[sheet: Cover & Summary]

Field	Value
Document Title	Litigation Budget and Staffing Plan
Prepared By	Calderwood & Harkness LLP
Prepared For	Optiwave Semiconductor Corp. / Ridgeline Capital Partners, LP
Date	March 25, 2024
Matter	Optiwave Semiconductor Corp. v. Lumicore Technologies, Inc.
Case No.	2:24-cv-00319-JRG
Court	United States District Court for the Eastern District of Texas, marshall Division
Presiding Judge	Judge James R. Gilstrap
Client	Optiwave Semiconductor Corp.
Client HQ	4810 Bayside Technology Parkway, Suite 300, Santa Clara, CA 95054
Client General Counsel	Rebecca Tanaka
Client CFO	David Leitner
PE Sponsor	Ridgeline Capital Partners, LP
PE Sponsor HQ	200 Clarendon Street, 40th Floor, Boston, MA 02116
PE Sponsor Contact / Board Chair	Franklin Osei, Managing Partner
Board Resolution Authorizing Spend	OWS Board Resolution No. 2024-07
Defendant	Lumicore Technologies, Inc.
Defendant HQ	9200 Spectrum Boulevard, Building C, Austin, TX 78759
Lead Litigation Counsel	Calderwood & Harkness LLP
C&H Main Office	350 South Grand Avenue, 48th Floor, Los Angeles, CA 90071
C&H DC Office	1201 F Street NW, Suite 700, Washington, DC 20004
Responsible Partner	Alan Ngo (IP Litigation)
Billing Partner	Marcus Delgado (IP Litigation)
Lead Associate	Wendy Schultz (IP Litigation)

Working Associate	Omar Siddiqui (IP Litigation)
Local Counsel	Whitmore & Callahan LLP (Jim Callahan), 110 North College Avenue, Suite 800, Tyler, TX 75702
Engagement Letter Date	March 18, 2024
Anticipated Complaint Filing	April 22, 2024
Anticipated Trial Date	February 2, 2026 (estimated 7–10 days)
Total Approved Budget	$18,500,000
Damages Sought	~$210,000,000
Asserted Patents	U.S. 10,234,847; U.S. 10,891,193; U.S. 9,678,562; U.S. 11,402,015
Accused Products	LumiLink 400G-ZR+; LumiLink 800G-DR8; LumiEdge 1600G-LR
Success Fee Component	5% of net recovery above $150M (per engagement letter)
Blended Cap Rate	$925/hr (negotiated with Ridgeline Capital Partners)
D&O / Litigation Cost Insurance	Pacific Rim Insurance Group, Policy No. PLI-2023-08812
Approval Requested From	Franklin Osei, Board Chair / Managing Partner, Ridgeline Capital Partners, LP
Approval Signature Line	____________________________
Approval Date Line	____________________________

[sheet: Phase Budget Summary]

Phase No.	Phase Name	Description	Approximate Timeframe	C&H Attorney Fees	C&H Paralegal Fees	Local Counsel Fees	Expert Fees	Third-Party / Vendor Costs	Court Costs & Filing Fees	Travel & Miscellaneous	Phase Total	% of Total Budget
1	Pre-Suit Investigation & Strategy	Retention of Benchmark Semiconductor Analysis for teardown review; infringement analysis; patent portfolio assessment; engagement of FairPoint Licensing Group coordination; pre-suit strategy development; litigation hold implementation; conflict clearance	Mar 2024	850000	75000	25000	200000	30000	0	20000	1200000	6.5%
2	Pleadings & Initial Motions	Drafting and filing complaint (7 counts: 4 direct infringement, induced, contributory, willful); civil cover sheet; summons; pro hac vice applications (Ngo, Schultz, Siddiqui); opposition to motion to transfer; reply to counterclaims; proposed protective order; Rule 26(f) report; initial disclosures; docket control order	Apr–Aug 2024	1250000	125000	150000	0	50000	25000	200000	1800000	9.7%
3	Fact discovery	Drafting and responding to interrogatories (25 each side), RFPs (85 initial + 30 supplemental), RFAs (40); ESI protocol; document review (~182,000 OWS docs / ~1.4M pages for production); privilege log preparation (est. 1,247+ entries); 30(b)(6) notice (18 topics); fact depositions (~17 total including Huang, Michaud, Bautista, Reeves, Ng, Melissa Chen, and others); third-party subpoenas (Solara records, Melissa Chen at Veridian Photonics); motion to compel opinion-of-counsel letters; meet-and-confer correspondence	Aug 2024–May 2025	3200000	350000	200000	375000	350000	15000	110000	4600000	24.9%
4	Claim Construction	Joint claim construction statement (14 disputed terms); opening claim construction brief (50 pages); reply brief; declarations of Dr. Caroline Ashford (Northfield Institute of Technology) and Dr. Jian-Wei Huang; intrinsic and extrinsic evidence appendices; claim construction tutorial for Judge Gilstrap; Markman hearing presentation (60+ slides); prosecution history estoppel analyses ('193 and '015 Patents); means-plus-function analysis; claim differentiation analysis; proposed claim construction order	Oct 2024–Mar 2025	1600000	100000	75000	225000	25000	5000	70000	2100000	11.4%
5	Expert discovery	Retention and coordination of three plaintiff experts: Dr. Caroline Ashford (infringement/validity, $950/hr, budget $1.1M), Dr. Lawrence Keating (damages, $875/hr, budget $950K), Gregory Falk (industry, $650/hr, budget $375K); drafting expert reports (infringement, validity rebuttal, damages with Panduit/Georgia-Pacific/willful enhancement analyses, industry background); expert depositions (preparation and defense of Ashford, Keating, Falk depositions); offensive depositions of defendant experts Dr. Rajesh Sundaram (Pacific Western University) and Dr. Natasha Volkov (Pinnacle Analytics Partners LLP)	Jun–Aug 2025	1200000	100000	50000	1850000	100000	0	100000	3400000	18.4%
6	Dispositive Motions & Daubert	Partial SJ on infringement of '562 Patent (Claims 1, 4, 6); partial SJ on validity of '015 Patent (prior-conception defense); oppositions to anticipated defense SJ motions on doctrine of equivalents (prosecution history estoppel) and EMVR; Daubert motions against Dr. Sundaram (validity) and Dr. Volkov (damages); opposition to anticipated Daubert motion on Dr. Keating	Sep–Nov 2025	1450000	75000	100000	150000	50000	10000	65000	1900000	10.3%
7	Trial Preparation	Trial strategy memorandum; proposed jury instructions; proposed verdict form; witness list (13+ witnesses); exhibit list (~340 exhibits organized P-001 through P-340); deposition designation charts; trial demonstratives (infringement and damages modules); motions in limine; pre-trial conference statement; voir dire questions; opening statement outline; witness preparation	Oct 2025–Jan 2026	1650000	125000	100000	200000	100000	10000	115000	2300000	12.4%
8	Trial	7–10 day jury trial before Judge Gilstrap; opening statements; direct and cross-examination of live witnesses; presentation of deposition designations; expert testimony; demonstrative presentations; closing arguments; post-trial motions (JMOL, new trial if needed); verdict	Feb 2026	750000	50000	75000	100000	25000	5000	195000	1200000	6.5%
TOTAL	Mar 2024–Feb 2026	11950000	1000000	775000	3100000	730000	70000	875000	18500000	100.0%
Notes	Contingency reserve of $0 allocated from success fee component (5% of net recovery above $150M per engagement letter); success fee is separate from the $18.5M budget. All figures rounded to nearest $5,000 within phases; totals are exact.

[sheet: Billing Rate Schedule]

Timekeeper / Vendor	Organization	Role	Bar Admissions	Standard Rate ($/hr)	Blended Cap Rate ($/hr)	Effective Rate ($/hr)	Notes
Alan Ngo	Calderwood & Harkness LLP	Responsible Partner (IP Litigation)	CA; TX E.D. (pro hac vice)	1350	925	925	Blended cap applies to all C&H time; cap rate negotiated with Ridgeline Capital Partners
Marcus Delgado	Calderwood & Harkness LLP	Billing Partner (IP Litigation)	TX; CA	1250	925	925
Wendy Schultz	Calderwood & Harkness LLP	Lead Associate (IP Litigation)	CA; TX E.D. (pro hac vice)	825	925	825	Standard rate below cap; billed at standard rate
Omar Siddiqui	Calderwood & Harkness LLP	Working Associate (IP Litigation)	CA; TX E.D. (pro hac vice)	725	925	725	Standard rate below cap; billed at standard rate
C&H Paralegal Staff	Calderwood & Harkness LLP	Paralegals	N/A	375	925	375	Standard rate below cap; billed at standard rate
James 'Jim' Callahan	Whitmore & Callahan LLP	Local Counsel Partner (E.D. Tex.)	TX; E.D. Tex.	575	N/A	575	Local counsel retainer dated April 5, 2024; separate from C&H blended cap
W&C Associate	Whitmore & Callahan LLP	Local Counsel Associate	TX	400	N/A	400
W&C Paralegal	Whitmore & Callahan LLP	Local Counsel Paralegal	N/A	275	N/A	275
Dr. Caroline Ashford	Northfield Institute of Technology	Technical / Infringement Expert	N/A	950	N/A	950	Expert retention agreement dated August 1, 2024; estimated budget $1,100,000
Dr. Lawrence Keating	Meridian Economic Consulting Group, LLC	Damages Expert	N/A	875	N/A	875	Expert retention agreement dated August 5, 2024; estimated budget $950,000
Gregory Falk	Independent Consultant (formerly Solara Optics, Inc.)	Industry Expert	N/A	650	N/A	650	Expert retention agreement dated August 8, 2024; estimated budget $375,000
Benchmark Semiconductor Analysis, LLC (Kevin Ng, Lead Engineer)	Benchmark Semiconductor Analysis, LLC	Reverse-Engineering / Teardown Lab	N/A	Project-based	N/A	Project-based	Estimated budget $375,000; teardown of LumiLink 400G-ZR+, LumiLink 800G-DR8, LumiEdge 1600G-LR

[sheet: Staffing Matrix]

Phase	Alan Ngo — Partner (hrs)	Marcus Delgado — Partner (hrs)	Wendy Schultz — Sr. Associate (hrs)	Omar Siddiqui — Associate (hrs)	C&H Paralegals (hrs)	Jim Callahan — Local Counsel (hrs)	W&C Associate (hrs)	W&C Paralegal (hrs)	Total Phase Hours	C&H Weighted Avg Rate Check ($/hr)
Phase 1: Pre-Suit Investigation & Strategy	80	40	200	250	100	20	10	15	715	$843
Phase 2: Pleadings & Initial Motions	120	80	350	400	200	100	50	40	1340	$848
Phase 3: Fact discovery	200	150	800	1000	600	120	80	80	3030	$800
Phase 4: Claim Construction	200	100	450	400	150	50	20	25	1395	$831
Phase 5: Expert discovery	150	80	350	300	150	30	15	15	1090	$821
Phase 6: Dispositive Motions & Daubert	200	100	400	350	100	60	30	20	1260	$848
Phase 7: Trial Preparation	250	120	450	350	200	60	30	25	1485	$835
Phase 8: Trial	150	80	200	100	50	50	25	15	670	$862
TOTAL HOURS	1350	750	3200	3150	1550	490	260	235	10985	$829
Rate Check: Total C&H Fees ÷ Total C&H Hours	C&H Attorney + Paralegal Fees = $12,950,000 ÷ 10,000 C&H hrs = ~$829/hr (≤ $925 cap)

[sheet: Expert Fee Detail]

Expert / Vendor	Organization	Role	Hourly Rate ($/hr)	Estimated Hours	Report Preparation	Deposition Preparation & Testimony	Trial Testimony & Preparation	Travel & Expenses	Total Estimated Fee	Retention Agreement Date	Notes
Dr. Caroline Ashford	Northfield Institute of Technology	Technical / Infringement & Validity Expert	950	1158	550000	250000	200000	100000	1100000	2024-08-01	Infringement report (literal + DOE for '193 Claims 3/7 and '015 Claim 12); validity rebuttal report addressing 23 prior-art references; deposition defense; trial testimony
Dr. Lawrence Keating	Meridian Economic Consulting Group, LLC	Damages Expert	875	1086	475000	200000	175000	100000	950000	2024-08-05	Lost profits (Panduit, $128.9M est.); reasonable royalty (Georgia-Pacific, 8.5% rate, $37.5M est.); willful/enhanced damages analysis ($109.2M post-notice); total demand ~$210M
Gregory Falk	Independent Consultant (formerly Solara Optics, Inc.)	Industry Expert	650	577	175000	75000	75000	50000	375000	2024-08-08	Silicon-photonics transceiver market background; competitive landscape; commercial significance of patented innovations; supports secondary considerations of non-obviousness
Benchmark Semiconductor Analysis, LLC (Kevin Ng)	Benchmark Semiconductor Analysis, LLC	Reverse-Engineering / Teardown Lab	Project	N/A	250000	50000	50000	25000	375000	2022-11 (initial retention)	Teardowns of LumiLink 400G-ZR+ (Dec 2022), LumiLink 800G-DR8 (Jun 2023), LumiEdge 1600G-LR (Feb 2024); chain-of-custody documentation; trial testimony support
TOTAL	1450000	575000	500000	275000	2800000	Expert/vendor subtotal $2,800,000. Additional $300K for other third-party/vendor costs (e-discovery platforms, demonstrative graphics, court reporting, etc.) allocated across phases brings total expert/vendor line to $3,100,000.
Notes	Expert fees are estimated and subject to adjustment based on case developments. Hourly experts' estimated hours are approximate (Total Fee ÷ Hourly Rate). Benchmark is project-based. All expert retention agreements include indemnification provisions.

[sheet: Phase Detail — Milestones]

Phase	Task / Milestone	Responsible Timekeeper(s)	Target Start Date	Target Completion / Filing Date	Estimated Hours	Estimated Cost	Status	Notes / Dependencies
Phase 1: Pre-Suit	Conflict clearance memorandum	Wendy Schultz	2024-03-14	2024-03-14	5	4125	Complete	Cleared prior unrelated C&H work for Silverstone Capital Markets LLC
Phase 1: Pre-Suit	Engagement letter execution	Alan Ngo / Marcus Delgado	2024-03-15	2024-03-18	10	9250	Complete	Includes blended cap rate $925/hr, success fee 5% above $150M
Phase 1: Pre-Suit	Litigation hold memorandum to OWS	Alan Ngo / Wendy Schultz	2024-03-20	2024-03-22	15	12750	Complete	14 custodians identified; directed to Rebecca Tanaka and OWS IT
Phase 1: Pre-Suit	Document preservation protocol — internal C&H	Wendy Schultz	2024-03-22	2024-03-22	8	6600	Complete
Phase 1: Pre-Suit	Review Benchmark teardown reports (3 products)	Omar Siddiqui / Wendy Schultz	2024-03-18	2024-03-25	80	60000	Complete	LumiLink 400G-ZR+ (Dec 2022), 800G-DR8 (Jun 2023), LumiEdge 1600G-LR (Feb 2024)
Phase 1: Pre-Suit	Pre-suit infringement analysis	Wendy Schultz / Omar Siddiqui	2024-03-18	2024-03-28	120	93000	Complete	All 4 patents against all 3 accused products
Phase 1: Pre-Suit	Patent portfolio assessment and selection	Alan Ngo / Omar Siddiqui	2024-03-18	2024-03-25	50	40000	Complete	Selected 4 of 142 OWS patents for assertion
Phase 1: Pre-Suit	FairPoint Licensing Group coordination — pre-suit notice history	Alan Ngo / Wendy Schultz	2024-03-19	2024-03-25	25	21875	Complete	Reviewed Jan 15, 2023 and May 15, 2023 licensing letters; April 20, 2023 meeting notes
Phase 1: Pre-Suit	Benchmark Semiconductor Analysis — additional teardown coordination	Omar Siddiqui	2024-03-20	2024-03-28	30	21750	Complete	Confirmation of chain-of-custody protocols for LumiEdge 1600G-LR (Feb 2024 teardown)
Phase 1: Pre-Suit	Pre-suit strategy memorandum to OWS Board / Ridgeline Capital	Alan Ngo / Marcus Delgado	2024-03-22	2024-03-25	20	18500	Complete	Risk/benefit analysis; recommended filing in E.D. Tex.
Phase 1: Pre-Suit	Budget and staffing plan preparation (this document)	Alan Ngo / Marcus Delgado	2024-03-20	2024-03-25	20	18500	Complete	Submitted to Ridgeline Capital Partners for approval
Phase 1: Pre-Suit	Validity assessment — prior art search and analysis	Omar Siddiqui / Wendy Schultz	2024-03-20	2024-03-28	60	46500	Complete	Identified 23 potential prior art references; assessed strength of each patent
Phase 2: Pleadings	Drafting original complaint (7 counts)	Wendy Schultz / Omar Siddiqui / Alan Ngo	2024-03-25	2024-04-22	200	162500	Complete	Counts: 4 direct infringement, induced, contributory, willful; literal + DOE allegations
Phase 2: Pleadings	Civil cover sheet and summons	Omar Siddiqui	2024-04-18	2024-04-22	5	3625	Complete
Phase 2: Pleadings	Pro hac vice applications (Ngo, Schultz, Siddiqui)	Omar Siddiqui	2024-04-15	2024-04-18	10	7250	Complete	Local counsel designation: Jim Callahan, Whitmore & Callahan LLP
Phase 2: Pleadings	Local counsel retainer agreement	Alan Ngo	2024-04-01	2024-04-05	5	4625	Complete	Jim Callahan $575/hr; associate $400/hr; paralegal $275/hr
Phase 2: Pleadings	Insurance coverage notification to Pacific Rim Insurance Group	Alan Ngo	2024-04-23	2024-04-24	3	2775	Complete	Policy No. PLI-2023-08812
Phase 2: Pleadings	Rule 26(f) conference and joint report	Wendy Schultz / Jim Callahan	2024-05-20	2024-06-03	25	20625	Complete	ESI protocol negotiation included
Phase 2: Pleadings	Initial disclosures (P.R. 3-1)	Wendy Schultz / Omar Siddiqui	2024-06-01	2024-06-10	30	23250	Complete	Infringement contentions, witness list, document list
Phase 2: Pleadings	Opposition to motion to transfer venue	Wendy Schultz / Jim Callahan	2024-06-20	2024-07-08	80	65000	Complete	Lumicore Tyler office, E.D. Tex. customers (Pinnacle Data Systems, Frontier Cloud Services, CrossPoint Networking)
Phase 2: Pleadings	Reply to counterclaims (non-infringement, invalidity, inequitable conduct, DJ)	Alan Ngo / Wendy Schultz	2024-07-10	2024-07-22	40	35500	Complete	Affirmative defenses: prosecution history estoppel, waiver
Phase 2: Pleadings	Proposed stipulated protective order (three-tier)	Wendy Schultz	2024-08-10	2024-08-19	15	12375	Complete	Confidential / AEO / Source Code
Phase 2: Pleadings	Docket control order review and compliance memo	Omar Siddiqui	2024-08-12	2024-08-14	8	5800	Complete	Scheduling Order entered D.E. 27, August 12, 2024
Phase 3: Fact discovery	First set of interrogatories to Lumicore (25)	Omar Siddiqui	2024-08-15	2024-08-26	40	29000	Complete

Phase 3: Fact discovery	First set of RFPs to Lumicore (85)	Omar Siddiqui / Wendy Schultz	2024-08-15	2024-08-26	60	46500	Complete
Phase 3: Fact discovery	ESI protocol negotiation and agreement	Wendy Schultz / Omar Siddiqui	2024-08-20	2024-09-05	25	19375	Complete	Crestline Technologies platform; agreed search-term methodology
Phase 3: Fact discovery	First set of RFAs to Lumicore (40)	Omar Siddiqui	2024-09-10	2024-09-23	25	18125	Complete
Phase 3: Fact discovery	Responses to Lumicore interrogatories and RFPs	Wendy Schultz / Omar Siddiqui	2024-09-01	2024-09-30	120	93000	Complete
Phase 3: Fact discovery	Third-party subpoena — Solara Optics records custodian	Omar Siddiqui	2024-09-01	2024-09-09	10	7250	Complete	Directed to Gregory Falk; '562 Patent records
Phase 3: Fact discovery	Document review and production (~182,000 docs, ~1.4M pages)	Full team + paralegals	2024-08-15	2025-03-31	1200	600000	In Progress	Crestline Technologies platform; search-term methodology; TAR 2.0 workflow
Phase 3: Fact discovery	Privilege log — initial (1,247 entries)	Paralegals / Omar Siddiqui	2024-09-15	2024-10-31	150	80000	Complete
Phase 3: Fact discovery	30(b)(6) deposition notice — Lumicore (18 topics)	Wendy Schultz	2024-09-25	2024-10-01	15	12375	Complete
Phase 3: Fact discovery	Motion to compel opinion-of-counsel letters	Wendy Schultz / Alan Ngo	2024-10-10	2024-10-21	50	41500	Filed; Pending	Privilege waiver argument (Seagate/Halo); Lumicore's July 10, 2023 declination letter
Phase 3: Fact discovery	Deposition of Dr. Jian-Wei Huang (OWS CTO)	Alan Ngo (defense)	2024-10-20	2024-11-05	40	37000	Complete	Preparation and defense of client witness
Phase 3: Fact discovery	Second set of RFPs to Lumicore (30 supplemental)	Omar Siddiqui	2024-10-25	2024-11-04	20	14500	Complete	Source code repos, mask files, fabrication data
Phase 3: Fact discovery	Deposition of Dr. Sandra Michaud (Lumicore CTO)	Alan Ngo / Wendy Schultz	2024-11-10	2024-11-19	50	44250	Complete	Key admission: reviewed OWS Published App. No. 2018/0123456 during design phase
Phase 3: Fact discovery	Privilege log — supplemental (318 entries)	Paralegals / Omar Siddiqui	2024-11-15	2024-12-15	40	22000	Complete
Phase 3: Fact discovery	Deposition of Raymond Bautista (Lumicore GC)	Alan Ngo	2024-11-25	2024-12-03	40	37000	Complete	Limited; privilege issues re: opinion letters
Phase 3: Fact discovery	Deposition of Angela Reeves (FairPoint)	Wendy Schultz	2024-12-05	2024-12-10	30	24750	Complete	Confirmed licensing letters Jan 15, 2023 and May 15, 2023; described Apr 20, 2023 meeting
Phase 3: Fact discovery	Deposition of Kevin Ng (Benchmark)	Wendy Schultz	2025-01-02	2025-01-07	25	20625	Complete	Confirmed teardown methodology and chain of custody
Phase 3: Fact discovery	Third-party subpoena — Melissa Chen (Veridian Photonics)	Omar Siddiqui	2025-01-15	2025-01-22	15	10875	Issued	Former Lumicore engineer; OWS patent awareness evidence
Phase 3: Fact discovery	Meet-and-confer correspondence — Discovery disputes	Wendy Schultz / Omar Siddiqui	2024-09-01	2025-03-31	60	46500	Ongoing	Multiple letters re: ESI completeness, privilege log sufficiency, source code access
Phase 3: Fact discovery	Remaining fact depositions (~12)	Full team	2025-01-15	2025-05-01	300	240000	Planned	Fact discovery closes May 1, 2025
Phase 4: Claim Construction	Infringement contentions (P.R. 3-1)	Wendy Schultz / Omar Siddiqui	2024-08-20	2024-09-16	120	93000	Complete	Claim-by-claim, limitation-by-limitation; includes DOE contentions
Phase 4: Claim Construction	Analysis of Lumicore invalidity contentions (P.R. 3-3, 23 prior-art references)	Omar Siddiqui / Wendy Schultz	2024-10-15	2024-11-07	100	77500	Complete	Memos for each of 4 patents
Phase 4: Claim Construction	Joint claim construction statement (14 disputed terms)	Wendy Schultz	2024-10-15	2024-10-28	30	24750	Complete	2 terms agreed; 12 remain in dispute
Phase 4: Claim Construction	Opening claim construction brief (50 pages)	Alan Ngo / Wendy Schultz / Omar Siddiqui	2024-10-29	2024-11-15	200	170000	Complete	All 12 disputed terms; intrinsic + extrinsic evidence
Phase 4: Claim Construction	Declarations of Dr. Ashford and Dr. Huang	Wendy Schultz / Omar Siddiqui	2024-11-01	2024-11-15	40	31000	Complete	POSITA definition: M.S./Ph.D. EE or photonics + 3 yrs silicon-photonic IC design
Phase 4: Claim Construction	Prosecution history estoppel analyses ('193 and '015 Patents)	Omar Siddiqui / Wendy Schultz	2024-11-10	2024-12-01	50	38750	Complete	Takahashi rejection ('193); Bergmann/Simonsen rejection ('015)

Phase 4: Claim Construction	Reply claim construction brief	Alan Ngo / Wendy Schultz	2024-12-08	2024-12-20	80	69500	Complete	Rebuts narrow constructions; supplemental Ashford declaration
Phase 4: Claim Construction	Joint claim construction chart — final	Wendy Schultz	2025-01-10	2025-01-15	15	12375	Complete
Phase 4: Claim Construction	Claim construction tutorial submission	Wendy Schultz / Omar Siddiqui	2025-01-20	2025-02-28	60	46500	In Progress	Due February 2025; diagrams/animations with Dr. Ashford
Phase 4: Claim Construction	Markman hearing slides and preparation	Alan Ngo / Wendy Schultz	2025-02-01	2025-03-14	80	71500	In Progress	60+ slides; hearing March 14, 2025
Phase 4: Claim Construction	Means-plus-function and claim differentiation analysis	Omar Siddiqui	2024-11-15	2024-12-05	35	25375	Complete	Claims 7 and 12 of '015 Patent; §112(f) structure identification
Phase 5: Expert discovery	Coordinate and draft Dr. Ashford infringement report	Wendy Schultz / Omar Siddiqui	2025-04-01	2025-06-15	200	155000	Planned	Due June 15, 2025
Phase 5: Expert discovery	Coordinate and draft Dr. Ashford validity rebuttal report	Omar Siddiqui / Wendy Schultz	2025-04-01	2025-06-15	150	116250	Planned	Addresses 23 prior-art references
Phase 5: Expert discovery	Coordinate and draft Dr. Keating damages report	Alan Ngo / Wendy Schultz	2025-04-01	2025-06-15	180	153000	Planned	Three theories: lost profits $128.9M, royalty $37.5M, willful enhancement
Phase 5: Expert discovery	Coordinate and draft Gregory Falk industry report	Omar Siddiqui	2025-04-15	2025-06-15	60	43500	Planned	Silicon-photonics market, competitive landscape, secondary considerations
Phase 5: Expert discovery	Review and analyze defendant expert reports	Alan Ngo / Wendy Schultz / Omar Siddiqui	2025-07-01	2025-07-15	80	65500	Planned	Dr. Sundaram (validity) and Dr. Volkov (damages) rebuttal analysis
Phase 5: Expert discovery	Prepare experts for depositions	Alan Ngo / Wendy Schultz	2025-07-01	2025-08-15	120	105000	Planned	Defense of Ashford, Keating, Falk depositions
Phase 5: Expert discovery	Depose Dr. Sundaram and Dr. Volkov	Alan Ngo / Wendy Schultz	2025-07-15	2025-08-15	80	71250	Planned	Expert discovery closes August 15, 2025
Phase 6: Dispositive Motions	Partial SJ — infringement of '562 Patent	Alan Ngo / Wendy Schultz	2025-08-15	2025-09-15	120	105000	Planned	Claims 1, 4, 6; Benchmark data + Michaud admissions
Phase 6: Dispositive Motions	Partial SJ — validity of '015 Patent	Wendy Schultz / Omar Siddiqui	2025-08-15	2025-09-15	100	77500	Planned	Prior-conception defense lacks corroboration
Phase 6: Dispositive Motions	Opposition to anticipated defense SJ on DOE	Wendy Schultz / Omar Siddiqui	2025-09-15	2025-10-15	80	62000	Planned	Festo tangential-relation exception
Phase 6: Dispositive Motions	Opposition to anticipated defense SJ on EMVR	Alan Ngo / Wendy Schultz	2025-09-15	2025-10-15	80	69500	Planned	Patented features drive demand for accused modules
Phase 6: Dispositive Motions	Daubert motions against Dr. Sundaram and Dr. Volkov	Alan Ngo / Wendy Schultz / Omar Siddiqui	2025-10-01	2025-11-01	120	99000	Planned	Sundaram: uncorroborated docs; Volkov: disaggregated base, non-comparable licenses
Phase 6: Dispositive Motions	Opposition to anticipated Daubert on Dr. Keating	Alan Ngo / Wendy Schultz	2025-10-15	2025-11-15	60	52500	Planned
Phase 7: Trial Prep	Trial strategy memorandum	Alan Ngo / Marcus Delgado	2025-10-01	2025-10-31	40	37000	Planned	Themes, witness order, exhibit strategy, verdict form
Phase 7: Trial Prep	Proposed jury instructions	Wendy Schultz / Omar Siddiqui	2025-11-01	2025-12-15	60	46500	Planned	Claim construction, infringement (literal + DOE), validity, willfulness, damages
Phase 7: Trial Prep	Proposed verdict form	Wendy Schultz	2025-11-15	2025-12-15	20	16500	Planned	Special verdict: per patent, per claim, per product; willfulness, validity, damages
Phase 7: Trial Prep	Witness list (13+ witnesses)	Omar Siddiqui	2025-11-15	2025-12-15	10	7250	Planned	Live: Huang, Petrov, Tanaka, Reeves, Ng, Ashford, Keating, Falk, Chen, Whitfield; adverse: Michaud, Bautista, Dalmqvist
Phase 7: Trial Prep	Exhibit list (~340 exhibits, P-001 to P-340)	Omar Siddiqui / Paralegals	2025-11-15	2025-12-15	80	42500	Planned	9 categories: patents, teardowns, design docs, licensing, financials, licenses, depositions, demonstratives, miscellaneous
Phase 7: Trial Prep	Deposition designation charts	Omar Siddiqui / Paralegals	2025-11-15	2025-12-31	50	27500	Planned	All 17 depositions; counter-designations expected
Phase 7: Trial Prep	Trial demonstratives — infringement and damages modules	Wendy Schultz / Dr. Ashford / Dr. Keating	2025-12-01	2026-01-15	100	82500	Planned	Annotated teardowns, 3D models, revenue timelines, GP factor summaries

Phase 7: Trial Prep	Motions in limine	Alan Ngo / Wendy Schultz	2025-12-15	2026-01-10	50	44250	Planned	Exclude PE-sponsor evidence, patent-troll references, undisclosed opinions/prior art
Phase 7: Trial Prep	Pre-trial conference statement	Wendy Schultz	2025-12-15	2026-01-05	20	16500	Planned	OWS requests 4 of 5 allocated trial days
Phase 7: Trial Prep	Voir dire questions	Alan Ngo	2026-01-01	2026-01-15	10	9250	Planned	Patent familiarity, tech industry, IP attitudes
Phase 7: Trial Prep	Opening statement outline	Alan Ngo / Marcus Delgado	2026-01-01	2026-01-25	30	27750	Planned	Five acts: innovation, copying, willfulness, technology, remedy ($210M)
Phase 7: Trial Prep	Witness preparation sessions	Alan Ngo / Wendy Schultz	2026-01-10	2026-01-31	200	175000	Planned	All live witnesses
Phase 8: Trial	Trial — 7 to 10 days	Full trial team	2026-02-02	2026-02-13	500	400000	Planned	Jury trial before Judge Gilstrap, E.D. Tex.
Phase 8: Trial	Post-trial motions (JMOL, new trial if needed)	Alan Ngo / Wendy Schultz	2026-02-14	2026-03-15	80	69500	Planned	Contingency

[sheet: Cover & Summary]
Field | Value
Document Title | Litigation Budget and Staffing Plan
Prepared By | Calderwood & Harkness LLP
Prepared For | Optiwave Semiconductor Corp. / Ridgeline Capital Partners, LP
Date | March 25, 2024
Matter | Optiwave Semiconductor Corp. v. Lumicore Technologies, Inc.
Case No. | 2:24-cv-00319-JRG
Court | United States District Court for the Eastern District of Texas, marshall Division
Presiding Judge | Judge James R. Gilstrap
Client | Optiwave Semiconductor Corp.
Client HQ | 4810 Bayside Technology Parkway, Suite 300, Santa Clara, CA 95054
Client General Counsel | Rebecca Tanaka
Client CFO | David Leitner
PE Sponsor | Ridgeline Capital Partners, LP
PE Sponsor HQ | 200 Clarendon Street, 40th Floor, Boston, MA 02116
PE Sponsor Contact / Board Chair | Franklin Osei, Managing Partner
Board Resolution Authorizing Spend | OWS Board Resolution No. 2024-07
Defendant | Lumicore Technologies, Inc.
Defendant HQ | 9200 Spectrum Boulevard, Building C, Austin, TX 78759
Lead Litigation Counsel | Calderwood & Harkness LLP
C&H Main Office | 350 South Grand Avenue, 48th Floor, Los Angeles, CA 90071
C&H DC Office | 1201 F Street NW, Suite 700, Washington, DC 20004
Responsible Partner | Alan Ngo (IP Litigation)
Billing Partner | Marcus Delgado (IP Litigation)
Lead Associate | Wendy Schultz (IP Litigation)
Working Associate | Omar Siddiqui (IP Litigation)
Local Counsel | Whitmore & Callahan LLP (Jim Callahan), 110 North College Avenue, Suite 800, Tyler, TX 75702
Engagement Letter Date | March 18, 2024
Anticipated Complaint Filing | April 22, 2024
Anticipated Trial Date | February 2, 2026 (estimated 7–10 days)
Total Approved Budget | $18,500,000
Damages Sought | ~$210,000,000
Asserted Patents | U.S. 10,234,847; U.S. 10,891,193; U.S. 9,678,562; U.S. 11,402,015
Accused Products | LumiLink 400G-ZR+; LumiLink 800G-DR8; LumiEdge 1600G-LR
Success Fee Component | 5% of net recovery above $150M (per engagement letter)
Blended Cap Rate | $925/hr (negotiated with Ridgeline Capital Partners)
D&O / Litigation Cost Insurance | Pacific Rim Insurance Group, Policy No. PLI-2023-08812
Approval Requested From | Franklin Osei, Board Chair / Managing Partner, Ridgeline Capital Partners, LP
Approval Signature Line | ____________________________
Approval Date Line | ____________________________
[sheet: Phase Budget Summary]
Phase No. | Phase Name | Description | Approximate Timeframe | C&H Attorney Fees | C&H Paralegal Fees | Local Counsel Fees | Expert Fees | Third-Party / Vendor Costs | Court Costs & Filing Fees | Travel & Miscellaneous | Phase Total | % of Total Budget
1 | Pre-Suit Investigation & Strategy | Retention of Benchmark Semiconductor Analysis for teardown review; infringement analysis; patent portfolio assessment; engagement of FairPoint Licensing Group coordination; pre-suit strategy development; litigation hold implementation; conflict clearance | Mar 2024 | 850000 | 75000 | 25000 | 200000 | 30000 | 0 | 20000 | 1200000 | 6.5%
2 | Pleadings & Initial Motions | Drafting and filing complaint (7 counts: 4 direct infringement, induced, contributory, willful); civil cover sheet; summons; pro hac vice applications (Ngo, Schultz, Siddiqui); opposition to motion to transfer; reply to counterclaims; proposed protective order; Rule 26(f) report; initial disclosures; docket control order | Apr–Aug 2024 | 1250000 | 125000 | 150000 | 0 | 50000 | 25000 | 200000 | 1800000 | 9.7%
3 | Fact discovery | Drafting and responding to interrogatories (25 each side), RFPs (85 initial + 30 supplemental), RFAs (40); ESI protocol; document review (~182,000 OWS docs / ~1.4M pages for production); privilege log preparation (est. 1,247+ entries); 30(b)(6) notice (18 topics); fact depositions (~17 total including Huang, Michaud, Bautista, Reeves, Ng, Melissa Chen, and others); third-party subpoenas (Solara records, Melissa Chen at Veridian Photonics); motion to compel opinion-of-counsel letters; meet-and-confer correspondence | Aug 2024–May 2025 | 3200000 | 350000 | 200000 | 375000 | 350000 | 15000 | 110000 | 4600000 | 24.9%
4 | Claim Construction | Joint claim construction statement (14 disputed terms); opening claim construction brief (50 pages); reply brief; declarations of Dr. Caroline Ashford (Northfield Institute of Technology) and Dr. Jian-Wei Huang; intrinsic and extrinsic evidence appendices; claim construction tutorial for Judge Gilstrap; Markman hearing presentation (60+ slides); prosecution history estoppel analyses ('193 and '015 Patents); means-plus-function analysis; claim differentiation analysis; proposed claim construction order | Oct 2024–Mar 2025 | 1600000 | 100000 | 75000 | 225000 | 25000 | 5000 | 70000 | 2100000 | 11.4%
5 | Expert discovery | Retention and coordination of three plaintiff experts: Dr. Caroline Ashford (infringement/validity, $950/hr, budget $1.1M), Dr. Lawrence Keating (damages, $875/hr, budget $950K), Gregory Falk (industry, $650/hr, budget $375K); drafting expert reports (infringement, validity rebuttal, damages with Panduit/Georgia-Pacific/willful enhancement analyses, industry background); expert depositions (preparation and defense of Ashford, Keating, Falk depositions); offensive depositions of defendant experts Dr. Rajesh Sundaram (Pacific Western University) and Dr. Natasha Volkov (Pinnacle Analytics Partners LLP) | Jun–Aug 2025 | 1200000 | 100000 | 50000 | 1850000 | 100000 | 0 | 100000 | 3400000 | 18.4%
6 | Dispositive Motions & Daubert | Partial SJ on infringement of '562 Patent (Claims 1, 4, 6); partial SJ on validity of '015 Patent (prior-conception defense); oppositions to anticipated defense SJ motions on doctrine of equivalents (prosecution history estoppel) and EMVR; Daubert motions against Dr. Sundaram (validity) and Dr. Volkov (damages); opposition to anticipated Daubert motion on Dr. Keating | Sep–Nov 2025 | 1450000 | 75000 | 100000 | 150000 | 50000 | 10000 | 65000 | 1900000 | 10.3%
7 | Trial Preparation | Trial strategy memorandum; proposed jury instructions; proposed verdict form; witness list (13+ witnesses); exhibit list (~340 exhibits organized P-001 through P-340); deposition designation charts; trial demonstratives (infringement and damages modules); motions in limine; pre-trial conference statement; voir dire questions; opening statement outline; witness preparation | Oct 2025–Jan 2026 | 1650000 | 125000 | 100000 | 200000 | 100000 | 10000 | 115000 | 2300000 | 12.4%
8 | Trial | 7–10 day jury trial before Judge Gilstrap; opening statements; direct and cross-examination of live witnesses; presentation of deposition designations; expert testimony; demonstrative presentations; closing arguments; post-trial motions (JMOL, new trial if needed); verdict | Feb 2026 | 750000 | 50000 | 75000 | 100000 | 25000 | 5000 | 195000 | 1200000 | 6.5%
TOTAL | Mar 2024–Feb 2026 | 11950000 | 1000000 | 775000 | 3100000 | 730000 | 70000 | 875000 | 18500000 | 100.0%
Notes | Contingency reserve of $0 allocated from success fee component (5% of net recovery above $150M per engagement letter); success fee is separate from the $18.5M budget. All figures rounded to nearest $5,000 within phases; totals are exact.
[sheet: Billing Rate Schedule]
Timekeeper / Vendor | Organization | Role | Bar Admissions | Standard Rate ($/hr) | Blended Cap Rate ($/hr) | Effective Rate ($/hr) | Notes
Alan Ngo | Calderwood & Harkness LLP | Responsible Partner (IP Litigation) | CA; TX E.D. (pro hac vice) | 1350 | 925 | 925 | Blended cap applies to all C&H time; cap rate negotiated with Ridgeline Capital Partners
Marcus Delgado | Calderwood & Harkness LLP | Billing Partner (IP Litigation) | TX; CA | 1250 | 925 | 925
Wendy Schultz | Calderwood & Harkness LLP | Lead Associate (IP Litigation) | CA; TX E.D. (pro hac vice) | 825 | 925 | 825 | Standard rate below cap; billed at standard rate
Omar Siddiqui | Calderwood & Harkness LLP | Working Associate (IP Litigation) | CA; TX E.D. (pro hac vice) | 725 | 925 | 725 | Standard rate below cap; billed at standard rate
C&H Paralegal Staff | Calderwood & Harkness LLP | Paralegals | N/A | 375 | 925 | 375 | Standard rate below cap; billed at standard rate
James 'Jim' Callahan | Whitmore & Callahan LLP | Local Counsel Partner (E.D. Tex.) | TX; E.D. Tex. | 575 | N/A | 575 | Local counsel retainer dated April 5, 2024; separate from C&H blended cap
W&C Associate | Whitmore & Callahan LLP | Local Counsel Associate | TX | 400 | N/A | 400
W&C Paralegal | Whitmore & Callahan LLP | Local Counsel Paralegal | N/A | 275 | N/A | 275
Dr. Caroline Ashford | Northfield Institute of Technology | Technical / Infringement Expert | N/A | 950 | N/A | 950 | Expert retention agreement dated August 1, 2024; estimated budget $1,100,000
Dr. Lawrence Keating | Meridian Economic Consulting Group, LLC | Damages Expert | N/A | 875 | N/A | 875 | Expert retention agreement dated August 5, 2024; estimated budget $950,000
Gregory Falk | Independent Consultant (formerly Solara Optics, Inc.) | Industry Expert | N/A | 650 | N/A | 650 | Expert retention agreement dated August 8, 2024; estimated budget $375,000
Benchmark Semiconductor Analysis, LLC (Kevin Ng, Lead Engineer) | Benchmark Semiconductor Analysis, LLC | Reverse-Engineering / Teardown Lab | N/A | Project-based | N/A | Project-based | Estimated budget $375,000; teardown of LumiLink 400G-ZR+, LumiLink 800G-DR8, LumiEdge 1600G-LR
[sheet: Staffing Matrix]
Phase | Alan Ngo — Partner (hrs) | Marcus Delgado — Partner (hrs) | Wendy Schultz — Sr. Associate (hrs) | Omar Siddiqui — Associate (hrs) | C&H Paralegals (hrs) | Jim Callahan — Local Counsel (hrs) | W&C Associate (hrs) | W&C Paralegal (hrs) | Total Phase Hours | C&H Weighted Avg Rate Check ($/hr)
Phase 1: Pre-Suit Investigation & Strategy | 80 | 40 | 200 | 250 | 100 | 20 | 10 | 15 | 715 | $843
Phase 2: Pleadings & Initial Motions | 120 | 80 | 350 | 400 | 200 | 100 | 50 | 40 | 1340 | $848
Phase 3: Fact discovery | 200 | 150 | 800 | 1000 | 600 | 120 | 80 | 80 | 3030 | $800
Phase 4: Claim Construction | 200 | 100 | 450 | 400 | 150 | 50 | 20 | 25 | 1395 | $831
Phase 5: Expert discovery | 150 | 80 | 350 | 300 | 150 | 30 | 15 | 15 | 1090 | $821
Phase 6: Dispositive Motions & Daubert | 200 | 100 | 400 | 350 | 100 | 60 | 30 | 20 | 1260 | $848
Phase 7: Trial Preparation | 250 | 120 | 450 | 350 | 200 | 60 | 30 | 25 | 1485 | $835
Phase 8: Trial | 150 | 80 | 200 | 100 | 50 | 50 | 25 | 15 | 670 | $862
TOTAL HOURS | 1350 | 750 | 3200 | 3150 | 1550 | 490 | 260 | 235 | 10985 | $829
Rate Check: Total C&H Fees ÷ Total C&H Hours | C&H Attorney + Paralegal Fees = $12,950,000 ÷ 10,000 C&H hrs = ~$829/hr (≤ $925 cap)
[sheet: Expert Fee Detail]
Expert / Vendor | Organization | Role | Hourly Rate ($/hr) | Estimated Hours | Report Preparation | Deposition Preparation & Testimony | Trial Testimony & Preparation | Travel & Expenses | Total Estimated Fee | Retention Agreement Date | Notes
Dr. Caroline Ashford | Northfield Institute of Technology | Technical / Infringement & Validity Expert | 950 | 1158 | 550000 | 250000 | 200000 | 100000 | 1100000 | 2024-08-01 | Infringement report (literal + DOE for '193 Claims 3/7 and '015 Claim 12); validity rebuttal report addressing 23 prior-art references; deposition defense; trial testimony
Dr. Lawrence Keating | Meridian Economic Consulting Group, LLC | Damages Expert | 875 | 1086 | 475000 | 200000 | 175000 | 100000 | 950000 | 2024-08-05 | Lost profits (Panduit, $128.9M est.); reasonable royalty (Georgia-Pacific, 8.5% rate, $37.5M est.); willful/enhanced damages analysis ($109.2M post-notice); total demand ~$210M
Gregory Falk | Independent Consultant (formerly Solara Optics, Inc.) | Industry Expert | 650 | 577 | 175000 | 75000 | 75000 | 50000 | 375000 | 2024-08-08 | Silicon-photonics transceiver market background; competitive landscape; commercial significance of patented innovations; supports secondary considerations of non-obviousness
Benchmark Semiconductor Analysis, LLC (Kevin Ng) | Benchmark Semiconductor Analysis, LLC | Reverse-Engineering / Teardown Lab | Project | N/A | 250000 | 50000 | 50000 | 25000 | 375000 | 2022-11 (initial retention) | Teardowns of LumiLink 400G-ZR+ (Dec 2022), LumiLink 800G-DR8 (Jun 2023), LumiEdge 1600G-LR (Feb 2024); chain-of-custody documentation; trial testimony support
TOTAL | 1450000 | 575000 | 500000 | 275000 | 2800000 | Expert/vendor subtotal $2,800,000. Additional $300K for other third-party/vendor costs (e-discovery platforms, demonstrative graphics, court reporting, etc.) allocated across phases brings total expert/vendor line to $3,100,000.
Notes | Expert fees are estimated and subject to adjustment based on case developments. Hourly experts' estimated hours are approximate (Total Fee ÷ Hourly Rate). Benchmark is project-based. All expert retention agreements include indemnification provisions.
[sheet: Phase Detail — Milestones]
Phase | Task / Milestone | Responsible Timekeeper(s) | Target Start Date | Target Completion / Filing Date | Estimated Hours | Estimated Cost | Status | Notes / Dependencies
Phase 1: Pre-Suit | Conflict clearance memorandum | Wendy Schultz | 2024-03-14 | 2024-03-14 | 5 | 4125 | Complete | Cleared prior unrelated C&H work for Silverstone Capital Markets LLC
Phase 1: Pre-Suit | Engagement letter execution | Alan Ngo / Marcus Delgado | 2024-03-15 | 2024-03-18 | 10 | 9250 | Complete | Includes blended cap rate $925/hr, success fee 5% above $150M
Phase 1: Pre-Suit | Litigation hold memorandum to OWS | Alan Ngo / Wendy Schultz | 2024-03-20 | 2024-03-22 | 15 | 12750 | Complete | 14 custodians identified; directed to Rebecca Tanaka and OWS IT
Phase 1: Pre-Suit | Document preservation protocol — internal C&H | Wendy Schultz | 2024-03-22 | 2024-03-22 | 8 | 6600 | Complete
Phase 1: Pre-Suit | Review Benchmark teardown reports (3 products) | Omar Siddiqui / Wendy Schultz | 2024-03-18 | 2024-03-25 | 80 | 60000 | Complete | LumiLink 400G-ZR+ (Dec 2022), 800G-DR8 (Jun 2023), LumiEdge 1600G-LR (Feb 2024)
Phase 1: Pre-Suit | Pre-suit infringement analysis | Wendy Schultz / Omar Siddiqui | 2024-03-18 | 2024-03-28 | 120 | 93000 | Complete | All 4 patents against all 3 accused products
Phase 1: Pre-Suit | Patent portfolio assessment and selection | Alan Ngo / Omar Siddiqui | 2024-03-18 | 2024-03-25 | 50 | 40000 | Complete | Selected 4 of 142 OWS patents for assertion
Phase 1: Pre-Suit | FairPoint Licensing Group coordination — pre-suit notice history | Alan Ngo / Wendy Schultz | 2024-03-19 | 2024-03-25 | 25 | 21875 | Complete | Reviewed Jan 15, 2023 and May 15, 2023 licensing letters; April 20, 2023 meeting notes
Phase 1: Pre-Suit | Benchmark Semiconductor Analysis — additional teardown coordination | Omar Siddiqui | 2024-03-20 | 2024-03-28 | 30 | 21750 | Complete | Confirmation of chain-of-custody protocols for LumiEdge 1600G-LR (Feb 2024 teardown)
Phase 1: Pre-Suit | Pre-suit strategy memorandum to OWS Board / Ridgeline Capital | Alan Ngo / Marcus Delgado | 2024-03-22 | 2024-03-25 | 20 | 18500 | Complete | Risk/benefit analysis; recommended filing in E.D. Tex.
Phase 1: Pre-Suit | Budget and staffing plan preparation (this document) | Alan Ngo / Marcus Delgado | 2024-03-20 | 2024-03-25 | 20 | 18500 | Complete | Submitted to Ridgeline Capital Partners for approval
Phase 1: Pre-Suit | Validity assessment — prior art search and analysis | Omar Siddiqui / Wendy Schultz | 2024-03-20 | 2024-03-28 | 60 | 46500 | Complete | Identified 23 potential prior art references; assessed strength of each patent
Phase 2: Pleadings | Drafting original complaint (7 counts) | Wendy Schultz / Omar Siddiqui / Alan Ngo | 2024-03-25 | 2024-04-22 | 200 | 162500 | Complete | Counts: 4 direct infringement, induced, contributory, willful; literal + DOE allegations
Phase 2: Pleadings | Civil cover sheet and summons | Omar Siddiqui | 2024-04-18 | 2024-04-22 | 5 | 3625 | Complete
Phase 2: Pleadings | Pro hac vice applications (Ngo, Schultz, Siddiqui) | Omar Siddiqui | 2024-04-15 | 2024-04-18 | 10 | 7250 | Complete | Local counsel designation: Jim Callahan, Whitmore & Callahan LLP
Phase 2: Pleadings | Local counsel retainer agreement | Alan Ngo | 2024-04-01 | 2024-04-05 | 5 | 4625 | Complete | Jim Callahan $575/hr; associate $400/hr; paralegal $275/hr
Phase 2: Pleadings | Insurance coverage notification to Pacific Rim Insurance Group | Alan Ngo | 2024-04-23 | 2024-04-24 | 3 | 2775 | Complete | Policy No. PLI-2023-08812
Phase 2: Pleadings | Rule 26(f) conference and joint report | Wendy Schultz / Jim Callahan | 2024-05-20 | 2024-06-03 | 25 | 20625 | Complete | ESI protocol negotiation included
Phase 2: Pleadings | Initial disclosures (P.R. 3-1) | Wendy Schultz / Omar Siddiqui | 2024-06-01 | 2024-06-10 | 30 | 23250 | Complete | Infringement contentions, witness list, document list
Phase 2: Pleadings | Opposition to motion to transfer venue | Wendy Schultz / Jim Callahan | 2024-06-20 | 2024-07-08 | 80 | 65000 | Complete | Lumicore Tyler office, E.D. Tex. customers (Pinnacle Data Systems, Frontier Cloud Services, CrossPoint Networking)
Phase 2: Pleadings | Reply to counterclaims (non-infringement, invalidity, inequitable conduct, DJ) | Alan Ngo / Wendy Schultz | 2024-07-10 | 2024-07-22 | 40 | 35500 | Complete | Affirmative defenses: prosecution history estoppel, waiver
Phase 2: Pleadings | Proposed stipulated protective order (three-tier) | Wendy Schultz | 2024-08-10 | 2024-08-19 | 15 | 12375 | Complete | Confidential / AEO / Source Code
Phase 2: Pleadings | Docket control order review and compliance memo | Omar Siddiqui | 2024-08-12 | 2024-08-14 | 8 | 5800 | Complete | Scheduling Order entered D.E. 27, August 12, 2024
Phase 3: Fact discovery | First set of interrogatories to Lumicore (25) | Omar Siddiqui | 2024-08-15 | 2024-08-26 | 40 | 29000 | Complete
Phase 3: Fact discovery | First set of RFPs to Lumicore (85) | Omar Siddiqui / Wendy Schultz | 2024-08-15 | 2024-08-26 | 60 | 46500 | Complete
Phase 3: Fact discovery | ESI protocol negotiation and agreement | Wendy Schultz / Omar Siddiqui | 2024-08-20 | 2024-09-05 | 25 | 19375 | Complete | Crestline Technologies platform; agreed search-term methodology
Phase 3: Fact discovery | First set of RFAs to Lumicore (40) | Omar Siddiqui | 2024-09-10 | 2024-09-23 | 25 | 18125 | Complete
Phase 3: Fact discovery | Responses to Lumicore interrogatories and RFPs | Wendy Schultz / Omar Siddiqui | 2024-09-01 | 2024-09-30 | 120 | 93000 | Complete
Phase 3: Fact discovery | Third-party subpoena — Solara Optics records custodian | Omar Siddiqui | 2024-09-01 | 2024-09-09 | 10 | 7250 | Complete | Directed to Gregory Falk; '562 Patent records
Phase 3: Fact discovery | Document review and production (~182,000 docs, ~1.4M pages) | Full team + paralegals | 2024-08-15 | 2025-03-31 | 1200 | 600000 | In Progress | Crestline Technologies platform; search-term methodology; TAR 2.0 workflow
Phase 3: Fact discovery | Privilege log — initial (1,247 entries) | Paralegals / Omar Siddiqui | 2024-09-15 | 2024-10-31 | 150 | 80000 | Complete
Phase 3: Fact discovery | 30(b)(6) deposition notice — Lumicore (18 topics) | Wendy Schultz | 2024-09-25 | 2024-10-01 | 15 | 12375 | Complete
Phase 3: Fact discovery | Motion to compel opinion-of-counsel letters | Wendy Schultz / Alan Ngo | 2024-10-10 | 2024-10-21 | 50 | 41500 | Filed; Pending | Privilege waiver argument (Seagate/Halo); Lumicore's July 10, 2023 declination letter
Phase 3: Fact discovery | Deposition of Dr. Jian-Wei Huang (OWS CTO) | Alan Ngo (defense) | 2024-10-20 | 2024-11-05 | 40 | 37000 | Complete | Preparation and defense of client witness
Phase 3: Fact discovery | Second set of RFPs to Lumicore (30 supplemental) | Omar Siddiqui | 2024-10-25 | 2024-11-04 | 20 | 14500 | Complete | Source code repos, mask files, fabrication data
Phase 3: Fact discovery | Deposition of Dr. Sandra Michaud (Lumicore CTO) | Alan Ngo / Wendy Schultz | 2024-11-10 | 2024-11-19 | 50 | 44250 | Complete | Key admission: reviewed OWS Published App. No. 2018/0123456 during design phase
Phase 3: Fact discovery | Privilege log — supplemental (318 entries) | Paralegals / Omar Siddiqui | 2024-11-15 | 2024-12-15 | 40 | 22000 | Complete
Phase 3: Fact discovery | Deposition of Raymond Bautista (Lumicore GC) | Alan Ngo | 2024-11-25 | 2024-12-03 | 40 | 37000 | Complete | Limited; privilege issues re: opinion letters
Phase 3: Fact discovery | Deposition of Angela Reeves (FairPoint) | Wendy Schultz | 2024-12-05 | 2024-12-10 | 30 | 24750 | Complete | Confirmed licensing letters Jan 15, 2023 and May 15, 2023; described Apr 20, 2023 meeting
Phase 3: Fact discovery | Deposition of Kevin Ng (Benchmark) | Wendy Schultz | 2025-01-02 | 2025-01-07 | 25 | 20625 | Complete | Confirmed teardown methodology and chain of custody
Phase 3: Fact discovery | Third-party subpoena — Melissa Chen (Veridian Photonics) | Omar Siddiqui | 2025-01-15 | 2025-01-22 | 15 | 10875 | Issued | Former Lumicore engineer; OWS patent awareness evidence
Phase 3: Fact discovery | Meet-and-confer correspondence — Discovery disputes | Wendy Schultz / Omar Siddiqui | 2024-09-01 | 2025-03-31 | 60 | 46500 | Ongoing | Multiple letters re: ESI completeness, privilege log sufficiency, source code access
Phase 3: Fact discovery | Remaining fact depositions (~12) | Full team | 2025-01-15 | 2025-05-01 | 300 | 240000 | Planned | Fact discovery closes May 1, 2025
Phase 4: Claim Construction | Infringement contentions (P.R. 3-1) | Wendy Schultz / Omar Siddiqui | 2024-08-20 | 2024-09-16 | 120 | 93000 | Complete | Claim-by-claim, limitation-by-limitation; includes DOE contentions
Phase 4: Claim Construction | Analysis of Lumicore invalidity contentions (P.R. 3-3, 23 prior-art references) | Omar Siddiqui / Wendy Schultz | 2024-10-15 | 2024-11-07 | 100 | 77500 | Complete | Memos for each of 4 patents
Phase 4: Claim Construction | Joint claim construction statement (14 disputed terms) | Wendy Schultz | 2024-10-15 | 2024-10-28 | 30 | 24750 | Complete | 2 terms agreed; 12 remain in dispute
Phase 4: Claim Construction | Opening claim construction brief (50 pages) | Alan Ngo / Wendy Schultz / Omar Siddiqui | 2024-10-29 | 2024-11-15 | 200 | 170000 | Complete | All 12 disputed terms; intrinsic + extrinsic evidence
Phase 4: Claim Construction | Declarations of Dr. Ashford and Dr. Huang | Wendy Schultz / Omar Siddiqui | 2024-11-01 | 2024-11-15 | 40 | 31000 | Complete | POSITA definition: M.S./Ph.D. EE or photonics + 3 yrs silicon-photonic IC design
Phase 4: Claim Construction | Prosecution history estoppel analyses ('193 and '015 Patents) | Omar Siddiqui / Wendy Schultz | 2024-11-10 | 2024-12-01 | 50 | 38750 | Complete | Takahashi rejection ('193); Bergmann/Simonsen rejection ('015)
Phase 4: Claim Construction | Reply claim construction brief | Alan Ngo / Wendy Schultz | 2024-12-08 | 2024-12-20 | 80 | 69500 | Complete | Rebuts narrow constructions; supplemental Ashford declaration
Phase 4: Claim Construction | Joint claim construction chart — final | Wendy Schultz | 2025-01-10 | 2025-01-15 | 15 | 12375 | Complete
Phase 4: Claim Construction | Claim construction tutorial submission | Wendy Schultz / Omar Siddiqui | 2025-01-20 | 2025-02-28 | 60 | 46500 | In Progress | Due February 2025; diagrams/animations with Dr. Ashford
Phase 4: Claim Construction | Markman hearing slides and preparation | Alan Ngo / Wendy Schultz | 2025-02-01 | 2025-03-14 | 80 | 71500 | In Progress | 60+ slides; hearing March 14, 2025
Phase 4: Claim Construction | Means-plus-function and claim differentiation analysis | Omar Siddiqui | 2024-11-15 | 2024-12-05 | 35 | 25375 | Complete | Claims 7 and 12 of '015 Patent; §112(f) structure identification
Phase 5: Expert discovery | Coordinate and draft Dr. Ashford infringement report | Wendy Schultz / Omar Siddiqui | 2025-04-01 | 2025-06-15 | 200 | 155000 | Planned | Due June 15, 2025
Phase 5: Expert discovery | Coordinate and draft Dr. Ashford validity rebuttal report | Omar Siddiqui / Wendy Schultz | 2025-04-01 | 2025-06-15 | 150 | 116250 | Planned | Addresses 23 prior-art references
Phase 5: Expert discovery | Coordinate and draft Dr. Keating damages report | Alan Ngo / Wendy Schultz | 2025-04-01 | 2025-06-15 | 180 | 153000 | Planned | Three theories: lost profits $128.9M, royalty $37.5M, willful enhancement
Phase 5: Expert discovery | Coordinate and draft Gregory Falk industry report | Omar Siddiqui | 2025-04-15 | 2025-06-15 | 60 | 43500 | Planned | Silicon-photonics market, competitive landscape, secondary considerations
Phase 5: Expert discovery | Review and analyze defendant expert reports | Alan Ngo / Wendy Schultz / Omar Siddiqui | 2025-07-01 | 2025-07-15 | 80 | 65500 | Planned | Dr. Sundaram (validity) and Dr. Volkov (damages) rebuttal analysis
Phase 5: Expert discovery | Prepare experts for depositions | Alan Ngo / Wendy Schultz | 2025-07-01 | 2025-08-15 | 120 | 105000 | Planned | Defense of Ashford, Keating, Falk depositions
Phase 5: Expert discovery | Depose Dr. Sundaram and Dr. Volkov | Alan Ngo / Wendy Schultz | 2025-07-15 | 2025-08-15 | 80 | 71250 | Planned | Expert discovery closes August 15, 2025
Phase 6: Dispositive Motions | Partial SJ — infringement of '562 Patent | Alan Ngo / Wendy Schultz | 2025-08-15 | 2025-09-15 | 120 | 105000 | Planned | Claims 1, 4, 6; Benchmark data + Michaud admissions
Phase 6: Dispositive Motions | Partial SJ — validity of '015 Patent | Wendy Schultz / Omar Siddiqui | 2025-08-15 | 2025-09-15 | 100 | 77500 | Planned | Prior-conception defense lacks corroboration
Phase 6: Dispositive Motions | Opposition to anticipated defense SJ on DOE | Wendy Schultz / Omar Siddiqui | 2025-09-15 | 2025-10-15 | 80 | 62000 | Planned | Festo tangential-relation exception
Phase 6: Dispositive Motions | Opposition to anticipated defense SJ on EMVR | Alan Ngo / Wendy Schultz | 2025-09-15 | 2025-10-15 | 80 | 69500 | Planned | Patented features drive demand for accused modules
Phase 6: Dispositive Motions | Daubert motions against Dr. Sundaram and Dr. Volkov | Alan Ngo / Wendy Schultz / Omar Siddiqui | 2025-10-01 | 2025-11-01 | 120 | 99000 | Planned | Sundaram: uncorroborated docs; Volkov: disaggregated base, non-comparable licenses
Phase 6: Dispositive Motions | Opposition to anticipated Daubert on Dr. Keating | Alan Ngo / Wendy Schultz | 2025-10-15 | 2025-11-15 | 60 | 52500 | Planned
Phase 7: Trial Prep | Trial strategy memorandum | Alan Ngo / Marcus Delgado | 2025-10-01 | 2025-10-31 | 40 | 37000 | Planned | Themes, witness order, exhibit strategy, verdict form
Phase 7: Trial Prep | Proposed jury instructions | Wendy Schultz / Omar Siddiqui | 2025-11-01 | 2025-12-15 | 60 | 46500 | Planned | Claim construction, infringement (literal + DOE), validity, willfulness, damages
Phase 7: Trial Prep | Proposed verdict form | Wendy Schultz | 2025-11-15 | 2025-12-15 | 20 | 16500 | Planned | Special verdict: per patent, per claim, per product; willfulness, validity, damages
Phase 7: Trial Prep | Witness list (13+ witnesses) | Omar Siddiqui | 2025-11-15 | 2025-12-15 | 10 | 7250 | Planned | Live: Huang, Petrov, Tanaka, Reeves, Ng, Ashford, Keating, Falk, Chen, Whitfield; adverse: Michaud, Bautista, Dalmqvist
Phase 7: Trial Prep | Exhibit list (~340 exhibits, P-001 to P-340) | Omar Siddiqui / Paralegals | 2025-11-15 | 2025-12-15 | 80 | 42500 | Planned | 9 categories: patents, teardowns, design docs, licensing, financials, licenses, depositions, demonstratives, miscellaneous
Phase 7: Trial Prep | Deposition designation charts | Omar Siddiqui / Paralegals | 2025-11-15 | 2025-12-31 | 50 | 27500 | Planned | All 17 depositions; counter-designations expected
Phase 7: Trial Prep | Trial demonstratives — infringement and damages modules | Wendy Schultz / Dr. Ashford / Dr. Keating | 2025-12-01 | 2026-01-15 | 100 | 82500 | Planned | Annotated teardowns, 3D models, revenue timelines, GP factor summaries
Phase 7: Trial Prep | Motions in limine | Alan Ngo / Wendy Schultz | 2025-12-15 | 2026-01-10 | 50 | 44250 | Planned | Exclude PE-sponsor evidence, patent-troll references, undisclosed opinions/prior art
Phase 7: Trial Prep | Pre-trial conference statement | Wendy Schultz | 2025-12-15 | 2026-01-05 | 20 | 16500 | Planned | OWS requests 4 of 5 allocated trial days
Phase 7: Trial Prep | Voir dire questions | Alan Ngo | 2026-01-01 | 2026-01-15 | 10 | 9250 | Planned | Patent familiarity, tech industry, IP attitudes
Phase 7: Trial Prep | Opening statement outline | Alan Ngo / Marcus Delgado | 2026-01-01 | 2026-01-25 | 30 | 27750 | Planned | Five acts: innovation, copying, willfulness, technology, remedy ($210M)
Phase 7: Trial Prep | Witness preparation sessions | Alan Ngo / Wendy Schultz | 2026-01-10 | 2026-01-31 | 200 | 175000 | Planned | All live witnesses
Phase 8: Trial | Trial — 7 to 10 days | Full trial team | 2026-02-02 | 2026-02-13 | 500 | 400000 | Planned | Jury trial before Judge Gilstrap, E.D. Tex.
Phase 8: Trial | Post-trial motions (JMOL, new trial if needed) | Alan Ngo / Wendy Schultz | 2026-02-14 | 2026-03-15 | 80 | 69500 | Planned | Contingency

[sheet: Cover & Summary]

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