[sheet: Cover & Instructions]

[sheet: Cover & Instructions]
Field | Value
Case Caption | Optiwave Semiconductor Corp. v. Lumicore Technologies, Inc.
Case Number | 2:24-cv-00319-JRG
Court | United States District Court for the Eastern District of Texas, marshall Division
Presiding Judge | Judge James R. Gilstrap
Plaintiff | Optiwave Semiconductor Corp.
Defendant | Lumicore Technologies, Inc.
Plaintiff's Counsel | Calderwood & Harkness LLP (Alan Ngo, Marcus Delgado, Wendy Schultz, Omar Siddiqui)
Local Counsel | Whitmore & Callahan LLP (James Callahan)
Trial Date | February 2, 2026 (estimated 7–10 days)
Pre-Trial Conference | January 5, 2026
Document Status | DRAFT — Anticipated December 2025
Confidentiality Key — C | Confidential
Confidentiality Key — HC-AEO | Highly Confidential — Attorneys' Eyes Only
Confidentiality Key — HC-SC | Highly Confidential — Source Code
Confidentiality Key — None | No Designation
Exhibit Status Key — O | Offered
Exhibit Status Key — A | Admitted (stipulated)
Exhibit Status Key — P | Pending objection
Prepared By | Wendy Schultz, Calderwood & Harkness LLP
Last Updated | December 2025 (draft)
[sheet: A — Patents & Prosecution]
Exhibit No. | Description | Date | Author / Source | Patent / Application No. | Confidentiality Designation | Objection | Status | Notes
P-001 | Certified Copy of U.S. Patent No. 10,234,847 ('847 Patent) — 'Multi-Channel Silicon Photonic Waveguide Multiplexer with Low Insertion Loss' | 2019-03-19 | USPTO | U.S. 10,234,847 | None | None anticipated | A | Filed date: Sept. 14, 2016; Issue date: Mar. 19, 2019; Original Assignee: Optiwave Semiconductor Corp.
P-002 | Certified Copy of U.S. Patent No. 10,891,193 ('193 Patent) — 'High-Bandwidth Coherent Optical Transceiver Integrated on Silicon Substrate' | 2021-01-12 | USPTO | U.S. 10,891,193 | None | None anticipated | A | Filed date: Apr. 7, 2017; Issue date: Jan. 12, 2021; Original Assignee: Optiwave Semiconductor Corp.
P-003 | Certified Copy of U.S. Patent No. 9,678,562 ('562 Patent) — 'Method for Thermal Management of Photonic Integrated Circuits Using Embedded Micro-Channel Heat Sinks' | 2017-06-13 | USPTO | U.S. 9,678,562 | None | None anticipated | A | Filed date: Nov. 22, 2014; Issue date: June 13, 2017; Original Assignee: Solara Optics, Inc.; assigned to OWS via APA June 15, 2018
P-004 | Certified Copy of U.S. Patent No. 11,402,015 ('015 Patent) — 'Polarization-Diverse Grating Coupler for Silicon Photonic Transceivers' | 2022-08-02 | USPTO | U.S. 11,402,015 | None | None anticipated | A | Filed date: Aug. 30, 2019; Issue date: Aug. 2, 2022; Original Assignee: Optiwave Semiconductor Corp.
P-005 | Provisional Application No. 62/499,117 — common to '193 and '015 Patents | 2017-04-07 | USPTO / Cascade IP Advisors, LLC | 62/499,117 | None | None anticipated | O | Filed Apr. 7, 2017; Priority basis for '193 and '015 Patents
P-006 | '847 Patent — Complete Prosecution History (File Wrapper) | 2016-09-14 to 2019-03-19 | USPTO / Cascade IP Advisors, LLC | U.S. 10,234,847 | None | None anticipated | O | Includes all office actions, responses, amendments, examiner interviews, declarations
P-007 | '193 Patent — Complete Prosecution History (File Wrapper) | 2017-04-07 to 2021-01-12 | USPTO / Cascade IP Advisors, LLC | U.S. 10,891,193 | None | None anticipated | O | Includes narrowing amendment re 'coherent detection module' in response to § 102 rejection over Takahashi et al.
P-008 | '562 Patent — Complete Prosecution History (File Wrapper) | 2014-11-22 to 2017-06-13 | USPTO / Cascade IP Advisors, LLC | U.S. 9,678,562 | None | None anticipated | O | Originally prosecuted for Solara Optics, Inc.; Dr. Martin Chu, lead prosecution attorney
P-009 | '015 Patent — Complete Prosecution History (File Wrapper) | 2019-08-30 to 2022-08-02 | USPTO / Cascade IP Advisors, LLC | U.S. 11,402,015 | None | None anticipated | O | Includes narrowing amendment re 'two-dimensional sub-wavelength grating' to overcome § 103 rejection combining Bergmann with Simonsen
P-010 | Continuation Relationship Documentation — '562 and '847 Patent Family | Various | USPTO | U.S. 9,678,562 / U.S. 10,234,847 | None | None anticipated | O | '562 and '847 are in the same patent family (continuation relationship)
P-011 | Asset Purchase Agreement — Solara Optics, Inc. to Optiwave Semiconductor Corp. | 2018-06-15 | Solara Optics, Inc. / OWS | N/A | C | None anticipated | O | APA transferring 12 patents including '562 Patent for $34.5M; establishes chain of title
P-012 | Assignment Recordation — '562 Patent (Solara to OWS) | 2018-06-15 | USPTO Assignment Division | U.S. 9,678,562 | None | None anticipated | A | Recorded assignment confirming OWS as current assignee
P-013 | Maintenance Fee Payment Records — All Four Asserted Patents | Various | USPTO | All four patents | None | None anticipated | O | Confirms all maintenance fees are current
P-014 | '193 Patent — Office Action dated Oct. 3, 2019 (§ 102 rejection over Takahashi et al.) | 2019-10-03 | USPTO | U.S. 10,891,193 | None | None anticipated | O | Key prosecution event for prosecution history estoppel analysis
P-015 | '193 Patent — Response to Office Action with Amendment (narrowing 'coherent detection module') | 2020-01-03 | Cascade IP Advisors, LLC | U.S. 10,891,193 | None | None anticipated | O | Amendment relevant to doctrine of equivalents / Festo analysis for Claims 3 and 7
P-016 | '015 Patent — Office Action dated Nov. 15, 2021 (§ 103 rejection combining Bergmann and Simonsen) | 2021-11-15 | USPTO | U.S. 11,402,015 | None | None anticipated | O | Key prosecution event for PHE analysis re Claim 12
P-017 | '015 Patent — Response to Office Action with Amendment (narrowing 'two-dimensional sub-wavelength grating') | 2022-02-15 | Cascade IP Advisors, LLC | U.S. 11,402,015 | None | None anticipated | O | Amendment relevant to DOE / Festo analysis for Claim 12
P-018 | Declaration of Dr. Jian-Wei Huang submitted during prosecution of '193 Patent | 2020-01-03 | Dr. Jian-Wei Huang / Cascade IP Advisors, LLC | U.S. 10,891,193 | None | None anticipated | O | Inventor declaration submitted during prosecution
P-019 | Examiner Interview Summary — '847 Patent | 2018-06-22 | USPTO | U.S. 10,234,847 | None | None anticipated | O
P-020 | Examiner Interview Summary — '193 Patent | 2020-04-15 | USPTO | U.S. 10,891,193 | None | None anticipated | O
P-021 | Examiner Interview Summary — '562 Patent | 2016-10-18 | USPTO | U.S. 9,678,562 | None | None anticipated | O
P-022 | Examiner Interview Summary — '015 Patent | 2022-04-05 | USPTO | U.S. 11,402,015 | None | None anticipated | O
P-023 | '847 Patent — Notice of Allowance | 2019-01-08 | USPTO | U.S. 10,234,847 | None | None anticipated | O
P-024 | '193 Patent — Notice of Allowance | 2020-09-22 | USPTO | U.S. 10,891,193 | None | None anticipated | O
P-025 | '562 Patent — Notice of Allowance | 2017-03-01 | USPTO | U.S. 9,678,562 | None | None anticipated | O
P-026 | '015 Patent — Notice of Allowance | 2022-05-17 | USPTO | U.S. 11,402,015 | None | None anticipated | O
P-027 | '847 Patent — Information Disclosure Statement (IDS) | 2016-12-10 | Cascade IP Advisors, LLC | U.S. 10,234,847 | None | None anticipated | O | Lists all prior art considered by examiner
P-028 | '193 Patent — Information Disclosure Statement (IDS) | 2017-08-15 | Cascade IP Advisors, LLC | U.S. 10,891,193 | None | None anticipated | O
P-029 | '562 Patent — Information Disclosure Statement (IDS) | 2015-03-20 | Dr. Martin Chu / Solara Optics | U.S. 9,678,562 | None | None anticipated | O
P-030 | '015 Patent — Information Disclosure Statement (IDS) | 2020-01-10 | Cascade IP Advisors, LLC | U.S. 11,402,015 | None | None anticipated | O
P-031 | Continuation Application Filing — U.S. App. No. 16/412,883 (leading to '847 Patent) | 2016-09-14 | Cascade IP Advisors, LLC | 16/412,883 | None | None anticipated | O | Continuation from parent application in '562 family
P-032 | Continuation-in-Part Application Filing — U.S. App. No. 16/555,209 (leading to '015 Patent) | 2019-08-30 | Cascade IP Advisors, LLC | 16/555,209 | None | None anticipated | O | CIP from '193 Patent application
P-033 | Inventor Assignment — Dr. Jian-Wei Huang to OWS ('847 Patent) | 2016-09-10 | Dr. Jian-Wei Huang / OWS | U.S. 10,234,847 | None | None anticipated | O
P-034 | Inventor Assignment — Dr. Jian-Wei Huang to OWS ('193 Patent) | 2017-04-03 | Dr. Jian-Wei Huang / OWS | U.S. 10,891,193 | None | None anticipated | O
P-035 | Inventor Assignment — Dr. Priya Venkatesh and Dr. Martin Chu to Solara Optics ('562 Patent) | 2014-11-18 | Dr. Priya Venkatesh, Dr. Martin Chu / Solara Optics | U.S. 9,678,562 | None | None anticipated | O | Original inventor assignment prior to Solara-to-OWS transfer
P-036 | Inventor Assignment — Dr. Jian-Wei Huang and Dr. Lin Zhou to OWS ('015 Patent) | 2019-08-25 | Dr. Jian-Wei Huang, Dr. Lin Zhou / OWS | U.S. 11,402,015 | None | None anticipated | O
P-037 | USPTO Certificate of Correction — '847 Patent (minor typographical error) | 2019-07-15 | USPTO | U.S. 10,234,847 | None | None anticipated | O | Corrects minor typographical error in Claim 4; non-substantive
P-038 | '847 Patent — Supplemental IDS filed during prosecution | 2018-02-20 | Cascade IP Advisors, LLC | U.S. 10,234,847 | None | None anticipated | O
P-039 | '193 Patent — Second Office Action (§ 103 rejection over Takahashi combined with Bergmann) | 2020-03-10 | USPTO | U.S. 10,891,193 | None | None anticipated | O | Overcome without amendment; examiner persuaded by inventor declaration (P-018)
P-040 | '193 Patent — Response to Second Office Action | 2020-06-10 | Cascade IP Advisors, LLC | U.S. 10,891,193 | None | None anticipated | O
P-041 | '562 Patent — First Office Action (§ 102 rejection over Li Wei OFC 2013 paper) | 2015-09-15 | USPTO | U.S. 9,678,562 | None | None anticipated | O
P-042 | '562 Patent — Response to First Office Action with Amendment | 2015-12-15 | Dr. Martin Chu / Solara Optics | U.S. 9,678,562 | None | None anticipated | O | Added limitation re 'embedded micro-channel array with aspect ratio greater than 5:1'
P-043 | Patent Family Continuity Chart — All Four Asserted Patents | Various | Cascade IP Advisors, LLC | All four patents | None | None anticipated | O | Visual summary of patent family relationships and priority dates
P-044 | Chain of Title Summary Chart — All Four Asserted Patents | Various | Calderwood & Harkness LLP | All four patents | None | None anticipated | O | Summary demonstrating OWS ownership of all four asserted patents
P-045 | Supplemental Assignment — Solara Optics Corrective Assignment for '562 Patent | 2018-07-20 | Solara Optics, Inc. / OWS | U.S. 9,678,562 | C | None anticipated | O | Corrective assignment to address scrivener's error in original APA schedule
P-046 | '015 Patent — Supplemental IDS filed after Allowance | 2022-06-01 | Cascade IP Advisors, LLC | U.S. 11,402,015 | None | None anticipated | O | Disclosed additional prior art references post-allowance
P-047 | Maintenance Fee Payment Receipt — '562 Patent (3.5-year fee) | 2020-12-13 | USPTO | U.S. 9,678,562 | None | None anticipated | O | Paid timely; confirms patent in force
P-048 | Maintenance Fee Payment Receipt — '847 Patent (3.5-year fee) | 2022-09-19 | USPTO | U.S. 10,234,847 | None | None anticipated | P | Paid timely; confirms patent in force
[sheet: B — Teardown Reports]
Exhibit No. | Description | Date | Author / Source | Accused Product | Patent(s) Referenced | Confidentiality Designation | Objection | Status | Notes
P-049 | Benchmark Teardown Report — LumiLink 400G-ZR+ (Full Report) | 2022-12-12 | Kevin Ng, Benchmark Semiconductor Analysis, LLC | LumiLink 400G-ZR+ | '847, '193, '562 | C | None anticipated | O | Delivered Dec. 12, 2022; confirms use of accused waveguide multiplexer structures and thermal management micro-channels
P-050 | Annotated Photograph — LumiLink 400G-ZR+ die showing waveguide multiplexer array (Claim 1, '847) | 2022-12-12 | Kevin Ng, Benchmark | LumiLink 400G-ZR+ | '847 | C | None anticipated | O | Cross-referenced to '847 Claim 1 limitation 'waveguide multiplexer'
P-051 | SEM Cross-Section Image — LumiLink 400G-ZR+ micro-channel heat sink structure (Claims 1, 4, '562) | 2022-12-12 | Kevin Ng, Benchmark | LumiLink 400G-ZR+ | '562 | C | None anticipated | O | Shows embedded micro-channel structures corresponding to '562 Patent claims
P-052 | Annotated Photograph — LumiLink 400G-ZR+ coherent transceiver module overview (Claim 1, '193) | 2022-12-12 | Kevin Ng, Benchmark | LumiLink 400G-ZR+ | '193 | C | None anticipated | O | Cross-referenced to '193 Claim 1
P-053 | SEM Image — LumiLink 400G-ZR+ waveguide multiplexer close-up (Claim 1, limitation (c), '847) | 2022-12-12 | Kevin Ng, Benchmark | LumiLink 400G-ZR+ | '847 | C | None anticipated | O | High-resolution SEM showing low-insertion-loss design features
P-054 | SEM Image — LumiLink 400G-ZR+ silicon substrate cross-section (Claim 1, '193) | 2022-12-12 | Kevin Ng, Benchmark | LumiLink 400G-ZR+ | '193 | C | None anticipated | O | Shows Coherent optical transceiver integrated on silicon substrate
P-055 | Annotated Photograph — LumiLink 400G-ZR+ thermal management overview (Claim 6, '562) | 2022-12-12 | Kevin Ng, Benchmark | LumiLink 400G-ZR+ | '562 | C | None anticipated | O
P-056 | SEM Cross-Section Image — LumiLink 400G-ZR+ micro-channel aspect ratio measurement (Claim 4, '562) | 2022-12-12 | Kevin Ng, Benchmark | LumiLink 400G-ZR+ | '562 | C | None anticipated | O | Measured aspect ratio >5:1 consistent with '562 Claim 4
P-057 | Claim Chart Cross-Reference — LumiLink 400G-ZR+ vs. '847 Patent Claims 1–5 | 2022-12-12 | Kevin Ng, Benchmark / C&H | LumiLink 400G-ZR+ | '847 | C | None anticipated | O | Element-by-element mapping
P-058 | Claim Chart Cross-Reference — LumiLink 400G-ZR+ vs. '193 Patent Claims 1, 3, 7, 10 | 2022-12-12 | Kevin Ng, Benchmark / C&H | LumiLink 400G-ZR+ | '193 | C | None anticipated | O
P-059 | Claim Chart Cross-Reference — LumiLink 400G-ZR+ vs. '562 Patent Claims 1, 4, 6, 11 | 2022-12-12 | Kevin Ng, Benchmark / C&H | LumiLink 400G-ZR+ | '562 | C | None anticipated | O
P-060 | EDS/EDX Elemental Analysis — LumiLink 400G-ZR+ waveguide material composition | 2022-12-12 | Kevin Ng, Benchmark | LumiLink 400G-ZR+ | '847 | C | None anticipated | O | Confirms silicon photonic material consistent with patent specifications
P-061 | Optical Profilometry Data — LumiLink 400G-ZR+ waveguide surface roughness measurements | 2022-12-12 | Kevin Ng, Benchmark | LumiLink 400G-ZR+ | '847 | C | None anticipated | O
P-062 | Annotated Photograph — LumiLink 400G-ZR+ package exterior and labeling | 2022-12-12 | Kevin Ng, Benchmark | LumiLink 400G-ZR+ | N/A | C | None anticipated | O | Product identification and authentication
P-063 | Benchmark Lab Notebook Pages — LumiLink 400G-ZR+ Teardown (Dec. 5–12, 2022) | 2022-12-12 | Kevin Ng, Benchmark | LumiLink 400G-ZR+ | N/A | C | None anticipated | O
P-064 | SEM Image — LumiLink 400G-ZR+ insertion loss measurement test setup | 2022-12-12 | Kevin Ng, Benchmark | LumiLink 400G-ZR+ | '847 | C | None anticipated | O | Supports low insertion loss claim mapping
P-065 | Thermal Imaging Data — LumiLink 400G-ZR+ under operational load | 2022-12-12 | Kevin Ng, Benchmark | LumiLink 400G-ZR+ | '562 | C | None anticipated | O | Shows thermal dissipation consistent with micro-channel heat sink operation
P-066 | Annotated Photograph — LumiLink 400G-ZR+ coherent detection module detail (Claims 3, 7, '193) | 2022-12-12 | Kevin Ng, Benchmark | LumiLink 400G-ZR+ | '193 | C | None anticipated | O | Supports DOE analysis for Claims 3 and 7
P-067 | SEM Image — LumiLink 400G-ZR+ multi-channel waveguide array detail (Claim 3, '847) | 2022-12-12 | Kevin Ng, Benchmark | LumiLink 400G-ZR+ | '847 | C | Anticipated: authentication | P
P-068 | Claim Chart Cross-Reference — LumiLink 400G-ZR+ vs. '193 Patent Claims 15, 18 | 2022-12-12 | Kevin Ng, Benchmark / C&H | LumiLink 400G-ZR+ | '193 | C | None anticipated | O
P-069 | Benchmark Supplemental Analysis Memo — LumiLink 400G-ZR+ (Updated Jan. 2023) | 2023-01-20 | Kevin Ng, Benchmark | LumiLink 400G-ZR+ | '847, '193, '562 | C | None anticipated | O | Supplemental analysis after additional testing
P-070 | Benchmark Teardown Report — LumiLink 800G-DR8 (Full Report) | 2023-06-30 | Kevin Ng, Benchmark Semiconductor Analysis, LLC | LumiLink 800G-DR8 | '847, '193, '562, '015 | C | None anticipated | O | Follow-on teardown; all four asserted patents applicable
P-071 | Annotated Photograph — LumiLink 800G-DR8 die showing polarization-diverse grating coupler (Claim 1, '015) | 2023-06-30 | Kevin Ng, Benchmark | LumiLink 800G-DR8 | '015 | C | None anticipated | O | Cross-referenced to '015 Claim 1
P-072 | SEM Cross-Section Image — LumiLink 800G-DR8 waveguide multiplexer (Claims 1–3, '847) | 2023-06-30 | Kevin Ng, Benchmark | LumiLink 800G-DR8 | '847 | C | None anticipated | O
P-073 | SEM Cross-Section Image — LumiLink 800G-DR8 micro-channel heat sink (Claims 1, 4, '562) | 2023-06-30 | Kevin Ng, Benchmark | LumiLink 800G-DR8 | '562 | C | None anticipated | O
P-074 | Annotated Photograph — LumiLink 800G-DR8 coherent transceiver overview (Claim 1, '193) | 2023-06-30 | Kevin Ng, Benchmark | LumiLink 800G-DR8 | '193 | C | None anticipated | O
P-075 | SEM Image — LumiLink 800G-DR8 two-dimensional sub-wavelength grating structure (Claim 12, '015) | 2023-06-30 | Kevin Ng, Benchmark | LumiLink 800G-DR8 | '015 | C | Anticipated: authentication | P | Key image for DOE analysis on Claim 12
P-076 | Claim Chart Cross-Reference — LumiLink 800G-DR8 vs. '847 Patent Claims 1–5 | 2023-06-30 | Kevin Ng, Benchmark / C&H | LumiLink 800G-DR8 | '847 | C | None anticipated | O
P-077 | Claim Chart Cross-Reference — LumiLink 800G-DR8 vs. '193 Patent Claims 1, 3, 7, 10, 15, 18 | 2023-06-30 | Kevin Ng, Benchmark / C&H | LumiLink 800G-DR8 | '193 | C | None anticipated | O
P-078 | Claim Chart Cross-Reference — LumiLink 800G-DR8 vs. '562 Patent Claims 1, 4, 6, 11 | 2023-06-30 | Kevin Ng, Benchmark / C&H | LumiLink 800G-DR8 | '562 | C | None anticipated | O
P-079 | Claim Chart Cross-Reference — LumiLink 800G-DR8 vs. '015 Patent Claims 1, 5, 8, 12, 16 | 2023-06-30 | Kevin Ng, Benchmark / C&H | LumiLink 800G-DR8 | '015 | C | None anticipated | O
P-080 | EDS/EDX Elemental Analysis — LumiLink 800G-DR8 grating coupler material | 2023-06-30 | Kevin Ng, Benchmark | LumiLink 800G-DR8 | '015 | C | None anticipated | O
P-081 | Optical Profilometry Data — LumiLink 800G-DR8 waveguide surface measurements | 2023-06-30 | Kevin Ng, Benchmark | LumiLink 800G-DR8 | '847 | C | None anticipated | O
P-082 | Thermal Imaging Data — LumiLink 800G-DR8 under operational load | 2023-06-30 | Kevin Ng, Benchmark | LumiLink 800G-DR8 | '562 | C | None anticipated | O
P-083 | Annotated Photograph — LumiLink 800G-DR8 package exterior and labeling | 2023-06-30 | Kevin Ng, Benchmark | LumiLink 800G-DR8 | N/A | C | None anticipated | O | Product identification and authentication
P-084 | Benchmark Lab Notebook Pages — LumiLink 800G-DR8 Teardown (June 20–30, 2023) | 2023-06-30 | Kevin Ng, Benchmark | LumiLink 800G-DR8 | N/A | C | None anticipated | O
P-085 | SEM Image — LumiLink 800G-DR8 coherent detection module detail (Claims 3, 7, '193) | 2023-06-30 | Kevin Ng, Benchmark | LumiLink 800G-DR8 | '193 | C | Anticipated: authentication | P
P-086 | SEM Image — LumiLink 800G-DR8 polarization-diverse grating coupler close-up (Claims 5, 8, '015) | 2023-06-30 | Kevin Ng, Benchmark | LumiLink 800G-DR8 | '015 | C | None anticipated | O
P-087 | Annotated Photograph — LumiLink 800G-DR8 multi-channel waveguide array (Claim 3, '847) | 2023-06-30 | Kevin Ng, Benchmark | LumiLink 800G-DR8 | '847 | C | None anticipated | O
P-088 | Benchmark Supplemental Analysis Memo — LumiLink 800G-DR8 (Updated Aug. 2023) | 2023-08-15 | Kevin Ng, Benchmark | LumiLink 800G-DR8 | '847, '193, '562, '015 | C | None anticipated | O
P-089 | SEM Image — LumiLink 800G-DR8 micro-channel aspect ratio measurement (Claim 4, '562) | 2023-06-30 | Kevin Ng, Benchmark | LumiLink 800G-DR8 | '562 | C | Anticipated: authentication | P | Measured aspect ratio >5:1
P-090 | Benchmark Teardown Report — LumiEdge 1600G-LR (Full Report) | 2024-02-15 | Kevin Ng, Benchmark Semiconductor Analysis, LLC | LumiEdge 1600G-LR | '193, '015 | C | None anticipated | O | Latest accused product; launched Q4 2023
P-091 | Annotated Photograph — LumiEdge 1600G-LR coherent transceiver module (Claims 1, 3, 7, '193) | 2024-02-15 | Kevin Ng, Benchmark | LumiEdge 1600G-LR | '193 | C | None anticipated | O
P-092 | SEM Cross-Section Image — LumiEdge 1600G-LR polarization-diverse grating coupler (Claims 1, 5, '015) | 2024-02-15 | Kevin Ng, Benchmark | LumiEdge 1600G-LR | '015 | C | None anticipated | O
P-093 | Annotated Photograph — LumiEdge 1600G-LR die overview showing integrated transceiver architecture | 2024-02-15 | Kevin Ng, Benchmark | LumiEdge 1600G-LR | '193 | C | None anticipated | O
P-094 | SEM Image — LumiEdge 1600G-LR two-dimensional sub-wavelength grating structure (Claim 12, '015) | 2024-02-15 | Kevin Ng, Benchmark | LumiEdge 1600G-LR | '015 | C | Anticipated: authentication | P | Key image for DOE analysis on Claim 12
P-095 | Claim Chart Cross-Reference — LumiEdge 1600G-LR vs. '193 Patent Claims 1, 3, 7, 10, 15, 18 | 2024-02-15 | Kevin Ng, Benchmark / C&H | LumiEdge 1600G-LR | '193 | C | None anticipated | O
P-096 | Claim Chart Cross-Reference — LumiEdge 1600G-LR vs. '015 Patent Claims 1, 5, 8, 12, 16 | 2024-02-15 | Kevin Ng, Benchmark / C&H | LumiEdge 1600G-LR | '015 | C | None anticipated | O
P-097 | EDS/EDX Elemental Analysis — LumiEdge 1600G-LR grating coupler material | 2024-02-15 | Kevin Ng, Benchmark | LumiEdge 1600G-LR | '015 | C | None anticipated | O
P-098 | Optical Profilometry Data — LumiEdge 1600G-LR waveguide and grating measurements | 2024-02-15 | Kevin Ng, Benchmark | LumiEdge 1600G-LR | '015 | C | None anticipated | O
P-099 | Annotated Photograph — LumiEdge 1600G-LR package exterior and labeling | 2024-02-15 | Kevin Ng, Benchmark | LumiEdge 1600G-LR | N/A | C | None anticipated | O | Product identification and authentication
P-100 | Benchmark Lab Notebook Pages — LumiEdge 1600G-LR Teardown (Feb. 5–15, 2024) | 2024-02-15 | Kevin Ng, Benchmark | LumiEdge 1600G-LR | N/A | C | None anticipated | O
P-101 | SEM Image — LumiEdge 1600G-LR coherent detection module detail (Claims 3, 7, '193) | 2024-02-15 | Kevin Ng, Benchmark | LumiEdge 1600G-LR | '193 | C | Anticipated: authentication | P
P-102 | SEM Image — LumiEdge 1600G-LR polarization-diverse grating coupler close-up (Claims 8, 16, '015) | 2024-02-15 | Kevin Ng, Benchmark | LumiEdge 1600G-LR | '015 | C | None anticipated | O
P-103 | Annotated Photograph — LumiEdge 1600G-LR high-bandwidth coherent optical path (Claim 10, '193) | 2024-02-15 | Kevin Ng, Benchmark | LumiEdge 1600G-LR | '193 | C | None anticipated | O
P-104 | Benchmark Supplemental Analysis Memo — LumiEdge 1600G-LR (Updated Apr. 2024) | 2024-04-10 | Kevin Ng, Benchmark | LumiEdge 1600G-LR | '193, '015 | C | None anticipated | O
P-105 | Comparative SEM Images — LumiLink 400G-ZR+ vs. LumiLink 800G-DR8 waveguide multiplexer structures | 2023-07-15 | Kevin Ng, Benchmark | 400G-ZR+ / 800G-DR8 | '847 | C | Anticipated: relevance | P | Shows structural similarity across product generations
P-106 | Comparative SEM Images — LumiLink 800G-DR8 vs. LumiEdge 1600G-LR grating coupler structures | 2024-03-01 | Kevin Ng, Benchmark | 800G-DR8 / 1600G-LR | '015 | C | Anticipated: relevance | P | Shows structural similarity across product lines
P-107 | Benchmark X-ray Tomography Data — LumiLink 400G-ZR+ internal structure | 2022-12-12 | Kevin Ng, Benchmark | LumiLink 400G-ZR+ | '562, '847 | C | Anticipated: authentication | P | Non-destructive imaging data
P-108 | Benchmark X-ray Tomography Data — LumiLink 800G-DR8 internal structure | 2023-06-30 | Kevin Ng, Benchmark | LumiLink 800G-DR8 | '562, '847, '015 | C | Anticipated: authentication | P
P-109 | Benchmark X-ray Tomography Data — LumiEdge 1600G-LR internal structure | 2024-02-15 | Kevin Ng, Benchmark | LumiEdge 1600G-LR | '193, '015 | C | Anticipated: authentication | P
P-110 | Chain of Custody Log — All Accused Product Samples | Various | Kevin Ng, Benchmark | All three | All four patents | C | None anticipated | O | Authenticated at Ng deposition Jan. 7, 2025
P-111 | Benchmark Lab Protocols and Methodology Documentation | Various | Benchmark Semiconductor Analysis, LLC | All three | N/A | C | None anticipated | O | Supports reliability of teardown findings
P-112 | Benchmark Summary Comparison Chart — All Three Accused Products vs. All Asserted Claims | 2024-03-01 | C&H / Benchmark | All three | All four patents | C | None anticipated | O | Master cross-reference chart
[sheet: C — Lumicore Design Files]
Exhibit No. | Description | Date | Author / Source | Accused Product | Patent(s) Referenced | Confidentiality Designation | Objection | Status | Notes
P-113 | LumiLink 400G-ZR+ — Product Design Specification Document | 2022-01-15 | Lumicore Technologies, Inc. / Dr. Eric Dalmqvist | LumiLink 400G-ZR+ | '847, '193, '562 | HC-AEO | Anticipated: relevance, confidentiality | P | Produced in discovery; shows design architecture matching '847 waveguide multiplexer claims
P-114 | LumiLink 400G-ZR+ — Photonic-IC Layout File (GDS-II format) | 2022-02-20 | Lumicore Engineering | LumiLink 400G-ZR+ | '847, '562 | HC-SC | Anticipated: source code designation | P | Native-format production; shows waveguide and micro-channel structures
P-115 | LumiLink 400G-ZR+ — RTL Schematics for Transceiver Control Logic | 2022-03-10 | Lumicore Engineering | LumiLink 400G-ZR+ | '193 | HC-SC | Anticipated: source code designation | P
P-116 | LumiLink 400G-ZR+ — Waveguide Multiplexer Design Sub-Module (GDS-II) | 2022-02-25 | Lumicore Engineering | LumiLink 400G-ZR+ | '847 | HC-SC | Anticipated: source code designation | P | Extracted sub-module showing waveguide multiplexer layout
P-117 | LumiLink 400G-ZR+ — Thermal Management Design Specifications | 2022-01-30 | Lumicore Engineering | LumiLink 400G-ZR+ | '562 | HC-AEO | Anticipated: confidentiality | P | Details micro-channel heat sink design parameters
P-118 | LumiLink 400G-ZR+ — Coherent Transceiver Module Specification | 2022-02-10 | Lumicore Engineering / Dr. Sandra Michaud | LumiLink 400G-ZR+ | '193 | HC-AEO | Anticipated: confidentiality | P
P-119 | LumiLink 400G-ZR+ — Design Review Presentation (Rev. 1.0) | 2022-03-15 | Lumicore Engineering Team | LumiLink 400G-ZR+ | '847, '193, '562 | HC-AEO | Anticipated: confidentiality | P | Internal design review slides
P-120 | LumiLink 400G-ZR+ — Fabrication Process Flow Document | 2022-04-01 | Lumicore Engineering | LumiLink 400G-ZR+ | '562, '847 | HC-AEO | Anticipated: confidentiality | P | Details fab process including micro-channel etch steps
P-121 | LumiLink 400G-ZR+ — Mask Set Design Files (Layers 1–12) | 2022-04-15 | Lumicore Engineering | LumiLink 400G-ZR+ | '847, '562 | HC-SC | Anticipated: source code designation | P
P-122 | LumiLink 400G-ZR+ — Wafer Test Data (First Silicon Run) | 2022-06-20 | Lumicore Engineering | LumiLink 400G-ZR+ | '847, '193 | HC-AEO | Anticipated: confidentiality | P
P-123 | LumiLink 400G-ZR+ — Insertion Loss Characterization Report | 2022-07-05 | Lumicore Engineering | LumiLink 400G-ZR+ | '847 | HC-AEO | Anticipated: confidentiality | P | Internal testing showing low insertion loss consistent with '847 claims
P-124 | LumiLink 400G-ZR+ — Reliability Test Report | 2022-07-20 | Lumicore Engineering | LumiLink 400G-ZR+ | N/A | HC-AEO | Anticipated: relevance | P
P-125 | LumiLink 400G-ZR+ — Customer Qualification Test Data | 2022-08-01 | Lumicore Engineering / Sales | LumiLink 400G-ZR+ | N/A | HC-AEO | Anticipated: relevance | P
P-126 | LumiLink 400G-ZR+ — Bill of Materials (BOM) | 2022-08-10 | Lumicore Engineering | LumiLink 400G-ZR+ | N/A | HC-AEO | Anticipated: confidentiality | P | Relevant to cost/margin analysis
P-127 | LumiLink 400G-ZR+ — Engineering Change Orders (ECO) Log | 2022-01-15 to 2023-12-31 | Lumicore Engineering | LumiLink 400G-ZR+ | '847, '562 | HC-AEO | Anticipated: confidentiality | P | Shows design evolution; no design-around changes identified
P-128 | LumiLink 400G-ZR+ — Simulation Data (Waveguide Performance Modeling) | 2021-11-15 | Lumicore Engineering | LumiLink 400G-ZR+ | '847 | HC-SC | Anticipated: source code designation | P | Pre-design simulation data
P-129 | LumiLink 400G-ZR+ — Thermal Simulation Data (Micro-Channel Heat Sink) | 2021-12-01 | Lumicore Engineering | LumiLink 400G-ZR+ | '562 | HC-SC | Anticipated: source code designation | P
P-130 | LumiLink 800G-DR8 — Product Design Specification Document | 2022-08-01 | Lumicore / Dr. Sandra Michaud | LumiLink 800G-DR8 | '847, '193, '562, '015 | HC-AEO | Anticipated | P
P-131 | LumiLink 800G-DR8 — Photonic-IC Layout File (GDS-II format) | 2022-09-15 | Lumicore Engineering | LumiLink 800G-DR8 | '847, '562, '015 | HC-SC | Anticipated: source code designation | P | Includes polarization-diverse grating coupler layout
P-132 | LumiLink 800G-DR8 — RTL Schematics for Transceiver Control Logic | 2022-10-05 | Lumicore Engineering | LumiLink 800G-DR8 | '193 | HC-SC | Anticipated: source code designation | P
P-133 | LumiLink 800G-DR8 — Grating Coupler Design Sub-Module (GDS-II) | 2022-09-20 | Lumicore Engineering | LumiLink 800G-DR8 | '015 | HC-SC | Anticipated: source code designation | P | Shows two-dimensional sub-wavelength grating structure
P-134 | LumiLink 800G-DR8 — Thermal Management Design Specifications | 2022-08-20 | Lumicore Engineering | LumiLink 800G-DR8 | '562 | HC-AEO | Anticipated: confidentiality | P
P-135 | LumiLink 800G-DR8 — Design Review Presentation (Rev. 1.0) | 2022-10-20 | Lumicore Engineering Team | LumiLink 800G-DR8 | '847, '193, '562, '015 | HC-AEO | Anticipated: confidentiality | P
P-136 | LumiLink 800G-DR8 — Fabrication Process Flow Document | 2022-11-01 | Lumicore Engineering | LumiLink 800G-DR8 | '562, '015 | HC-AEO | Anticipated: confidentiality | P
P-137 | LumiLink 800G-DR8 — Mask Set Design Files (Layers 1–14) | 2022-11-15 | Lumicore Engineering | LumiLink 800G-DR8 | '847, '562, '015 | HC-SC | Anticipated: source code designation | P
P-138 | LumiLink 800G-DR8 — Wafer Test Data (First Silicon Run) | 2023-01-10 | Lumicore Engineering | LumiLink 800G-DR8 | '847, '193, '015 | HC-AEO | Anticipated: confidentiality | P
P-139 | LumiLink 800G-DR8 — Grating Coupler Performance Characterization Report | 2023-01-25 | Lumicore Engineering | LumiLink 800G-DR8 | '015 | HC-AEO | Anticipated: confidentiality | P
P-140 | LumiLink 800G-DR8 — Customer Qualification Test Data | 2023-02-15 | Lumicore Engineering / Sales | LumiLink 800G-DR8 | N/A | HC-AEO | Anticipated: relevance | P
P-141 | LumiLink 800G-DR8 — Bill of Materials (BOM) | 2023-02-20 | Lumicore Engineering | LumiLink 800G-DR8 | N/A | HC-AEO | Anticipated: confidentiality | P | Relevant to cost/margin analysis
P-142 | LumiLink 800G-DR8 — Engineering Change Orders (ECO) Log | 2022-08-01 to 2024-03-31 | Lumicore Engineering | LumiLink 800G-DR8 | '847, '015 | HC-AEO | Anticipated: confidentiality | P
P-143 | LumiLink 800G-DR8 — Simulation Data (Grating Coupler Performance) | 2022-07-15 | Lumicore Engineering | LumiLink 800G-DR8 | '015 | HC-SC | Anticipated: source code designation | P
P-144 | LumiLink 800G-DR8 — Reliability Test Report | 2023-03-01 | Lumicore Engineering | LumiLink 800G-DR8 | N/A | HC-AEO | Anticipated: relevance | P
P-145 | LumiEdge 1600G-LR — Product Design Specification Document | 2023-06-15 | Lumicore / Dr. Eric Dalmqvist | LumiEdge 1600G-LR | '193, '015 | HC-AEO | Anticipated | P | Launched Q4 2023 after receipt of FairPoint notice letters
P-146 | LumiEdge 1600G-LR — Photonic-IC Layout File (GDS-II format) | 2023-07-20 | Lumicore Engineering | LumiEdge 1600G-LR | '015 | HC-SC | Anticipated: source code designation | P
P-147 | LumiEdge 1600G-LR — RTL Schematics for Transceiver Control Logic | 2023-08-05 | Lumicore Engineering | LumiEdge 1600G-LR | '193 | HC-SC | Anticipated: source code designation | P
P-148 | LumiEdge 1600G-LR — Grating Coupler Design Sub-Module (GDS-II) | 2023-07-25 | Lumicore Engineering | LumiEdge 1600G-LR | '015 | HC-SC | Anticipated: source code designation | P
P-149 | LumiEdge 1600G-LR — Coherent Transceiver Module Specification | 2023-07-01 | Lumicore Engineering / Dr. Sandra Michaud | LumiEdge 1600G-LR | '193 | HC-AEO | Anticipated: confidentiality | P
P-150 | LumiEdge 1600G-LR — Design Review Presentation (Rev. 1.0) | 2023-08-10 | Lumicore Engineering Team | LumiEdge 1600G-LR | '193, '015 | HC-AEO | Anticipated: confidentiality | P
P-151 | LumiEdge 1600G-LR — Fabrication Process Flow Document | 2023-08-25 | Lumicore Engineering | LumiEdge 1600G-LR | '015 | HC-AEO | Anticipated: confidentiality | P
P-152 | LumiEdge 1600G-LR — Mask Set Design Files (Layers 1–16) | 2023-09-05 | Lumicore Engineering | LumiEdge 1600G-LR | '015 | HC-SC | Anticipated: source code designation | P
P-153 | LumiEdge 1600G-LR — Wafer Test Data (First Silicon Run) | 2023-10-01 | Lumicore Engineering | LumiEdge 1600G-LR | '193, '015 | HC-AEO | Anticipated: confidentiality | P
P-154 | LumiEdge 1600G-LR — Bill of Materials (BOM) | 2023-10-15 | Lumicore Engineering | LumiEdge 1600G-LR | N/A | HC-AEO | Anticipated: confidentiality | P | Relevant to cost/margin analysis
P-155 | R&D Meeting Minutes — LumiLink 400G-ZR+ Design Review Referencing OWS Published Application No. 2018/0123456 | 2021-09-14 | Lumicore Engineering Team | LumiLink 400G-ZR+ | '193 | HC-AEO | Anticipated: relevance, privilege | P | Key willful infringement evidence; shows design team reviewed OWS published patent application corresponding to '193 Patent during design phase
P-156 | Email Chain — Lumicore Engineering Team Discussion of OWS Patent Publications | 2021-10-05 | Lumicore Internal | LumiLink 400G-ZR+ | '193, '847 | HC-AEO | Anticipated: privilege | P | Supports willful infringement — awareness of OWS IP before product launch
P-157 | Email Chain — Dr. Dalmqvist to Dr. Michaud re: 'Competitive Patent Landscape' (Referencing OWS Patents) | 2021-11-12 | Dr. Eric Dalmqvist, Lumicore | LumiLink 400G-ZR+ | '847, '193, '562 | HC-AEO | Anticipated: privilege | P | Further evidence of pre-launch awareness of OWS patent portfolio
P-158 | R&D Meeting Minutes — LumiLink 800G-DR8 Design Review (Referencing Grating Coupler Prior Art) | 2022-09-05 | Lumicore Engineering Team | LumiLink 800G-DR8 | '015 | HC-AEO | Anticipated: relevance | P
P-159 | Email Chain — Dr. Michaud to Raymond Bautista re: FairPoint January 2023 Notice Letter | 2023-01-20 | Dr. Sandra Michaud / Raymond Bautista | All three | All four patents | HC-AEO | Anticipated: privilege | P | Internal discussion of FairPoint notice; Bautista advises continuing product development
P-160 | Lumicore Internal Memo — Design-Around Analysis (or Lack Thereof) for LumiEdge 1600G-LR | 2023-08-20 | Lumicore / Raymond Bautista | LumiEdge 1600G-LR | All four patents | HC-AEO | Anticipated: privilege | P | Bautista admitted at deposition no formal design-around commissioned before LumiEdge launch
P-161 | LumiEdge 1600G-LR — Engineering Change Orders (ECO) Log | 2023-06-15 to 2024-06-30 | Lumicore Engineering | LumiEdge 1600G-LR | '193, '015 | HC-AEO | Anticipated: confidentiality | P
P-162 | Lumicore IP Committee Meeting Minutes — Q3 2022 | 2022-09-15 | Lumicore IP Committee | N/A | All four patents | HC-AEO | Anticipated: privilege | P | Discussion of competitive IP landscape including OWS portfolio
P-163 | Lumicore IP Committee Meeting Minutes — Q1 2023 | 2023-03-10 | Lumicore IP Committee | N/A | All four patents | HC-AEO | Anticipated: privilege | P | Post-FairPoint letter discussion
P-164 | Email Chain — Lumicore Sales Team re: Customer Requests Comparing LumiLink to OWS Products | 2022-11-15 | Lumicore Sales Team | LumiLink 400G-ZR+ | N/A | HC-AEO | Anticipated: relevance | P | Shows head-to-head competition
P-165 | Lumicore Product Roadmap Document — Silicon Photonics Division (2022–2025) | 2022-06-01 | Lumicore / Dr. Eric Dalmqvist | All three | N/A | HC-AEO | Anticipated: confidentiality | P | Shows planned product launches including all accused products
P-166 | LumiLink 400G-ZR+ — Simulation Data (Thermal Performance Modeling) | 2021-12-15 | Lumicore Engineering | LumiLink 400G-ZR+ | '562 | HC-SC | Anticipated: source code designation | P
P-167 | LumiEdge 1600G-LR — Simulation Data (Coherent Transceiver Performance) | 2023-05-20 | Lumicore Engineering | LumiEdge 1600G-LR | '193 | HC-SC | Anticipated: source code designation | P
P-168 | LumiEdge 1600G-LR — Simulation Data (Grating Coupler Optimization) | 2023-06-01 | Lumicore Engineering | LumiEdge 1600G-LR | '015 | HC-SC | Anticipated: source code designation | P
P-169 | Lumicore Foundry Agreement with GlobalFab Semiconductor (Excerpts) | 2022-05-01 | Lumicore / GlobalFab Semiconductor | All three | N/A | HC-AEO | Anticipated: confidentiality, third-party | P | Fabrication outsourcing agreement; relevant to supply chain
P-170 | Fabrication Run Data — LumiLink 800G-DR8 (Mask Sets and Process Specifications) | 2022-10-01 | Lumicore Engineering | LumiLink 800G-DR8 | '562, '015 | HC-SC | Anticipated | P
P-171 | Fabrication Run Data — LumiLink 400G-ZR+ (Mask Sets and Process Specifications) | 2022-05-15 | Lumicore Engineering | LumiLink 400G-ZR+ | '562, '847 | HC-SC | Anticipated | P
P-172 | Fabrication Run Data — LumiEdge 1600G-LR (Mask Sets and Process Specifications) | 2023-09-15 | Lumicore Engineering | LumiEdge 1600G-LR | '015 | HC-SC | Anticipated | P
P-173 | LumiEdge 1600G-LR — Reliability Test Report | 2023-11-01 | Lumicore Engineering | LumiEdge 1600G-LR | N/A | HC-AEO | Anticipated: relevance | P
P-174 | LumiEdge 1600G-LR — Customer Qualification Test Data | 2023-11-15 | Lumicore Engineering / Sales | LumiEdge 1600G-LR | N/A | HC-AEO | Anticipated: relevance | P
P-175 | Lumicore Internal Design Documents Dated 2016–2017 (Cited for Prior Conception Defense) | 2016–2017 | Lumicore Technologies, Inc. | N/A | '015 | HC-AEO | Anticipated: authenticity, corroboration | P | Defendant's prior-conception defense documents; OWS challenges corroboration and credibility
P-176 | Lumicore Lab Notebook Entries — 2016 Grating Coupler Experiments (Cited for Prior Conception Defense) | 2016-06 to 2016-12 | Lumicore Technologies, Inc. | N/A | '015 | HC-AEO | Anticipated: authenticity, corroboration | P | OWS disputes these entries are sufficiently corroborated
P-177 | Email Chain — Dr. Dalmqvist to Engineering re: Post-FairPoint Second Letter Strategy | 2023-05-22 | Dr. Eric Dalmqvist, Lumicore | LumiEdge 1600G-LR | All four patents | HC-AEO | Anticipated: privilege | P | Shows continued development of LumiEdge after second FairPoint notice
P-178 | Lumicore Board of Directors Minutes — Q3 2023 (Excerpt re: Patent Risk Discussion) | 2023-09-20 | Lumicore Technologies, Inc. | All three | All four patents | HC-AEO | Anticipated: privilege | P | Board-level awareness of OWS patent assertions
[sheet: D — Licensing Correspondence]
Exhibit No. | Description | Date | Author / Source | Recipient | Patent(s) Referenced | Confidentiality Designation | Objection | Status | Notes
P-179 | FairPoint Licensing Group First Licensing/Notice Letter to Lumicore | 2023-01-15 | Angela Reeves, FairPoint Licensing Group, LLC | Raymond Bautista, Lumicore Technologies, Inc. | '847, '193, '562 | C | None anticipated | O | Puts Lumicore on actual notice of '847, '193, and '562 Patents; key willful infringement evidence
P-180 | Lumicore Response Letter via Outside Counsel — Disputing Infringement and Questioning Validity | 2023-02-28 | Hawthorne Vega & Cruz LLP (Kate Rourke) for Lumicore | FairPoint Licensing Group, LLC | '847, '193, '562 | C | Anticipated: privilege (opposing counsel communication) | P | Lumicore's first substantive response
P-181 | Meeting Notes — In-Person Licensing Meeting in Austin, TX | 2023-04-20 | Angela Reeves (FairPoint) / Rebecca Tanaka (OWS) | N/A | '847, '193, '562 | C | None anticipated | O | Attendees: Reeves, Tanaka, Bautista (Lumicore), Rourke (HVC); Lumicore showed 'no interest in negotiating' per Reeves deposition
P-182 | FairPoint Licensing Group Second Licensing Letter to Lumicore — Adding '015 Patent and LumiLink 800G-DR8 | 2023-05-15 | Angela Reeves, FairPoint Licensing Group, LLC | Raymond Bautista, Lumicore Technologies, Inc. | '847, '193, '562, '015 | C | None anticipated | O | Expands notice to include '015 Patent (issued Aug. 2, 2022) and LumiLink 800G-DR8
P-183 | Lumicore Declination Letter — Declining License, Referencing 'Competent Legal Opinions' | 2023-07-10 | Raymond Bautista, Lumicore Technologies, Inc. | FairPoint Licensing Group, LLC | All four patents | C | None anticipated | O | Key exhibit: Lumicore refuses license; references 'competent legal opinions' but refuses to produce them; basis for Motion to Compel and willful infringement theory
P-184 | FairPoint Licensing Group Internal Memorandum re: Lumicore Licensing Outreach Summary | 2023-07-15 | Angela Reeves, FairPoint Licensing Group, LLC | Rebecca Tanaka, OWS | All four patents | C | None anticipated | O | Summary of all licensing contacts
P-185 | Certified Mail Return Receipts — FairPoint Letters to Lumicore (Jan. 15, 2023 and May 15, 2023) | 2023-01-18 / 2023-05-18 | U.S. Postal Service | N/A | N/A | None | None anticipated | A | Confirms delivery and receipt of notice letters
P-186 | FairPoint Engagement Agreement with Optiwave Semiconductor Corp. | 2022-11-01 | OWS / FairPoint Licensing Group, LLC | N/A | N/A | C | None anticipated | O | Establishes FairPoint as OWS's authorized licensing agent
[sheet: E — Financial Data]
Exhibit No. | Description | Date / Period | Author / Source | Confidentiality Designation | Objection | Status | Notes
P-187 | Lumicore FY 2023 Revenue by Product Line (Accused Products) | FY 2023 | Lumicore Technologies, Inc. (produced in discovery) | HC-AEO | Anticipated: confidentiality | P | LumiLink 400G-ZR+: $94.8M; LumiLink 800G-DR8: $128.4M; LumiEdge 1600G-LR: $41.7M; Total accused: $264.9M
P-188 | Lumicore Product-Level Gross Margin Data — Accused Products | FY 2023 | Lumicore Technologies, Inc. (produced in discovery) | HC-AEO | Anticipated: confidentiality | P | Gross margins: 400G-ZR+: 52.1%; 800G-DR8: 55.8%; 1600G-LR: 58.3%
P-189 | Lumicore Average Selling Price Data — Accused Products (Quarterly, Q3 2022 – Q1 2024) | Q3 2022 – Q1 2024 | Lumicore Technologies, Inc. | HC-AEO | Anticipated: confidentiality | P | Supports price erosion analysis showing 18.7% ASP decline in 400G-ZR transceivers
P-190 | Lumicore Customer-by-Customer Revenue Breakdown — Accused Products | FY 2023 | Lumicore Technologies, Inc. | HC-AEO | Anticipated: confidentiality | P | Includes sales to Pinnacle Data Systems, Frontier Cloud Services, CrossPoint Networking Corp.
P-191 | Lumicore FY 2023 Annual Report / 10-K Filing (Excerpts) | FY 2023 | Lumicore Technologies, Inc. (public filing) | None | None anticipated | O | Lumicore FY 2023 Revenue: $312.6M; public disclosure
P-192 | Lumicore IPO Prospectus (Excerpts) — March 2022 | 2022-03 | Silverstone Capital Markets LLC / Lumicore | None | None anticipated | O | IPO at $24/share on Nasdaq; market context
P-193 | OWS FY 2023 Audited Financial Statements (Excerpts) | FY 2023 | Gresham & Whitfield LLP (OWS auditor) | C | None anticipated | O | OWS FY 2023 Revenue: $487.3M; Net Income: $61.4M
P-194 | OWS Gross Margin Analysis — Competing Products (OWS-400ZR, OWS-800XR) | FY 2023 | OWS Internal Financials (produced in discovery) | C | None anticipated | O | Gross margin: 47.3% on competing transceiver modules
P-195 | OWS Revenue Attributable to Products Practicing Asserted Patents | FY 2023 | OWS Internal | C | None anticipated | O | Approximately $310M of $487.3M total revenue from products practicing asserted patents
P-196 | Lumicore Accused-Product Revenue — Infringement Period (Q3 2022 – Q1 2024) | Q3 2022 – Q1 2024 | Per Dr. Lawrence Keating preliminary analysis | HC-AEO | Anticipated | P | Total: ~$378.2M
P-197 | Lumicore Projected Accused-Product Revenue (Q3 2022 – Q4 2025) | Q3 2022 – Q4 2025 (projected) | Per Dr. Lawrence Keating analysis | HC-AEO | Anticipated | P | Total: ~$714.6M
P-198 | Market Share Displacement Data — OWS vs. Lumicore (Top 20 Hyperscale Customers) | FY 2023 | OWS / Market analysis | C | None anticipated | O | OWS and Lumicore compete head-to-head at 12 of the top 20 hyperscale data-center operators; supports 38.2% displacement
P-199 | OWS Lost Revenue Analysis — Products Practicing Asserted Patents (Q3 2022 – Q1 2024) | Q3 2022 – Q1 2024 | OWS Internal / Dr. Lawrence Keating | C | Anticipated: Daubert | P | Preliminary lost revenue estimate tied to Panduit analysis
P-200 | Price Erosion Summary — 400G-ZR Transceiver ASP Decline (Q3 2022 – Q4 2023) | Q3 2022 – Q4 2023 | OWS / Market data | C | None anticipated | O | 18.7% ASP decline attributable in part to Lumicore market entry
P-201 | Price Erosion Summary — 800G Transceiver ASP Decline (Q1 2023 – Q1 2024) | Q1 2023 – Q1 2024 | OWS / Market data | C | None anticipated | O | 12.4% ASP decline in 800G segment
P-202 | Lumicore FY 2022 Annual Report / 10-K Filing (Excerpts) | FY 2022 | Lumicore Technologies, Inc. (public filing) | None | None anticipated | O | Lumicore FY 2022 Revenue: $186.2M; first full year as public company
P-203 | Lumicore Q1 2024 Quarterly Report / 10-Q Filing (Excerpts) | Q1 2024 | Lumicore Technologies, Inc. (public filing) | None | None anticipated | O | Q1 2024 revenue: $98.7M; annualized run rate ~$394.8M
P-204 | Lumicore Internal Sales Forecast — Accused Products (FY 2024–2025) | FY 2024–2025 | Lumicore Technologies, Inc. (produced in discovery) | HC-AEO | Anticipated: confidentiality | P | Supports projected revenue calculations
P-205 | Lumicore R&D Expenditure Data — Silicon Photonics Division | FY 2021–2023 | Lumicore Technologies, Inc. (produced in discovery) | HC-AEO | Anticipated: confidentiality | P | Total R&D: $47.3M over three years; relevant to Georgia-Pacific Factor 9
P-206 | OWS R&D Expenditure Data — Silicon Photonics Products | FY 2019–2023 | OWS Internal | C | None anticipated | O | OWS invested $156.2M in R&D for patented technologies over five years
P-207 | Lumicore Employee Count and Organizational Data — Engineering Division | FY 2023 | Lumicore Technologies, Inc. (produced in discovery) | HC-AEO | Anticipated: relevance | P | 287 employees in engineering; 142 in silicon photonics
P-208 | Lumicore Cost of Goods Sold — Accused Products (Detailed) | FY 2023 | Lumicore Technologies, Inc. (produced in discovery) | HC-AEO | Anticipated: confidentiality | P | Detailed COGS breakdown for each accused product
P-209 | Lumicore Operating Expense Allocation — Accused Products | FY 2023 | Lumicore Technologies, Inc. (produced in discovery) | HC-AEO | Anticipated: confidentiality | P | SGA and R&D allocation to accused products
P-210 | Lumicore Share Price History (Nasdaq: March 2022 – April 2024) | 2022-03 to 2024-04 | Public market data | None | None anticipated | O | IPO $24/share; ~$37/share at filing; Market Cap ~$3.4B (91.8M shares outstanding)
P-211 | Silicon Photonics Market Size and Growth Report (2020–2027) | 2024 | Meridian Economic Consulting Group / Industry Reports | None | None anticipated | O | Total addressable market context
P-212 | OWS Customer Concentration Analysis — Top 10 Customers | FY 2023 | OWS Internal | C | None anticipated | O | Shows customer overlap with Lumicore
P-213 | Lumicore Customer Concentration Analysis — Top 10 Customers | FY 2023 | Lumicore Technologies, Inc. (produced in discovery) | HC-AEO | Anticipated: confidentiality | P | Shows customer overlap with OWS
P-214 | OWS Profit-and-Loss Summary — Products Practicing Asserted Patents | FY 2023 | OWS Internal | C | None anticipated | O | Net profit margin on practicing products: 19.8%
P-215 | OWS Revolving Credit Facility Summary — Weston Fidelity Bank, N.A. | 2023 | OWS / Weston Fidelity Bank, N.A. | C | None anticipated | O | $125M revolving credit facility