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INFRINGEMENT CLAIM CHART

U.S. PATENT NO. 9,678,562

(CLAIMS 1, 4, 6, 11)

UNITED STATES DISTRICT COURT EASTERN DISTRICT OF TEXAS MARSHALL DIVISION

P.R. 3-1 INFRINGEMENT CONTENTIONS — CLAIM CHART EXHIBIT

U.S. PATENT NO. 9,678,562 (CLAIMS 1, 4, 6, AND 11)

Date: September 16, 2024

Prepared By:

CALDERWOOD & HARKNESS LLP

Alan Ngo, Responsible Partner (IP Litigation) Wendy Schultz, Lead Associate (IP Litigation) Omar Siddiqui, Working Associate (IP Litigation)

350 South Grand Avenue, 48th Floor Los Angeles, California 90071 Telephone: (213) 555-4200 Facsimile: (213) 555-4201

1201 F Street NW, Suite 700 Washington, D.C. 20004 Telephone: (202) 555-7800 Facsimile: (202) 555-7801

Local Counsel:

WHITMORE & CALLAHAN LLP

James "Jim" Callahan 110 North College Avenue, Suite 800 Tyler, Texas 75702 Telephone: (903) 555-1100 Facsimile: (903) 555-1101

On Behalf of Plaintiff:

OPTIWAVE SEMICONDUCTOR CORP.

4810 Bayside Technology Parkway, Suite 300 Santa Clara, California 95054

CONFIDENTIALITY DESIGNATION: Portions of this Claim Chart and certain exhibits referenced herein are designated "Highly Confidential — Attorneys' Eyes Only" pursuant to the Stipulated Protective Order entered by the Court on August 19, 2024 (Dkt. 42). Additional portions referencing Lumicore design files, fabrication process documents, and related technical specifications are designated "Highly Confidential — Source Code" under the three-tier Stipulated Protective Order. This document shall be treated in accordance with the terms and conditions of the Stipulated Protective Order. Any unauthorized disclosure, dissemination, or use of this document or its contents is strictly prohibited.

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I. INTRODUCTION AND OVERVIEW

A. Purpose and Scope

This Infringement Claim Chart is served as part of the P.R. 3-1 Infringement Contentions of Plaintiff Optiwave Semiconductor Corp. ("OWS" or "Plaintiff") pursuant to the Patent Rules for the Eastern District of Texas. These contentions are served in compliance with the Court's Docket Control Order entered on July 22, 2024 (Dkt. 38), which set the deadline for service of Plaintiff's P.R. 3-1 Infringement Contentions as September 16, 2024.

This Claim Chart identifies, on a limitation-by-limitation basis, how each element of asserted Claims 1, 4, 6, and 11 of U.S. Patent No. 9,678,562 ("the '562 Patent") is met by the accused products manufactured, marketed, sold, offered for sale, imported into the United States, and/or used by Defendant Lumicore Technologies, Inc. ("Lumicore" or "Defendant"). This chart sets forth OWS's contentions of literal infringement of each limitation of each asserted claim of the '562 Patent.

For each claim limitation, this chart identifies with specificity the structures, acts, and functionalities of the accused products that correspond to the claimed elements, together with references to the evidentiary basis for each contention, including third-party teardown analyses, Lumicore's own design and engineering documents produced in discovery, deposition testimony, published product specifications, and expert analysis. This chart is accompanied by an appendix of annotated teardown photographs and figures that further illustrate the correspondence between the accused products and the asserted claims.

This Claim Chart is one of several claim chart exhibits served as part of OWS's P.R. 3-1 Infringement Contentions. Separate claim charts have been prepared and concurrently served for each of the other asserted patents in this action, including U.S. Patent No. 10,234,847 ("the '847 Patent"), U.S. Patent No. 10,891,193 ("the '193 Patent"), and U.S. Patent No. 11,456,015 ("the '015 Patent").

B. The '562 Patent

The '562 Patent, entitled "Method for Thermal Management of Photonic Integrated Circuits Using Embedded Micro-Channel Heat Sinks," is directed to innovative methods for managing the thermal challenges inherent in high-performance photonic integrated circuits ("PICs"). As the density and power of photonic components on integrated circuits continue to increase, thermal management has become a critical bottleneck limiting performance, reliability, and longevity. The '562 Patent addresses this challenge through the use of embedded micro-channel heat sinks formed directly in or on the semiconductor substrate of the PIC, enabling highly efficient, localized heat dissipation from the regions of the PIC where heat generation is most concentrated.

The key details of the '562 Patent are as follows:

Full Title: Method for Thermal Management of Photonic Integrated Circuits Using Embedded Micro-Channel Heat Sinks

U.S. Patent No.: 9,678,562

Filing Date: November 22, 2014

Issue Date: June 13, 2017

Original Assignee: Solara Optics, Inc.

Current Assignee: Optiwave Semiconductor Corp., which acquired the '562 Patent, together with eleven (11) other patents and associated intellectual property, from Solara Optics, Inc. pursuant to an Asset Purchase Agreement dated June 15, 2018, for a total consideration of $34.5 million. The assignment was recorded with the United States Patent and Trademark Office, and a certified copy of the assignment has been provided as Exhibit B to the Complaint.

Patent Family: The '562 Patent is in the same patent family as U.S. Patent No. 10,234,847 ("the '847 Patent"), which is also asserted in this action. The '847 Patent is a continuation of the application that issued as the '562 Patent, and the two patents share a common specification. The '562 Patent and '847 Patent are directed to related but distinct aspects of the micro-channel heat-sink technology for photonic integrated circuits.

Named Inventors: As identified in the certified copy of the '562 Patent, which is attached as Exhibit C to the Complaint filed in this action.

Prosecution Attorney: Dr. Martin Chu, Cascade IP Advisors, LLC, 1550 Crystal Drive, Suite 600, Arlington, Virginia 22202.

Maintenance Fees: All maintenance fees for the '562 Patent have been timely paid and are current as of the date of service of these contentions.

Inter Partes Review: No petitions for inter partes review have been filed against the '562 Patent as of the date of service of these contentions.

The '562 Patent teaches, among other things, that the formation of micro-channels directly in the semiconductor substrate of a PIC — positioned proximate to the heat-generating active photonic regions — enables a dramatic improvement in thermal transfer efficiency compared to conventional package-level cooling approaches. The specification describes in detail the fabrication of such micro-channels using established semiconductor processing techniques, the circulation of coolant fluids through the channels, and the integration of thermal monitoring elements to provide real-time feedback for active thermal management. The claims of the '562 Patent, including the asserted Claims 1, 4, 6, and 11, capture the essential inventive concepts disclosed and enabled by the patent.

C. Accused Products

OWS accuses the following Lumicore products of infringing the asserted claims of the '562 Patent:

1. LumiLink 400G-ZR+

The LumiLink 400G-ZR+ is Lumicore's 400G coherent optical transceiver module, designed for data center interconnect and metro/regional network applications. The LumiLink 400G-ZR+ was commercially launched in the third quarter of 2022 and has been continuously manufactured, marketed, sold, offered for sale, and imported into the United States by Lumicore since that date. Based on Lumicore's public segment disclosures and financial filings, the estimated revenue attributable to the LumiLink 400G-ZR+ for fiscal year 2023 was approximately $94.8 million. The LumiLink 400G-ZR+ is accused of infringing Claims 1, 4, 6, and 11 of the '562 Patent, as well as claims of the '847 Patent and the '193 Patent as set forth in separate claim charts.

2. LumiLink 800G-DR8

The LumiLink 800G-DR8 is Lumicore's 800G silicon-photonics transceiver module, designed for next-generation data center interconnect and high-performance computing applications. The LumiLink 800G-DR8 was commercially launched in the first quarter of 2023 and has been continuously manufactured, marketed, sold, offered for sale, and imported into the United States by Lumicore since that date. Based on Lumicore's public segment disclosures and financial filings, the estimated revenue attributable to the LumiLink 800G-DR8 for fiscal year 2023 was approximately $128.4 million. The LumiLink 800G-DR8 is accused of infringing Claims 1, 4, 6, and 11 of the '562 Patent, as well as claims of the '847 Patent, the '193 Patent, and the '015 Patent as set forth in separate claim charts.

The total fiscal year 2023 revenue attributable to products accused of infringing the '562 Patent is approximately $223.2 million ($94.8 million + $128.4 million).

Products Not Accused Under the '562 Patent. For the avoidance of doubt, the LumiEdge 1600G-LR product is NOT accused of infringing the '562 Patent. The LumiEdge 1600G-LR is accused only under the '193 Patent and the '015 Patent, as set forth in the separate claim charts for those patents.

D. Evidentiary Basis

The infringement contentions set forth in this Claim Chart are supported by the following categories of evidence, among others:

1. Benchmark Semiconductor Analysis, LLC — Teardown Report for the LumiLink 400G-ZR+ (delivered December 12, 2022, by lead teardown engineer Kevin Ng). This comprehensive teardown report includes detailed physical and analytical characterization of the LumiLink 400G-ZR+ module, including the silicon photonic PIC, the embedded micro-channel heat-sink structures, the thermal monitoring elements, and the waveguide multiplexer structures. The report includes scanning electron microscopy (SEM) imagery, optical micrographs, elemental analysis results, and dimensional measurements of the micro-channel structures.

2. Benchmark Semiconductor Analysis, LLC — Follow-On Teardown Report for the LumiLink 800G-DR8 (completed June 2023). This teardown report provides analogous physical and analytical characterization of the LumiLink 800G-DR8 module, including the silicon photonic PIC and embedded micro-channel heat-sink structures.

3. Lumicore Design Documents Produced in discovery. Lumicore has produced in discovery a substantial body of design, engineering, and fabrication documents relating to the accused products. These documents have been designated under the three-tier Stipulated Protective Order entered August 19, 2024 (Dkt. 42), with certain documents designated "Highly Confidential — Attorneys' Eyes Only" and others designated "Highly Confidential — Source Code." Specific Lumicore documents are cited by Bates number throughout this Claim Chart.

4. Deposition Testimony of Dr. Sandra Michaud, Lumicore Chief Technology Officer (November 19, 2024). Dr. Michaud testified regarding Lumicore's design decisions, the architecture of the accused products, and the thermal management approaches employed in the LumiLink product line. Certain testimony obtained after the date of service of these initial contentions will be referenced in supplemental contentions anticipated for approximately April 2025.

5. Deposition Testimony of Kevin Ng, Benchmark Semiconductor Analysis, LLC (January 7, 2025). Mr. Ng testified regarding the teardown methodology, chain of custody for accused product samples, and specific structural findings relevant to the claim limitations. This testimony was obtained after the date of service of these initial contentions and will be incorporated in supplemental contentions.

6. Published Product Datasheets and Marketing Materials. Lumicore's publicly available product datasheets, application notes, and marketing materials for the LumiLink 400G-ZR+ and LumiLink 800G-DR8 describe various features and specifications of the accused products, including thermal management capabilities.

7. Expert Analysis by Dr. Caroline Ashford. Dr. Caroline Ashford, Professor of Electrical Engineering and Photonics at the Northfield Institute of Technology in Evanston, Illinois, has been retained by OWS as its technical and infringement expert for the '562 Patent. Dr. Ashford's preliminary analysis confirms that the accused products practice each and every limitation of the asserted claims. Dr. Ashford's full expert report is due June 15, 2025, pursuant to the Court's Docket Control Order.

E. Reservation of Rights

OWS reserves the right to amend or supplement these infringement contentions as discovery proceeds in this action. In particular, OWS anticipates that additional relevant evidence will become available through the ongoing discovery process, including but not limited to the following categories of documents and information sought in OWS's Second Set of Requests for Production, served on November 4, 2024:

• Lumicore RTL schematics and design-for-test (DFT) documentation for the accused products;

• Photonic-IC mask layout files (GDS-II and OASIS format) for the accused products;

• Source-code repositories for firmware and control software associated with the thermal management subsystems of the accused products;

• Fabrication run data, process control records, and yield data from Lumicore's foundry partners relating to the fabrication of the PICs used in the accused products;

• Additional thermal simulation and modeling data for the accused products; and

• Documents and communications relating to Lumicore's knowledge of the '562 Patent and OWS's patent portfolio.

OWS's contentions as set forth herein are based on information reasonably available as of the date of service and are asserted without prejudice to OWS's right to assert additional claims, limitations, accused products, or theories of infringement as warranted by the evidence developed during the course of this litigation. Nothing in these contentions shall be construed as a waiver or limitation of any right, argument, or contention available to OWS.

II. CLAIM CHART STRUCTURE AND CONVENTIONS

A. Format

Each asserted claim of the '562 Patent is presented in a two-column claim chart format, as is customary for P.R. 3-1 Infringement Contentions in this District. The format of each claim chart is as follows:

Left Column — Claim Language: The left column sets forth the verbatim claim language of the '562 Patent, broken down limitation by limitation. The preamble of each claim is set forth first, followed by each element or limitation of the claim body, identified separately. For dependent claims, the additional limitation(s) added by the dependent claim are set forth following a reference to the independent claim from which the dependent claim depends.

Right Column — Accused Product Identification: The right column identifies, for each limitation, where that limitation is met in each of the accused products (the LumiLink 400G-ZR+ and the LumiLink 800G-DR8). Specific references are provided to the Benchmark teardown reports, Lumicore documents produced in discovery, product specifications, deposition testimony, and expert analysis, as applicable. The right column provides sufficient detail to enable the identification of each element of each claim in the accused products.

B. Citation Conventions

The following abbreviations and citation conventions are used throughout this Claim Chart:

• "Benchmark 400G Report" refers to the Benchmark Semiconductor Analysis, LLC, Teardown Report for the LumiLink 400G-ZR+ (dated December 12, 2022).

• "Benchmark 800G Report" refers to the Benchmark Semiconductor Analysis, LLC, Teardown Report for the LumiLink 800G-DR8 (completed June 2023).

• "LTC-DOC-[number]" refers to documents produced by Lumicore Technologies, Inc. in discovery, identified by their Bates number prefix.

• "Michaud Dep." refers to the deposition transcript of Dr. Sandra Michaud, Lumicore Chief Technology Officer, taken on November 19, 2024.

• "Ng Dep." refers to the deposition transcript of Kevin Ng, lead teardown engineer at Benchmark Semiconductor Analysis, LLC, taken on January 7, 2025.

• "Appendix, Figure [X]-[Y]" refers to the annotated teardown photographs and figures set forth in the Appendix to this Claim Chart (Section VIII).

• "Ashford Analysis" refers to the preliminary analysis of Dr. Caroline Ashford, OWS's retained technical and infringement expert, which will be detailed in her full expert report due June 15, 2025.

Where confidential or highly confidential materials are cited, the applicable confidentiality designation under the Stipulated Protective Order is noted parenthetically.

C. Claim Construction Note

The claim terms used in this Claim Chart are used consistent with their ordinary and customary meaning to a person of ordinary skill in the art ("POSITA"), as set forth in OWS's Opening Claim Construction Brief filed on November 15, 2024 (Dkt. 78). OWS's claim construction positions are also reflected in the Joint Claim Construction Statement filed by the parties on October 28, 2024 (Dkt. 71), which identifies fourteen (14) disputed claim terms across the four asserted patents in this action.

The key disputed claim construction term applicable to the '562 Patent is "micro-channel heat sink." The parties' respective proposed constructions for this term are as follows:

OWS's Proposed Construction: "A heat-dissipating structure containing channels with a hydraulic diameter of less than 1 mm."

Lumicore's Proposed Construction: "A closed-loop liquid-cooling system with channels having a hydraulic diameter between 10 µm and 200 µm."

OWS submits that its proposed construction is faithful to the intrinsic record, including the specification and prosecution history of the '562 Patent, and is consistent with the understanding of a POSITA. Lumicore's proposed construction improperly imports limitations from the specification into the claims — specifically, the requirement of a "closed-loop" system and the unduly narrow dimensional range of 10 µm to 200 µm — that are not supported by the claim language or the intrinsic record.

This Claim Chart demonstrates infringement under OWS's proposed construction of "micro-channel heat sink." Importantly, however, OWS contends that infringement is also established even under Lumicore's improperly narrow proposed construction. As set forth in the detailed claim charts below, the micro-channel structures identified in both accused products contain channels with measured hydraulic diameters ranging from approximately 45 µm to 180 µm (in the LumiLink 400G-ZR+) and approximately 50 µm to 165 µm (in the LumiLink 800G-DR8), all of which fall within even Lumicore's proposed range of 10 µm to 200 µm. Moreover, the accused products employ a liquid-cooling system with inlet and outlet manifold structures consistent with a closed-loop configuration.

The disputed claim construction terms, including "micro-channel heat sink," will be addressed at the Markman hearing currently scheduled for March 14, 2025, before the Honorable Judge James R. Gilstrap.

To the extent additional claim terms become disputed during the course of this litigation, OWS reserves the right to supplement or amend these contentions to address any revised claim constructions adopted by the Court.

III. CLAIM 1 — INDEPENDENT CLAIM

Claim 1 Full Text

Claim 1 of U.S. Patent No. 9,678,562 recites:

1. A method for thermal management of a photonic integrated circuit, comprising:

(a) providing a photonic integrated circuit formed on a semiconductor substrate;

(b) forming a plurality of micro-channels in or on said semiconductor substrate, each micro-channel having a hydraulic diameter of less than 1 mm;

(c) circulating a coolant fluid through said plurality of micro-channels to dissipate heat generated by said photonic integrated circuit; and

(d) wherein said micro-channels are positioned proximate to heat-generating regions of said photonic integrated circuit to maximize thermal transfer efficiency.

Claim Chart — Claim 1

IV. CLAIM 4 — DEPENDENT CLAIM (DEPENDS FROM CLAIM 1)

Claim 4 Full Text

Claim 4 of U.S. Patent No. 9,678,562 recites:

4. The method of claim 1, wherein the micro-channels are formed by deep reactive ion etching and have an aspect ratio of at least 5:1.

Claim 4 depends from independent Claim 1 and adds a further limitation specifying the fabrication method and structural geometry of the micro-channels.

Claim Chart — Claim 4

V. CLAIM 6 — DEPENDENT CLAIM (DEPENDS FROM CLAIM 1)

Claim 6 Full Text

Claim 6 of U.S. Patent No. 9,678,562 recites:

6. The method of claim 1, further comprising a thermal monitoring element positioned within or adjacent to the micro-channels to provide real-time temperature feedback.

Claim 6 depends from independent Claim 1 and adds a further limitation directed to the integration of a thermal monitoring element with the micro-channel heat-sink system to enable real-time temperature feedback.

Claim Chart — Claim 6

VI. CLAIM 11 — DEPENDENT CLAIM (DEPENDS FROM CLAIM 1)

Claim 11 Full Text

Claim 11 of U.S. Patent No. 9,678,562 recites:

11. The method of claim 1, wherein said micro-channels are sealed by bonding a cap layer to the semiconductor substrate using a hermetic bonding process.

Claim 11 depends from independent Claim 1 and adds a further limitation specifying the method by which the micro-channels are sealed — namely, through the bonding of a cap layer to the semiconductor substrate using a hermetic bonding process.

Claim Chart — Claim 11

VII. SUMMARY OF INFRINGEMENT CONTENTIONS FOR THE '562 PATENT

A. Literal Infringement — All Asserted Claims

Based on the detailed limitation-by-limitation analysis set forth in Sections III through VI above, OWS contends that both the LumiLink 400G-ZR+ and the LumiLink 800G-DR8 literally infringe each and every limitation of Claims 1, 4, 6, and 11 of U.S. Patent No. 9,678,562. The infringement of each claim limitation is established through the convergence of multiple independent lines of evidence, including:

• The Benchmark Semiconductor Analysis, LLC teardown reports for both accused products, which provide detailed physical and analytical characterization of the micro-channel heat-sink structures, the DRIE fabrication characteristics, the thermal monitoring elements, and the cap-layer bonding in both the LumiLink 400G-ZR+ and the LumiLink 800G-DR8;

• Lumicore's own design, engineering, and fabrication process documents produced in discovery, which describe and confirm the design intent, fabrication methods, and functional characteristics of the accused structures;

• Deposition testimony from Dr. Sandra Michaud (Lumicore CTO) and Kevin Ng (Benchmark lead engineer), which corroborates the physical evidence and document-based analysis; and

• Published product datasheets and marketing materials for the accused products, which describe the thermal management features at issue.

The micro-channel heat-sink structures identified in both accused products fall squarely within the scope of the asserted claims under OWS's proposed construction of the disputed claim terms. Significantly, infringement is also established even under Lumicore's improperly narrow proposed construction of "micro-channel heat sink." As demonstrated in the claim charts, the measured hydraulic diameters of the micro-channels in both accused products (45 µm to 180 µm in the LumiLink 400G-ZR+ and 50 µm to 165 µm in the LumiLink 800G-DR8) fall within even Lumicore's proposed range of 10 µm to 200 µm, and the accused products employ a liquid-cooling system with inlet and outlet manifold structures consistent with Lumicore's proposed requirement of a "closed-loop" system. Accordingly, the outcome of the pending claim construction dispute does not affect the finding of infringement for the '562 Patent claims.

B. No Doctrine of Equivalents Assertion for the '562 Patent

OWS asserts literal infringement only for the asserted claims of the '562 Patent. OWS does not assert infringement under the doctrine of equivalents for any claim of the '562 Patent. The doctrine of equivalents is asserted in this action only for Claims 3 and 7 of the '193 Patent and Claim 12 of the '015 Patent, as set forth in the separate claim charts for those patents served concurrently with these contentions.

C. Cross-Reference to Other Asserted Patents

The accused products identified herein are also accused of infringing claims of other patents asserted in this action. Specifically:

• The LumiLink 400G-ZR+ is also accused of infringing asserted claims of the '847 Patent and the '193 Patent, as set forth in the separate claim charts for those patents.

• The LumiLink 800G-DR8 is also accused of infringing asserted claims of the '847 Patent, the '193 Patent, and the '015 Patent, as set forth in the separate claim charts for those patents.

As noted above, the '562 Patent and the '847 Patent share a continuation relationship within the same patent family, having been filed as continuation applications from a common parent application. The two patents share a common specification but claim distinct aspects of the micro-channel heat-sink technology for photonic integrated circuits.

D. Reservation Regarding Supplemental Contentions

OWS reserves the right to supplement these infringement contentions based on additional evidence obtained through the ongoing discovery process in this action. As noted in Section I.E above, OWS has served a Second Set of Requests for Production (served November 4, 2024) seeking additional categories of documents and information from Lumicore, including but not limited to RTL schematics, photonic-IC layout files, source-code repositories, and fabrication run data. Upon receipt and review of these materials, OWS anticipates serving supplemental infringement contentions for the '562 Patent (and the other asserted patents) in approximately April 2025, in accordance with the Court's Docket Control Order and the Patent Rules.

OWS further reserves the right to amend these contentions to address any claim constructions adopted by the Court following the Markman hearing currently scheduled for March 14, 2025, and to incorporate additional evidence obtained through fact and expert discovery.

VIII. APPENDIX — ANNOTATED TEARDOWN PHOTOGRAPHS AND FIGURES

The following annotated teardown photographs and figures are provided in support of the infringement contentions set forth in this Claim Chart. Each figure is derived from the Benchmark Semiconductor Analysis, LLC teardown reports for the accused products and has been annotated to show the correspondence between the identified structures and the limitations of the asserted claims. Full-resolution copies of all figures are available in the native Benchmark report files and will be provided to the Court and opposing counsel in native format upon request.

A. LumiLink 400G-ZR+ Figures

Figure A-1: Optical micrograph of the LumiLink 400G-ZR+ PIC die showing overall layout, including identification of the modulator array, coherent receiver block, waveguide multiplexer/demultiplexer structures, and laser integration area. Source: Benchmark 400G Report, Figure 3-2.

Figure A-2: SEM cross-section of the micro-channel array in the silicon substrate of the LumiLink 400G-ZR+ PIC. Annotated to identify individual micro-channels and their positions relative to the PIC active layer. Claim-limitation annotations indicate correspondence to Limitation 1[b] (plurality of micro-channels in the semiconductor substrate). Source: Benchmark 400G Report, Figures 5-4 through 5-6.

Figure A-3: Tabulated measured hydraulic diameter data for twelve (12) individually measured channels in the LumiLink 400G-ZR+ PIC, with overlay showing that all measurements fall below 1 mm (measured range: 45 µm to 180 µm). This figure demonstrates satisfaction of the hydraulic diameter limitation of Claim 1, Limitation 1[b], under both OWS's and Lumicore's proposed constructions. Source: Benchmark 400G Report, Table 5-1.

Figure A-4: Overlay of micro-channel positions on a PIC thermal heat map, showing the proximity of the micro-channels to the heat-generating regions of the PIC, including the modulator array and coherent receiver block. This figure demonstrates satisfaction of Limitation 1[d] (micro-channels positioned proximate to heat-generating regions to maximize thermal transfer efficiency). Source: Benchmark 400G Report, Figure 5-9.

Figure A-5: SEM image of the micro-channel sidewall morphology in the LumiLink 400G-ZR+ PIC, showing the characteristic scalloped pattern consistent with deep reactive ion etching (DRIE/Bosch process). Annotated to show measured aspect ratios (6.2:1 to 8.7:1) exceeding the claimed minimum of 5:1. This figure demonstrates satisfaction of the additional limitation of Claim 4. Source: Benchmark 400G Report, Section 5.3.2.

Figure A-6: Cross-section of the cap-layer bonding structure, showing the cap layer bonded to the silicon substrate over the micro-channel array with a hermetic seal. Bond interface analysis annotations indicate characteristics consistent with anodic or fusion bonding. This figure demonstrates satisfaction of the additional limitation of Claim 11. Source: Benchmark 400G Report, Section 5.6.

Figure A-7: Annotated image showing the location of integrated thermistor elements positioned adjacent to the micro-channel array in the LumiLink 400G-ZR+ PIC. Electrical connections to the module's control circuitry are identified. This figure demonstrates satisfaction of the additional limitation of Claim 6. Source: Benchmark 400G Report, Section 6.1.

B. LumiLink 800G-DR8 Figures

Figure B-1: Optical micrograph of the LumiLink 800G-DR8 PIC die, showing the overall layout including the eight-lane modulator array, photodetector array, waveguide structures, and thermal management region. Source: Benchmark 800G Report, Figure 4-1.

Figure B-2: SEM cross-section of the micro-channel array in the silicon substrate of the LumiLink 800G-DR8 PIC. Annotated to identify individual micro-channels and their positions relative to the eight-lane active photonic components. Claim-limitation annotations indicate correspondence to Limitation 1[b]. Source: Benchmark 800G Report, Figures 5-9 through 5-12.

Figure B-3: Tabulated measured hydraulic diameter data for the micro-channels in the LumiLink 800G-DR8 PIC (measured range: approximately 50 µm to 165 µm), with overlay demonstrating that all measurements fall below 1 mm and within even Lumicore's proposed construction range. Source: Benchmark 800G Report, corresponding data table.

Figure B-4: Overlay of micro-channel positions relative to the eight-lane modulator array in the LumiLink 800G-DR8 PIC, demonstrating the proximity of the micro-channels to the primary heat-generating region of the PIC. This figure demonstrates satisfaction of Limitation 1[d]. Source: Benchmark 800G Report, Figure 5-15.

Figure B-5: SEM analysis of the DRIE sidewall characteristics in the LumiLink 800G-DR8 micro-channels, with measured aspect ratio data (5.8:1 to 9.1:1) exceeding the claimed minimum of 5:1. This figure demonstrates satisfaction of the additional limitation of Claim 4. Source: Benchmark 800G Report, Section 5.5.3.

Figure B-6: Cross-section of the cap-layer bonding structure in the LumiLink 800G-DR8, showing the hermetically bonded cap layer over the micro-channel array. This figure demonstrates satisfaction of the additional limitation of Claim 11. Source: Benchmark 800G Report, Section 5.8.

Figure B-7: Annotated image of the thermistor array positioned adjacent to the micro-channels in the LumiLink 800G-DR8 PIC, demonstrating satisfaction of the additional limitation of Claim 6. Source: Benchmark 800G Report, Section 6.2.

IX. CERTIFICATE OF SERVICE

I hereby certify that on September 16, 2024, this Infringement Claim Chart for U.S. Patent No. 9,678,562 (Claims 1, 4, 6, and 11), together with all accompanying appendices and exhibits, was served upon counsel of record for Defendant Lumicore Technologies, Inc. by electronic means via the Court's CM/ECF electronic filing system and by electronic mail to the following:

Catherine "Kate" Rourke HAWTHORNE VEGA & CRUZ LLP 600 Congress Avenue, Suite 2400 Austin, Texas 78701

Email: krourke@hvclegal.com

Samantha Briggs HAWTHORNE VEGA & CRUZ LLP 600 Congress Avenue, Suite 2400 Austin, Texas 78701

Email: sbriggs@hvclegal.com

Maria Garza (Local Counsel for Defendant) TRASK EDDINGTON LLP 425 East Front Street, Suite 300 Tyler, Texas 75701

Email: mgarza@traskeddington.com

Dated: September 16, 2024

Respectfully submitted,

CALDERWOOD & HARKNESS LLP

By: ________

Alan Ngo (CA Bar No. 247831; admitted pro hac vice E.D. Tex.) Wendy Schultz (CA Bar No. 289456; admitted pro hac vice E.D. Tex.) Omar Siddiqui (CA Bar No. 312074; admitted pro hac vice E.D. Tex.) 350 South Grand Avenue, 48th Floor Los Angeles, California 90071 Telephone: (213) 555-4200 Facsimile: (213) 555-4201

Email: ango@calderwoodharkness.com

Email: wschultz@calderwoodharkness.com

Email: osiddiqui@calderwoodharkness.com

WHITMORE & CALLAHAN LLP

By: ________

James "Jim" Callahan (TX Bar No. 03847291) 110 North College Avenue, Suite 800 Tyler, Texas 75702 Telephone: (903) 555-1100 Facsimile: (903) 555-1101

Email: jcallahan@whitmorecallahan.com

Counsel for Plaintiff Optiwave Semiconductor Corp.

OPTIWAVE SEMICONDUCTOR CORP.,

Plaintiff,	Civil Action No. 2:24-cv-00319-JRG
v.	Before the Honorable Judge James R. Gilstrap

LUMICORE TECHNOLOGIES, INC.,

Defendant.

Claim Language ('562 Patent, Claim 1)

Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8

Limitation 1[preamble]: A method for thermal management of a photonic integrated circuit, comprising:

LumiLink 400G-ZR+: The LumiLink 400G-ZR+ is a coherent optical transceiver module that incorporates a photonic integrated circuit ("PIC") fabricated on a silicon semiconductor substrate. The LumiLink 400G-ZR+ module employs a method for thermal management of this PIC using embedded cooling channels integral to the PIC package. The Benchmark 400G Report, Section 3.2, identifies the silicon photonic die and the associated thermal management structures present in the module. The Lumicore product datasheet for the LumiLink 400G-ZR+ expressly describes thermal dissipation of the PIC as a key design feature, noting that the module employs "advanced integrated thermal management" to maintain optimal PIC operating temperatures under high-power operating conditions. The Benchmark teardown confirmed the presence of embedded micro-channel cooling structures that serve as the primary mechanism for thermal management of the PIC. The LumiLink 400G-ZR+ therefore practices a method for thermal management of a photonic integrated circuit. See Benchmark 400G Report, Section 3.2; Lumicore LumiLink 400G-ZR+ Product Datasheet, Rev. 2.1 (Q4 2022), at 3, 8; Michaud Dep. at 47:12–48:9 (confirming that the LumiLink product line uses silicon photonic PICs with integrated thermal management).

LumiLink 800G-DR8: The LumiLink 800G-DR8 similarly incorporates a silicon photonic PIC with thermal management structures. The Benchmark 800G Report, Section 4.1, identifies the PIC and the thermal management structures in the LumiLink 800G-DR8 module. Lumicore design document LTC-DOC-023417, the thermal design specification for the 800G-DR8 (designated Highly Confidential — Attorneys' Eyes Only), describes in detail the thermal management approach for the PIC, including the use of embedded micro-channel cooling structures formed directly in the semiconductor substrate. The LumiLink 800G-DR8 therefore also practices a method for thermal management of a photonic integrated circuit. See Benchmark 800G Report, Section 4.1; LTC-DOC-023417 at 1–5 (Highly Confidential — AEO).

Claim Language ('562 Patent, Claim 1)

Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8

Limitation 1[a]: providing a photonic integrated circuit formed on a semiconductor substrate;

LumiLink 400G-ZR+: The Benchmark 400G Report confirms that the LumiLink 400G-ZR+ contains a photonic integrated circuit formed on a silicon semiconductor substrate. Section 3.1 of the Benchmark 400G Report describes the PIC die extracted from the LumiLink 400G-ZR+ module and identifies the silicon substrate upon which the photonic components — including optical waveguides, modulators, photodetectors, and multiplexer/demultiplexer structures — are integrated. Figure 3-2 of the Benchmark 400G Report provides a cross-sectional SEM image of the PIC die, clearly showing the silicon substrate with integrated photonic waveguides formed in and on the substrate surface. Dr. Sandra Michaud, Lumicore's CTO, confirmed during her deposition that the LumiLink product line uses silicon photonic PICs fabricated on standard silicon-on-insulator (SOI) wafers. See Benchmark 400G Report, Section 3.1, Figure 3-2; Michaud Dep. at 47:12–48:9, 52:3–53:15.

LumiLink 800G-DR8: The Benchmark 800G Report, Section 4.1 and Figure 4-1, identifies the silicon-substrate PIC in the LumiLink 800G-DR8. The PIC incorporates eight lanes of photonic components (waveguides, modulators, and photodetectors) formed on a silicon semiconductor substrate. Lumicore design document LTC-DOC-019832 (PIC layout specification, designated Highly Confidential — Source Code) identifies the semiconductor substrate material as silicon and specifies the SOI wafer platform used for PIC fabrication. See Benchmark 800G Report, Section 4.1, Figure 4-1; LTC-DOC-019832 at 2–3 (Highly Confidential — Source Code).

Claim Language ('562 Patent, Claim 1)

Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8

Limitation 1[b]: forming a plurality of micro-channels in or on said semiconductor substrate, each micro-channel having a hydraulic diameter of less than 1 mm;

LumiLink 400G-ZR+: The Benchmark 400G Report, Section 5.3 and Figures 5-4 through 5-8, presents SEM and optical microscopy images that identify a plurality of micro-channels etched into the silicon semiconductor substrate of the PIC, adjacent to the active photonic waveguide regions. The Benchmark teardown reveals an array of parallel micro-channels formed in the silicon substrate, running beneath and alongside the modulator array and coherent receiver block of the PIC. Kevin Ng, the lead engineer at Benchmark who performed the teardown, confirmed during his deposition the teardown methodology employed, the chain of custody for the accused product samples, and the specific micro-channel structures identified in the LumiLink 400G-ZR+ that correspond to this claim limitation. See Ng Dep., Jan. 7, 2025, at 34:5–37:18, 41:2–43:22. The measured hydraulic diameters of the micro-channels in the LumiLink 400G-ZR+ range from approximately 45 µm to 180 µm, as set forth in Table 5-1 of the Benchmark 400G Report, which tabulates the channel dimensions across twelve (12) individually measured channels. Every measured channel has a hydraulic diameter well below 1 mm, satisfying this limitation under OWS's proposed construction of "micro-channel heat sink." Notably, these measured hydraulic diameters also fall entirely within Lumicore's improperly narrow proposed construction range of 10 µm to 200 µm, such that this limitation is met under either party's proposed construction. See Benchmark 400G Report, Section 5.3, Figures 5-4 through 5-8, Table 5-1; Appendix, Figures A-2, A-3.

LumiLink 800G-DR8: The Benchmark 800G Report, Section 5.5 and Figures 5-9 through 5-14, identifies substantially similar micro-channel structures formed in the silicon semiconductor substrate of the LumiLink 800G-DR8 PIC. The micro-channel array in the 800G-DR8 PIC is more extensive than in the 400G-ZR+, consistent with the higher power density of the eight-lane 800G architecture. Measured hydraulic diameters of the micro-channels in the 800G-DR8 range from approximately 50 µm to 165 µm, again well below 1 mm and within Lumicore's proposed construction range. Lumicore design document LTC-DOC-023417, at page 14 (designated Highly Confidential — AEO), contains thermal simulation data showing the micro-channel array with specified channel dimensions that are consistent with the Benchmark teardown measurements. See Benchmark 800G Report, Section 5.5, Figures 5-9 through 5-14; LTC-DOC-023417 at 14 (Highly Confidential — AEO); Appendix, Figures B-2, B-3.

Claim Language ('562 Patent, Claim 1)

Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8

Limitation 1[c]: circulating a coolant fluid through said plurality of micro-channels to dissipate heat generated by said photonic integrated circuit;

LumiLink 400G-ZR+: The Benchmark 400G Report, Section 5.4, identifies inlet and outlet manifold structures in the LumiLink 400G-ZR+ PIC package that are consistent with the circulation of a coolant fluid through the plurality of micro-channels. The Benchmark teardown detected residual coolant traces within the micro-channel structures via energy-dispersive X-ray spectroscopy (EDS) elemental analysis, confirming that a fluid had been circulated through the channels during operation. The Lumicore product datasheet for the LumiLink 400G-ZR+ references "advanced thermal management" and "integrated cooling" as features of the module, consistent with the circulation of a coolant fluid. Lumicore design document LTC-DOC-021554 (thermal management design review minutes, designated Highly Confidential — AEO) expressly describes the circulation of a dielectric coolant fluid through the embedded micro-channels of the PIC for the purpose of dissipating heat generated by the photonic integrated circuit during normal operation. This document identifies the coolant as a fluorocarbon-based dielectric fluid selected for its thermal conductivity, dielectric properties, and compatibility with the silicon substrate. The coolant is circulated through the micro-channels by means of a micro-pump integrated into the module's thermal management subsystem. See Benchmark 400G Report, Section 5.4; Lumicore LumiLink 400G-ZR+ Product Datasheet, Rev. 2.1 (Q4 2022), at 8; LTC-DOC-021554 at 3–7 (Highly Confidential — AEO).

LumiLink 800G-DR8: The Benchmark 800G Report, Section 5.6, identifies analogous inlet and outlet manifold structures and coolant flow paths in the LumiLink 800G-DR8. Lumicore design document LTC-DOC-023417, at pages 18–22 (designated Highly Confidential — AEO), provides coolant flow simulation data for the 800G-DR8 PIC, including computational fluid dynamics (CFD) modeling results demonstrating the flow of coolant through the micro-channel array. These simulations confirm that a coolant fluid is circulated through the plurality of micro-channels to dissipate heat generated by the photonic integrated circuit. The thermal design specification further identifies the coolant flow rate, pressure drop, and thermal dissipation capacity of the micro-channel heat-sink system. See Benchmark 800G Report, Section 5.6; LTC-DOC-023417 at 18–22 (Highly Confidential — AEO).

Claim Language ('562 Patent, Claim 1)

Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8

Limitation 1[d]: wherein said micro-channels are positioned proximate to heat-generating regions of said photonic integrated circuit to maximize thermal transfer efficiency.

LumiLink 400G-ZR+: The Benchmark 400G Report, Section 5.5 and Figure 5-9, provides an overlay image showing the positions of the micro-channels relative to the active photonic regions of the PIC, including the modulator array, the coherent receiver block, and the laser integration area. These regions are the primary heat-generating regions of the PIC, as they involve active manipulation and detection of optical signals that generate significant thermal energy. The micro-channels are positioned directly beneath and adjacent to the modulator array and coherent receiver block — the regions of highest thermal density in the LumiLink 400G-ZR+ PIC — demonstrating that the micro-channels are positioned proximate to the heat-generating regions of the PIC. Dr. Caroline Ashford's preliminary analysis, which will be detailed in her expert report due June 15, 2025, confirms that the spatial arrangement of the micro-channels in the LumiLink 400G-ZR+ is deliberately designed to maximize thermal transfer efficiency from the heat-generating regions of the PIC, consistent with this claim limitation. The deliberate proximity of the micro-channels to the heat sources minimizes the thermal resistance between the heat-generating components and the coolant, thereby maximizing the rate and efficiency of heat transfer. See Benchmark 400G Report, Section 5.5, Figure 5-9; Ashford Analysis (preliminary); Appendix, Figure A-4.

LumiLink 800G-DR8: The Benchmark 800G Report, Section 5.7 and Figure 5-15, demonstrates the positioning of the micro-channels relative to the eight-lane modulator array, which is the primary heat source in the LumiLink 800G-DR8 PIC. The overlay analysis shows that the micro-channel array is concentrated directly beneath and alongside the eight-lane modulator array and the associated driver electronics integration region. Lumicore design document LTC-DOC-023417, at pages 24–26 (designated Highly Confidential — AEO), contains thermal modeling data showing the deliberate placement of the micro-channels to optimize heat extraction from the active photonic regions of the PIC. The thermal simulations in this document demonstrate that the micro-channel positions were selected specifically to maximize thermal transfer efficiency, with the design team evaluating multiple micro-channel configurations and selecting the arrangement that minimized peak junction temperatures in the heat-generating regions. See Benchmark 800G Report, Section 5.7, Figure 5-15; LTC-DOC-023417 at 24–26 (Highly Confidential — AEO); Appendix, Figure B-4.

Claim Language ('562 Patent, Claim 4)	Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8
All Limitations of Claim 1	Met as set forth in Section III above for both the LumiLink 400G-ZR+ and the LumiLink 800G-DR8. Each and every limitation of Claim 1, including the preamble and limitations 1[a] through 1[d], is practiced by both accused products, as detailed in the Claim 1 chart above.
Claim Language ('562 Patent, Claim 4)	Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8
Additional Limitation of Claim 4: wherein the micro-channels are formed by deep reactive ion etching and have an aspect ratio of at least 5:1.	LumiLink 400G-ZR+: The Benchmark 400G Report, Section 5.3.2, presents SEM analysis of the micro-channel sidewall morphology in the LumiLink 400G-ZR+ PIC. The sidewall morphology exhibits the characteristic scalloped pattern that is a hallmark of the deep reactive ion etching (DRIE) process, also known as the Bosch process. This scalloped sidewall profile results from the alternating etch and passivation cycles used in DRIE and is readily distinguishable from wet-etch or other dry-etch sidewall profiles. The Benchmark teardown engineer, Kevin Ng, identified the sidewall morphology as consistent with DRIE based on his extensive experience with semiconductor process identification. See Ng Dep. at 56:8–58:14. Benchmark measured the aspect ratios (depth-to-width) of the micro-channels across multiple sampled channels in the LumiLink 400G-ZR+ PIC. The measured aspect ratios range from 6.2:1 to 8.7:1, all of which exceed the claimed minimum aspect ratio of 5:1. See Benchmark 400G Report, Section 5.3.2, Table 5-2 (tabulated aspect ratio measurements); Appendix, Figure A-5. Lumicore fabrication process documents produced in discovery (LTC-DOC-025891, designated Highly Confidential — Source Code) confirm the use of DRIE for the formation of micro-channels in the PIC substrate. This process document specifies the DRIE recipe parameters, including etch gas composition (SF₆/C₄F₈), cycle timing, and target etch depth, confirming that the micro-channels in the LumiLink 400G-ZR+ PIC are formed by deep reactive ion etching. See LTC-DOC-025891 at 8–12 (Highly Confidential — Source Code).

LumiLink 800G-DR8: The Benchmark 800G Report, Section 5.5.3, presents a similar analysis for the LumiLink 800G-DR8, identifying DRIE sidewall characteristics in the micro-channel structures of the 800G-DR8 PIC that are consistent with those observed in the 400G-ZR+. The measured aspect ratios for the 800G-DR8 micro-channels range from 5.8:1 to 9.1:1, again all exceeding the claimed minimum of 5:1. See Benchmark 800G Report, Section 5.5.3; Appendix, Figure B-5. Lumicore design document LTC-DOC-026402 (process flow document for 800G-DR8 PIC fabrication, designated Highly Confidential — Source Code) confirms the use of DRIE in the fabrication process for the micro-channels, with process parameters substantially similar to those specified in LTC-DOC-025891 for the 400G-ZR+. See LTC-DOC-026402 at 10–15 (Highly Confidential — Source Code).

Claim Language ('562 Patent, Claim 6)	Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8
All Limitations of Claim 1	Met as set forth in Section III above for both the LumiLink 400G-ZR+ and the LumiLink 800G-DR8. Each and every limitation of Claim 1, including the preamble and limitations 1[a] through 1[d], is practiced by both accused products, as detailed in the Claim 1 chart above.
Claim Language ('562 Patent, Claim 6)	Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8
Additional Limitation of Claim 6: further comprising a thermal monitoring element positioned within or adjacent to the micro-channels to provide real-time temperature feedback.	LumiLink 400G-ZR+: The Benchmark 400G Report, Section 6.1, identifies integrated thermistor elements positioned adjacent to the micro-channel array in the LumiLink 400G-ZR+ PIC. These thermistor elements are fabricated on the same silicon substrate as the PIC and the micro-channels, and are located in close physical proximity to the micro-channel structures — specifically, positioned between and alongside the micro-channel rows adjacent to the modulator array. The thermistor elements are electrically connected to the module's control circuitry, including the digital signal processor (DSP) and microcontroller unit (MCU), and provide real-time temperature readings that are used by the module's firmware to control the thermal management subsystem, including coolant flow rate adjustment. The Lumicore product datasheet for the LumiLink 400G-ZR+ expressly references "real-time thermal monitoring" as a feature of the PIC, confirming the presence and function of these thermal monitoring elements. Lumicore design document LTC-DOC-022108 (thermal control loop design specification, designated Highly Confidential — AEO) describes the thermistor feedback mechanism in detail, including the thermistor placement relative to the micro-channel array, the analog-to-digital conversion of thermistor signals, and the control algorithm used to regulate coolant flow and maintain the PIC within a target temperature range during operation. This document confirms that the thermal monitoring elements are positioned adjacent to the micro-channels and provide real-time temperature feedback. See Benchmark 400G Report, Section 6.1; Lumicore LumiLink 400G-ZR+ Product Datasheet, Rev. 2.1 (Q4 2022), at 9; LTC-DOC-022108 at 1–8 (Highly Confidential — AEO); Appendix, Figure A-7.

LumiLink 800G-DR8: The Benchmark 800G Report, Section 6.2, identifies a thermistor array positioned adjacent to the micro-channels in the LumiLink 800G-DR8 PIC. The 800G-DR8 employs a more extensive array of thermal monitoring elements compared to the 400G-ZR+, consistent with the larger number of active photonic lanes and the correspondingly more complex thermal management requirements of the eight-lane 800G architecture. The thermistor elements are positioned within or adjacent to the micro-channel structures and provide real-time temperature feedback to the module's control circuitry. Lumicore design document LTC-DOC-023417, at pages 30–32 (designated Highly Confidential — AEO), describes the thermal monitoring subsystem specification for the 800G-DR8, including the number, placement, and functional characteristics of the thermistor elements integrated with the micro-channel heat-sink system. See Benchmark 800G Report, Section 6.2; LTC-DOC-023417 at 30–32 (Highly Confidential — AEO); Appendix, Figure B-7.

Claim Language ('562 Patent, Claim 11)	Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8
All Limitations of Claim 1	Met as set forth in Section III above for both the LumiLink 400G-ZR+ and the LumiLink 800G-DR8. Each and every limitation of Claim 1, including the preamble and limitations 1[a] through 1[d], is practiced by both accused products, as detailed in the Claim 1 chart above.
Claim Language ('562 Patent, Claim 11)	Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8
Additional Limitation of Claim 11: wherein said micro-channels are sealed by bonding a cap layer to the semiconductor substrate using a hermetic bonding process.	LumiLink 400G-ZR+: The Benchmark 400G Report, Section 5.6, presents a cross-sectional analysis of the micro-channel structures in the LumiLink 400G-ZR+ PIC, revealing a cap layer bonded to the PIC substrate over the micro-channel array. The cap layer was identified as silicon (or, in certain regions, borosilicate glass), and the bond interface analysis performed by Benchmark — including SEM imaging and focused ion beam (FIB) cross-sectioning of the bond line — revealed characteristics consistent with anodic bonding or fusion bonding, both of which are recognized hermetic bonding processes in semiconductor fabrication. The bond interface exhibited no visible voids, gaps, or delamination, confirming a high-quality hermetic seal. The Benchmark teardown further confirmed that the teardown sample showed no evidence of coolant leakage from the micro-channel structures, which is consistent with and provides additional evidence of a successful hermetic bonding process that effectively seals the micro-channels. Lumicore fabrication process document LTC-DOC-025891, at page 42 (designated Highly Confidential — Source Code), describes the cap-layer bonding process step in the PIC fabrication flow, specifying the bonding method, temperature profile, and bond quality acceptance criteria. This document confirms that a cap layer is bonded to the semiconductor substrate over the micro-channels using a hermetic bonding process. See Benchmark 400G Report, Section 5.6; LTC-DOC-025891 at 42 (Highly Confidential — Source Code); Appendix, Figure A-6.

LumiLink 800G-DR8: The Benchmark 800G Report, Section 5.8, presents a similar cap-layer bonding and seal integrity analysis for the LumiLink 800G-DR8. The cross-sectional analysis reveals a cap layer bonded to the silicon substrate over the micro-channel array, with bond interface characteristics consistent with a hermetic bonding process. The seal integrity analysis confirmed the absence of coolant leakage, consistent with a hermetic seal. Lumicore design document LTC-DOC-026402, at pages 38–40 (designated Highly Confidential — Source Code), describes the bonding process specification for the 800G-DR8 PIC, confirming the use of a hermetic bonding process to seal the micro-channels with a cap layer. The bonding process parameters specified in LTC-DOC-026402 are substantially similar to those described in LTC-DOC-025891 for the 400G-ZR+, indicating a common fabrication approach for the micro-channel sealing step across both accused product lines. See Benchmark 800G Report, Section 5.8; LTC-DOC-026402 at 38–40 (Highly Confidential — Source Code); Appendix, Figure B-6.

INFRINGEMENT CLAIM CHART
U.S. PATENT NO. 9,678,562
(CLAIMS 1, 4, 6, 11)
UNITED STATES DISTRICT COURT EASTERN DISTRICT OF TEXAS MARSHALL DIVISION
P.R. 3-1 INFRINGEMENT CONTENTIONS — CLAIM CHART EXHIBIT
U.S. PATENT NO. 9,678,562 (CLAIMS 1, 4, 6, AND 11)
Date: September 16, 2024
Prepared By:
CALDERWOOD & HARKNESS LLP
Alan Ngo, Responsible Partner (IP Litigation) Wendy Schultz, Lead Associate (IP Litigation) Omar Siddiqui, Working Associate (IP Litigation)
350 South Grand Avenue, 48th Floor Los Angeles, California 90071 Telephone: (213) 555-4200 Facsimile: (213) 555-4201
1201 F Street NW, Suite 700 Washington, D.C. 20004 Telephone: (202) 555-7800 Facsimile: (202) 555-7801
Local Counsel:
WHITMORE & CALLAHAN LLP
James "Jim" Callahan 110 North College Avenue, Suite 800 Tyler, Texas 75702 Telephone: (903) 555-1100 Facsimile: (903) 555-1101
On Behalf of Plaintiff:
OPTIWAVE SEMICONDUCTOR CORP.
4810 Bayside Technology Parkway, Suite 300 Santa Clara, California 95054
CONFIDENTIALITY DESIGNATION: Portions of this Claim Chart and certain exhibits referenced herein are designated "Highly Confidential — Attorneys' Eyes Only" pursuant to the Stipulated Protective Order entered by the Court on August 19, 2024 (Dkt. 42). Additional portions referencing Lumicore design files, fabrication process documents, and related technical specifications are designated "Highly Confidential — Source Code" under the three-tier Stipulated Protective Order. This document shall be treated in accordance with the terms and conditions of the Stipulated Protective Order. Any unauthorized disclosure, dissemination, or use of this document or its contents is strictly prohibited.
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I. INTRODUCTION AND OVERVIEW
A. Purpose and Scope
This Infringement Claim Chart is served as part of the P.R. 3-1 Infringement Contentions of Plaintiff Optiwave Semiconductor Corp. ("OWS" or "Plaintiff") pursuant to the Patent Rules for the Eastern District of Texas. These contentions are served in compliance with the Court's Docket Control Order entered on July 22, 2024 (Dkt. 38), which set the deadline for service of Plaintiff's P.R. 3-1 Infringement Contentions as September 16, 2024.
This Claim Chart identifies, on a limitation-by-limitation basis, how each element of asserted Claims 1, 4, 6, and 11 of U.S. Patent No. 9,678,562 ("the '562 Patent") is met by the accused products manufactured, marketed, sold, offered for sale, imported into the United States, and/or used by Defendant Lumicore Technologies, Inc. ("Lumicore" or "Defendant"). This chart sets forth OWS's contentions of literal infringement of each limitation of each asserted claim of the '562 Patent.
For each claim limitation, this chart identifies with specificity the structures, acts, and functionalities of the accused products that correspond to the claimed elements, together with references to the evidentiary basis for each contention, including third-party teardown analyses, Lumicore's own design and engineering documents produced in discovery, deposition testimony, published product specifications, and expert analysis. This chart is accompanied by an appendix of annotated teardown photographs and figures that further illustrate the correspondence between the accused products and the asserted claims.
This Claim Chart is one of several claim chart exhibits served as part of OWS's P.R. 3-1 Infringement Contentions. Separate claim charts have been prepared and concurrently served for each of the other asserted patents in this action, including U.S. Patent No. 10,234,847 ("the '847 Patent"), U.S. Patent No. 10,891,193 ("the '193 Patent"), and U.S. Patent No. 11,456,015 ("the '015 Patent").
B. The '562 Patent
The '562 Patent, entitled "Method for Thermal Management of Photonic Integrated Circuits Using Embedded Micro-Channel Heat Sinks," is directed to innovative methods for managing the thermal challenges inherent in high-performance photonic integrated circuits ("PICs"). As the density and power of photonic components on integrated circuits continue to increase, thermal management has become a critical bottleneck limiting performance, reliability, and longevity. The '562 Patent addresses this challenge through the use of embedded micro-channel heat sinks formed directly in or on the semiconductor substrate of the PIC, enabling highly efficient, localized heat dissipation from the regions of the PIC where heat generation is most concentrated.
The key details of the '562 Patent are as follows:
Full Title: Method for Thermal Management of Photonic Integrated Circuits Using Embedded Micro-Channel Heat Sinks
U.S. Patent No.: 9,678,562
Filing Date: November 22, 2014
Issue Date: June 13, 2017
Original Assignee: Solara Optics, Inc.
Current Assignee: Optiwave Semiconductor Corp., which acquired the '562 Patent, together with eleven (11) other patents and associated intellectual property, from Solara Optics, Inc. pursuant to an Asset Purchase Agreement dated June 15, 2018, for a total consideration of $34.5 million. The assignment was recorded with the United States Patent and Trademark Office, and a certified copy of the assignment has been provided as Exhibit B to the Complaint.
Patent Family: The '562 Patent is in the same patent family as U.S. Patent No. 10,234,847 ("the '847 Patent"), which is also asserted in this action. The '847 Patent is a continuation of the application that issued as the '562 Patent, and the two patents share a common specification. The '562 Patent and '847 Patent are directed to related but distinct aspects of the micro-channel heat-sink technology for photonic integrated circuits.
Named Inventors: As identified in the certified copy of the '562 Patent, which is attached as Exhibit C to the Complaint filed in this action.
Prosecution Attorney: Dr. Martin Chu, Cascade IP Advisors, LLC, 1550 Crystal Drive, Suite 600, Arlington, Virginia 22202.
Maintenance Fees: All maintenance fees for the '562 Patent have been timely paid and are current as of the date of service of these contentions.
Inter Partes Review: No petitions for inter partes review have been filed against the '562 Patent as of the date of service of these contentions.
The '562 Patent teaches, among other things, that the formation of micro-channels directly in the semiconductor substrate of a PIC — positioned proximate to the heat-generating active photonic regions — enables a dramatic improvement in thermal transfer efficiency compared to conventional package-level cooling approaches. The specification describes in detail the fabrication of such micro-channels using established semiconductor processing techniques, the circulation of coolant fluids through the channels, and the integration of thermal monitoring elements to provide real-time feedback for active thermal management. The claims of the '562 Patent, including the asserted Claims 1, 4, 6, and 11, capture the essential inventive concepts disclosed and enabled by the patent.
C. Accused Products
OWS accuses the following Lumicore products of infringing the asserted claims of the '562 Patent:
1. LumiLink 400G-ZR+
The LumiLink 400G-ZR+ is Lumicore's 400G coherent optical transceiver module, designed for data center interconnect and metro/regional network applications. The LumiLink 400G-ZR+ was commercially launched in the third quarter of 2022 and has been continuously manufactured, marketed, sold, offered for sale, and imported into the United States by Lumicore since that date. Based on Lumicore's public segment disclosures and financial filings, the estimated revenue attributable to the LumiLink 400G-ZR+ for fiscal year 2023 was approximately $94.8 million. The LumiLink 400G-ZR+ is accused of infringing Claims 1, 4, 6, and 11 of the '562 Patent, as well as claims of the '847 Patent and the '193 Patent as set forth in separate claim charts.
2. LumiLink 800G-DR8
The LumiLink 800G-DR8 is Lumicore's 800G silicon-photonics transceiver module, designed for next-generation data center interconnect and high-performance computing applications. The LumiLink 800G-DR8 was commercially launched in the first quarter of 2023 and has been continuously manufactured, marketed, sold, offered for sale, and imported into the United States by Lumicore since that date. Based on Lumicore's public segment disclosures and financial filings, the estimated revenue attributable to the LumiLink 800G-DR8 for fiscal year 2023 was approximately $128.4 million. The LumiLink 800G-DR8 is accused of infringing Claims 1, 4, 6, and 11 of the '562 Patent, as well as claims of the '847 Patent, the '193 Patent, and the '015 Patent as set forth in separate claim charts.
The total fiscal year 2023 revenue attributable to products accused of infringing the '562 Patent is approximately $223.2 million ($94.8 million + $128.4 million).
Products Not Accused Under the '562 Patent. For the avoidance of doubt, the LumiEdge 1600G-LR product is NOT accused of infringing the '562 Patent. The LumiEdge 1600G-LR is accused only under the '193 Patent and the '015 Patent, as set forth in the separate claim charts for those patents.
D. Evidentiary Basis
The infringement contentions set forth in this Claim Chart are supported by the following categories of evidence, among others:
1.  Benchmark Semiconductor Analysis, LLC — Teardown Report for the LumiLink 400G-ZR+ (delivered December 12, 2022, by lead teardown engineer Kevin Ng). This comprehensive teardown report includes detailed physical and analytical characterization of the LumiLink 400G-ZR+ module, including the silicon photonic PIC, the embedded micro-channel heat-sink structures, the thermal monitoring elements, and the waveguide multiplexer structures. The report includes scanning electron microscopy (SEM) imagery, optical micrographs, elemental analysis results, and dimensional measurements of the micro-channel structures.
2.  Benchmark Semiconductor Analysis, LLC — Follow-On Teardown Report for the LumiLink 800G-DR8 (completed June 2023). This teardown report provides analogous physical and analytical characterization of the LumiLink 800G-DR8 module, including the silicon photonic PIC and embedded micro-channel heat-sink structures.
3.  Lumicore Design Documents Produced in discovery. Lumicore has produced in discovery a substantial body of design, engineering, and fabrication documents relating to the accused products. These documents have been designated under the three-tier Stipulated Protective Order entered August 19, 2024 (Dkt. 42), with certain documents designated "Highly Confidential — Attorneys' Eyes Only" and others designated "Highly Confidential — Source Code." Specific Lumicore documents are cited by Bates number throughout this Claim Chart.
4.  Deposition Testimony of Dr. Sandra Michaud, Lumicore Chief Technology Officer (November 19, 2024). Dr. Michaud testified regarding Lumicore's design decisions, the architecture of the accused products, and the thermal management approaches employed in the LumiLink product line. Certain testimony obtained after the date of service of these initial contentions will be referenced in supplemental contentions anticipated for approximately April 2025.
5.  Deposition Testimony of Kevin Ng, Benchmark Semiconductor Analysis, LLC (January 7, 2025). Mr. Ng testified regarding the teardown methodology, chain of custody for accused product samples, and specific structural findings relevant to the claim limitations. This testimony was obtained after the date of service of these initial contentions and will be incorporated in supplemental contentions.
6.  Published Product Datasheets and Marketing Materials. Lumicore's publicly available product datasheets, application notes, and marketing materials for the LumiLink 400G-ZR+ and LumiLink 800G-DR8 describe various features and specifications of the accused products, including thermal management capabilities.
7.  Expert Analysis by Dr. Caroline Ashford. Dr. Caroline Ashford, Professor of Electrical Engineering and Photonics at the Northfield Institute of Technology in Evanston, Illinois, has been retained by OWS as its technical and infringement expert for the '562 Patent. Dr. Ashford's preliminary analysis confirms that the accused products practice each and every limitation of the asserted claims. Dr. Ashford's full expert report is due June 15, 2025, pursuant to the Court's Docket Control Order.
E. Reservation of Rights
OWS reserves the right to amend or supplement these infringement contentions as discovery proceeds in this action. In particular, OWS anticipates that additional relevant evidence will become available through the ongoing discovery process, including but not limited to the following categories of documents and information sought in OWS's Second Set of Requests for Production, served on November 4, 2024:
•  Lumicore RTL schematics and design-for-test (DFT) documentation for the accused products;
•  Photonic-IC mask layout files (GDS-II and OASIS format) for the accused products;
•  Source-code repositories for firmware and control software associated with the thermal management subsystems of the accused products;
•  Fabrication run data, process control records, and yield data from Lumicore's foundry partners relating to the fabrication of the PICs used in the accused products;
•  Additional thermal simulation and modeling data for the accused products; and
•  Documents and communications relating to Lumicore's knowledge of the '562 Patent and OWS's patent portfolio.
OWS's contentions as set forth herein are based on information reasonably available as of the date of service and are asserted without prejudice to OWS's right to assert additional claims, limitations, accused products, or theories of infringement as warranted by the evidence developed during the course of this litigation. Nothing in these contentions shall be construed as a waiver or limitation of any right, argument, or contention available to OWS.
II. CLAIM CHART STRUCTURE AND CONVENTIONS
A. Format
Each asserted claim of the '562 Patent is presented in a two-column claim chart format, as is customary for P.R. 3-1 Infringement Contentions in this District. The format of each claim chart is as follows:
Left Column — Claim Language: The left column sets forth the verbatim claim language of the '562 Patent, broken down limitation by limitation. The preamble of each claim is set forth first, followed by each element or limitation of the claim body, identified separately. For dependent claims, the additional limitation(s) added by the dependent claim are set forth following a reference to the independent claim from which the dependent claim depends.
Right Column — Accused Product Identification: The right column identifies, for each limitation, where that limitation is met in each of the accused products (the LumiLink 400G-ZR+ and the LumiLink 800G-DR8). Specific references are provided to the Benchmark teardown reports, Lumicore documents produced in discovery, product specifications, deposition testimony, and expert analysis, as applicable. The right column provides sufficient detail to enable the identification of each element of each claim in the accused products.
B. Citation Conventions
The following abbreviations and citation conventions are used throughout this Claim Chart:
•  "Benchmark 400G Report" refers to the Benchmark Semiconductor Analysis, LLC, Teardown Report for the LumiLink 400G-ZR+ (dated December 12, 2022).
•  "Benchmark 800G Report" refers to the Benchmark Semiconductor Analysis, LLC, Teardown Report for the LumiLink 800G-DR8 (completed June 2023).
•  "LTC-DOC-[number]" refers to documents produced by Lumicore Technologies, Inc. in discovery, identified by their Bates number prefix.
•  "Michaud Dep." refers to the deposition transcript of Dr. Sandra Michaud, Lumicore Chief Technology Officer, taken on November 19, 2024.
•  "Ng Dep." refers to the deposition transcript of Kevin Ng, lead teardown engineer at Benchmark Semiconductor Analysis, LLC, taken on January 7, 2025.
•  "Appendix, Figure [X]-[Y]" refers to the annotated teardown photographs and figures set forth in the Appendix to this Claim Chart (Section VIII).
•  "Ashford Analysis" refers to the preliminary analysis of Dr. Caroline Ashford, OWS's retained technical and infringement expert, which will be detailed in her full expert report due June 15, 2025.
Where confidential or highly confidential materials are cited, the applicable confidentiality designation under the Stipulated Protective Order is noted parenthetically.
C. Claim Construction Note
The claim terms used in this Claim Chart are used consistent with their ordinary and customary meaning to a person of ordinary skill in the art ("POSITA"), as set forth in OWS's Opening Claim Construction Brief filed on November 15, 2024 (Dkt. 78). OWS's claim construction positions are also reflected in the Joint Claim Construction Statement filed by the parties on October 28, 2024 (Dkt. 71), which identifies fourteen (14) disputed claim terms across the four asserted patents in this action.
The key disputed claim construction term applicable to the '562 Patent is "micro-channel heat sink." The parties' respective proposed constructions for this term are as follows:
OWS's Proposed Construction: "A heat-dissipating structure containing channels with a hydraulic diameter of less than 1 mm."
Lumicore's Proposed Construction: "A closed-loop liquid-cooling system with channels having a hydraulic diameter between 10 µm and 200 µm."
OWS submits that its proposed construction is faithful to the intrinsic record, including the specification and prosecution history of the '562 Patent, and is consistent with the understanding of a POSITA. Lumicore's proposed construction improperly imports limitations from the specification into the claims — specifically, the requirement of a "closed-loop" system and the unduly narrow dimensional range of 10 µm to 200 µm — that are not supported by the claim language or the intrinsic record.
This Claim Chart demonstrates infringement under OWS's proposed construction of "micro-channel heat sink." Importantly, however, OWS contends that infringement is also established even under Lumicore's improperly narrow proposed construction. As set forth in the detailed claim charts below, the micro-channel structures identified in both accused products contain channels with measured hydraulic diameters ranging from approximately 45 µm to 180 µm (in the LumiLink 400G-ZR+) and approximately 50 µm to 165 µm (in the LumiLink 800G-DR8), all of which fall within even Lumicore's proposed range of 10 µm to 200 µm. Moreover, the accused products employ a liquid-cooling system with inlet and outlet manifold structures consistent with a closed-loop configuration.
The disputed claim construction terms, including "micro-channel heat sink," will be addressed at the Markman hearing currently scheduled for March 14, 2025, before the Honorable Judge James R. Gilstrap.
To the extent additional claim terms become disputed during the course of this litigation, OWS reserves the right to supplement or amend these contentions to address any revised claim constructions adopted by the Court.
III. CLAIM 1 — INDEPENDENT CLAIM
Claim 1 Full Text
Claim 1 of U.S. Patent No. 9,678,562 recites:
1. A method for thermal management of a photonic integrated circuit, comprising:
(a) providing a photonic integrated circuit formed on a semiconductor substrate;
(b) forming a plurality of micro-channels in or on said semiconductor substrate, each micro-channel having a hydraulic diameter of less than 1 mm;
(c) circulating a coolant fluid through said plurality of micro-channels to dissipate heat generated by said photonic integrated circuit; and
(d) wherein said micro-channels are positioned proximate to heat-generating regions of said photonic integrated circuit to maximize thermal transfer efficiency.
Claim Chart — Claim 1
IV. CLAIM 4 — DEPENDENT CLAIM (DEPENDS FROM CLAIM 1)
Claim 4 Full Text
Claim 4 of U.S. Patent No. 9,678,562 recites:
4. The method of claim 1, wherein the micro-channels are formed by deep reactive ion etching and have an aspect ratio of at least 5:1.
Claim 4 depends from independent Claim 1 and adds a further limitation specifying the fabrication method and structural geometry of the micro-channels.
Claim Chart — Claim 4
V. CLAIM 6 — DEPENDENT CLAIM (DEPENDS FROM CLAIM 1)
Claim 6 Full Text
Claim 6 of U.S. Patent No. 9,678,562 recites:
6. The method of claim 1, further comprising a thermal monitoring element positioned within or adjacent to the micro-channels to provide real-time temperature feedback.
Claim 6 depends from independent Claim 1 and adds a further limitation directed to the integration of a thermal monitoring element with the micro-channel heat-sink system to enable real-time temperature feedback.
Claim Chart — Claim 6
VI. CLAIM 11 — DEPENDENT CLAIM (DEPENDS FROM CLAIM 1)
Claim 11 Full Text
Claim 11 of U.S. Patent No. 9,678,562 recites:
11. The method of claim 1, wherein said micro-channels are sealed by bonding a cap layer to the semiconductor substrate using a hermetic bonding process.
Claim 11 depends from independent Claim 1 and adds a further limitation specifying the method by which the micro-channels are sealed — namely, through the bonding of a cap layer to the semiconductor substrate using a hermetic bonding process.
Claim Chart — Claim 11
VII. SUMMARY OF INFRINGEMENT CONTENTIONS FOR THE '562 PATENT
A. Literal Infringement — All Asserted Claims
Based on the detailed limitation-by-limitation analysis set forth in Sections III through VI above, OWS contends that both the LumiLink 400G-ZR+ and the LumiLink 800G-DR8 literally infringe each and every limitation of Claims 1, 4, 6, and 11 of U.S. Patent No. 9,678,562. The infringement of each claim limitation is established through the convergence of multiple independent lines of evidence, including:
•  The Benchmark Semiconductor Analysis, LLC teardown reports for both accused products, which provide detailed physical and analytical characterization of the micro-channel heat-sink structures, the DRIE fabrication characteristics, the thermal monitoring elements, and the cap-layer bonding in both the LumiLink 400G-ZR+ and the LumiLink 800G-DR8;
•  Lumicore's own design, engineering, and fabrication process documents produced in discovery, which describe and confirm the design intent, fabrication methods, and functional characteristics of the accused structures;
•  Deposition testimony from Dr. Sandra Michaud (Lumicore CTO) and Kevin Ng (Benchmark lead engineer), which corroborates the physical evidence and document-based analysis; and
•  Published product datasheets and marketing materials for the accused products, which describe the thermal management features at issue.
The micro-channel heat-sink structures identified in both accused products fall squarely within the scope of the asserted claims under OWS's proposed construction of the disputed claim terms. Significantly, infringement is also established even under Lumicore's improperly narrow proposed construction of "micro-channel heat sink." As demonstrated in the claim charts, the measured hydraulic diameters of the micro-channels in both accused products (45 µm to 180 µm in the LumiLink 400G-ZR+ and 50 µm to 165 µm in the LumiLink 800G-DR8) fall within even Lumicore's proposed range of 10 µm to 200 µm, and the accused products employ a liquid-cooling system with inlet and outlet manifold structures consistent with Lumicore's proposed requirement of a "closed-loop" system. Accordingly, the outcome of the pending claim construction dispute does not affect the finding of infringement for the '562 Patent claims.
B. No Doctrine of Equivalents Assertion for the '562 Patent
OWS asserts literal infringement only for the asserted claims of the '562 Patent. OWS does not assert infringement under the doctrine of equivalents for any claim of the '562 Patent. The doctrine of equivalents is asserted in this action only for Claims 3 and 7 of the '193 Patent and Claim 12 of the '015 Patent, as set forth in the separate claim charts for those patents served concurrently with these contentions.
C. Cross-Reference to Other Asserted Patents
The accused products identified herein are also accused of infringing claims of other patents asserted in this action. Specifically:
•  The LumiLink 400G-ZR+ is also accused of infringing asserted claims of the '847 Patent and the '193 Patent, as set forth in the separate claim charts for those patents.
•  The LumiLink 800G-DR8 is also accused of infringing asserted claims of the '847 Patent, the '193 Patent, and the '015 Patent, as set forth in the separate claim charts for those patents.
As noted above, the '562 Patent and the '847 Patent share a continuation relationship within the same patent family, having been filed as continuation applications from a common parent application. The two patents share a common specification but claim distinct aspects of the micro-channel heat-sink technology for photonic integrated circuits.
D. Reservation Regarding Supplemental Contentions
OWS reserves the right to supplement these infringement contentions based on additional evidence obtained through the ongoing discovery process in this action. As noted in Section I.E above, OWS has served a Second Set of Requests for Production (served November 4, 2024) seeking additional categories of documents and information from Lumicore, including but not limited to RTL schematics, photonic-IC layout files, source-code repositories, and fabrication run data. Upon receipt and review of these materials, OWS anticipates serving supplemental infringement contentions for the '562 Patent (and the other asserted patents) in approximately April 2025, in accordance with the Court's Docket Control Order and the Patent Rules.
OWS further reserves the right to amend these contentions to address any claim constructions adopted by the Court following the Markman hearing currently scheduled for March 14, 2025, and to incorporate additional evidence obtained through fact and expert discovery.
VIII. APPENDIX — ANNOTATED TEARDOWN PHOTOGRAPHS AND FIGURES
The following annotated teardown photographs and figures are provided in support of the infringement contentions set forth in this Claim Chart. Each figure is derived from the Benchmark Semiconductor Analysis, LLC teardown reports for the accused products and has been annotated to show the correspondence between the identified structures and the limitations of the asserted claims. Full-resolution copies of all figures are available in the native Benchmark report files and will be provided to the Court and opposing counsel in native format upon request.
A. LumiLink 400G-ZR+ Figures
Figure A-1: Optical micrograph of the LumiLink 400G-ZR+ PIC die showing overall layout, including identification of the modulator array, coherent receiver block, waveguide multiplexer/demultiplexer structures, and laser integration area. Source: Benchmark 400G Report, Figure 3-2.
Figure A-2: SEM cross-section of the micro-channel array in the silicon substrate of the LumiLink 400G-ZR+ PIC. Annotated to identify individual micro-channels and their positions relative to the PIC active layer. Claim-limitation annotations indicate correspondence to Limitation 1[b] (plurality of micro-channels in the semiconductor substrate). Source: Benchmark 400G Report, Figures 5-4 through 5-6.
Figure A-3: Tabulated measured hydraulic diameter data for twelve (12) individually measured channels in the LumiLink 400G-ZR+ PIC, with overlay showing that all measurements fall below 1 mm (measured range: 45 µm to 180 µm). This figure demonstrates satisfaction of the hydraulic diameter limitation of Claim 1, Limitation 1[b], under both OWS's and Lumicore's proposed constructions. Source: Benchmark 400G Report, Table 5-1.
Figure A-4: Overlay of micro-channel positions on a PIC thermal heat map, showing the proximity of the micro-channels to the heat-generating regions of the PIC, including the modulator array and coherent receiver block. This figure demonstrates satisfaction of Limitation 1[d] (micro-channels positioned proximate to heat-generating regions to maximize thermal transfer efficiency). Source: Benchmark 400G Report, Figure 5-9.
Figure A-5: SEM image of the micro-channel sidewall morphology in the LumiLink 400G-ZR+ PIC, showing the characteristic scalloped pattern consistent with deep reactive ion etching (DRIE/Bosch process). Annotated to show measured aspect ratios (6.2:1 to 8.7:1) exceeding the claimed minimum of 5:1. This figure demonstrates satisfaction of the additional limitation of Claim 4. Source: Benchmark 400G Report, Section 5.3.2.
Figure A-6: Cross-section of the cap-layer bonding structure, showing the cap layer bonded to the silicon substrate over the micro-channel array with a hermetic seal. Bond interface analysis annotations indicate characteristics consistent with anodic or fusion bonding. This figure demonstrates satisfaction of the additional limitation of Claim 11. Source: Benchmark 400G Report, Section 5.6.
Figure A-7: Annotated image showing the location of integrated thermistor elements positioned adjacent to the micro-channel array in the LumiLink 400G-ZR+ PIC. Electrical connections to the module's control circuitry are identified. This figure demonstrates satisfaction of the additional limitation of Claim 6. Source: Benchmark 400G Report, Section 6.1.
B. LumiLink 800G-DR8 Figures
Figure B-1: Optical micrograph of the LumiLink 800G-DR8 PIC die, showing the overall layout including the eight-lane modulator array, photodetector array, waveguide structures, and thermal management region. Source: Benchmark 800G Report, Figure 4-1.
Figure B-2: SEM cross-section of the micro-channel array in the silicon substrate of the LumiLink 800G-DR8 PIC. Annotated to identify individual micro-channels and their positions relative to the eight-lane active photonic components. Claim-limitation annotations indicate correspondence to Limitation 1[b]. Source: Benchmark 800G Report, Figures 5-9 through 5-12.
Figure B-3: Tabulated measured hydraulic diameter data for the micro-channels in the LumiLink 800G-DR8 PIC (measured range: approximately 50 µm to 165 µm), with overlay demonstrating that all measurements fall below 1 mm and within even Lumicore's proposed construction range. Source: Benchmark 800G Report, corresponding data table.
Figure B-4: Overlay of micro-channel positions relative to the eight-lane modulator array in the LumiLink 800G-DR8 PIC, demonstrating the proximity of the micro-channels to the primary heat-generating region of the PIC. This figure demonstrates satisfaction of Limitation 1[d]. Source: Benchmark 800G Report, Figure 5-15.
Figure B-5: SEM analysis of the DRIE sidewall characteristics in the LumiLink 800G-DR8 micro-channels, with measured aspect ratio data (5.8:1 to 9.1:1) exceeding the claimed minimum of 5:1. This figure demonstrates satisfaction of the additional limitation of Claim 4. Source: Benchmark 800G Report, Section 5.5.3.
Figure B-6: Cross-section of the cap-layer bonding structure in the LumiLink 800G-DR8, showing the hermetically bonded cap layer over the micro-channel array. This figure demonstrates satisfaction of the additional limitation of Claim 11. Source: Benchmark 800G Report, Section 5.8.
Figure B-7: Annotated image of the thermistor array positioned adjacent to the micro-channels in the LumiLink 800G-DR8 PIC, demonstrating satisfaction of the additional limitation of Claim 6. Source: Benchmark 800G Report, Section 6.2.
IX. CERTIFICATE OF SERVICE
I hereby certify that on September 16, 2024, this Infringement Claim Chart for U.S. Patent No. 9,678,562 (Claims 1, 4, 6, and 11), together with all accompanying appendices and exhibits, was served upon counsel of record for Defendant Lumicore Technologies, Inc. by electronic means via the Court's CM/ECF electronic filing system and by electronic mail to the following:
Catherine "Kate" Rourke HAWTHORNE VEGA & CRUZ LLP 600 Congress Avenue, Suite 2400 Austin, Texas 78701
Email: krourke@hvclegal.com
Samantha Briggs HAWTHORNE VEGA & CRUZ LLP 600 Congress Avenue, Suite 2400 Austin, Texas 78701
Email: sbriggs@hvclegal.com
Maria Garza (Local Counsel for Defendant) TRASK EDDINGTON LLP 425 East Front Street, Suite 300 Tyler, Texas 75701
Email: mgarza@traskeddington.com
Dated: September 16, 2024
Respectfully submitted,
CALDERWOOD & HARKNESS LLP
By: ________
Alan Ngo (CA Bar No. 247831; admitted pro hac vice E.D. Tex.) Wendy Schultz (CA Bar No. 289456; admitted pro hac vice E.D. Tex.) Omar Siddiqui (CA Bar No. 312074; admitted pro hac vice E.D. Tex.) 350 South Grand Avenue, 48th Floor Los Angeles, California 90071 Telephone: (213) 555-4200 Facsimile: (213) 555-4201
Email: ango@calderwoodharkness.com
Email: wschultz@calderwoodharkness.com
Email: osiddiqui@calderwoodharkness.com
WHITMORE & CALLAHAN LLP
By: ________
James "Jim" Callahan (TX Bar No. 03847291) 110 North College Avenue, Suite 800 Tyler, Texas 75702 Telephone: (903) 555-1100 Facsimile: (903) 555-1101
Email: jcallahan@whitmorecallahan.com
Counsel for Plaintiff Optiwave Semiconductor Corp.
OPTIWAVE SEMICONDUCTOR CORP.,
Plaintiff, | Civil Action No. 2:24-cv-00319-JRG
v. | Before the Honorable Judge James R. Gilstrap
LUMICORE TECHNOLOGIES, INC.,
Defendant.
Claim Language ('562 Patent, Claim 1) | Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8
Limitation 1[preamble]: A method for thermal management of a photonic integrated circuit, comprising: | LumiLink 400G-ZR+: The LumiLink 400G-ZR+ is a coherent optical transceiver module that incorporates a photonic integrated circuit ("PIC") fabricated on a silicon semiconductor substrate. The LumiLink 400G-ZR+ module employs a method for thermal management of this PIC using embedded cooling channels integral to the PIC package. The Benchmark 400G Report, Section 3.2, identifies the silicon photonic die and the associated thermal management structures present in the module. The Lumicore product datasheet for the LumiLink 400G-ZR+ expressly describes thermal dissipation of the PIC as a key design feature, noting that the module employs "advanced integrated thermal management" to maintain optimal PIC operating temperatures under high-power operating conditions. The Benchmark teardown confirmed the presence of embedded micro-channel cooling structures that serve as the primary mechanism for thermal management of the PIC. The LumiLink 400G-ZR+ therefore practices a method for thermal management of a photonic integrated circuit. See Benchmark 400G Report, Section 3.2; Lumicore LumiLink 400G-ZR+ Product Datasheet, Rev. 2.1 (Q4 2022), at 3, 8; Michaud Dep. at 47:12–48:9 (confirming that the LumiLink product line uses silicon photonic PICs with integrated thermal management).
LumiLink 800G-DR8: The LumiLink 800G-DR8 similarly incorporates a silicon photonic PIC with thermal management structures. The Benchmark 800G Report, Section 4.1, identifies the PIC and the thermal management structures in the LumiLink 800G-DR8 module. Lumicore design document LTC-DOC-023417, the thermal design specification for the 800G-DR8 (designated Highly Confidential — Attorneys' Eyes Only), describes in detail the thermal management approach for the PIC, including the use of embedded micro-channel cooling structures formed directly in the semiconductor substrate. The LumiLink 800G-DR8 therefore also practices a method for thermal management of a photonic integrated circuit. See Benchmark 800G Report, Section 4.1; LTC-DOC-023417 at 1–5 (Highly Confidential — AEO).
Claim Language ('562 Patent, Claim 1) | Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8
Limitation 1[a]: providing a photonic integrated circuit formed on a semiconductor substrate; | LumiLink 400G-ZR+: The Benchmark 400G Report confirms that the LumiLink 400G-ZR+ contains a photonic integrated circuit formed on a silicon semiconductor substrate. Section 3.1 of the Benchmark 400G Report describes the PIC die extracted from the LumiLink 400G-ZR+ module and identifies the silicon substrate upon which the photonic components — including optical waveguides, modulators, photodetectors, and multiplexer/demultiplexer structures — are integrated. Figure 3-2 of the Benchmark 400G Report provides a cross-sectional SEM image of the PIC die, clearly showing the silicon substrate with integrated photonic waveguides formed in and on the substrate surface. Dr. Sandra Michaud, Lumicore's CTO, confirmed during her deposition that the LumiLink product line uses silicon photonic PICs fabricated on standard silicon-on-insulator (SOI) wafers. See Benchmark 400G Report, Section 3.1, Figure 3-2; Michaud Dep. at 47:12–48:9, 52:3–53:15.
LumiLink 800G-DR8: The Benchmark 800G Report, Section 4.1 and Figure 4-1, identifies the silicon-substrate PIC in the LumiLink 800G-DR8. The PIC incorporates eight lanes of photonic components (waveguides, modulators, and photodetectors) formed on a silicon semiconductor substrate. Lumicore design document LTC-DOC-019832 (PIC layout specification, designated Highly Confidential — Source Code) identifies the semiconductor substrate material as silicon and specifies the SOI wafer platform used for PIC fabrication. See Benchmark 800G Report, Section 4.1, Figure 4-1; LTC-DOC-019832 at 2–3 (Highly Confidential — Source Code).
Claim Language ('562 Patent, Claim 1) | Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8
Limitation 1[b]: forming a plurality of micro-channels in or on said semiconductor substrate, each micro-channel having a hydraulic diameter of less than 1 mm; | LumiLink 400G-ZR+: The Benchmark 400G Report, Section 5.3 and Figures 5-4 through 5-8, presents SEM and optical microscopy images that identify a plurality of micro-channels etched into the silicon semiconductor substrate of the PIC, adjacent to the active photonic waveguide regions. The Benchmark teardown reveals an array of parallel micro-channels formed in the silicon substrate, running beneath and alongside the modulator array and coherent receiver block of the PIC. Kevin Ng, the lead engineer at Benchmark who performed the teardown, confirmed during his deposition the teardown methodology employed, the chain of custody for the accused product samples, and the specific micro-channel structures identified in the LumiLink 400G-ZR+ that correspond to this claim limitation. See Ng Dep., Jan. 7, 2025, at 34:5–37:18, 41:2–43:22. The measured hydraulic diameters of the micro-channels in the LumiLink 400G-ZR+ range from approximately 45 µm to 180 µm, as set forth in Table 5-1 of the Benchmark 400G Report, which tabulates the channel dimensions across twelve (12) individually measured channels. Every measured channel has a hydraulic diameter well below 1 mm, satisfying this limitation under OWS's proposed construction of "micro-channel heat sink." Notably, these measured hydraulic diameters also fall entirely within Lumicore's improperly narrow proposed construction range of 10 µm to 200 µm, such that this limitation is met under either party's proposed construction. See Benchmark 400G Report, Section 5.3, Figures 5-4 through 5-8, Table 5-1; Appendix, Figures A-2, A-3.
LumiLink 800G-DR8: The Benchmark 800G Report, Section 5.5 and Figures 5-9 through 5-14, identifies substantially similar micro-channel structures formed in the silicon semiconductor substrate of the LumiLink 800G-DR8 PIC. The micro-channel array in the 800G-DR8 PIC is more extensive than in the 400G-ZR+, consistent with the higher power density of the eight-lane 800G architecture. Measured hydraulic diameters of the micro-channels in the 800G-DR8 range from approximately 50 µm to 165 µm, again well below 1 mm and within Lumicore's proposed construction range. Lumicore design document LTC-DOC-023417, at page 14 (designated Highly Confidential — AEO), contains thermal simulation data showing the micro-channel array with specified channel dimensions that are consistent with the Benchmark teardown measurements. See Benchmark 800G Report, Section 5.5, Figures 5-9 through 5-14; LTC-DOC-023417 at 14 (Highly Confidential — AEO); Appendix, Figures B-2, B-3.
Claim Language ('562 Patent, Claim 1) | Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8
Limitation 1[c]: circulating a coolant fluid through said plurality of micro-channels to dissipate heat generated by said photonic integrated circuit; | LumiLink 400G-ZR+: The Benchmark 400G Report, Section 5.4, identifies inlet and outlet manifold structures in the LumiLink 400G-ZR+ PIC package that are consistent with the circulation of a coolant fluid through the plurality of micro-channels. The Benchmark teardown detected residual coolant traces within the micro-channel structures via energy-dispersive X-ray spectroscopy (EDS) elemental analysis, confirming that a fluid had been circulated through the channels during operation. The Lumicore product datasheet for the LumiLink 400G-ZR+ references "advanced thermal management" and "integrated cooling" as features of the module, consistent with the circulation of a coolant fluid. Lumicore design document LTC-DOC-021554 (thermal management design review minutes, designated Highly Confidential — AEO) expressly describes the circulation of a dielectric coolant fluid through the embedded micro-channels of the PIC for the purpose of dissipating heat generated by the photonic integrated circuit during normal operation. This document identifies the coolant as a fluorocarbon-based dielectric fluid selected for its thermal conductivity, dielectric properties, and compatibility with the silicon substrate. The coolant is circulated through the micro-channels by means of a micro-pump integrated into the module's thermal management subsystem. See Benchmark 400G Report, Section 5.4; Lumicore LumiLink 400G-ZR+ Product Datasheet, Rev. 2.1 (Q4 2022), at 8; LTC-DOC-021554 at 3–7 (Highly Confidential — AEO).
LumiLink 800G-DR8: The Benchmark 800G Report, Section 5.6, identifies analogous inlet and outlet manifold structures and coolant flow paths in the LumiLink 800G-DR8. Lumicore design document LTC-DOC-023417, at pages 18–22 (designated Highly Confidential — AEO), provides coolant flow simulation data for the 800G-DR8 PIC, including computational fluid dynamics (CFD) modeling results demonstrating the flow of coolant through the micro-channel array. These simulations confirm that a coolant fluid is circulated through the plurality of micro-channels to dissipate heat generated by the photonic integrated circuit. The thermal design specification further identifies the coolant flow rate, pressure drop, and thermal dissipation capacity of the micro-channel heat-sink system. See Benchmark 800G Report, Section 5.6; LTC-DOC-023417 at 18–22 (Highly Confidential — AEO).
Claim Language ('562 Patent, Claim 1) | Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8
Limitation 1[d]: wherein said micro-channels are positioned proximate to heat-generating regions of said photonic integrated circuit to maximize thermal transfer efficiency. | LumiLink 400G-ZR+: The Benchmark 400G Report, Section 5.5 and Figure 5-9, provides an overlay image showing the positions of the micro-channels relative to the active photonic regions of the PIC, including the modulator array, the coherent receiver block, and the laser integration area. These regions are the primary heat-generating regions of the PIC, as they involve active manipulation and detection of optical signals that generate significant thermal energy. The micro-channels are positioned directly beneath and adjacent to the modulator array and coherent receiver block — the regions of highest thermal density in the LumiLink 400G-ZR+ PIC — demonstrating that the micro-channels are positioned proximate to the heat-generating regions of the PIC. Dr. Caroline Ashford's preliminary analysis, which will be detailed in her expert report due June 15, 2025, confirms that the spatial arrangement of the micro-channels in the LumiLink 400G-ZR+ is deliberately designed to maximize thermal transfer efficiency from the heat-generating regions of the PIC, consistent with this claim limitation. The deliberate proximity of the micro-channels to the heat sources minimizes the thermal resistance between the heat-generating components and the coolant, thereby maximizing the rate and efficiency of heat transfer. See Benchmark 400G Report, Section 5.5, Figure 5-9; Ashford Analysis (preliminary); Appendix, Figure A-4.
LumiLink 800G-DR8: The Benchmark 800G Report, Section 5.7 and Figure 5-15, demonstrates the positioning of the micro-channels relative to the eight-lane modulator array, which is the primary heat source in the LumiLink 800G-DR8 PIC. The overlay analysis shows that the micro-channel array is concentrated directly beneath and alongside the eight-lane modulator array and the associated driver electronics integration region. Lumicore design document LTC-DOC-023417, at pages 24–26 (designated Highly Confidential — AEO), contains thermal modeling data showing the deliberate placement of the micro-channels to optimize heat extraction from the active photonic regions of the PIC. The thermal simulations in this document demonstrate that the micro-channel positions were selected specifically to maximize thermal transfer efficiency, with the design team evaluating multiple micro-channel configurations and selecting the arrangement that minimized peak junction temperatures in the heat-generating regions. See Benchmark 800G Report, Section 5.7, Figure 5-15; LTC-DOC-023417 at 24–26 (Highly Confidential — AEO); Appendix, Figure B-4.
Claim Language ('562 Patent, Claim 4) | Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8
All Limitations of Claim 1 | Met as set forth in Section III above for both the LumiLink 400G-ZR+ and the LumiLink 800G-DR8. Each and every limitation of Claim 1, including the preamble and limitations 1[a] through 1[d], is practiced by both accused products, as detailed in the Claim 1 chart above.
Claim Language ('562 Patent, Claim 4) | Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8
Additional Limitation of Claim 4: wherein the micro-channels are formed by deep reactive ion etching and have an aspect ratio of at least 5:1. | LumiLink 400G-ZR+: The Benchmark 400G Report, Section 5.3.2, presents SEM analysis of the micro-channel sidewall morphology in the LumiLink 400G-ZR+ PIC. The sidewall morphology exhibits the characteristic scalloped pattern that is a hallmark of the deep reactive ion etching (DRIE) process, also known as the Bosch process. This scalloped sidewall profile results from the alternating etch and passivation cycles used in DRIE and is readily distinguishable from wet-etch or other dry-etch sidewall profiles. The Benchmark teardown engineer, Kevin Ng, identified the sidewall morphology as consistent with DRIE based on his extensive experience with semiconductor process identification. See Ng Dep. at 56:8–58:14. Benchmark measured the aspect ratios (depth-to-width) of the micro-channels across multiple sampled channels in the LumiLink 400G-ZR+ PIC. The measured aspect ratios range from 6.2:1 to 8.7:1, all of which exceed the claimed minimum aspect ratio of 5:1. See Benchmark 400G Report, Section 5.3.2, Table 5-2 (tabulated aspect ratio measurements); Appendix, Figure A-5. Lumicore fabrication process documents produced in discovery (LTC-DOC-025891, designated Highly Confidential — Source Code) confirm the use of DRIE for the formation of micro-channels in the PIC substrate. This process document specifies the DRIE recipe parameters, including etch gas composition (SF₆/C₄F₈), cycle timing, and target etch depth, confirming that the micro-channels in the LumiLink 400G-ZR+ PIC are formed by deep reactive ion etching. See LTC-DOC-025891 at 8–12 (Highly Confidential — Source Code).
LumiLink 800G-DR8: The Benchmark 800G Report, Section 5.5.3, presents a similar analysis for the LumiLink 800G-DR8, identifying DRIE sidewall characteristics in the micro-channel structures of the 800G-DR8 PIC that are consistent with those observed in the 400G-ZR+. The measured aspect ratios for the 800G-DR8 micro-channels range from 5.8:1 to 9.1:1, again all exceeding the claimed minimum of 5:1. See Benchmark 800G Report, Section 5.5.3; Appendix, Figure B-5. Lumicore design document LTC-DOC-026402 (process flow document for 800G-DR8 PIC fabrication, designated Highly Confidential — Source Code) confirms the use of DRIE in the fabrication process for the micro-channels, with process parameters substantially similar to those specified in LTC-DOC-025891 for the 400G-ZR+. See LTC-DOC-026402 at 10–15 (Highly Confidential — Source Code).
Claim Language ('562 Patent, Claim 6) | Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8
All Limitations of Claim 1 | Met as set forth in Section III above for both the LumiLink 400G-ZR+ and the LumiLink 800G-DR8. Each and every limitation of Claim 1, including the preamble and limitations 1[a] through 1[d], is practiced by both accused products, as detailed in the Claim 1 chart above.
Claim Language ('562 Patent, Claim 6) | Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8
Additional Limitation of Claim 6: further comprising a thermal monitoring element positioned within or adjacent to the micro-channels to provide real-time temperature feedback. | LumiLink 400G-ZR+: The Benchmark 400G Report, Section 6.1, identifies integrated thermistor elements positioned adjacent to the micro-channel array in the LumiLink 400G-ZR+ PIC. These thermistor elements are fabricated on the same silicon substrate as the PIC and the micro-channels, and are located in close physical proximity to the micro-channel structures — specifically, positioned between and alongside the micro-channel rows adjacent to the modulator array. The thermistor elements are electrically connected to the module's control circuitry, including the digital signal processor (DSP) and microcontroller unit (MCU), and provide real-time temperature readings that are used by the module's firmware to control the thermal management subsystem, including coolant flow rate adjustment. The Lumicore product datasheet for the LumiLink 400G-ZR+ expressly references "real-time thermal monitoring" as a feature of the PIC, confirming the presence and function of these thermal monitoring elements. Lumicore design document LTC-DOC-022108 (thermal control loop design specification, designated Highly Confidential — AEO) describes the thermistor feedback mechanism in detail, including the thermistor placement relative to the micro-channel array, the analog-to-digital conversion of thermistor signals, and the control algorithm used to regulate coolant flow and maintain the PIC within a target temperature range during operation. This document confirms that the thermal monitoring elements are positioned adjacent to the micro-channels and provide real-time temperature feedback. See Benchmark 400G Report, Section 6.1; Lumicore LumiLink 400G-ZR+ Product Datasheet, Rev. 2.1 (Q4 2022), at 9; LTC-DOC-022108 at 1–8 (Highly Confidential — AEO); Appendix, Figure A-7.
LumiLink 800G-DR8: The Benchmark 800G Report, Section 6.2, identifies a thermistor array positioned adjacent to the micro-channels in the LumiLink 800G-DR8 PIC. The 800G-DR8 employs a more extensive array of thermal monitoring elements compared to the 400G-ZR+, consistent with the larger number of active photonic lanes and the correspondingly more complex thermal management requirements of the eight-lane 800G architecture. The thermistor elements are positioned within or adjacent to the micro-channel structures and provide real-time temperature feedback to the module's control circuitry. Lumicore design document LTC-DOC-023417, at pages 30–32 (designated Highly Confidential — AEO), describes the thermal monitoring subsystem specification for the 800G-DR8, including the number, placement, and functional characteristics of the thermistor elements integrated with the micro-channel heat-sink system. See Benchmark 800G Report, Section 6.2; LTC-DOC-023417 at 30–32 (Highly Confidential — AEO); Appendix, Figure B-7.
Claim Language ('562 Patent, Claim 11) | Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8
All Limitations of Claim 1 | Met as set forth in Section III above for both the LumiLink 400G-ZR+ and the LumiLink 800G-DR8. Each and every limitation of Claim 1, including the preamble and limitations 1[a] through 1[d], is practiced by both accused products, as detailed in the Claim 1 chart above.
Claim Language ('562 Patent, Claim 11) | Accused Products: LumiLink 400G-ZR+ and LumiLink 800G-DR8
Additional Limitation of Claim 11: wherein said micro-channels are sealed by bonding a cap layer to the semiconductor substrate using a hermetic bonding process. | LumiLink 400G-ZR+: The Benchmark 400G Report, Section 5.6, presents a cross-sectional analysis of the micro-channel structures in the LumiLink 400G-ZR+ PIC, revealing a cap layer bonded to the PIC substrate over the micro-channel array. The cap layer was identified as silicon (or, in certain regions, borosilicate glass), and the bond interface analysis performed by Benchmark — including SEM imaging and focused ion beam (FIB) cross-sectioning of the bond line — revealed characteristics consistent with anodic bonding or fusion bonding, both of which are recognized hermetic bonding processes in semiconductor fabrication. The bond interface exhibited no visible voids, gaps, or delamination, confirming a high-quality hermetic seal. The Benchmark teardown further confirmed that the teardown sample showed no evidence of coolant leakage from the micro-channel structures, which is consistent with and provides additional evidence of a successful hermetic bonding process that effectively seals the micro-channels. Lumicore fabrication process document LTC-DOC-025891, at page 42 (designated Highly Confidential — Source Code), describes the cap-layer bonding process step in the PIC fabrication flow, specifying the bonding method, temperature profile, and bond quality acceptance criteria. This document confirms that a cap layer is bonded to the semiconductor substrate over the micro-channels using a hermetic bonding process. See Benchmark 400G Report, Section 5.6; LTC-DOC-025891 at 42 (Highly Confidential — Source Code); Appendix, Figure A-6.
LumiLink 800G-DR8: The Benchmark 800G Report, Section 5.8, presents a similar cap-layer bonding and seal integrity analysis for the LumiLink 800G-DR8. The cross-sectional analysis reveals a cap layer bonded to the silicon substrate over the micro-channel array, with bond interface characteristics consistent with a hermetic bonding process. The seal integrity analysis confirmed the absence of coolant leakage, consistent with a hermetic seal. Lumicore design document LTC-DOC-026402, at pages 38–40 (designated Highly Confidential — Source Code), describes the bonding process specification for the 800G-DR8 PIC, confirming the use of a hermetic bonding process to seal the micro-channels with a cap layer. The bonding process parameters specified in LTC-DOC-026402 are substantially similar to those described in LTC-DOC-025891 for the 400G-ZR+, indicating a common fabrication approach for the micro-channel sealing step across both accused product lines. See Benchmark 800G Report, Section 5.8; LTC-DOC-026402 at 38–40 (Highly Confidential — Source Code); Appendix, Figure B-6.

INFRINGEMENT CLAIM CHART

U.S. PATENT NO. 9,678,562

UNITED STATES DISTRICT COURT EASTERN DISTRICT OF TEXAS MARSHALL DIVISION

U.S. PATENT NO. 9,678,562 (CLAIMS 1, 4, 6, AND 11)

CALDERWOOD & HARKNESS LLP

WHITMORE & CALLAHAN LLP

OPTIWAVE SEMICONDUCTOR CORP.

I. INTRODUCTION AND OVERVIEW

II. CLAIM CHART STRUCTURE AND CONVENTIONS

VII. SUMMARY OF INFRINGEMENT CONTENTIONS FOR THE '562 PATENT

IX. CERTIFICATE OF SERVICE

CALDERWOOD & HARKNESS LLP

WHITMORE & CALLAHAN LLP

OPTIWAVE SEMICONDUCTOR CORP.,

LUMICORE TECHNOLOGIES, INC.,

Record

Parties

Dates

Amounts