[sheet: Report Header]

[sheet: Report Header]
Field | Value
Document Title | Deadline Calendar Report — Upcoming Prosecution Deadlines Through January 2026
Prepared By | Calderwood & Harkness LLP — Intellectual Property Group
C&H Matter No. | 1014-00005
Client | Optiwave Semiconductor Corp.
Client Address | 4710 Ridgeview Parkway, Suite 300, Santa Clara, CA 95054
Report Date | January 15, 2025
Prepared For | Marcus Whitfield, General Counsel; Sandra Koh, IP Manager / In-House Patent Counsel
Responsible Partner | Catherine Bloom (USPTO Reg. No. 58,412)
Lead Associate | Christy Bauer (USPTO Reg. No. 74,329)
Working Associate | Peter Vassiliev (USPTO Reg. No. 79,514)
Billing Partner | Alan Ngo (USPTO Reg. No. 61,877)
Classification | ATTORNEY-CLIENT PRIVILEGED / ATTORNEY WORK PRODUCT
Docket Status | DORMANT — Budget freeze (Project Lighthouse) effective August 11, 2023
Last Billable Activity | September 6, 2023 (2-month extension filed for A1, U.S. 17/672,204)
Total Pending Applications | 12
Risk Legend | RED = Absolute/imminent deadline, no further extensions available or high-urgency; YELLOW = Approaching deadline, action required within 6 months; GREEN = Deadline beyond 6 months, monitoring status
[sheet: Deadline Calendar]
Priority Rank | Risk Level | Deadline Date | Days Remaining from Jan 15 2025 | Docket Ref | Application Number | Application Type | Jurisdiction | Sub-Family | Action Required | Current Status | Extensions Purchased | Further Extensions Available | Consequence of Missing Deadline | Responsible C&H Attorney | Foreign Associate | Docketing Agent Contact | Estimated C&H Attorney Fees | Estimated Govt/Official Fees | Estimated Foreign Associate Fees | Estimated Total Cost | Notes
1 | RED | 2025-03-09 | 53 | A1 | U.S. 17/672,204 | U.S. Non-Provisional | USPTO | A — Core Modulator Architecture | Respond to Non-Final Office Action (claim amendments emphasizing tapered impedance-matching feature to distinguish over Pinnacle Optics U.S. Pat. Nos. 10,823,417 and 11,105,662) | Non-final Office Action pending; draft response incomplete (work suspended Aug. 2023 due to budget freeze) | 2-month extension purchased Sep. 6, 2023 (fee: $640, small entity rate) | NONE — All 6 months of statutory extension period consumed. This is an ABSOLUTE deadline. | Abandonment of foundational U.S. application; irrevocable loss of tapered impedance-matching design-around claim scope; OWS left exposed to Pinnacle infringement assertion with no defensive patent position; potential breach of Meridian Credit Facility Section 5.15 IP covenant; loss of ~$12.2M in pending portfolio value (per Graystone Valuation Advisors report dated Apr. 28, 2023) | Christy Bauer (Lead Associate); Catherine Bloom (Partner review) | N/A | Trident IPS — Lisa Cheng | $22,000–$30,000 (40–55 hrs at blended discounted rates) | ~$2,000 (if RCE required) or $0 (if non-final response only) | N/A | $22,000–$30,000 | HIGHEST PRIORITY. Foundational application in Sub-Family A. Claims priority to Provisional 63/297,841 (filed Jan. 10, 2022 by Kessler & Morin LLP; expired Jan. 10, 2023). Named inventors: Dr. Rajan Menon, Dr. Lena Strickland, Dr. Feng-Yi Chen, Dr. Arjun Dasgupta. FTO analysis (delivered Oct. 14, 2022) rated OWS's infringement risk of Pinnacle '417 patent as 'moderate-to-high' absent design-around features claimed in this application.
2 | RED | 2025-04-21 | 96 | B1 | U.S. 17/814,057 | U.S. Non-Provisional | USPTO | B — Electrode Fabrication Process | Respond to Restriction Requirement (elect species/invention grouping) | Restriction Requirement received; original 2-month deadline was Oct. 21, 2024 | 4-month extension purchased Oct. 18, 2024 (fee: $2,560, small entity rate) under emergency authorization from Sandra Koh (exception to Project Lighthouse freeze) | Additional extensions may be available under 37 C.F.R. § 1.136(a) up to 6 months total, but further extension fees increase and risk is high | Abandonment of electrode fabrication process application; loss of ability to file divisional B2; weakens overall patent family coverage | Christy Bauer (Lead Associate); Peter Vassiliev (Working Associate) | N/A | Trident IPS — Lisa Cheng | $4,500–$6,750 (8–12 hrs at blended discounted rates) | $0 (no USPTO fee for restriction response) | N/A | $4,500–$6,750 | Response is relatively straightforward (election of species). Once B1 restriction response is filed, divisional B2 (U.S. 17/814,103, currently a placeholder) should be filed for non-elected claims. Filed Jul. 21, 2023.
3 | YELLOW | 2025-05-17 | 122 | B3 | EP 23 741 682.3 | European Regional Phase (from PCT A4) | EPO | B — Electrode Fabrication Process | Respond to Extended European Search Report (EESR) per EPO Rules 70a, 161, 162 | EESR received Nov. 17, 2023; 6-month response deadline from deemed notification date | None purchased | Limited extension options under EPC; potential for further processing request if deadline missed, but at additional cost and uncertainty | Deemed withdrawal of European application under EPC rules; loss of European patent protection for electrode fabrication process | Peter Vassiliev (Working Associate); Catherine Bloom (Partner review) | Breitenfeld & Vogt Patentanwälte PartGmbB — Dr. Matthias Vogt (Leopoldstrasse 44, 80802 Munich, Germany) | Trident IPS — Lisa Cheng | $11,250–$16,875 (20–30 hrs at blended discounted rates) | ~€580 EPO examination fee (~$626 at ~1.08 $/€) | €3,500–€5,000 (~$3,800–$5,400) — Breitenfeld & Vogt | ~$15,676–$22,901 | Status inquiry sent to Dr. Vogt on Nov. 30, 2023. Entered EPO regional phase Jul. 5, 2023 from PCT/US2023/010584.
4 | YELLOW | 2025-07-09 | 175 | A4 | PCT/US2023/010584 | PCT International | WIPO / USPTO (RO) | A — Core Modulator Architecture | Enter national/regional phase in any remaining desired jurisdictions (e.g., South Korea, China) beyond EP and JP already entered | International phase complete; Chapter I report (ISR/WO) issued Jul. 14, 2023 | N/A — statutory deadline (30 months from Jan. 10, 2022 priority date) | NONE — 30-month deadline is absolute | Permanent forfeiture of right to enter national phase in any jurisdictions not yet entered; EP (B3) and JP (B4) already entered | Peter Vassiliev (Working Associate) | Jurisdiction-dependent (new foreign associates would be needed for additional countries) | Trident IPS — Lisa Cheng | TBD — depends on number of jurisdictions selected | TBD — national phase entry fees vary by jurisdiction | TBD — foreign associate fees vary by jurisdiction | TBD — strategic decision required on additional jurisdictions | Filed Jan. 9, 2023. Priority date: Jan. 10, 2022 (Provisional 63/297,841). OWS must decide which additional national phases, if any, to enter. Budget discussion required with Veltrano Capital Partners.
5 | YELLOW | 2025-07-09 | 175 | A5 | PCT/US2023/010612 | PCT International | WIPO / USPTO (RO) | A — Core Modulator Architecture | Enter national/regional phase in any remaining desired jurisdictions beyond EP (C2) and JP (C3) already entered | International phase complete; Chapter I report issued Aug. 2, 2023 | N/A — statutory deadline (30 months from Jan. 10, 2022 priority date) | NONE — 30-month deadline is absolute | Permanent forfeiture of right to enter national phase in any jurisdictions not yet entered; EP (C2) and JP (C3) already entered | Peter Vassiliev (Working Associate) | Jurisdiction-dependent | Trident IPS — Lisa Cheng | TBD | TBD | TBD | TBD | Filed Jan. 9, 2023. Same priority date and deadline as A4. Same strategic national-phase decision needed.
6 | GREEN | 2026-01-09 | 359 | B4 | JP 2024-542197 | Japanese National Phase (from PCT A4) | JPO | B — Electrode Fabrication Process | File examination request with JPO (3-year deadline from PCT international filing date of Jan. 9, 2023) | Entered national phase Jul. 3, 2023; hold on examination request per C&H instructions to Nakashima & Togawa (letter dated Sep. 20, 2023) | N/A — statutory deadline | NONE — 3-year deadline is absolute under Japanese Patent Act | Deemed withdrawal of Japanese application; loss of Japanese patent protection for electrode fabrication process | Peter Vassiliev (Working Associate) | Nakashima & Togawa Patent Professional Corp. — Kenji Nakashima (2-4-16 Toranomon, Minato-ku, Tokyo 105-0001, Japan) | Trident IPS — Lisa Cheng | ~$2,000–$4,000 | JPO examination request fee (varies by number of claims) | ~$1,500–$3,000 — Nakashima & Togawa | ~$5,000–$8,000 | Hold notice sent to Kenji Nakashima on Sep. 20, 2023. Must lift hold and authorize examination request well before deadline.
7 | GREEN | 2026-01-09 | 359 | C3 | JP 2024-542305 | Japanese National Phase (from PCT A5) | JPO | C — Packaging & Thermal Management | File examination request with JPO (3-year deadline from PCT international filing date of Jan. 9, 2023) | Entered national phase Jul. 8, 2023; hold on examination request per C&H instructions to Nakashima & Togawa (letter dated Sep. 20, 2023) | N/A — statutory deadline | NONE — 3-year deadline is absolute under Japanese Patent Act | Deemed withdrawal of Japanese application; loss of Japanese patent protection for packaging/thermal management technology | Peter Vassiliev (Working Associate) | Nakashima & Togawa Patent Professional Corp. — Kenji Nakashima | Trident IPS — Lisa Cheng | ~$2,000–$4,000 | JPO examination request fee | ~$1,500–$3,000 — Nakashima & Togawa | ~$5,000–$8,000 | Same hold notice as B4. Same timeline considerations.
[sheet: Non-Imminent Applications]
Docket Ref | Application Number | Application Type | Jurisdiction | Sub-Family | Filing Date | Current Status | Estimated Next Action Timing | Risk Level | Responsible C&H Attorney | Foreign Associate | Notes
A2 | U.S. 17/672,311 | U.S. Continuation | USPTO | A — Core Modulator Architecture | 2023-03-15 | Awaiting First Office Action | Est. Q2 2025 | GREEN (monitoring) | Christy Bauer | N/A | Continuation of A1 (17/672,204). No response deadline until Office Action issues. Prosecution strategy depends on outcome of A1 response.
A3 | U.S. 17/672,489 | U.S. Continuation-in-Part | USPTO | A — Core Modulator Architecture | 2023-06-22 | Awaiting First Office Action | Est. Q3 2025 | GREEN (monitoring) | Christy Bauer | N/A | CIP of A1. Contains additional tapered impedance-matching claims for design-around of Pinnacle patents. Critical for defensive IP strategy but no deadline until Office Action issues.
B2 | U.S. 17/814,103 | U.S. Divisional (of B1) — Placeholder | USPTO | B — Electrode Fabrication Process | 2023-07-21 (placeholder) | Not yet filed; to be filed upon election/restriction response in B1 | Depends on B1 response (deadline Apr. 21, 2025) | GREEN (contingent on B1) | Christy Bauer / Peter Vassiliev | N/A | Divisional application to capture non-elected claims from B1 Restriction Requirement. Filing is contingent on B1 response and species election.
C1 | U.S. 18/102,776 | U.S. Non-Provisional | USPTO | C — Packaging & Thermal Management | 2024-01-29 | Awaiting First Office Action | Est. Q4 2025 | GREEN (monitoring) | Christy Bauer | N/A | Filed under pre-freeze budget authorization just before freeze fully took effect. No response deadline until Office Action issues.
C2 | EP 23 765 901.7 | European Regional Phase (from PCT A5) | EPO | C — Packaging & Thermal Management | 2023-07-08 | Rule 161/162 response filed Sep. 1, 2023; awaiting EESR | Est. mid-2025 | GREEN (monitoring) | Peter Vassiliev | Breitenfeld & Vogt Patentanwälte PartGmbB — Dr. Matthias Vogt | Rule 161/162 response was filed by C&H through B&V on Sep. 1, 2023 (before freeze impact). EESR expected mid-2025; response deadline will follow.
[sheet: Cost Summary]
Category | Docket Refs Covered | Estimated C&H Attorney Fees Low | Estimated C&H Attorney Fees High | Estimated Govt/Official Fees Low | Estimated Govt/Official Fees High | Estimated Foreign Associate Fees Low | Estimated Foreign Associate Fees High | Estimated Total Cost Low | Estimated Total Cost High | Notes
A1 — Office Action Response (CRITICAL) | A1 | $22,000 | $30,000 | $0 | $2,000 | $0 | $0 | $22,000 | $32,000 | Absolute deadline Mar. 9, 2025. Govt fee of ~$2,000 only if RCE required. 40–55 attorney hours at blended discounted rates (Partner $805.50/hr, Sr. Associate $562.50/hr, Associate $427.50/hr per 10% volume discount).
B1 — Restriction Requirement Response | B1 | $4,500 | $6,750 | $0 | $0 | $0 | $0 | $4,500 | $6,750 | Deadline Apr. 21, 2025. 8–12 attorney hours. No USPTO fee for restriction response.
B3 — EPO EESR Response | B3 | $11,250 | $16,875 | $626 | $626 | $3,800 | $5,400 | $15,676 | $22,901 | Deadline May 17, 2025. 20–30 attorney hours. EPO examination fee ~€580 (~$626). B&V foreign associate fees €3,500–€5,000 (~$3,800–$5,400 at ~1.08 $/€).
A4 & A5 — PCT National Phase Entries (if additional jurisdictions elected) | A4, A5 | TBD | TBD | TBD | TBD | TBD | TBD | TBD | TBD | Deadline Jul. 9, 2025. Costs depend entirely on number and identity of jurisdictions selected. Strategic decision pending client and Veltrano authorization.
B4 — JPO Examination Request | B4 | $2,000 | $4,000 | TBD | TBD | $1,500 | $3,000 | $5,000 | $8,000 | Deadline Jan. 9, 2026. Nakashima & Togawa to file. JPO fees vary by claims.
C3 — JPO Examination Request | C3 | $2,000 | $4,000 | TBD | TBD | $1,500 | $3,000 | $5,000 | $8,000 | Deadline Jan. 9, 2026. Same foreign associate and fee structure as B4.
SUBTOTAL — Known Quantifiable Actions (excl. A4/A5 national phase) | A1, B1, B3, B4, C3 | $41,750 | $61,625 | $626 | $2,626 | $6,800 | $11,400 | $52,176 | $77,651 | Excludes PCT national-phase entry costs for A4/A5 (TBD).
MEMO: Full Docket Reactivation Estimate (all 12 apps through mid-2026) | A1–C3 (all 12) | $185,000 | $245,000 | incl. below | incl. below | incl. below | incl. below | $220,000 | $295,000 | Per Budget Reactivation Proposal Memorandum. Includes $185K–$245K C&H attorney fees + $35K–$50K govt/foreign associate fees.
MEMO: Project Lighthouse Quarterly IP Spend Cap | N/A | $25,000 | $25,000 | N/A | N/A | N/A | N/A | $25,000 | $25,000 | Veltrano Capital Partners budget freeze effective Aug. 11, 2023. Pre-freeze avg. quarterly C&H spend was $87,400. Cap exceeded by $62,400/quarter.
MEMO: Outstanding C&H A/R (unbilled WIP + unpaid invoices) | N/A | N/A | N/A | N/A | N/A | N/A | N/A | $56,958.50 | $56,958.50 | $34,218.50 unbilled WIP + $22,740.00 unpaid invoices (Inv. Nos. 2023-07-04187 & 2023-08-04187). Resolution needed before or concurrent with reactivation.
[sheet: Key Contacts]
Role | Organization | Contact Name | Title | Address | Relevant Applications
Client — General Counsel | Optiwave Semiconductor Corp. | Marcus Whitfield | General Counsel | 4710 Ridgeview Parkway, Suite 300, Santa Clara, CA 95054 | All
Client — IP Manager | Optiwave Semiconductor Corp. | Sandra Koh | IP Manager / In-House Patent Counsel | 4710 Ridgeview Parkway, Suite 300, Santa Clara, CA 95054 | All
Client — CFO | Optiwave Semiconductor Corp. | Daniel Everhart | Chief Financial Officer | 4710 Ridgeview Parkway, Suite 300, Santa Clara, CA 95054 | Budget authorizations
PE Sponsor — Operating Partner | Harborview Partners | Christine Paulsen | Operating Partner, Technology Sector | 200 Lexington Avenue, 38th Floor, New York, NY 10016 | Budget reactivation approval
PE Sponsor — Managing Partner | Harborview Partners | Theodore "Ted" Hargrove | Managing Partner | 200 Lexington Avenue, 38th Floor, New York, NY 10016 | Budget reactivation approval
C&H — Responsible Partner | Calderwood & Harkness LLP | Catherine Bloom | Partner, IP Group (USPTO Reg. No. 58,412) | 555 California Street, 42nd Floor, San Francisco, CA 94104 | All
C&H — Billing Partner | Calderwood & Harkness LLP | Alan Ngo | Partner, IP Group (USPTO Reg. No. 61,877) | 555 California Street, 42nd Floor, San Francisco, CA 94104 | All (billing)
C&H — Lead Associate | Calderwood & Harkness LLP | Christy Bauer | Associate, IP Group (USPTO Reg. No. 74,329) | 555 California Street, 42nd Floor, San Francisco, CA 94104 | A1, A2, A3, B1, B2, C1
C&H — Working Associate | Calderwood & Harkness LLP | Peter Vassiliev | Associate, IP Group (USPTO Reg. No. 79,514) | 555 California Street, 42nd Floor, San Francisco, CA 94104 | A4, A5, B3, B4, C2, C3
Docketing Agent | Trident intellectual Property Services, LLC | Lisa Cheng | Account Manager (OWS) | 9800 Northwest Freeway, Suite 420, Houston, TX 77092 | All
European Foreign Associate | Breitenfeld & Vogt Patentanwälte PartGmbB | Dr. Matthias Vogt | Lead Attorney | Leopoldstrasse 44, 80802 Munich, Germany | B3 (EP 23 741 682.3), C2 (EP 23 765 901.7)
Japanese Foreign Associate | Nakashima & Togawa Patent Professional Corp. | Kenji Nakashima | Lead Attorney | 2-4-16 Toranomon, Minato-ku, Tokyo 105-0001, Japan | B4 (JP 2024-542197), C3 (JP 2024-542305)
Lender — Relationship Manager | Meridian National Bank, N.A. | Brian Hartwell | Relationship Manager | 600 Travis Street, Houston, TX 77002 | IP covenant compliance (Section 5.15, $55M Revolving Credit Facility; $32.5M drawn as of Dec. 31, 2024)
IP Valuation Firm | Graystone Valuation Advisors, LLC | Rebecca Thornton | Lead Engagement Partner | 150 North Wacker Drive, Suite 2200, Chicago, IL 60606 | Portfolio valuation reference ($38.5M total; $12.2M pending apps, dated Apr. 28, 2023)
[sheet: Lender & Valuation Context]
Item | Detail
Credit Facility | Meridian National Bank, N.A. — $55M Senior Secured Revolving Credit Facility
Original Date | September 30, 2020
Amended & Restated | March 15, 2022
Outstanding Balance (Dec. 31, 2024) | $32.5M drawn ($22.5M undrawn)
Section 5.15 — IP Covenant | OWS shall 'maintain, preserve, and protect all Material intellectual Property, including by timely prosecuting all pending patent applications and paying all required maintenance fees'
Material intellectual Property (Sec. 1.01) | Defined to include 'all patents and patent applications listed on Schedule 5.15(a), as updated from time to time'
Schedule 5.15(a) Last Updated | March 15, 2022 — lists 31 issued U.S. patents + Provisional 63/297,841; the 12 current applications post-date the schedule but may fall within the general covenant language
Security Agreement (Exhibit C) | Grants Meridian a first-priority security interest in all 'intellectual Property Collateral' including 'all patents, patent applications, and patent rights, whether now existing or hereafter acquired'
Covenant Default Risk | Allowing applications to go abandoned could constitute a default under Section 5.15; C&H lender covenant compliance analysis dated Jan. 22, 2025 addresses this risk
Draft Lender Notification | Draft notice to Brian Hartwell (Meridian) prepared Jan. 25, 2025 for Marcus Whitfield's signature, re potential impact of budget constraints on patent prosecution obligations
Graystone Portfolio Valuation — Total | $38.5M (as of April 28, 2023)
Graystone — Pending Application Family Value | $12.2M (~31.7% of total portfolio value)
Graystone — Issued Patent Value | $26.3M ($38.5M – $12.2M)
Competitive Risk — Pinnacle Optics, Inc. | Holder of U.S. Pat. Nos. 10,823,417 (issued Nov. 3, 2020) and 11,105,662 (issued Aug. 31, 2021) — Blocking patents in silicon-photonic modulator space; OWS's pending claims (esp. A1 and A3) designed to claim around Pinnacle's electrode-segmentation geometry via tapered impedance-matching feature
Pinnacle Outside Counsel | Cavanaugh Holt & Sayer LLP (Lead Partner: Grant Sayer), 1300 I Street NW, Suite 900, Washington, DC 20005