[slide 1]
Trial Demonstratives: Infringement Module
Optiwave Semiconductor Corp. v. Lumicore Technologies, Inc.
Case No. 2:24-cv-00319-JRG — United States District Court for the Eastern District of Texas
Trial Demonstratives — Infringement Analysis
Prepared by Calderwood & Harkness LLP in coordination with Dr. Caroline Ashford, Northfield Institute of Technology
CONFIDENTIAL — ATTORNEY WORK PRODUCT — DRAFT (January 2026)
[slide 2]
Roadmap — Infringement Demonstratives Overview
Section 1: The Patented Technology — What Optiwave Invented
Section 2: The Asserted Patents — U.S. Patent Nos. 10,234,847; 10,891,193; 9,678,562; 11,402,015
Section 3: The Accused Products — LumiLink 400G-ZR+, LumiLink 800G-DR8, LumiEdge 1600G-LR
Section 4: Element-by-Element Claim Chart Comparisons — Literal Infringement
Section 5: Doctrine of Equivalents Analysis — '193 Patent Claims 3 & 7; '015 Patent Claim 12
Section 6: Summary — How Every Accused Product Infringes Every Asserted Claim
[slide 3]
The Patented Technology — Silicon Photonics for Data-Center Interconnects
Silicon photonics: using light instead of electrical signals to transmit data at high speed inside and between data centers
Optiwave Semiconductor Corp. (OWS) — founded 2011 in Santa Clara, CA; fabless semiconductor company; ~1,250 employees
OWS is the third-largest U.S. supplier of silicon-photonics transceiver modules for hyperscale data centers
OWS holds 142 issued U.S. patents and 58 pending applications in silicon photonics
FY 2023 revenue: $487.3 million; key products: OWS-400ZR, OWS-800XR, OWS-1600DR transceiver module families
Four breakthrough inventions at issue: waveguide multiplexing, coherent transceivers, thermal management, and polarization-diverse grating couplers
[slide 4]
The Four Asserted Patents — Overview
'847 Patent — U.S. 10,234,847: 'Multi-Channel Silicon Photonic Waveguide Multiplexer with Low Insertion Loss' (Filed Sept. 14, 2016; Issued Mar. 19, 2019; Assignee: OWS)
'193 Patent — U.S. 10,891,193: 'High-Bandwidth Coherent Optical Transceiver Integrated on Silicon Substrate' (Filed Apr. 7, 2017; Issued Jan. 12, 2021; Assignee: OWS)
'562 Patent — U.S. 9,678,562: 'Method for Thermal Management of Photonic Integrated Circuits Using Embedded Micro-Channel Heat Sinks' (Filed Nov. 22, 2014; Issued June 13, 2017; Originally Solara Optics; Acquired by OWS June 15, 2018)
'015 Patent — U.S. 11,402,015: 'Polarization-Diverse Grating Coupler for Silicon Photonic Transceivers' (Filed Aug. 30, 2019; Issued Aug. 2, 2022; Assignee: OWS)
The '562 and '847 Patents are in the same patent family (continuation relationship)
The '193 and '015 Patents share a common provisional application (No. 62/499,117, filed April 7, 2017)
[slide 5]
The Accused Infringer — Lumicore Technologies, Inc.
Lumicore Technologies, Inc. — Delaware corporation headquartered in Austin, TX; ~870 employees; IPO on Nasdaq in March 2022
FY 2023 estimated revenue: $312.6 million; market cap at time of filing: ~$3.4 billion
Three accused product lines:
• LumiLink 400G-ZR+ (launched Q3 2022) — FY23 revenue: $94.8M — accused of infringing '847, '193, '562
• LumiLink 800G-DR8 (launched Q1 2023) — FY23 revenue: $128.4M — accused of infringing '847, '193, '562, '015
• LumiEdge 1600G-LR (launched Q4 2023) — FY23 revenue: $41.7M — accused of infringing '193, '015
Total accused-product revenue (FY 2023): $264.9 million
[slide 6]
How We Know — Reverse Engineering and Teardown Methodology
October 2022: OWS's internal engineering team identifies potential infringement by Lumicore's LumiLink 400G-ZR+
November 2022: OWS retains Benchmark Semiconductor Analysis, LLC (Santa Clara, CA) to perform independent reverse-engineering teardown
December 12, 2022: Benchmark delivers teardown report on LumiLink 400G-ZR+ confirming accused waveguide multiplexer structures and thermal management micro-channels
June 2023: Benchmark performs follow-on teardown of LumiLink 800G-DR8
February 2024: Benchmark performs teardown of LumiEdge 1600G-LR
Lead Engineer: Kevin Ng — will testify regarding teardown methodology, chain of custody, and identified structures
[slide 7]
Annotated Teardown Photographs — LumiLink 400G-ZR+ (Overview)
[PHOTOGRAPH PLACEHOLDER] External module packaging — LumiLink 400G-ZR+ transceiver module
[PHOTOGRAPH PLACEHOLDER] Internal PCB layout with photonic integrated circuit (PIC) die identified
[PHOTOGRAPH PLACEHOLDER] Cross-section of silicon photonic waveguide multiplexer structure
[PHOTOGRAPH PLACEHOLDER] Cross-section of embedded micro-channel heat sink
Annotations map each structure to specific claim limitations of the '847, '193, and '562 Patents
All photographs taken by Kevin Ng, Benchmark Semiconductor Analysis, LLC
[slide 8]
Annotated Teardown Photographs — LumiLink 400G-ZR+ (Waveguide Multiplexer Detail)
[PHOTOGRAPH PLACEHOLDER] High-magnification SEM image of silicon photonic waveguide array
[PHOTOGRAPH PLACEHOLDER] Overlay identifying individual waveguide channels and coupling regions
Structure matches '847 Patent: 'multi-channel silicon photonic waveguide multiplexer'
Low insertion loss characteristic confirmed by Benchmark optical testing
OWS construction: 'an optical device that combines multiple optical signals of different wavelengths onto a single waveguide'
Claimed structure is present in the LumiLink 400G-ZR+ die — literal infringement
[slide 9]
Annotated Teardown Photographs — LumiLink 400G-ZR+ (Micro-Channel Heat Sink Detail)
[PHOTOGRAPH PLACEHOLDER] Cross-section showing embedded micro-channel heat sink structure within PIC substrate
[PHOTOGRAPH PLACEHOLDER] Magnified view of channel geometry and hydraulic diameter
Structure matches '562 Patent: 'embedded micro-channel heat sinks' for thermal management of PICs
Benchmark measured channel hydraulic diameter consistent with the claimed 'micro-channel heat sink' — under OWS's construction: channels with hydraulic diameter less than 1 mm
This is the strongest literal-infringement case — partial summary judgment sought on '562 Claims 1, 4, and 6
Dr. Sandra Michaud (Lumicore CTO) admitted in deposition that the accused product uses embedded cooling channels
[slide 10]
Annotated Teardown Photographs — LumiLink 800G-DR8 (Overview)
[PHOTOGRAPH PLACEHOLDER] External module — LumiLink 800G-DR8 transceiver
[PHOTOGRAPH PLACEHOLDER] Internal architecture showing PIC die with waveguide multiplexer, coherent transceiver, micro-channel heat sink, and grating coupler
This product is accused of infringing all four patents: '847, '193, '562, and '015
FY 2023 revenue: $128.4 million — largest accused product by revenue
Launched Q1 2023 — after Lumicore received FairPoint's first licensing letter (January 15, 2023)
All four categories of patented technology are present in this single product
[slide 11]
Annotated Teardown Photographs — LumiLink 800G-DR8 (Coherent Transceiver on Silicon Substrate)
[PHOTOGRAPH PLACEHOLDER] Die-level photograph showing integrated coherent transceiver architecture
[PHOTOGRAPH PLACEHOLDER] Functional block diagram overlay identifying coherent detection and modulation elements
Structure matches '193 Patent: 'High-Bandwidth Coherent Optical Transceiver Integrated on Silicon Substrate'
Key term: 'integrated on a silicon substrate' — OWS construction: 'formed on or within a silicon-based wafer using semiconductor fabrication processes'
Lumicore's narrow construction ('monolithically fabricated on a single silicon die without hybrid bonding or heterogeneous integration') is contradicted by the specification
Literal infringement of Claims 1, 10, 15, 18 established through teardown and Lumicore design files
[slide 12]
Annotated Teardown Photographs — LumiLink 800G-DR8 (Polarization-Diverse Grating Coupler)
[PHOTOGRAPH PLACEHOLDER] SEM image of grating coupler structure on the 800G-DR8 PIC die
[PHOTOGRAPH PLACEHOLDER] Overlay showing polarization-splitting element and dual-mode coupling
Structure matches '015 Patent: 'Polarization-Diverse Grating Coupler for Silicon Photonic Transceivers'
Key term: 'polarization-diverse grating coupler' — OWS construction: 'a grating coupler capable of coupling light of two orthogonal polarization states'
Lumicore's narrow construction: 'a two-dimensional grating coupler with a polarization-splitting element that simultaneously couples TE and TM modes'
Literal infringement of Claims 1, 5, 8, and 16; doctrine of equivalents analysis for Claim 12
[slide 13]
Annotated Teardown Photographs — LumiEdge 1600G-LR (Overview)
[PHOTOGRAPH PLACEHOLDER] External module — LumiEdge 1600G-LR transceiver
[PHOTOGRAPH PLACEHOLDER] Internal die photograph showing coherent transceiver and grating coupler structures
Accused of infringing '193 Patent and '015 Patent
FY 2023 revenue: $41.7 million (partial year; launched Q4 2023)
Launched after all pre-suit licensing letters and Lumicore's July 10, 2023 declination — strong willful infringement evidence
Benchmark teardown performed February 2024; confirms presence of accused structures
[slide 14]
Side-by-Side Comparison — OWS Patented Structure vs. Lumicore LumiLink 400G-ZR+ (Waveguide Multiplexer)
[IMAGE PLACEHOLDER — LEFT] '847 Patent Figure 3: Multi-channel waveguide multiplexer schematic from specification
[IMAGE PLACEHOLDER — RIGHT] Benchmark teardown photograph of LumiLink 400G-ZR+ waveguide multiplexer structure
Both structures combine multiple optical signals of different wavelengths onto a single waveguide
Lumicore's structure replicates the claimed low-insertion-loss design
Claims 1, 3, 5, 9, and 14 of the '847 Patent are infringed
No material design differences between the patented structure and the accused structure
[slide 15]
Side-by-Side Comparison — OWS Patented Structure vs. Lumicore LumiLink 800G-DR8 (Coherent Transceiver)
[IMAGE PLACEHOLDER — LEFT] '193 Patent Figure 5: coherent optical transceiver block diagram from specification
[IMAGE PLACEHOLDER — RIGHT] Lumicore design file extract (Highly Confidential — Source Code) showing coherent transceiver architecture
Both structures integrate high-bandwidth coherent optical transceivers on a silicon substrate
Lumicore's own design files confirm architecture matches claimed elements
Claims 1, 3, 7, 10, 15, and 18 of the '193 Patent are infringed
Claims 3 and 7 are also asserted under the doctrine of equivalents for the 'coherent detection module' limitation
[slide 16]
Side-by-Side Comparison — OWS Patented Structure vs. Lumicore LumiLink 800G-DR8 (Micro-Channel Heat Sink)
[IMAGE PLACEHOLDER — LEFT] '562 Patent Figure 2: Embedded micro-channel heat sink cross-section from specification
[IMAGE PLACEHOLDER — RIGHT] Benchmark teardown cross-section photograph of LumiLink 800G-DR8 heat sink
Both structures use embedded micro-channel heat sinks for thermal management of photonic integrated circuits
Channel hydraulic diameter measurements from Benchmark are consistent with the claim
Claims 1, 4, 6, and 11 of the '562 Patent are infringed
Dr. Michaud's deposition admission confirms embedded cooling channels in the accused product
[slide 17]
Side-by-Side Comparison — OWS Patented Structure vs. Lumicore LumiEdge 1600G-LR (Grating Coupler)
[IMAGE PLACEHOLDER — LEFT] '015 Patent Figure 7: Polarization-diverse grating coupler schematic from specification
[IMAGE PLACEHOLDER — RIGHT] Benchmark teardown SEM image of LumiEdge 1600G-LR grating coupler
Both structures couple light of two orthogonal polarization states
Claims 1, 5, 8, and 16 of the '015 Patent are literally infringed
Claim 12 is asserted under the doctrine of equivalents — 'two-dimensional sub-wavelength grating' limitation
Lumicore's design achieves the same function, in the same way, for the same result as the claimed grating
[slide 18]
Animated 3D Model — Waveguide Multiplexer Operation ('847 Patent)
[ANIMATION PLACEHOLDER] 3D rendering of waveguide multiplexer showing multiple optical channels
Light of different wavelengths (colors) enters through separate input waveguides
The multiplexer combines all channels onto a single output waveguide
'Low insertion loss' means minimal signal degradation — OWS's patented design is highly efficient
This animation corresponds to '847 Patent Claims 1, 3, 5, 9, and 14
The accused LumiLink 400G-ZR+ and LumiLink 800G-DR8 use this same multiplexing approach
[slide 19]
Animated 3D Model — Polarization-Diverse Grating Coupler Operation ('015 Patent)
[ANIMATION PLACEHOLDER] 3D rendering of grating coupler on a silicon photonic chip surface
Light arriving from an optical fiber can have two orthogonal polarization states: TE (horizontal) and TM (vertical)
The grating coupler simultaneously couples both polarization states into the photonic circuit
'Polarization-diverse' means the coupler works regardless of the incoming light's polarization orientation
This animation corresponds to '015 Patent Claims 1, 5, 8, 12, and 16
The accused LumiLink 800G-DR8 and LumiEdge 1600G-LR use this approach
[slide 20]
Animated 3D Model — Micro-Channel Heat Sink Operation ('562 Patent)
[ANIMATION PLACEHOLDER] 3D rendering of photonic IC with embedded micro-channel heat sink layer
Photonic integrated circuits generate heat that can degrade optical signal performance
Micro-channels embedded within the substrate carry coolant fluid to dissipate heat
The channels have hydraulic diameters of less than 1 mm (under OWS's claim construction)
This animation corresponds to '562 Patent Claims 1, 4, 6, and 11
The accused LumiLink 400G-ZR+ and LumiLink 800G-DR8 use embedded micro-channel cooling
[slide 21]
Animated 3D Model — Coherent Optical Transceiver Integration ('193 Patent)
[ANIMATION PLACEHOLDER] 3D rendering of coherent transceiver integrated on silicon chip
A coherent transceiver encodes data on both the amplitude and phase of an optical signal
Integrating the transceiver 'on a silicon substrate' enables lower cost, smaller size, and higher bandwidth
OWS's innovation: a complete high-bandwidth coherent transceiver on a single silicon platform
This animation corresponds to '193 Patent Claims 1, 3, 7, 10, 15, and 18
All three accused products (LumiLink 400G-ZR+, LumiLink 800G-DR8, LumiEdge 1600G-LR) use this approach
[slide 22]
Claim Chart Summary Board — '847 Patent (Claims 1, 3, 5, 9, 14) vs. LumiLink 400G-ZR+ and LumiLink 800G-DR8
[TABLE PLACEHOLDER] Limitation-by-limitation comparison table
Column 1: Claim language for each limitation of Claims 1, 3, 5, 9, and 14
Column 2: Corresponding structure/method in LumiLink 400G-ZR+ (with teardown photo references)
Column 3: Corresponding structure/method in LumiLink 800G-DR8 (with teardown photo references)
Every limitation is met literally in both accused products
Green check marks indicate literal match; full claim charts in Dr. Ashford's expert report
[slide 23]
Claim Chart Summary Board — '193 Patent (Claims 1, 3, 7, 10, 15, 18) vs. All Three Accused Products
[TABLE PLACEHOLDER] Limitation-by-limitation comparison table
Column 1: Claim language for Claims 1, 3, 7, 10, 15, and 18
Column 2: LumiLink 400G-ZR+ — literal infringement for all claims; DOE for Claims 3 and 7
Column 3: LumiLink 800G-DR8 — literal infringement for all claims; DOE for Claims 3 and 7
Column 4: LumiEdge 1600G-LR — literal infringement for all claims; DOE for Claims 3 and 7
DOE applies to 'coherent detection module' limitation — function-way-result test satisfied
All three accused products infringe all six asserted claims
[slide 24]
Claim Chart Summary Board — '562 Patent (Claims 1, 4, 6, 11) vs. LumiLink 400G-ZR+ and LumiLink 800G-DR8
[TABLE PLACEHOLDER] Limitation-by-limitation comparison table
Column 1: Claim language for Claims 1, 4, 6, and 11
Column 2: LumiLink 400G-ZR+ — literal infringement of all claims
Column 3: LumiLink 800G-DR8 — literal infringement of all claims
Strongest literal-infringement case — partial summary judgment motion filed on Claims 1, 4, and 6
No doctrine of equivalents needed — all limitations are literally satisfied
Dr. Michaud's deposition admissions corroborate Benchmark teardown findings
[slide 25]
Claim Chart Summary Board — '015 Patent (Claims 1, 5, 8, 12, 16) vs. LumiLink 800G-DR8 and LumiEdge 1600G-LR
[TABLE PLACEHOLDER] Limitation-by-limitation comparison table
Column 1: Claim language for Claims 1, 5, 8, 12, and 16
Column 2: LumiLink 800G-DR8 — literal infringement of Claims 1, 5, 8, 16; DOE for Claim 12
Column 3: LumiEdge 1600G-LR — literal infringement of Claims 1, 5, 8, 16; DOE for Claim 12