not obscure substantive content of the underlying document.
III. DOCUMENT CREATION AND STORAGE PROTOCOLS
A. Work Product Creation
All substantive work product generated in connection with this matter — including but not limited to legal memoranda, briefs, claim charts, analysis documents, correspondence drafts, expert report drafts, and presentation materials — must be created and stored on the C&H DMS using the matter file structure described in Section II.B above. No substantive work product of any kind may be stored solely on local hard drives, personal laptops, personal mobile devices, personal cloud storage accounts (including but not limited to personal Larkspur Technologies, Hollowell Health IT, Meridian Systems, or Cobalt Ridge Systems accounts), or any other location outside the C&H DMS. Temporary drafts created on local machines during active editing must be uploaded to the DMS promptly upon completion of the editing session and deleted from the local device.
All drafts of substantive work product must be saved using the following version-control naming convention:
[Document Title]\_v[Version Number]\_[Author Initials]\_[Date in YYYYMMDD format]
Example: Claim\Chart\847\v3\WS\_20240910
This naming convention ensures that all versions of a document can be readily identified by title, version, author, and date. All case team members are expected to increment the version number each time substantive edits are made to a document.
All drafts must be retained in the DMS for the duration of this matter. No superseded drafts may be deleted, overwritten, or removed from the DMS during the pendency of the litigation. This requirement applies regardless of whether the draft is a preliminary working document, an intermediate version, or a near-final version. The retention of drafts is essential to support privilege claims, to preserve the Firm's ability to reconstruct its analytical process if necessary, and to comply with the Firm's obligations under applicable rules and ethical standards.
B. Email Management
All case-related emails — both internal C&H communications and external communications with the Client, opposing counsel, co-counsel, experts, vendors, third parties, and the Court — must be saved to the DMS matter file within forty-eight (48) hours of sending or receipt. Case team members should use the C&H Outlook DMS integration tool to file emails directly to the appropriate subfolder within the matter file structure.
Emails to or from opposing counsel at Hawthorne Vega & Cruz LLP or Trask Eddington LLP (if applicable), and any correspondence with the Court or the Clerk's Office, must be saved to the DMS immediately upon sending or receipt. Given the potential significance of such communications for meet-and-confer requirements, privilege issues, and the litigation record, immediate filing is required without exception.
The use of personal email accounts — including personal Northgate Software, Cascade Health IT, Ridgeline Technologies, or any other non-C&H email service — for any case-related communication is strictly prohibited. All case-related communications must be conducted through C&H's official email system. Any case team member who inadvertently receives or sends a case-related communication through a personal email account must immediately forward the communication to their C&H email account, save it to the DMS, and notify Wendy Schultz of the incident.
Text messages, instant messages (including messages sent via Northgate Data Systems, Meridian Solutions, or similar platforms), and voicemails that contain substantive case-related content must also be preserved. Text messages and instant messages should be captured (by screenshot or export) and saved to the DMS. Voicemails containing substantive case-related content should be transcribed or summarized in a contemporaneous memorandum saved to the DMS.
C. Physical Documents
Any physical documents received or generated in connection with this matter — including but not limited to the original executed engagement letter, original patent certificates or certified copies thereof, physical exhibits received in discovery or at depositions, and any handwritten notes taken during meetings, conferences, or hearings — must be logged in the physical-file inventory maintained by the C&H Records Management Department.
Physical documents should be scanned and uploaded to the DMS as soon as practicable after receipt or creation. High-resolution scans (300 DPI minimum) should be used for all documents, and OCR text recognition should be applied to all scanned images to facilitate searchability within the DMS.
Original physical documents shall be stored in the Firm's secure records facility at the C&H Los Angeles office, located at 350 South Grand Avenue, 48th Floor, Los Angeles, California 90071. Physical documents must be stored in labeled folders and boxes corresponding to the DMS folder structure described in Section II.B above. Access to physical files is governed by Section VII.C of this protocol.
D. Confidential and Protected Materials
A significant volume of documents produced by Lumicore in this matter has been designated under the three-tier Stipulated Protective Order entered by the Court. All C&H personnel must understand and strictly comply with the handling requirements applicable to each tier of designation. The three tiers, and the corresponding access and handling requirements, are as follows:
"Confidential"
Documents and information designated as "Confidential" under the Protective Order are accessible to case team members, authorized client representatives of OWS, and retained experts, provided that each such individual has executed the Protective Order acknowledgment form. "Confidential" materials may be discussed with authorized individuals in private settings and may be referenced in filings and correspondence, subject to the filing and sealing procedures set forth in the Protective Order.
"Highly Confidential — Attorneys' Eyes Only" ("AEO")
Documents and information designated as "Highly Confidential — Attorneys' Eyes Only" are accessible only to outside counsel (C&H attorneys and Whitmore & Callahan attorneys), retained experts who have executed the appropriate acknowledgment form, and litigation-support personnel directly assisting outside counsel. AEO materials may NOT be shared with OWS business personnel — including officers, directors, employees, and agents of OWS — without prior written approval from the Court. By way of example, Lumicore's product-level financial data, including gross margin data (ranging from 52.1% to 58.3% across product lines), average selling prices ("ASPs"), and customer-by-customer revenue breakdowns, has been designated as AEO. Case team members must exercise particular caution when communicating with Client personnel to ensure that AEO information is not inadvertently disclosed.
"Highly Confidential — Source Code"
Documents and information designated as "Highly Confidential — Source Code" are subject to the most restrictive handling requirements. Source code materials — including Lumicore's register-transfer level ("RTL") schematics, photonic integrated circuit ("photonic-IC") layout files, and fabrication run data — may be viewed only in a designated secure review environment configured in accordance with the Source Code Protocol agreed upon as part of the ESI Protocol Agreement dated August 15, 2024. No copies of source code materials may be made or removed from the secure review environment. Additional restrictions on source code review are set forth in Section VII.B of this protocol.
All individuals who will access materials designated under the Protective Order at any level must execute the appropriate acknowledgment form before being granted access to such materials. Wendy Schultz is responsible for maintaining a current register of all executed acknowledgment forms. Copies of executed acknowledgment forms shall be stored in Folder 05 (Discovery — Protective Order subfolder) of the DMS.
IV. PRIVILEGE LOG MAINTENANCE
A. Obligation to Log
All documents withheld from production or redacted on the basis of attorney-client privilege, the work-product doctrine, the common-interest privilege, the joint-defense privilege, or any other recognized privilege or protection must be logged on the C&H privilege log for this matter. The obligation to log applies to all documents within the scope of Lumicore's discovery requests that are withheld or redacted in whole or in part on privilege grounds, consistent with the requirements of Fed. R. Civ. P. 26(b)(5)(A) and the Court's discovery orders.
The initial privilege log for this matter was served on October 31, 2024, and identified 1,247 withheld or redacted documents. The first supplemental privilege log was served on December 15, 2024, and added 318 entries to the log, bringing the cumulative total to 1,565 logged entries as of that date. The privilege log is a living document and must be updated with each supplemental production to reflect any additional documents withheld or redacted on privilege grounds. Updated privilege logs must be served on opposing counsel in accordance with the deadlines established in the Court's Scheduling Order and any subsequent discovery orders.
B. Privilege Log Format
Each entry on the privilege log must include the following information, at a minimum:
1.  Bates/Document Number: The Bates number or document identification number assigned to the withheld or redacted document.
2.  Date of Document: The date the document was created, sent, or received, as applicable.
3.  Author(s): The name(s) and title(s) of the author(s) of the document.
4.  Recipient(s): The name(s) and title(s) of the recipient(s) of the document, including all persons copied.
5.  Document Type: The type of document (e.g., email, memorandum, letter, handwritten note, presentation, spreadsheet, instant message).
6.  General Subject Matter: A brief description of the general subject matter of the document, described with sufficient specificity to allow the Court and opposing counsel to assess the privilege claim, but without disclosing privileged content or waiving the applicable privilege.
7.  Privilege(s) Asserted: The specific privilege(s) or protection(s) asserted as the basis for withholding or redacting the document (e.g., attorney-client privilege, work-product doctrine — fact, work-product doctrine — opinion, joint-defense privilege, common-interest privilege).
Where a document is redacted rather than withheld in its entirety, the privilege log entry shall so indicate and shall describe the nature of the redacted content with sufficient specificity to support the privilege claim.
C. Review and Quality Control
Wendy Schultz is designated as the privilege log coordinator for this matter. In this capacity, Wendy Schultz is responsible for overseeing the preparation, review, updating, and service of all privilege logs, and for ensuring the consistency and accuracy of all privilege designations.
All privilege designations made by contract attorneys, paralegals, or other document reviewers must be reviewed and approved by at least one C&H attorney (Wendy Schultz or Omar Siddiqui) before the document is included on the privilege log. No document may be logged as privileged without attorney review and approval.
Omar Siddiqui will conduct a weekly audit of new privilege log entries for consistency, completeness, and accuracy. The weekly audit shall include a review of a statistically significant sample of new entries to confirm that the privilege designations are properly supported, that the log entries contain all required information, and that the subject-matter descriptions are appropriately specific without disclosing privileged content.
Any questions regarding borderline privilege calls — including situations where the applicability of a privilege is uncertain, where the presence of a third party may have waived the privilege, where the crime-fraud exception may be implicated, or where a document straddles the line between business advice and legal advice — must be escalated to Alan Ngo for a final determination. Alan Ngo's determinations on borderline privilege calls shall be documented in the privilege call log maintained in Folder 19 of the DMS.
D. Clawback Protocol
In the event of inadvertent production of privileged material by either party, the procedures set forth in Federal Rule of Evidence 502(b) and the applicable provisions of the Stipulated Protective Order shall govern the handling of the inadvertently produced material. The Stipulated Protective Order includes a clawback provision consistent with Fed. R. Evid. 502(d) and entered as a court order, providing that inadvertent production does not constitute a waiver of the attorney-client privilege or work-product protection.
Upon discovery of potentially privileged material in Lumicore's production, C&H personnel must immediately cease review of the document, refrain from disseminating or using the document, and notify Lumicore's counsel at Hawthorne Vega & Cruz LLP of the potentially privileged nature of the document. The document shall be sequestered pending a determination by Lumicore's counsel as to whether a clawback is warranted.
In the event that C&H inadvertently produces a privileged C&H or OWS document to Lumicore's counsel, the following steps must be taken immediately:
1.  Notify Hawthorne Vega & Cruz LLP in writing (via letter or email) of the inadvertent production, identifying the document(s) by Bates number and requesting the return or destruction of all copies.
2.  Document the incident in the clawback register maintained by the privilege log coordinator (Wendy Schultz) in Folder 19 of the DMS, including the date of discovery, the Bates number(s) of the inadvertently produced document(s), the nature of the privilege, the date of notification to opposing counsel, and the steps taken to remediate the production.
3.  Promptly notify Alan Ngo and the Client (Rebecca Tanaka) of the incident.
4.  If opposing counsel refuses to return or destroy the inadvertently produced material, C&H will promptly file a motion with the Court seeking appropriate relief under Fed. R. Evid. 502(b) and the Protective Order.
V. COORDINATION WITH CO-COUNSEL AND VENDORS
A. Whitmore & Callahan LLP (Local Counsel)
Whitmore & Callahan LLP serves as local counsel for OWS in this matter. Jim Callahan is the Local Counsel Partner and primary point of contact. Whitmore & Callahan's office is located at 110 North College Avenue, Suite 800, Tyler, Texas 75702.
Jim Callahan will receive copies of all Court filings, all significant correspondence with the Court and opposing counsel, and all court orders. Whitmore & Callahan is responsible for ensuring compliance with Local Rules of the Eastern District of Texas, including filing requirements, certificate of service requirements, and any standing orders of Judge Gilstrap.
All documents shared with Whitmore & Callahan must be transmitted via C&H's secure file-sharing platform. Unencrypted email attachments may not be used for the transmission of documents designated as "Confidential," "Highly Confidential — Attorneys' Eyes Only," or "Highly Confidential — Source Code" under the Protective Order. Standard, undesignated documents may be transmitted via encrypted C&H email, but the secure file-sharing platform is preferred for all transmissions to ensure consistency and auditability.
Whitmore & Callahan must comply with this protocol with respect to any matter files maintained at their office in connection with this litigation. Jim Callahan shall be provided with a copy of this protocol and shall acknowledge receipt and understanding on behalf of Whitmore & Callahan. Any matter files maintained by Whitmore & Callahan at their Tyler, Texas office are subject to the same retention, security, and access requirements set forth in this protocol.
B. Retained Experts
C&H has retained the following experts in connection with this matter:
Dr. Caroline Ashford — Technical/Infringement Expert
•  Affiliation: Northfield Institute of Technology, Evanston, Illinois
•  Retention agreement dated August 1, 2024
•  Hourly rate: $950
•  Estimated budget: $1,100,000
•  Scope: Technical analysis of infringement, claim construction support, and rebuttal of Lumicore's non-infringement and invalidity positions
Dr. Lawrence Keating — Damages Expert
•  Affiliation: Meridian Economic Consulting Group, LLC, 233 South Wacker Drive, Suite 4400, Chicago, Illinois 60606
•  Retention agreement dated August 5, 2024
•  Hourly rate: $875
•  Estimated budget: $950,000
•  Scope: Lost profits analysis, reasonable royalty analysis, damages calculation, and rebuttal of Lumicore's damages positions
Gregory Falk — Industry Expert
•  Affiliation: Independent Consultant (formerly of Solara Optics, Inc.)
•  Retention agreement dated August 8, 2024
•  Hourly rate: $650
•  Estimated budget: $375,000
•  Scope: Industry background, market dynamics, competitive landscape, and commercial success of OWS's patented technology
All expert materials — including draft reports, final reports, underlying data sets, communications between C&H and experts, preparation memoranda, and deposition materials — must be stored in Folder 07 (Expert Materials) of the DMS, organized by expert name in dedicated subfolders.
To ensure the preservation of privilege protections applicable to attorney-expert communications, all substantive communications with retained experts should be directed through, or at a minimum copied to, Wendy Schultz. Case team members should be mindful that, under Fed. R. Civ. P. 26(b)(4)(C), communications between the Firm and testifying experts are generally protected from discovery, with certain exceptions (including communications relating to the expert's compensation, facts or data provided by counsel that the expert considered, and assumptions provided by counsel that the expert relied upon). Case team members should consult with Wendy Schultz or Alan Ngo before transmitting any materials to experts that could be subject to these exceptions.
All retained experts must execute the Protective Order acknowledgment form before receiving any Lumicore documents or information designated as "Confidential" or "Highly Confidential — Attorneys' Eyes Only" under the Protective Order. Executed acknowledgment forms must be provided to the privilege log coordinator and stored in the Protective Order subfolder of Folder 05. Experts are not authorized to access "Highly Confidential — Source Code" materials unless they are specifically identified in the Source Code Protocol and have executed the additional source code acknowledgment.
C. Third-Party Vendors
The following third-party vendors have been engaged in connection with this matter:
Benchmark Semiconductor Analysis, LLC — Reverse-Engineering / Teardown Laboratory
•  Address: 2244 Mission College Boulevard, Santa Clara, California 95054
•  Lead Engineer: Kevin Ng
•  Scope: Reverse engineering and physical teardown analysis of Lumicore's accused products; preparation of teardown reports documenting the structure and functionality of accused components
•  Teardown reports and all associated data (photographs, measurements, SEM images, cross-section analyses) shall be stored in Folder 03 (Infringement Contentions & Claim Charts) of the DMS
Cascade IP Advisors, LLC — Patent Prosecution Consultants
•  Address: 1550 Crystal Drive, Suite 600, Arlington, Virginia 22202
•  Primary Contact: Dr. Martin Chu
•  Scope: Patent prosecution support, prosecution history analysis, prior art searching, and consultation regarding prosecution-related issues relevant to validity defense
•  Prosecution history files and related analysis shall be stored in Folders 04 (Claim Construction) and 10 (Validity Defense Analysis) of the DMS, as applicable
FairPoint Licensing Group, LLC — Licensing Agent
•  Address: 500 Sansome Street, Suite 1400, San Francisco, California 94111
•  Primary Contact: Angela Reeves
•  Scope: Pre-suit licensing outreach to Lumicore; management of OWS's licensing program as it relates to the asserted patents
•  Pre-suit correspondence and licensing-related materials shall be stored in Folder 15 (Correspondence) of the DMS
E-discovery Vendor — Relativity Platform Provider
•  All ESI collections, processing, hosting, and attorney review for this matter are conducted through the Relativity e-discovery platform
•  All ESI processing and review shall be conducted in accordance with the ESI Protocol Agreement dated August 15, 2024
•  The e-discovery vendor is responsible for maintaining data integrity, chain of custody records, and processing logs for all ESI handled in connection with this matter
All third-party vendors must execute appropriate non-disclosure agreements ("NDAs") before receiving any confidential C&H or OWS information. Where a vendor will have access to materials designated under the Protective Order, the vendor must also execute the appropriate Protective Order acknowledgment form. Executed NDAs and acknowledgment forms shall be maintained in Folder 01 (Engagement & Administration) and Folder 05 (Discovery — Protective Order subfolder) of the DMS, respectively.
VI. DOCUMENT RETENTION SCHEDULE
A. During Active Litigation
During the pendency of this litigation, including any post-trial proceedings and any appeals, no documents of any kind relating to this matter may be destroyed, deleted, discarded, or otherwise disposed of by any C&H personnel. This prohibition is absolute and applies without exception.
This preservation obligation encompasses all formats and media in which matter-related information may exist, including but not limited to:
•  Electronic files stored on the DMS, including all versions and drafts
•  Emails (sent, received, and draft) stored on the C&H email system
•  Physical documents, including original and copy documents
•  Voicemail messages
•  Text messages and instant messages (including Northgate Data Systems messages)
•  Handwritten notes, whether in notebooks, on legal pads, or on loose paper
•  Calendar entries containing substantive case-related information
•  Spreadsheets, databases, and analytical models
•  Presentation files
•  Any other tangible or electronic materials containing information related to this matter
Automated deletion, archival, or purge systems — including email auto-deletion policies, file-system retention policies, and any other automated processes that could result in the destruction or alteration of matter-related files — must be suspended for all files related to this matter. The C&H Information Technology Department has been notified of this requirement and has confirmed that the appropriate holds have been placed on all systems relevant to this matter.
B. Post-Disposition Retention
Upon final resolution of all proceedings in this matter — including the exhaustion or waiver of all appellate rights, the satisfaction of any judgment entered, or the execution and full performance of any settlement agreement — the following retention schedule shall apply:
Permanent Retention
The following categories of documents shall be retained permanently by C&H:
•  The engagement letter dated March 18, 2024, and all amendments thereto
•  All final court filings, including the Complaint, Answer, all substantive motions and briefs, and all Court orders (including the Claim Construction Order, any summary judgment order, and any final judgment)
•  Final expert reports served on opposing parties
•  Executed settlement documents, if any (including the settlement agreement, any consent judgment, and any license agreement executed in connection with a settlement)
•  The final judgment or order of dismissal
•  Key correspondence, including engagement-related correspondence with the Client and material correspondence with the Court
Ten-Year Retention
All other matter files not designated for permanent retention shall be retained for a period of ten (10) years following the date of final resolution. This category includes but is not limited to:
•  Internal memoranda, research memoranda, and strategy documents
•  Draft briefs and draft motions
•  Legal research materials
•  Deposition transcripts, summaries, and exhibits
•  discovery materials (interrogatories, requests for production, requests for admission, and responses)
•  Privilege logs (initial and supplemental)
•  Billing records and cost reports
•  Correspondence not designated for permanent retention
•  Work-product drafts and analysis documents
Return or Destruction of Opposing Party Materials
All materials received from Lumicore under the Stipulated Protective Order must be returned or destroyed in accordance with the terms of the Protective Order within the timeframe specified therein following the conclusion of the litigation. Upon completion of the return or destruction process, C&H shall provide written certification to Lumicore's counsel (Hawthorne Vega & Cruz LLP) confirming that all such materials have been returned or destroyed and that no copies have been retained, except as expressly permitted by the Protective Order (e.g., a single archival copy maintained by outside counsel for purposes of defending against any future claims of privilege waiver or for use in connection with any appeal).
The ten-year retention period begins on the date of final resolution of all proceedings. For purposes of this protocol, "final resolution" means the later of: (i) the date of entry of final judgment and expiration of all applicable appeal periods without the filing of an appeal; (ii) the date of issuance of a final mandate by an appellate court following the conclusion of all appeals; or (iii) the date of full execution and performance of any settlement agreement, including the satisfaction of all payment obligations and any license execution requirements.
Any request for early destruction of matter files prior to the expiration of the applicable retention period must be submitted in writing to Alan Ngo for review and approval. No early destruction shall be undertaken without Alan Ngo's written authorization. All early destruction decisions shall be documented in the Records Management Department file for this matter.
C. Client File Return
Upon conclusion of the engagement, original documents provided by OWS to C&H will be returned to the Client upon request. Requests for the return of client documents should be directed to Rebecca Tanaka, General Counsel, Optiwave Semiconductor Corp., 4810 Bayside Technology Parkway, Suite 300, Santa Clara, California 95054.
C&H will retain copies of all client documents for the retention periods specified in Section VI.B above, unless the Client provides written instructions to the contrary. In the event the Client requests that C&H not retain copies of certain documents, such request will be documented in writing and a copy of the request will be maintained in the Records Management Department file.
VII. SECURITY AND ACCESS CONTROLS
A. Electronic Access
Access to the DMS matter file for this engagement (Matter No. 1014-00004) is restricted to authorized personnel listed on the current case team staffing roster, a copy of which is attached as Exhibit B and maintained by the C&H Records Management Department. Only individuals appearing on the current staffing roster may access any documents within the DMS matter file.
The addition of new personnel to the case team — including new attorneys, paralegals, contract attorneys engaged for document review projects, litigation-support specialists, and any other personnel — must be approved by Alan Ngo or Wendy Schultz prior to the granting of DMS access. Upon approval, the C&H Information Technology Department shall add the individual to the DMS access list and provide the individual with a copy of this protocol. The individual must execute the Acknowledgment Form (Exhibit A) before commencing work on the matter.
Two-factor authentication is required for all remote access to the DMS, including access from home offices, hotels, or other locations outside the C&H office. Remote access is available only through C&H's approved virtual private network ("VPN") or secure remote desktop solution. Case team members may not access DMS matter files through unsecured public Wi-Fi networks or shared computers.
When a case team member is removed from the case team or departs the Firm, the C&H Information Technology Department must be notified promptly so that the individual's DMS access can be revoked. Wendy Schultz is responsible for notifying IT of all staffing changes affecting DMS access.
B. Source Code Review Environment
Lumicore source code and photonic-IC layout files designated as "Highly Confidential — Source Code" under the Protective Order are subject to the most stringent access and security controls. These materials may be reviewed only in the designated standalone workstation(s) configured by the C&H Information Technology Department specifically for this purpose. The source code review environment must comply with the following requirements:
•  The workstation(s) must have no network connectivity (wired or wireless) of any kind.
•  All USB ports, external drive bays, and other removable media interfaces must be physically disabled or blocked.
•  No printing capability may be enabled on the workstation(s), except as specifically authorized under the Source Code Protocol and with the prior written consent of Lumicore's counsel.
•  The workstation(s) must be located in a secure, lockable room within the C&H Los Angeles office.
•  Only individuals specifically authorized under the Source Code Protocol may access the source code review environment.
A source code review log must be maintained by the litigation-support team, recording each instance of access to the source code review environment. The log must include the following information for each access session: (i) the date of access; (ii) the start and end time of the session; (iii) the name and role of the individual accessing the materials; (iv) the duration of the session; and (v) a brief description of the purpose of the review. The source code review log shall be maintained in Folder 19 (Privilege Review Materials) of the DMS.
C. Physical Security
All physical case files stored at the C&H Los Angeles office must be kept in locked file cabinets in the designated case team work area. Access to the locked file cabinets is limited to authorized case team members who have been provided with keys or combinations. Keys and combinations may not be shared with individuals who are not on the current case team staffing roster.
Physical files may not be removed from the C&H Los Angeles office without the prior approval of the responsible partner (Alan Ngo). If physical files must be transported — for example, to a deposition, hearing, or trial — the files must be maintained in the custody of an authorized case team member at all times and must be returned to the secure storage location promptly upon conclusion of the event.
VIII. BILLING AND TIME RECORDS
A. Contemporaneous Time Entry
All case team members must record time entries contemporaneously — that is, on the same day that the work is performed — with sufficient narrative detail to support billing and any future fee petition that may be filed in connection with this matter. Vague or conclusory time entries (e.g., "legal research" or "case review") are not acceptable. Each time entry must describe the specific task performed, the subject matter addressed, and the documents or issues involved, with enough specificity to allow the Client and, if necessary, the Court to evaluate the reasonableness and necessity of the work.
Time entries must reference the applicable phase code corresponding to the litigation budget categories agreed upon with the Client. The following phase codes are currently in use for this matter:
•  Phase 01: Pre-Suit Investigation and Engagement
•  Phase 02: Pleadings and Motions Practice
•  Phase 03: Fact discovery
•  Phase 04: Claim Construction
•  Phase 05: Expert discovery
•  Phase 06: Dispositive Motions and Daubert
•  Phase 07: Trial Preparation
•  Phase 08: Trial
•  Phase 09: Post-Trial Motions
•  Phase 10: Appeal (if applicable)
•  Phase 11: Settlement / ADR
Billing Partner Marcus Delgado reviews monthly billing summaries to ensure compliance with the blended cap rate of $925 per hour negotiated with Ridgeline Capital Partners, OWS's majority institutional investor, which has approval authority over the litigation budget. Any billing entries that exceed the blended cap rate or that raise questions regarding the scope of authorized work should be flagged by Marcus Delgado and resolved prior to the issuance of monthly invoices.
B. Cost Tracking
All costs and disbursements incurred in connection with this matter must be properly coded to Matter No. 1014-00004 and included in the monthly billing summaries submitted to the Client. Costs subject to tracking include but are not limited to:
•  Court filing fees and service of process charges
•  Pro hac vice admission fees
•  Expert fees and expenses (Dr. Ashford, Dr. Keating, Mr. Falk)
•  Travel expenses (airfare, hotel, ground transportation, meals) incurred in connection with depositions, hearings, mediations, and client meetings
•  Photocopying, printing, and binding charges
•  E-discovery vendor charges (processing, hosting, production, and platform access fees)
•  Messenger and delivery service charges
•  Court reporter fees and transcript costs
•  Demonstrative exhibit preparation costs
•  Reverse-engineering and teardown laboratory fees (Benchmark Semiconductor Analysis, LLC)
The approved litigation budget for this matter, as set forth in the Ridgeline Capital Partners approval letter dated April 2, 2024 (referencing OWS Board Resolution No. 2024-07), is $18,500,000 total through trial. This budget encompasses all attorney fees, expert fees, vendor costs, and out-of-pocket expenses anticipated through the conclusion of a jury trial.
The following is a summary of cumulative fees and costs billed as of January 31, 2025:
In addition to the standard fee arrangement, the engagement letter provides for a success fee component equal to five percent (5%) of any net recovery obtained by OWS in excess of $150,000,000, whether by judgment, settlement, or other resolution. The success fee is tracked separately from the standard billing and budget reporting. Any questions regarding the success fee calculation or applicability should be directed to Marcus Delgado.
Budget status reports shall be prepared monthly by the billing coordinator and reviewed by Marcus Delgado. Budget variances exceeding 10% in any phase category, or cumulative budget variances exceeding 5% of the total approved budget, must be reported to Alan Ngo and to the Client (Rebecca Tanaka) promptly, with an explanation of the variance and a revised budget forecast.
IX. COMPLIANCE AND ENFORCEMENT
All case team members — including all attorneys, paralegals, legal assistants, summer associates, contract attorneys, litigation-support specialists, e-discovery personnel, and other staff assigned to this matter — must acknowledge receipt and understanding of this protocol by signing the Acknowledgment Form attached hereto as Exhibit A. Executed Acknowledgment Forms must be returned to Wendy Schultz within five (5) business days of receipt of this protocol.
Compliance with this protocol is mandatory. Failure to comply with any provision of this protocol may result in removal from the case team and, dep

ATTORNEY WORK PRODUCT — PRIVILEGED AND CONFIDENTIAL

CALDERWOOD & HARKNESS LLP

I. PURPOSE AND SCOPE

II. MATTER IDENTIFICATION AND FILE STRUCTURE

Record

Parties

Dates

Amounts