1
EXHIBIT 10.22
INTELLECTUAL PROPERTY AGREEMENT
AMONG
LUCENT TECHNOLOGIES INC.,
AT&T PARADYNE CORPORATION
AND
CAP ACQUISITION CORP.
2
TABLE OF CONTENTS
ARTICLE 1 DEFINITIONS
ARTICLE 2 ASSIGNMENT OF A-PATENTS AND LICENSE GRANT TO LUCENT
ARTICLE 3 LICENSE GRANTS TO PARADYNE AND CAPCo
ARTICLE 4 AT&T COMPANIES, PRIOR AGREEMENTS
ARTICLE 5 ROYALTY AND REPORTING
ARTICLE 6 PARADYNE PROGRAMS
ARTICLE 7 KNOW-HOW AND OTHER INTELLECTUAL PROPERTY
ARTICLE 8 TRADEMARKS
ARTICLE 9 MISCELLANEOUS
ARTICLE 10 CONFIDENTIALITY
ARTICLE 11 INDEMNIFICATION
APPENDIX A A-PATENTS AND PATENT APPLICATIONS
APPENDIX B-1 paradyne trademarks
APPENDIX B-2 TRADEMARK ASSIGNMENT AGREEMENT (AT&T PARADYNE CORPORATION to
LUCENT TECHNOLOGIES INC.)
APPENDIX C PARADYNE PRODUCTS
APPENDIX D THIRD PARTY LICENSES
APPENDIX E IMMUNITY PATENTS AND APPLICATIONS
APPENDIX F KNOWN REEXAMINATIONS AND OTHER
APPENDIX G MEMBERS OF "KNOWLEDGE" GROUP
APPENDIX H CERTAIN LEGAL PROCEEDINGS
i
3
INTELLECTUAL PROPERTY AGREEMENT
This Intellectual Property Agreement (hereinafter referred to as the
"Intellectual Property Agreement") is being entered into as of July 31, 1996, by
and among: LUCENT TECHNOLOGIES INC., a corporation of the State of Delaware
(hereinafter referred to as "LUCENT"), AT&T PARADYNE CORPORATION, a corporation
of the State of Delaware (hereinafter referred to as "PARADYNE"), and CAP
ACQUISITION CORP., a corporation of the State of Delaware (hereinafter referred
to as "CAPCo").
This Intellectual Property Agreement is Exhibit K to the Purchase Agreement
(hereinafter referred to as the "Purchase Agreement"), dated June 18, 1996,
among LUCENT, PARADYNE, CAPCo, PARADYNE PARTNERS, L.P., a Delaware limited
partnership, PARADYNE ACQUISITION CORP., a Delaware corporation (hereinafter
referred to as "BUYER"), and RENTAL ACQUISITION CORP., a Delaware corporation
and a wholly owned subsidiary of BUYER (hereinafter referred to as "RentalCo"),
and LEASE ACQUISITION CORP., a Delaware corporation, and shall become effective
as of the Closing Date as specified in the Purchase Agreement.
WHEREAS, LUCENT has agreed to sell and BUYER has agreed to buy PARADYNE
pursuant to the Purchase Agreement; and
WHEREAS Section 1.3(a) of the Purchase Agreement provides for an
Intellectual Property Agreement between the parties hereto.
NOW, THEREFORE, it is hereby agreed by and among the parties as follows:
ARTICLE 1
DEFINITIONS
Capitalized terms without definition in this intellectual Property
Agreement shall have the meanings assigned to them in the Purchase Agreement. As
used herein, the following terms have the following meanings:
1.1 "Affiliated Companies" shall mean, with respect to a party hereto or
any other entity, any and all direct and indirect Subsidiaries of such party or
entity, plus any other company or entity mutually agreed to in writing by the
parties hereto. "Affiliated Companies" shall also include a parent directly or
indirectly owning more than fifty percent (50%) of the voting shares of such
party or entity, or otherwise owning more than fifty percent (50%) of the
ownership interest representing the right to manage such party or other entity.
1.2 "A-Patents" shall mean collectively" CAP A-Patents" and "Non-CAP
A-Patents".
1.3 "LUCENT ETC Patents" shall mean the Patents which are listed in
Appendix E under "ETC Technology".
2
4
1.4 "LUCENT CAP Patents" shall mean the Patents which are listed in
Appendix E under "CAP Technology".
1.5 "LUCENT Patents" shall mean every Patent (including utility models,
but excluding design patents and design registrations other than those design
patents and design registrations incorporated in Products the design or
development of which was substantially complete as of the Closing Date) issued
in any country of the world on patent applications filed prior to the Closing
Date with respect to which LUCENT:
(i) prior to the Closing Date has ownership or control; and
(ii) as of the Closing Date otherwise has the right to grant any
licenses of the type herein granted by LUCENT.
1.6 "LUCENT VoiceSpan Patents" shall mean the Patents which are listed in
Appendix E under "VoiceSpan Technology."
1.7 "CAP A-Patents" shall mean the Patents and Patent applications listed
in Appendix A under "CAP A-Patents", and which are owned by LUCENT and which are
assigned to CAPCo pursuant to Article 2 hereof. The list of CAP A-Patents shall
be updated from time to time, upon mutual agreement of the parties, until the
Closing Date.
1.8 "CAP Technology" shall mean the carrier-less amplitude/phase
modulation technique, commonly referred to as CAP, using a bandwidth efficient,
two-dimensional passband line code which is derived from quadrature-amplitude
modulation (CAM), applicable to data transmission on various media (e.g.,
copper, coax, fiber and wireless) and able to support a wide range of speeds as
developed and licensed by PARADYNE and/or CAPCo and in existence prior to six
(6) months after the Closing Date.
1.9 "Closing Date" shall have the meaning assigned to it in Section 1.9(a)
of the Purchase Agreement.
1.10 "Derivative Work" shall mean any work based upon one or more
pre-existing works, such as a translation, abridgment, condensation or any other
form in which such preexisting works may be recast, transformed or adapted and
which, if prepared without authorization of the owner of the copyright in such
pre-existing work, would constitute a copyright infringement. For purposes of
this Intellectual Property Agreement, a "Derivative Work" shall also include any
compilation that incorporates such a pre-existing work.
1.11 "ETC Technology" shall mean the PARADYNE-owned proprietary protocol,
commonly referred to as "ETC", as developed and licensed by PARADYNE and in
existence prior to six (6) months after the Closing Date, providing improved
data transmission over cellular communications links and other wireless
channels. ETC is described in the "Enhanced Throughput Cellular" (ETC) Release
1.0 Specifications, Document Revision 2, dated December 30, 1993. ETC is further
defined to cover all future revisions of the specification and any derivative
protocols resulting from modifications to ETC as they relate to ▇.▇▇▇▇▇,
▇.▇▇▇▇▇▇▇ or V.34 modulations all of the foregoing as developed and licensed by
PARADYNE and in existence prior to six (6) months after the Closing Date.
3
5
1.12 "Essential Patents" shall mean Patents which . claim inventions which
are incorporated in the technical information as provided by PARADYNE and/or
CAPCo in its licensing program(s), and which are necessary for the use of the
technical information to manufacture the articles licensed thereby.
1.13 "Hair Market Value" shall mean, with respect to any item sold. leased
or put into use, the greater of (i) the selling price which a seller would
realize from an unaffiliated buyer in an arm's length sale of an identical item
in the same quantity and at the same time and place as such sale, lease or
putting into use; or (ii) the selling price actually obtained for such item in
the form in which it is sold, whether or not assembled (and without excluding
therefrom any components or subassemblies thereof which are included in such
selling price). In determining "selling price", usual trade discounts actually
allowed to unaffiliated persons or entities and Products provided for
demonstration and/or promotional programs shall be excluded.
1.14 "Know-how" shall mean each party's ideas, concepts, know-how,
techniques, technical and commercial information, data and documents of whatever
kind, including drawings, specifications, photographs, samples, models,
processes, procedures, reports and correspondence, including works of authorship
embodying the foregoing, all of which relate to the Products.
1.15 "Knowledge" - a fact or other matter shall be deemed to be within the
"Knowledge of LUCENT and PARADYNE" if such fact or other matter is within the
actual knowledge of any of the individuals identified in Appendix G.
1.16 "Licensed Product" shall mean any Product specified by PARADYNE
pursuant to Section 5.1.
1.17 "Manufacturing Invention" shall mean an invention which is directed to
a process for manufacturing Semiconductive Devices. The term Manufacturing
Invention includes, but is not limited to: (1) depositing, growing, shaping,
etching, polishing, heating, annealing, irradiating, implanting, patterning, or
diffusing, cutting, sawing or dicing (2) housing, sealing, or encapsulating, or
(3) testing or measuring Semiconductive Devices, as well as (4) any apparatus
useful in implementing such a process.
1.18 "Non-CAP A-Patents" shall mean those Patents and Patent applications
listed in Appendix A under Non-CAP A-Patents", and which are owned by LUCENT and
which are assigned to PARADYNE pursuant to Article 2 hereof. The list of Non-CAP
A-Patents shall be updated from time to time, upon mutual agreement of the
parties, until the Closing Date.
1.19 "Other Intellectual Property" shall mean all other intellectual
property of PARADYNE which is not otherwise described herein, including all
copyrights and copyrightable information, software, microcode and firmware (in
both annotated source and object code), flowcharts, manuals, outlines, models,
designs and plans, in existence as of the Closing Date.
1.20 "PARADYNE CAP Patents" shall mean the Patents and Patent applications
listed in Appendix A under the heading "PARADYNE CAP Patents" which are those
Patents and Patent applications that are assigned to PARADYNE hereunder, and/or
were owned by PARADYNE prior to the Closing Date.
4
6
1.21 "PARADYNE Design" shall mean the manufacturing design, drawings and/or
specifications for any Product for which such manufacturing design, drawings
and/or specifications are originated by or owned by PARADYNE and/or CAPCo.
1.22 "PARADYNE Non-CAP Patents" shall mean the Patents and Patent
applications listed in Appendix A under the heading "PARADYNE Non-CAP Patents"
which are those Patents and Patent applications that are assigned to PARADYNE
hereunder and/or were owned by PARADYNE prior to the Closing Date.
1.23 "PARADYNE Patents" shall mean the PARADYNE CAP Patents and the
PARADYNE Non-CAP Patents.
1.24 "PARADYNE Trademarks" shall mean those trademarks owned by PARADYNE
which are listed in Appendix B-1 to this Intellectual Property Agreement.
1.25 "Patents" shall mean patents, utility models and applications
therefor, including any and all divisionals, continuations, re-examinations,
renewals, provisionals, continuations-in-part, re-issues, in existence as of the
Closing Date and foreign equivalents thereof.
1.26 "PARADYNE Products" shall mean the products of PARADYNE and/or CAPCo
on sale as of the Closing Date or in development as of the Closing Date and for
which there has been at least one (1) sale, lease, rental, license or other
transfer prior to one (1) year from the Closing Date and also products listed in
Appendix C, for which there has been at least one (1) sale, lease, rental,
license or other transfer prior to three (3) years from the Closing Date. The
term shall not include chips other than components of system and board-level
PARADYNE and/or CAPCo Products for which the manufacturing drawings and
specifications are originated by, owned by, licensed to, or created for PARADYNE
and/or CAPCo for the sale of such components to entities which incorporate such
chips into system or board-level products or to distributors which resell
products and provided the sales of such chips by PARADYNE or by CAPCo do not
exceed ten percent (10%) of PARADYNE's (in the case of sales by PARADYNE) or
CAPCo's (in the case of sales by CAPCo) total revenue for any given year. The
term does not include: (1) any other chips or chipsets, or (2) the offering of
Telecommunications Services. Sales and/or licenses of CAP components under the
CAP Technology licensing program by PARADYNE and/or CAPCo are not subject to the
chip sales limitation above.
1.27 "Product(s)" shall mean PARADYNE Products and/or Progeny Products.
1.28 "Progeny Products" shall mean future modified versions of Products
that do not make use of additional LUCENT Patents.
1.29 "Semiconductive Device" shall mean an electronic or optoelectronic
device which includes a semiconductive material as an operable part thereof. The
term includes, but is not limited to: (1) transistors, diodes, capacitors,
resistors, inductors, conductors, and dielectrics; (2) discrete devices; (3)
integrated circuits whether separate from one another or integral with a wafer
and severable therefrom and which are designed to perform a particular function
or set of functions; (4) chips which include a plurality of such devices or one
or more of
5
7
such integrated circuits and which are designed to perform a particular function
or set of functions; (5) chipsets sold as a plurality of such chips that are
capable of being interconnected as a combination designed to perform a
particular function or set of functions, and, if provided therewith; (6)
supporting members, terminal members, housings, and any environmental
controlling apparatus included within such housing or unitary therewith.
1.30 "Subsidiary" shall, with respect to a company, mean a corporation
(other than a party hereto) or other legal entity: (i) the majority of whose
shares or other securities entitled to vote for election of directors (or other
managing authority) is now or hereafter owned or controlled by such company
either directly or indirectly; or (ii) which does not have outstanding publicly
traded shares or securities, but the majority of whose ownership interest
representing the right to manage such corporation or other legal entity is now
or hereafter owned and controlled by such company either directly or indirectly;
but any such corporation or the other legal entity shall be deemed to be a
Subsidiary of such company only as long as such ownership or control exists
except as otherwise expressly provided herein.
1.31 "Telecommunications Services" shall mean the operation of a
communications network to provide communication, services to customers,
including the processing of information, to the extent needed to transfer
information between locations. The term "Telecommunications Services" includes
on-line and Internet services, and wireless services, whether fixed or mobile.
The term Telecommunications Services does not mean the sale manufacture,
marketing, lease, rental, license or other transfer of products that are used in
the provision of the Telecommunications Services.
1.32 "VoiceSpan Technology" shall mean the set of technologies commonly
referred to as "VoiceSpan" or "SVD", and utilizing quadrature addition of
sampled analog voice to QAM modems for the simultaneous transmission of voice
and data over the public switched telephone network as developed and licensed by
PARADYNE and in existence prior to six (6) months after the Closing Date.
1.33 "Mocha Technology" shall mean the PARADYNE-owned high speed modem
technology which utilizes clocking in the digital network to achieve speeds
greater than 33.4 Kbs in one direction, combined with V.34 communication in the
other direction.
1.34 "Hypermodem Technology" shall mean the PARADYNE-owned QAM-based
technology for combining high speed non-switched data service up to 384 Kbs to
the central office with simultaneous or alternating access to public switched
telephone network service using standard dial modem protocols on ordinary two
wire-connections.
ARTICLE 2
ASSIGNMENT OF A-PATENTS AND LICENSE GRANT TO LUCENT
2.1 LUCENT hereby irrevocably assigns, conveys and delivers to PARADYNE,
its successors, assigns and legal representatives, all right, title and interest
in and to Non-CAP A-Patents, and all rights and privileges relating thereto
including but not limited to the right to recover and take all such proceedings
as may be necessary for the recovery of
6
8
damages or otherwise in respect of present and future infringement of any
patent(s) issuing thereon. Such assignment shall be subject to other
non-exclusive license agreements between LUCENT, or its Affiliated Companies,
and third parties under such Non-CAP A-Patent(s), which license agreements have
an effective date prior to the Closing Date, or which are replacement agreements
replacing other license agreements to the extent that such replacement
agreements are of the same scope, and have the same expiration date and terms of
termination, with respect to such subject patent(s) as the replaced license
agreements.
2.2 LUCENT hereby irrevocably assigns, conveys and delivers to CAPCo, its
successors, assigns and legal representatives, all right, title and interest in
and to CAP A-Patents, and all rights and privileges relating thereto including
but not limited to the right to recover and take all such proceedings as may be
necessary for the recovery of damages or otherwise in respect of present and
future infringement of any patent(s) issuing thereon. Such assignment shall be
subject to other non-exclusive license agreements between LUCENT, or its
Affiliated Companies, and third parties under such CAP A-Patent(s), which
license agreements have an effective date prior to the Closing Date, or which
are replacement agreements replacing other license agreements to the extent that
such replacement agreements are of the same scope, and have the same expiration
date and terms of termination, with respect to such patent(s) as the replaced
license agreements.
2.3 Any royalties, rights or other value paid or transferred to LUCENT or
its Affiliated Companies pursuant to such preexisting agreements referred to in
Sections 2.1 and 2.2 shall remain with LUCENT or its Affiliated Companies and
any such royalties, rights or values to be paid or transferred pursuant to such
preexisting license agreements or such replacement agreements after the Closing
Date shall continue to be paid or transferred to LUCENT or its Affiliated
Companies. Notwithstanding anything herein to the contrary, such royalties,
rights or other values in respect of such preexisting agreements shall not
include right to use fees, or additional revenue, rights or other value payable
or receivable as a consequence of agreements entered into between PARADYNE and
others with respect to CAP Technology, ETC Technology, Voicespan Technology,
Mocha Technology, and/or Hypermodem Technology.
2.4 PARADYNE hereby grants to LUCENT a non-exclusive, non-transferable,
irrevocable, world-wide, royalty-free license, under the Non-CAP A-Patents and
the PARADYNE Patents, but excluding the right to grant sublicenses (except to
Subsidiaries of LUCENT and except as provided for in Section 9.11) under the
Non-CAP A-Patents and the PARADYNE Patents. CAPCo hereby grants to LUCENT a
nonexclusive, non-transferable, irrevocable, world-wide, royalty free license,
under the CAP A-Patents, but excluding the right to grant sublicenses (except to
Subsidiaries of LUCENT and except as provided for in Section 9.11) under the CAP
A-Patents.
(a) All Patent licenses granted by PARADYNE and CAPCo pursuant to
Section 2.4 shall continue for the entire unexpired term of such Patents.
(b) The Patent licenses granted in this Section 2.4 by PARADYNE and
CAPCo to LUCENT are licenses to: (i) make, have made, use, lease, sell, offer
for sale and import products and offer services; (ii) make, have made, use,
lease, sell, offer for sale and import machines, tools,
7
9
materials and other instrumentalities, insofar as such machines, tools,
materials and other instrumentalities are involved in or incidental to the
development, manufacture, testing or repair of such products which are, or have
been, or are to be made, used, leased, sold, offered for sale or imported by or
on behalf of LUCENT; and (iii) convey to any customer of LUCENT with respect to
any such product which is sold or leased by LUCENT to such customer, rights to
use, lease and resell such product as sold or leased by LUCENT (whether or not
as part of a larger combination); provided, however, that no rights may be
conveyed to customers with respect to any invention which is directed to: (1) a
combination of such product (as sold or leased) with any other product; (2) a
method or process which is other than the inherent use of such product itself
(as sold or leased); or (3) a method or process involving the use of a product
to manufacture (including associated testing) any other product.
2.5 Notwithstanding the foregoing, PARADYNE and CAPCo understand and
agree that LUCENT has been conducting license negotiations with the following
companies for licenses to such companies of A-Patents now owned by LUCENT and
the PARADYNE Patents, including the Non-CAP A-Patents, the CAP A-Patents, the
PARADYNE CAP Patents and the PARADYNE Non-CAP Patents:
(i) Creative Technology, Ltd.
(ii) Cirrus Logic, Inc.
(iii) Tatung Company
(iv) CalComp Electronics
(v) Acer Peripherals, Inc.
(vi) GVC Corporation
(vii) TECO Information Systems, Inc.
(viii) Tecom Company, Ltd.
(ix) ▇▇▇▇▇ Computer Corporation
(x) Longshine Electronics Corporation
(xi) Motorola, Inc.
(xii) Ricoh, Ltd.
(xiii) Canon
(xiv) Brother Industries Ltd.
(xv) Murata Manufacturing Co., Ltd.
(xvi) The General Electric Co., P.L.C.
(xvii) Advanced Micro Devices
(xviii) Sierra Semiconductor Corporation
2.6 (a) PARADYNE and CAPCo agree that LUCENT may continue such
negotiations only with respect to Non-CAP A-Patents and the PARADYNE Non-CAP
Patents for a period not to exceed twelve (12) months from the Closing Date, and
during such twelve (12) month period may grant sublicenses under the Non-CAP
A-Patents and the PARADYNE Non-CAP Patents to the foregoing companies, without
any payment to PARADYNE or CAPCo, provided: (1) such sublicenses are
substantially the same in scope and duration as licenses granted by LUCENT of
similar technology to similar companies in the past; (2) LUCENT shall use
reasonable efforts to ensure that the rights and licenses obtained by LUCENT, if
any, pursuant to the foregoing licenses granted above are extended to PARADYNE
to the extent such rights and licenses would be useful or desirable in
PARADYNE's businesses; and (3) LUCENT makes summaries of such sublicenses
available to PARADYNE under reasonable and
8
10
appropriate confidentiality terms, which summaries shall contain sufficient
detail to enable PARADYNE to understand the scope of the sublicenses granted to
such companies under the A-Patents, and the scope of the rights and licenses
granted to PARADYNE, and LUCENT agrees to notify PARADYNE when such sublicense
agreements are entered into.
(b) After the Closing Date, CAPCo will, on a case-by-case basis,
consider making the CAP A-Patents and the PARADYNE CAP Patents available for
LUCENT to sublicense to the companies listed in Section 2.5. Any permission
granted to LUCENT for the licensing of CAP A-Patents and PARADYNE CAP Patents
shall be beforehand and in writing and any licenses entered into by LUCENT shall
be in accordance with the provisions specified in Section 2.6(a).
2.7 PARADYNE (and, if permission is granted as per Section 2.6(b), CAPCo)
further agrees that LUCENT may enter into replacement sublicense agreements with
the foregoing companies, also without payment to PARADYNE (or CAPCo), provided
the terms of such replacement sublicense agreements are substantially the same
in scope, and have the same expiration date and terms of termination, with
respect to the Non-CAP A-Patents and/or PARADYNE's Non-CAP patents (and, if
authorized in accordance with the foregoing, CAP Patents and/or PARADYNE CAP
Patents) as the original sublicense agreements entered into with such companies
pursuant to Section 2.6 hereof, and further provided that with respect to any
such replacement sublicense agreements that LUCENT fulfills the conditions
described in Sections 2.6(a)(1), 2.6(a)(2) and 2.6(a)(3)
2.8 PARADYNE and CAPCo shall bear any and all administrative and similar
costs external to LUCENT related to the assignment of the A-Patents from LUCENT
to PARADYNE and CAPCo pursuant to Sections 2.1 and 2.2 above, but not including
legal fees, if any, incurred by LUCENT, and not including those costs related to
LUCENT's fulfilling its obligations described in Section 9.19 hereof which
obligations include solely the recording in the U.S. Patent Office the
assignment from AT&T to LUCENT of U.S. CAP A-Patents and non-CAP A-Patents.
LUCENT shall execute all documents and perform all acts as required for the
assignment of the A-Patents to PARADYNE and CAPCo under this Intellectual
Property Agreement.
2.9 PARADYNE and CAPCo shall bear all costs of prosecution and maintenance
of the A-Patents and the PARADYNE Patents arising after sixty (60) days from the
Closing Date. Notwithstanding the foregoing, PARADYNE and/or CAPCo shall have
the right to abandon or modify any Patent application at their sole discretion
and without notice to, or consent from, LUCENT. LUCENT shall continue to
maintain the A-Patents and the PARADYNE Patents for 60 days after Closing;
provided, however, that PARADYNE and/or CAPCo shall promptly reimburse LUCENT
for any maintenance or similar fees expended by LUCENT in connection with such
maintenance.
2.10 In the event PARADYNE and/or CAPCo and their successors and assigns
undertake to enforce or authorize any person to enforce any of the PARADYNE
Patents or the A-Patents assigned to it under Section 2.1 and/or Section 2.2
above against a third party, upon written request from PARADYNE and or CAPCo,
LUCENT shall, to the best of its knowledge, inform PARADYNE and/or CAPCo in
writing within sixty (60) days following receipt of such
9
11
request whether or not that third party can claim rights under the A-Patents
granted by LUCENT, and to the extent possible without beach of confidentiality,
shall describe in reasonable detail the nature of such rights.
2.11 If any party should discover an infringement of another party's
patents, the party becoming aware of such infringement will use reasonable
efforts to inform the party whose patent is alleged to be infringed.
2.12 To the extent that the enforceability of, or title to, any Patents
owned by PARADYNE and/or CAPCo, and licensed as set forth in Sections 2.4, 2.6
and 2.7 become the subject of controversy arising from any such preexisting
agreement, sublicense or replacement sublicense agreement, as the case may be,
LUCENT shall promptly notify PARADYNE and/or CAPCo thereof. PARADYNE and/or
CAPCo shall have the right itself, or through counsel of its choice, and at its
own expense, to participate in such controversy, including any litigation which
may arise in connection therewith. LUCENT shall not settle any such controversy
or litigation (to the extent such settlement may adversely affect the
enforceability of any such Patent) without the written agreement of PARADYNE
and/or CAPCo as the case may be.
ARTICLE 3
LICENSE GRANTS TO PARADYNE AND CAPCo
3.1 LUCENT hereby grants individually to PARADYNE and to CAPCo (hereafter
referred to as the PARADYNE Companies") a non-exclusive, non-transferable,
irrevocable, worldwide, royalty-free (except as provided in Section 3.7),
license, excluding the right to grant sublicenses (except to Subsidiaries of
PARADYNE Companies, and except as provided in Section 9.11), under LUCENT
Patents for Products, except as provided for in Sections 3.4 and 6.2(b).
3.2 The PARADYNE Companies hereby grant to LUCENT a non-exclusive,
nontransferable, irrevocable, worldwide, royalty-free license, excluding the
right to grant sublicenses (except to LUCENT's Subsidiaries, and except as
provided in Section 9.11), under PARADYNE's and CAPCo's Know-How currently in
possession of LUCENT or its Subsidiaries, solely and exclusively to the extent
reasonably necessary for LUCENT to exercise its rights and licenses hereunder.
3.3 LUCENT hereby grants to the PARADYNE Companies a non-exclusive,
nontransferable, irrevocable, worldwide, fully paid-up license, excluding the
right to grant sublicenses (except to the PARADYNE Companies' Subsidiaries, and
except as provided in Section 3.11) under LUCENT's Know-How currently in
PARADYNE Companies' possession, or in the possession of their Subsidiaries
solely and exclusively to the extent reasonably necessary for the PARADYNE
Companies to exercise their rights and licenses hereunder.
3.4 PARADYNE Companies do not have the right to make or have made
Semiconductive Devices of system and board-level Products under LUCENT Patents
relating to Manufacturing Inventions. PARADYNE Companies' make and have made
rights are limited to a PARADYNE Design.
10
12
3.5 (a) All Patent licenses granted herein by LUCENT pursuant to Section
3.1 shall continue for the entire unexpired term of such Patents, and for
Patents other than U.S. Patents, for as much of such term as LUCENT initially
has the right to grant.
(b) The Patent licenses granted in this Article 3 by LUCENT to
PARADYNE Companies are licenses to: (i) make, have made, use, lease, sell, offer
for sale and import Products and offer services other than Telecommunications
Services; (ii) make, have made, use lease, sell, offer for sale and import
machines, tools, materials and other instrumentalities, insofar as such
machines, tools, materials and other instrumentalities are involved in or
incidental to the development, manufacture, testing or repair of such Products
which are, or have been, or are to be made, used, leased, sold, offered for sale
or imported by or on behalf of PARADYNE Companies; and (iii) convey to any
customer of PARADYNE Companies with respect to any such Product which is sold or
leased by PARADYNE Companies to such customer, rights to use, lease and resell
Product such as sold or leased by PARADYNE Companies (whether or not as part of
a larger combination); provided, however, that no rights may be conveyed to
customers with respect to any invention which is directed to: (1) a combination
of such Product (as sold or leased) with any other product; (2) a method or
process which is other than the inherent use of such Product itself (as sold or
leased); or (3) a method or process involving the use of a Product to
manufacture (including associated testing) any other product.
(c) If the Incremental improvement of a Product results in the use of
a new patent, such Product will continue to be properly licensed under all
Patents which were used in the Product prior to such improvement; provided,
however, that in negotiating license fees for any such new patent LUCENT will
give weight to the fact that the Product is already licensed under other
Patents.
3.6 Licenses granted herein by LUCENT to PARADYNE or CAPCo and by PARADYNE
or CAPCo to LUCENT are not to be construed as consent by either LUCENT,
PARADYNE, CAPCo or any of their Subsidiaries to any act which may be performed
by the other except to the extent allowed by a Patent licensed herein.
3.7 Notwithstanding anything to the contrary in this Article 3, the
license granted by LUCENT pursuant to Section 3.1 shall, with respect to the
Products of the businesses (or parts thereof' sold pursuant to Section 3.7(i)
below, cease to be royalty-free, and shall become subject to a royalty, to be
paid pursuant to Article 5, if and only if all of the following conditions are
met:
(i) PARADYNE and/or CAPCo, or their Subsidiary(ies), has sold either
all of its or their business, or a part of its or their business,
which makes use of some or all of the rights granted by LUCENT to
PARADYNE and/or CAPCo pursuant to Articles 3 and 6;
(ii) PARADYNE and/or CAPCo, or their Subsidiary(ies), has, in the case
of a sale of only part of its or their business, granted to such
part a sublicense to some or all of the rights granted by LUCENT
to PARADYNE under Articles 3 and 6;
11
13
(iii) more than six (6) years have elapsed from the Closing Date; and
(iv) With respect to such sold business or sold part of such
business, as described in Section 3.7(i) and (ii), Change of
Control has occurred.
For the purpose of Section 3.7, "Change of Control" shall be deemed to have
occurred if any Person or group of Persons within the meaning of Section
13(d)(3) of the Securities Exchange Act of 1934, as amended, and the regulations
promulgated thereunder (other than a group controlled by the Partnership) shall
hold immediately following the transaction in question outstanding shares of
capital stock of the company constituting a majority of the voting power for the
election of directors of the Company.
3.8 (a) In the case when PARADYNE and/or CAPCo, and/or their
Subsidiary(ies), has sold all of its or their business in accordance with
Section 3.7(i) above and the conditions of Sections 3.7(iii) and 3.7(iv) are
met, all Products of PARADYNE and/or CAPCo, as the case may be, become
royalty-bearing pursuant to Article 5.
(b) In the case where PARADYNE and/or CAPCo, and/or their
Subsidiary(ies), have sold only a part of its or their business and the
conditions of 3.7(ii), 3.7(iii) and 3.7(iv) are met only the Products of the
sold part of the business become royalty-bearing pursuant to Article 5.
3.9 If the license becomes royalty-bearing with respect to one (1) or more
Products under this Article 3, PARADYNE and/or CAPCo, as the case may be, shall
promptly notify LUCENT.
3.10 LUCENT will not unreasonably forebear, to the extent consistent with
LUCENT's then existing general policies regarding the patents requested to be
licensed, in the granting of licenses on reasonable and nondiscriminatory terms
and conditions, within the scope of the licenses granted herein (which may
include a royalty-free or royalty bearing license from PARADYNE and/or CAPCo to
LUCENT if such is consistent with such policies).
ARTICLE 4
AT&T COMPANIES, PRIOR AGREEMENTS
4.1 PARADYNE acknowledges LUCENTs representation that LUCENT or its
Affiliated Companies have already entered into non-exclusive license agreements
with other companies and other entities (the "Prior Agreements"), under which
Prior Agreements LUCENT or its Affiliated Companies have granted certain rights
and licenses to Patents, including the PARADYNE Patents and the A-Patents; in
consideration for patents of such third parties being licensed to LUCENT, and
its Affiliated Companies, including PARADYNE.
4.2 PARADYNE hereby ratifies and assents to inclusion of PARADYNE Patents
in such Prior Agreements to the extent necessary for LUCENT or its Affiliated
Companies to fulfill its obligations under such Prior Agreements.
12
14
4.3 (a) To the extent and for the duration that LUCENT has the right,
LUCENT grants PARADYNE licenses under the agreements with the companies listed
in Appendix D. (Appendix D shall be updated upon mutual agreement of all parties
until the Closing Date. Such licenses are granted only while PARADYNE operates
as a separately identifiable business and only to the extent LUCENT has the
right, prior to the Closing Date, to grant such licenses as determined by the
agreements with the companies listed in Appendix D.
(b) LUCENT represents that licenses available to PARADYNE under such
agreements listed in Appendix D are limited in scope, have restrictive
provisions and do not enure to the benefit of BUYER or PARADYNE's successor.
LUCENT further represents that some of such licenses are only effective upon
request to, and with approval of, the licenser. LUCENT will provide PARADYNE
with copies of the agreements listed in Appendix D within ninety (90) days after
the Closing Date.
4.4 Except as provided in Article 4.3, PARADYNE hereby further
acknowledges LUCENT's representation that any license rights under third party
patents PARADYNE has under such Prior Agreements or any other agreement under
which PARADYNE obtained rights by virtue of its being a Subsidiary of LUCENT or
AT&T Corp. shall cease upon PARADYNE no longer being a Subsidiary, however,
PARADYNE has not made an independent investigation of such third party
agreements.
4.5 For all Prior Agreements under which LUCENT extends rights under third
party patents to PARADYNE, PARADYNE agrees to cooperate with LUCENT and such
third party (including the licensing of PARADYNE's Patents to such third party,
if required by the Prior Agreement) to effect the extension of rights to
PARADYNE. PARADYNE's failure to cooperate shall relieve LUCENT of any obligation
of indemnity for patent infringement with respect to such third party's patents
if such failure to cooperate is not commercially reasonable in light of all the
facts and circumstances, including but not limited to, the identity of such
third party and the business plans and strategies of PARADYNE.
ARTICLE 5
ROYALTY AND REPORTING
5.1 Royalty Calculation
(a) Within sixty (60) days of a Product becoming royalty-bearing
pursuant to Article 3, PARADYNE and/or CAPCo shall designate which Products
shall become Licensed Products by providing a list to LUCENT. PARADYNE and/or
CAPCo shall have the sole discretion to designate such Products as Licensed
Products or to designate any one (1) or more of such Products as no longer being
Licensed Products in accordance with Section 5.1(9). In consideration for
LUCENT's forbearance from seeking injunctive relief or other damages under
LUCENT Patents for any Products so listed and for other good and valuable
consideration, PARADYNE agrees to pay a royalty in accordance with Section 5.3
for so long as a Product is designated a Licensed Product. Products which are
royalty-bearing and which are not listed will not be licensed under LUCENT
Patents effective as of the date this Intellectual Property Agreement becomes
royalty-bearing with respect thereto.
13
15
(b) Royalty shall be payable to LUCENT at the rate of one point six
two five percent (1.625%) on each Licensed Product which is sold, leased or put
into use by PARADYNE and/or CAPCo, or any of their Subsidiaries or sublicensees.
The royalty rate shall be applied, except as otherwise provided in this Section
5.1, to the Fair Market Value of such Licensed Product.
(c) Royalty shall become payable upon the first sale, lease or
putting into use of a Licensed Product. Rebuilding (or enlarging, to the extent
that such enlarging incurs an additional royalty under a new licensed patent)
any Licensed Product shall be deemed to be a first putting into use of such
Licensed Product. Obligations to pay royalties accrued prior to termination of
licenses and rights pursuant to Section 5.1(9) and the expiration of LUCENT
Patents shall survive.
(d) When a company ceases to be a Subsidiary of or sublicensee of
PARADYNE and/or CAPCo, royalties which have accrued with respect to any products
of such company, but which have not been paid, shall become payable with
PARADYNE's and/or CAPCo's next scheduled royalty payment.
(e) Notwithstanding any other provisions hereunder, royalty shall
accrue and be payable only to the extent that enforcement of PARADYNE's
obligation to pay such royalty would not be prohibited by applicable law.
(f) A Licensed Product may be treated by PARADYNE and/or CAPCo,
and/or their subsidiaries and/or sublicensees as not licensed and not subject to
royalty with respect to sales, leasing or putting into use of such Licensed
Product if the purchaser, manufacturer, lessee and/or importer is licensed under
the same Patent(s) to have said Licensed Product made and/or imported, and the
purchaser, lessee, and or importer advises PARADYNE, in writing at or prior to
the time of such sale, manufacture, lease or importation that it is exercising
its own license under such Patent(s) with respect to such manufacture and/or
importation.
(g) By not less than three (3) months; written notice to LUCENT,
PARADYNE may voluntarily terminate all or a specified portion of the licenses
and rights granted to it hereunder, including the removal of Licensed Products
from the list, (described in Section 5.1(a)). Such notice shall specify the
effective date of such termination and shall clearly specify any affected
Licensed Product.
5.2 Records And Adjustments
(a) PARADYNE and/or CAPCo shall keep full, clear and accurate records
with respect to all Licensed Products and shall furnish any relevant information
which LUCENT may reasonably prescribe from time to time to enable LUCENT to
ascertain the proper royalty due hereunder on account of Licensed Products sold,
leased and put into use by PARADYNE and/or CAPCo or any of their Subsidiaries or
sublicensees. PARADYNE and/or CAPCo shall retain such records with respect to
each Licensed Product for at least five (5) years from the sale, lease or
putting into use of such Licensed Product. LUCENT shall have the right through
accredited external auditors to make an examination, during normal business
hours, of
14
16
all records and accounts bearing upon the amount of royalty payable to it
hereunder. Such audits cannot be conducted more than once per year. All audits
shall be at LUCENT's expense unless an audit uncovers an underpayment by
PARADYNE and/or CAPCo in excess of five percent (5%) in which case PARADYNE or
CAPCo, as the case may be, shall reimburse LUCENT for the audit. Prompt
adjustment shall be made to compensate for any errors or omissions disclosed by
such examination.
(b) Independent of any such examination, LUCENT will credit to
PARADYNE and/or CAPCo the amount of any overpayment of royalties made in error
which is identified and fully explained in a written notice to LUCENT delivered
within twelve (12) months after the due date of the payment which included such
alleged overpayment, provided that LUCENT is able to verify, to its own
reasonable satisfaction, the existence and extent of the overpayment.
(c) No refund, credit or other adjustment of royalty payments shall
be made by LUCENT except as provided in this Section 5.2. Rights conferred by
this Section 5.2 shall not be affected by any statement appearing on any check
or other document, except to the extent that any such right is expressly waived
or surrendered by a party having such right and signing such statement.
5.3 Reports and Payments
(a) Within sixty (60) days after the end of each semiannual period
ending on June 30th or December 31st, commencing with the semiannual period
during which this Intellectual Property Agreement becomes royalty-bearing,
PARADYNE and/or CAPCo shall furnish to LUCENT at the address specified in
Section 9.1 a statement certified by a responsible official of PARADYNE and/or
CAPCo showing in a manner reasonably acceptable to LUCENT:
(i) all Licensed Products which were sold, leased or put into
use during such semiannual period;
(ii) the Fair Market Values of such Licensed Products:
(iii) the amount of royalty payable thereon; and
(iv) all exclusions from royalty pursuant to Section 5.1(f).
(b) Within such sixty (60) days, PARADYNE and/or CAPCo shall pay in
United States dollars to LUCENT at the address specified in Section 9.1 the
royalties payable in accordance with such statement. Any conversion to United
States dollars shall be at the prevailing rate for bank cable transfers as
quoted for the last day of such semiannual period by leading United States banks
in New York City dealing in the foreign exchange market.
(c) Overdue payments hereunder shall be subject to a late payment
charge calculated at an annual rate of three percentage points (3%) over the
prime rate or successive prime rates As posted in New York City) during
delinquency. If the amount of such charge exceeds the maximum permitted by law,
such charge shall be reduced to such maximum.
15
17
5.4 Taxes
PARADYNE and/or CAPCo shall pay any tax, duty, levy, customs fee, or
similar, charge ("taxes"), including interest and penalties thereon, however
designated, imposed as a result of the operation or existence of this
Intellectual Property Agreement, including taxes which PARADYNE and/or CAPCo is
required to withhold or deduct from payments to LUCENT, except (i) net income
taxes imposed upon LUCENT by any governmental entity within the United States
(the fifty (50) states and the District of Columbia), and (ii) net income taxes
imposed upon LUCENT by jurisdictions outside the United States which are
allowable as a credit against the United States Federal income tax of LUCENT or
any of its Subsidiaries. In order for the exception in (ii) to be effective,
PARADYNE and/or CAPCo must furnish to LUCENT evidence sufficient to satisfy the
United States taxing authorities that such taxes have been paid. Such evidence
must be furnished to LUCENT within thirty (30) days of issuance by the local
taxing authority. Except in the cases where (ii) does not apply, the foregoing
shall not be construed as requiring PARADYNE or CAPCo to pay LUCENT's net income
taxes.
ARTICLE 6
PARADYNE PROGRAMS
6.1 LUCENT grants immunity to PARADYNE's and/or CAPCo's licensees and
customers of such licensees under LUCENT CAP Patents, LUCENT VoiceSpan Patents
and LUCENT ETC Patents listed in Appendix E in accordance with the terms and
conditions of Sections 6.2 through 6.5 and as follows:
(a) PARADYNE, in the case of VoiceSpan Technology and ETC Technology,
and CAPCo in the case of CAP Technology, shall with notice to LUCENT have the
right to extend LUCENT's immunity to their respective licensees and customers of
their licensees for VoiceSpan Technology, ETC Technology and/or CAP Technology
solely upon granting a license (or such license already having been granted by
PARADYNE prior to Closing Date) to such related technology and then only for a
period of five (5) years (hereinafter the Limited Period") except as stated in
Section 6.1(b) below. The notice to LUCENT shall identify the licensee, and
under what Patents immunity is being granted.
(b) When all of the conditions in Sections 3.7(i) through 3.7(iv) are
met, such right to extend immunities shall terminate for the business, or part
of such business, which is sold; however, PARADYNE and/or CAPCo may extend the
foregoing immunities solely for the Limited Period to any new licensees or to
existing licensees at the end of their current license, which grants shall take
place prior to the end of the six (6) year period from the Closing Date.
(c) The termination of PARADYNE's and/or CAPCo's right to extend such
immunity shall not affect any immunities already extended and LUCENT agrees to
negotiate comparable licenses with PARADYNE's and CAPCo's licensee's and/or
customers thereof to the extent requested by such licensees and/or customers.
16
18
(d) Neither PARADYNE nor CAPCo shall knowingly extend any immunity
for a particular Patent to any licensee and/or customer thereof who is already
licensed by LUCENT under such Patent. regarding such licensee's and/or
customer's prospective use(s) under such Patent. Any grant of patent. immunity
only applies if any licensee and/or customer is not already licensed by LUCENT.
6.2 (a) The immunity under the LUCENT CAP Patents extended by CAPCo to
its licensees and/or their customers to whom CAPCo grants a license for CAP
Technology, is only to the extent such Patents are Essential Patents to the CAP
Technology and are used specifically in conjunction with the licensed technology
as provided by CAPCo for board and system level products and only to the extent
that if a component is specified in the CAP Technology, the component is
purchased from a vendor approved by CAPCo.
(b) Neither PARADYNE nor CAPCo shall have the right to make or have
made a Semiconductive Device as part of the CAP Technology licensing program,
under LUCENTs Patents relating to Manufacturing Inventions.
(c) The immunity granted under Section 6.2 shall extend until
December 31, 2002 for the licenses granted by PARADYNE to Westell Technologies,
Inc. for CAP Technology.
6.3 The immunity under the LUCENT VoiceSpan Patents extended by PARADYNE
to its licensees and/or their customers to whom PARADYNE grants a license for
VoiceSpan Technology (or such license already having been granted by PARADYNE
prior to the Closing Date) is only to the extent such Patents are Essential
Patents to the VoiceSpan Technology and are used specifically in conjunction
with the licensed technology as provided by PARADYNE.
6.4 The immunity under the LUCENT ETC Patents extended by PARADYNE to its
licensees and/or their customers to whom PARADYNE grants a license for ETC
Technology (or such license already having been granted by PARADYNE prior to the
Closing Date) is only to the extent such Patents are Essential Patents to the
ETC Technology and are used specifically in conjunction with the licensed
technology as provided by PARADYNE.
6.5 No licenses, express or implied, or immunity is granted under any
Patent with respect to any of PARADYNE's or CAPCo's licensing programs except
for the Patents specified in this Article 6, provided, however, if PARADYNE or
CAPCo can demonstrate within two (2) years of the Closing Date that a LUCENT
Patent was an Essential Patent as of the Closing Date to one of its licensing
programs Appendix E will be deemed amended to include such Patents.
6.6 LUCENT agrees to license its Patents which are Essential Patents to
the V.34 standard (as listed below in this Section 6.6) to licensees of PARADYNE
and/or CAPCo in connection with their licensing programs. LUCENT will make
available its standard form patent license agreement within thirty (30) days of
request by the potential licensee. Such potential licensee will have 30 days
from receipt to sign the agreement.
U.S. Patent 4304962
17
19
U.S. Patent 4069392
U.S. Patent 4520490
U.S. Patent 4941154
U.S. Patent RE33041
U.S. Patent 5115453
U.S. Patent 5418798
U.S. Patent 5488633
6.7 LUCENT agrees to license the following Patents to PARADYNE licensees
under reasonably commercial terms and conditions in connection with PARADYNE's
licensing programs for Mocha Technology and Hypermodem Technology:
U.S. Patent 4866647
U.S. Patent 5394437
U S. Patent 5406583
U.S. Patent Application 08/176742
U.S. Patent Application 08/390185
U.S. Patent Application 08/384498
U.S. Patent Application 08/384514
U.S. Patent Application 08/556726
LUCENT will make available its standard form patent license agreement
within thirty (30) days of request by the potential licensee. Such potential
licensee will have 30 days from receipt to sign the agreement.
ARTICLE 7
KNOW-HOW AND OTHER INTELLECTUAL PROPERTY
7.1 With respect to LUCENT Know-How, PARADYNE, CAPCo and their
Subsidiaries shall have the fee-free right to use, reproduce, modify, combine
with other works, make Derivative Works and distribute any of the foregoing and
to perform and/or display such works (all without accounting to LUCENT) to the
extent reasonably necessary to exercise PARADYNE's and/or CAPCo's and/or their
Subsidiaries' rights, and licenses hereunder; provided, however, PARADYNE, CAPCo
and their Subsidiaries agree to hold in confidence LUCENT Know-How so long as
LUCENT Know-How is clearly marked as such and such Know-How (i) is not and does
not become publicly known; (ii) is not independently developed by PARADYNE,
CAPCo or their Subsidiaries; or (iii) is not disclosed by LUCENT without
restriction.
7.2 With respect to PARADYNE Know-How and CAPCo Know-How, LUCENT and its
Subsidiaries shall have the fee-free right to use, reproduce, modify, combine
with other works, make Derivative Works and distribute any of the foregoing and
to perform and/or display such works (all without accounting to PARADYNE or
CAPCo) to the extent reasonably necessary to exercise LUCENT's and its
Subsidiaries' rights and licenses hereunder; provided, however, LUCENT and its
Subsidiaries agree to hold in confidence PARADYNE Know-How and CAPCo Know-How,
so long as PARADYNE Know-How and/or CAPCo's
18
20
Know-How is clearly marked as such and such Know-How: (i) is not and does not
become publicly known; (ii) is not independently developed by LUCENT; or (iii)
is not disclosed by PARADYNE without restriction.
7.3 Each party shall have the right to disclose to its suppliers, business
partners and consultants (under appropriate confidentiality provisions) any
other party's Know-How licensed to it pursuant to this Article 7, to the extent
it is reasonably necessary to exercise the party's rights and licenses
hereunder. The inherent disclosure of Know-How in a product or in connection
with the sale of a product shall not constitute a breach of this Intellectual
Property Agreement.
7.4 LUCENT hereby irrevocably assigns, conveys and delivers to PARADYNE,
its successors, assigns and legal representatives, LUCENTs entire right, title
and interest, if any, in and to PARADYNE Know-How and in and to PARADYNE Other
Intellectual Property. LUCENT further hereby irrevocably assigns conveys and
delivers to CAPCo, its successors, assigns and legal representatives, LUCENT's
entire right, title and interest, if any, to CAPCo Know-How and in and to CAPCo
Other intellectual Property.
ARTICLE 8
TRADEMARKS
8.1 To the extent PARADYNE has any right, title, and interest in and to
the trademarks and common law marks set forth on Appendix B-1 attached hereto
("PARADYNE Marks"), PARADYNE assigns to LUCENT such right, title and interest.
PARADYNE hereby assigns pursuant to the Trademark Assignment Agreement attached
hereto as Appendix B-2, subject to all prior agreements and commitments of
PARADYNE and its Affiliated Companies to third parties entered into prior to the
Closing Date, all of its worldwide rights, title and interest in and to the
PARADYNE Marks to LUCENT, including the goodwill of the business represented by
the PARADYNE Marks, any applications of PARADYNE Marks and any common law rights
in the PARADYNE Marks.
8.2 PARADYNE shall not use the name LUCENT TECHNOLOGIES or the innovation
ring design forming the corporate identity of LUCENT TECHNOLOGIES INC. In
addition, PARADYNE agrees not to adopt names or symbols confusingly similar to
LUCENT TECHNOLOGIES INC. or the innovation ring design.
8.3 LUCENT shall not after the Closing Date: (1) use the ▇▇▇▇ "PARADYNE"
as a trademark, trade name or as part of a corporate name; (2) use the trademark
"PARADYNE" and/or any logo or design associated therewith; or (3) use or
authorize others to use the following marks:
ACCULINK
ANALYSIS
CHANNELCARE
CHANNELVIEW
CHANNELWATCH
19
21
COMSPHERE
DATAPHONE
DATAPORT
DCX
ETC
GLOBESPAN
INFO-LOCK
KEEP IN TOUCH CARD
KEEP IN TOUCH
KEEPINTOUCH CARD
KIT
PARADYNE
PARADYNE DO
SHARED EXPECTATIONS
SOFTCALL
VOICESPAN
VOICESPAN AND DESIGN
LUCENT shall not use any derivations or combination marks containing the
elements PARADYNE and/or any logo or design associated therewith. The foregoing
restriction shall not apply to sales by LUCENT of existing inventory of PARADYNE
products, or future sales of PARADYNE Companies' products, provided that future
sales are properly authorized pursuant to a written agreement between LUCENT and
one or both of the PARADYNE Companies.
ARTICLE 9
MISCELLANEOUS
9.1 All notices, requests and other communications hereunder shall be in
writing and shall be deemed to have been duly given if addressed, and delivered
by hand, telex or facsimile, and confirmed by registered mail, with postage
pre-paid, to the addresses set forth below (or to such other addresses as may be
given by written notice):
If to PARADYNE, to: Paradyne Corporation
Attention: President
▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇
▇.▇. ▇▇▇ ▇▇▇▇
▇▇▇▇▇, ▇▇▇▇▇▇▇ ▇▇▇▇▇-▇▇▇▇
Copy to: Paradyne Partners, L.P.
c/o ▇▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇▇, Esq.
▇▇▇ ▇▇▇▇ ▇▇▇▇▇▇
▇▇▇▇▇ ▇▇▇▇
▇▇▇▇ ▇▇▇▇▇, ▇▇▇▇▇ ▇▇▇▇▇
20
22
If to LUCENT, to: Lucent Technologies Inc.
Contract Administrator, Intellectual Property
▇▇▇▇ ▇▇▇▇▇ ▇▇ ▇▇▇▇ ▇▇▇▇▇▇▇▇▇
▇▇▇▇▇ ▇▇▇▇▇▇, ▇▇▇▇▇▇▇ ▇▇▇▇▇
Copy to: General Counsel
Lucent Technologies Inc.
▇▇▇ ▇▇▇▇▇ ▇▇▇▇
▇▇▇▇▇ ▇▇▇▇
▇▇▇▇▇▇▇ ▇▇▇▇▇, ▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇
If to CAPCo to: CAP Acquisition Corp.
Attention: President
▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇
▇.▇. ▇▇▇ ▇▇▇▇
▇▇▇▇▇, ▇▇▇▇▇▇▇ ▇▇▇▇▇-▇▇▇▇
Copy to: Paradyne Partners, L.P.
c/o ▇▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇▇, Esq.
▇▇▇ ▇▇▇▇ ▇▇▇▇▇▇
▇▇▇▇▇ ▇▇▇▇
▇▇▇▇ ▇▇▇▇▇, ▇▇▇▇▇ ▇▇▇▇▇
9.2 The headings are included for convenience only, and the articles shall
not be construed in accordance with their headings.
9.3 The parties hereto agree that the invalidity or unenforceability of
any of the provisions hereof shall not in any way affect the validity or
enforceability of any other provisions of this Intellectual Property Agreement
except those from which the invalidated or unenforceable provisions comprise an
integral part or are otherwise clearly inseparable.
9.4 LUCENT represents and warrants, to and for the benefit of PARADYNE,
BUYER, CAPCo, and PARADYNE PARTNERS, L.P. and their Affiliated Companies, as
follows:
(a) LUCENT and its Subsidiaries own and/or have the right to convey
all right, title and interest in the Non-CAP A-Patents and CAP A-Patents,
subject only to certain non-exclusive licenses granted by LUCENT and/or its
Affiliated Companies prior to the Closing Date.
(b) LUCENT and its Subsidiaries own all right, title and interest in
the LUCENT Patents, subject only to certain non-exclusive licenses granted by
LUCENT prior to the Closing Date.
(c) LUCENT and its Subsidiaries have the right to license or own all
right, title and interest in the LUCENT Know-How licensed to PARADYNE, and CAPCo
hereunder.
21
23
(d) LUCENT and its Subsidiaries assert, and will assert, no ownership
interest in PARADYNE's Other Intellectual Property.
(e) To the Knowledge of LUCENT and PARADYNE, none of the A-Patents,
or the PARADYNE Patents are involved in any interference, reissue, reexamination
or opposing proceeding except as set forth in Exhibit F.
(f) To the Knowledge of LUCENT and PARADYNE, they are not aware of
any claim, suit, proceeding, or any demand or threat of any of the foregoing,
with respect to any A-Patent, PARADYNE Patent, PARADYNE Know-How, PARADYNE Other
Intellectual Property and/or to PARADYNE Products, except as set forth on
Exhibit H.
(g) PARADYNE has obtained either through ownership or proper license
from LUCENT, all intellectual property rights of LUCENT necessary to-conduct
PARADYNE's business in the manner in which such business is currently being
conducted.
(h) To the Knowledge of LUCENT and PARADYNE (except for the companies
listed in section 2.5),there is no infringement or misappropriation of any
A-Patent, PARADYNE Patents, PARADYNE Know-How or PARADYNE Other Intellectual
Property.
(i) PARADYNE and its Subsidiaries have taken all reasonable measures
and precautions necessary to protect and maintain the confidentiality and
secrecy of the PARADYNE Patents, PARADYNE Know-How and PARADYNE Other
Intellectual Property (collectively referred to as "PARADYNE Intellectual
Property") and otherwise to maintain and protect the value of all PARADYNE
Intellectual Property and have Obtained from all current and former employees
and from all current and former consultants and independent contractors signed
agreements appropriately restricting the use and disclosure of the PARADYNE
Intellectual Property.
(j) The PARADYNE Intellectual Property conforms in all material
respects with any specification, documentation, performance standard,
representation or statement made or provided with respect thereto by or on
behalf or any of the Acquired Companies; and there has not been any material
claim by any customer or other Person alleging that any PARADYNE Intellectual
Property does not conform in all material respects with any specifications,
documentation, performance standard, representation or statement made or
provided by or on behalf of any of the Acquired Companies, and, to the Knowledge
of LUCENT and PARADYNE, there is no basis for any such claim.
9.5 The representations and warranties of LUCENT, and the rights and
remedies that may be exercised by PARADYNE, BUYER, CAPCo, PARADYNE PARTNERS,
L.P., and their Affiliated Companies, shall not be limited or otherwise affected
by or as a result of any information furnished to, or any investigation made by
or knowledge of, PARADYNE, BUYER, CAPCo, PARADYNE PARTNERS, L.P., or any of
their Affiliated Companies or representatives.
9.6 For purposes of this Intellectual Property Agreement, each statement
or other item of information set forth in the Exhibits shall be deemed to be a
representation and warranty made by LUCENT in this Intellectual Property
Agreement.
22
24
9.7 No licenses, express or implied, under this Intellectual Property
Agreement are granted by or among PARADYNE, CAPCo or LUCENT except those
expressly granted under this Intellectual Property Agreement.
9.8 Except as otherwise expressly provided herein, nothing in this
Intellectual Property Agreement shall be construed as a warranty or
representation that anything made, used, sold or otherwise disposed of under any
license granted in this Intellectual Property Agreement is or will be free from
infringement of patents of third parties except for patents licensed under this
Intellectual Property Agreement, although as of the Closing Date hereof, LUCENT
knows of no such infringement unless otherwise disclosed.
9.9 Nothing contained in this Intellectual Property Agreement shall be
deemed or construed to constitute or create among the parties hereto a
partnership, association, joint venture or other agency.
9.10 This Intellectual Property Agreement establishes the rights, duties,
and obligations of LUCENT, CAPCo and PARADYNE with respect to the subject matter
hereof. Except as otherwise agreed in the Purchase Agreement, including the
Intellectual Property Agreement, PARADYNE, CAPCo and LUCENT shall have no right
or interest whatsoever in any product of any other party hereto whether such
product is conceived or developed by any such other party, during, or after the
course of performance of the Purchase Agreement including this Intellectual
Property Agreement.
9.11 Except as otherwise expressly provided herein, no party hereto may
assign this Intellectual Property Agreement or any part thereof, transfer
licenses or rights or grant any sublicenses hereunder, to anyone other than a
Subsidiary of such party without the prior, written consent of all parties
hereto. However, if LUCENT, CAPCo or PARADYNE sells part or all of their
respective businesses including, without limitation, Subsidiaries (the "Sold
Entity"), and if LUCENT, CAPCo or PARADYNE have granted sublicenses thereto
prior to such sale, and in the case of PARADYNE or CAPCo subject to the
provisions of Section 3.7, then such sublicenses so granted shall survive such
sale, provided that:
(i) the Sold Entity shall continue to operate as a separately
identifiable business, corporation, joint venture, partnership,
business unit, division, group, or other sole business entity, or
constitute a separate part of any other business entity,
(ii) the sublicenses so granted do not exceed the scope or duration of
the licenses granted by LUCENT, PARADYNE or CAPCo; and.
(iii) In the case of LUCENT's Sold Entity, such Sold Entity agrees to
be bound by the Noncompetition Agreement, Exhibit "BB" to the
Purchase Agreement.
If any party grants a sublicense to a Sold Entity under this Section 9.11,
such party shall notify all other parties.
23
25
9.12 This Intellectual Property Agreement is the entire agreement by and
among the parties with respect to this subject matter, and supersedes all prior
discussions, negotiations, communications and agreements with respect thereto.
This Intellectual Property Agreement may be modified only in writing, and signed
by all parties hereto. Any purported oral modification of this Intellectual
Property Agreement shall be without any effect whatsoever.
9.13 The failure of any party to enforce at any time any of the provisions
of this Intellectual Property Agreement shall not be deemed to be a waiver of
the right of such party thereafter to enforce such provision.
9.14 The obligations of any party shall be excused to the extent, and for
the period during which, that performance is rendered impossible by strike,
fire, flood, earthquake, other natural disasters, governmental acts, orders or
restrictions, or any other reason beyond the reasonable control of such party.
9.15 Each party's performance of this Intellectual Property Agreement,
including each party's use of any intellectual property of any other party,
including without limitation such other party's Patents, trademarks, Know-How
and Other Intellectual Property shall at all times comply with all requirements,
rules, laws and regulations of all governmental bodies having proper
jurisdiction, and including without limitation any requirements to obtain any
licenses under the export or similar laws of the United States.
9.16 To the extent that this Intellectual Property Agreement calls upon one
or more of the Affiliated Companies of any party to carry out any act, to
refrain from performing any such act, or otherwise to perform any obligations
hereunder, each party hereto shall ensure that such Affiliated Companies do so
consistent with this Intellectual Property Agreement.
9.17 No provision of this Intellectual Property Agreement shall be
construed to permit LUCENT or its Subsidiaries to engage in any activities which
are otherwise prohibited in the Non-Competition Agreement which is Exhibit BB to
the Purchase Agreement.
9.18 Each party hereto shall execute and cause to be delivered to each
other party hereto such instruments and other documents, and shall take such
other actions, as such other party may reasonably request (prior to, at or after
the Closing) for the purpose of carrying out or evidencing any of the
transactions contemplated in this Intellectual Property Agreement. The parties
understand and agree that certain information in Appendix A and Appendix E may
be incorrect regarding whether particular Patents are CAP A-Patents, Non-CAP
A-Patents, PARADYNE CAP Patents and PARADYNE Non-CAP Patents. The parties agree
to work together in mutual good faith for a period not to exceed thirty (30)
days after the Closing Date in order to amend Appendix A and Appendix E, and to
ensure that the Patents are properly represented therein.
9.19 LUCENT represents and warrants that it either has delivered, or shall
deliver within ninety (90) days after the Closing Date, clear record title to
PARADYNE and/or CAPCo, as the case may be, for all CAP A-Patents, Non-CAP
A-Patents. Lucent shall deliver to PARADYNE and CAPCo all documents,
certificates and similar materials evidencing ownership of the CAP A-Patents and
Non-CAP A-Patents to PARADYNE and/or CAPCo.
24
26
ARTICLE 10
CONFIDENTIALITY
10.1 Each party, on behalf of itself and its Affiliated Companies, agree
that they are in receipt of certain non-public information received in the
course of performance or negotiation of this Intellectual Property Agreement, or
their past relationship with another party, including without limitation all
Know-How, Other Intellectual Property, business plans, forecasts, technical
data, financial data, personnel information, and other information of a nature
that is not generally made publicly available, and which, if disclosed, could
reasonably cause damage or loss to the other party (hereinafter referred to as
"the Other Party's Confidential Information").
10.2 Each party agrees that, subject to all other obligations in the
Purchase Agreement, including this Intellectual Property Agreement, and the
Non-Competition Agreement, it will not use the Other Party's Confidential
Information in any manner not expressly permitted by the Purchase Agreement, and
it will use the same degree of care to prevent the disclosure of the Other
Party's Confidential Information as it normally uses with respect to its own
confidential information, but in no event less than a standard of reasonable
care.
10.3 The parties agree that the terms and conditions of this Intellectual
Property Agreement are confidential.
ARTICLE 11
INDEMNIFICATION
11.1 Indemnification by LUCENT
(a) From and after the Closing Date, LUCENT shall hold harmless and
indemnify each Indemnitee from and against, and shall compensate and reimburse
each Indemnitee for, any Damages which are suffered or incurred by any of the
Indemnitees or to which any of the Indemnitees may otherwise become subject (in
respect of clauses (i) and (iii), regardless of whether or not such Damages
relate to any third party claim) and which arise from or as a result of or are
connected with:
(i) any inaccuracy in or breach of any representation or warranty set
forth in Article 9.
(ii) any Covered Intellectual Property Claim asserted by any third
party against any Indemnitee; or
(iii) any of the Legal Proceedings or asserted claims referred to on
Appendix H attached hereto, or any facts or circumstances
underlying any of the assertions or allegations made in
connection with any of such Legal Proceedings or claims.
25
27
(b) (i) For purposes of this Agreement, an "Intellectual Property
Claim" shall mean any claim, demand, threat or Legal Proceeding that is based
upon or related to any actual or alleged infringement, misappropriation or
unlawful use of any third party Proprietary Asset.
(ii) For purposes of this Agreement, a "Covered Intellectual Property
Claim" shall mean any Intellectual Property Claim to the extent
(A) such Intellectual Property Claim is based upon or related to
any actual or alleged infringement, misappropriation or unlawful
use of a third party Proprietary Asset by PARADYNE and/or CAPCo
on account of a Product (or portion of a Product) as manufactured
and/or a service offered (i) as of the Closing Date regardless of
whether the Product is manufactured, or the service is offered,
before or after the Closing Date, or (ii) before the Closing Date
but only for the period prior to the Closing Date and which is
brought, filed, initiated or made against PARADYNE and/or CAPCo
within two (2) years of the Closing Date or (B) if the
Intellectual Property Claim is a demand or threat of the kind
above-specified, (x) such demand or threat is made within two (2)
years of the Closing Date, and (y) if not settled within such two
(2) year period and the factual basis of such demand or threat is
also contained in a Legal Proceeding, such Legal Proceeding is
brought against PARADYNE and/or CAPCo within three (3) years of
the Closing Date.
(iii) Any Intellectual Property Claim received by a licensee,
customer, distributor or reseller of PARADYNE or CAPCo and any
related calm by such licensee, customer, distributor or reseller
against any Indemnitee shall be a Covered Intellectual Property
Claim (in each case within the time periods set forth in Section
11.1 (b)(ii) above) falling within the coverage of Section
11.1(a)(ii) (regardless of whether such licensee, customer,
distributor or reseller is an Indemnitee), if such licensee,
customer, distributor or reseller seeks indemnification from
PARADYNE or CAPCo pursuant to an intellectual property
indemnification provision (i) under a contract or other agreement
entered into with PARADYNE prior to the Closing Date, or (ii) in
connection with any equipment or product sold, licensed or
otherwise made available, or any service performed on or prior to
the Closing Date.
(c) The representations and warranties set forth in Article 9 and in the
AT&T Trademark and Patent Agreement shall expire on the second anniversary of
the Closing Date; provided, however, that if, at any time prior to the second
anniversary of the Closing Date, any Indemnitee (acting in good faith) delivers
to LUCENT a written notice alleging the existence of an inaccuracy in or a
breach of any of such representations and warranties and asserting a claim for
recovery under Section 11.1(a)(i) or Section 11.8 based on such alleged
inaccuracy or
26
28
breach, then the claim asserted in such notice shall survive the second
anniversary of the Closing Date until such time as such claim is fully and
finally resolved.
(d) LUCENT shall not be obliged to provide any indemnification under
Section 11.1 (a)(ii) for any Intellectual Property Claims to the extent such
Intellectual Property Claims are based on changes, modifications or additions
made after the Closing Date or the use of manufacturing processes not used prior
to the Closing Date. Lucent shall be obliged to provide indemnification for any
Covered Intellectual Property Claim to the extent that any such Intellectual
Property Claim is based upon the design or development of a Product as it
existed as of the Closing Date whether or not Products were actually on sale
prior to the Closing Date.
(e) In no event will LUCENT indemnify PARADYNE or CAPCo for claims of
intellectual property infringement when the claim is intentionally provoked by
PARADYNE or CAPCo. PARADYNE and/or CAPCo shall use reasonable best efforts to
mitigate damages. Offering of PARADYNE and/or CAPCo licenses to third parties as
part of PARADYNE's and/or CAPCo's normal customary licensing program shall not
be considered an intentional provocation by PARADYNE and/or CAPCo. A
communication by PARADYNE or CAPCo with a customer, distributor, reseller or
licensee of PARADYNE or CAPCo shall not be deemed provocation hereunder unless
such communication was initiated by PARADYNE or CAPCo and Lucent is able to
demonstrate that the principal intent of PARADYNE or CAPCo in initiating such
communication was to induce such customer, distributor, reseller or licensee to
assert against PARADYNE or CAPCo a Covered Intellectual Property Claim that
otherwise would not have been asserted by such customer, distributor, reseller
or licensee against PARADYNE or CAPCo.
(f) If Damages are suffered or incurred by two or more Indemnitees with
respect to the same facts and circumstances and if the full payment of the
Damages of one Indemnitee (the "Identified Indemnitee") would completely
eliminate the Damages of the other Indemnitees with respect to such same facts
and circumstances then only an amount equal to the full amount of the Damages of
the Identified Indemnitee shall be paid under this Article ,1 with respect to
such facts and circumstances. The Indemnitees shall determine the distribution
of any payment pursuant to this Section 11.1(f), which may be divided among two
or more Indemnitees.
11.2 LUCENT Threshold
(a) For purposes of this Section 11.2:
(i) "Affiliate" shall mean with respect to any Person, any Person
directly or indirectly controlling, controlled by or under common
control with such other Person.
(ii) "Claimant" shall mean a Person, such Person's current and future
Affiliates, and the respective successors and assigns of the
foregoing Persons.
(iii) "Deductible Amount" shall mean that portion of LUCENTs
settlement expense to which PARADYNE or CAPCo must contribute to
LUCENT in the settlement of each Covered
27
29
Intellectual Property Claim. The Deductible Amount shall be up to
$750,000 per Claimant, until the actual aggregate of all
Deductible Amounts is equal to or exceeds $5,000,000. Thereafter,
"Deductible Amount" shall be $500,000 per Claimant, until the
actual aggregate of all Deductible Amounts is equal to or exceeds
$10,000,000. Thereafter, "Deductible Amount" shall be $100,000
per Claimant for all subsequent Covered Intellectual Property
Claims. Notwithstanding anything in this clause (iii) to the
contrary, once the Deductible Amount is paid or satisfied with
respect to a Claimant the Deductible Amount in respect of any
Covered Intellectual Property Claims asserted by such Claimant
shall be zero.
(iv) "Person" shall mean any: (i) individual; or (ii) corporation
(including any non-profit corporation), general partnership,
limited partnership, limited liability partnership, joint
venture, estate, trust, company (including any limited liability
company or joint stock company), firm or other enterprise,
association, organization or entity.
(b) Pursuant to Section 11.1 (a)(ii) with respect to any Covered
Intellectual Property Claim for which the Indemnitee has elected LUCENT to
assume the defense pursuant to Section 11.3, Indemnitee shall be liable to
LUCENT for the costs and expenses incurred by LUCENT pursuant to its indemnity
obligations under this Article 11 up to the Deductible Amount, and LUCENT shall
be liable for the Indemnitee's Damages covered by this Article 11 indemnity in
excess of the Deductible Amount up to the maximum liability specified in Section
11.2(c) below. Only one (1) Deductible Amount shall be paid to LUCENT per
Claimant, regardless of the number of Indemnitees. Damages covered by this
Article 11 indemnity paid by Indemnitee(s) to third parties (other than
Claimants) prior to such election are creditable against the Deductible Amount.
Pursuant to Section 11.1 (a)(ii), with respect to any Covered Intellectual
Property Claim for which the Indemnitee has not elected LUCENT to assume the
defense pursuant to Section 11.3, LUCENT shall have no obligations or liability
to Indemnitees under this Article 11.
(c) The maximum liability of LUCENT under Section 11.1 (a)(ii) for
Covered Intellectual Property Claims shall be equal to $40,697,000 plus the
Interim Prepayment Amount plus the Final Prepayment Amount less the Interim
Price Reduction Amount less the Final Price Reduction Amount. Upon reaching the
maximum liability of LUCENT under this Section, LUCENT shall have no further
liability or obligation for Covered Intellectual Property Claims.
11.3 Defense of Third Party Claims by LUCENT
In the event of the assertion or commencement by any Person of any claim or
Legal Proceeding against any one or more Indemnitees with respect to which
LUCENT is obligated to indemnify pursuant to this Article 11, and (i) all
Indemnitees against whom a claim is made elect in writing within six (6) months
to designate LUCENT to assume the defense of
28
30
such claim or Legal Proceeding: and (ii) any Indemnitee has not significantly
adversely affected LUCENT's ability to assume the defense of any Legal
Proceeding or settle any Covered Intellectual Property Claim then:
(a) LUCENT shall proceed to defend such claim or Legal Proceeding in
a diligent manner;
(b) Indemnitees shall make available to LUCENT any non-privileged
documents and materials in the possession of Indemnitee that may be useful to
the defense of such claim or Legal Proceeding;
(c) LUCENT shall keep Indemnitees informed of all material
developments and events relating to such claim or Legal Proceeding; and
(d) Indemnitees shall have the right to participate at their own
expense in the defense of such claim or Legal Proceeding;
(e) Indemnitees shall license their intellectual property to Claimant
if such license is required by Claimant (if commercially reasonable to do so in
light of all facts and circumstances, including but not limited to, the identity
of such Claimant and the Indemnitee's business plans and strategies), to settle
a Covered Intellectual Property Claim.
(f) LUCENT may, at its sole option, settle the Covered Intellectual
Property Claim directly with the Claimant;
(g) All costs and payments in whatever form incurred in defense or
settlement including (any settlement) monies paid directly to Claimant are fully
credited towards the maximum liability of Section 11.2(c).
(h) In the event that LUCENT settles the claim through the delivery
of any intellectual property right (in the form of a license or otherwise),
LUCENT shall use good faith efforts to value such intellectual property rights
for purposes of applying the value towards satisfaction of the maximum liability
of LUCENT under Section 11.2(c) and allocating the Deductible Amount, if any,
due from PARADYNE or CAPCo to LUCENT.
11.4 Settlement Allocation
In allocating such contributions as to each settlement, the contribution of
the LUCENT intellectual property and the contribution of the PARADYNE
intellectual property, if any, used in such settlement ("LUCENT Apportionment"
and "PARADYNE Apportionment", respectively) shall be used as follows
(a) The LUCENT Apportionment shall be applied against the then
maximum liability of LUCENT under Section 11.2(c).
(b) The PARADYNE Apportionment shall be accounted for as follows:
29
31
(i) If the PARADYNE Apportionment is equal to or less than the then
applicable Deductible Amount, it shall be fully credited against
such Deductible Amount and the remaining amount, if any, shall be
the then applicable Deductible Amount for the settlement.
(ii) If the PARADYNE Apportionment is greater than the then applicable
Deductible Amount, no such Deductible Amount need be paid by
PARADYNE to LUCENT and the amount of such PARADYNE Apportionment
greater than such Deductible Amount, if any, shall be Editable
against the Deductible Amount for each future settlement, at a
rate of fifty cents per dollar of the PARADYNE contribution for
such future settlement, till such PARADYNE Apportionment is fully
accounted for. In no case shall the creditable amount be more
than fifty cents per dollar of the Deductible Amount.
11.5 Settlement
For the purposes of this Section, settlement discussions (not including
admissions against interest) shall not be deemed to significantly adversely
affect LUCENT's ability to assume the defense of any Legal Proceeding or settle
any Covered Intellectual Property Claim.
11.6 Defense of Third Party Claims by Indemnitee
If the Indemnitees do not elect to designate LUCENT to assume the defense
of any such claim or Legal Proceeding, the Indemnitees may proceed with the
defense of such claim or Legal Proceeding on their own. If the Indemnitees so
proceed with the defense of any such claim or Legal Proceeding on their own:
(a) subject to Section 11.3(h), all settlement expenses relating to
the defense of such claim or Legal Proceeding (whether or not incurred by
Indemnitee) shall be borne and paid exclusively by the Indemnitee without
reimbursement by LUCENT;
(b) LUCENT shall make available to Indemnitee any non-privileged
documents and materials in the possession or control of LUCENT that may be
useful to the defense of such claim or Legal Proceeding;
(c) Indemnitee shall keep LUCENT informed of all material
developments and events relating to such claim or Legal Proceeding; and
(d) Indemnitee shall have the right to settle, adjust or compromise
such claim or Legal Proceeding.
11.7 No Contribution
LUCENT waives, and acknowledges and agrees that it shall not have and shall
not exercise or assert or attempt to exercise or assert, any right of
contribution or right of indemnity or any other right or remedy against any
Acquired Company or Acquisition Entity in
30
32
connection with any indemnification Obligation or any other liability to which
LUCENT may become subject under this Intellectual Property Agreement.
11.8 From and after the Closing Date, LUCENT shall hold harmless and
indemnify PARADYNE and CAPCo from and against, and shall compensate and
reimburse PARADYNE and CAPCo for, any damages, costs, expenses, losses,
liabilities, diminution in value, claims, awards, fines, penalties, charges or
legal fees which are suffered or incurred by PARADYNE or CAPCo or to which they
may otherwise become subject (regardless of whether or not such damages relate
to any third-party claim) and which arise from or as a result of, or are
connected with any inaccuracy in, or breach of, any representation and warranty
set forth in the AT&T Trademark and Patent Agreement, of even date hereof, or
with any claim, demand, threat, suit or Legal Proceeding against AT&T based upon
or related to any actual or alleged infringement, misappropriation or unlawful
use of any of the Assigned Marks, as defined therein.
31
33
AGREED TO:
AT&T PARADYNE CORPORATION
By: /s/ W. ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇
----------------------------------
Print Name: W. ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇
--------------------------
Title: Authorized Agent
-------------------------------
Date: 7/31/96
--------------------------------
LUCENT TECHNOLOGIES INC. CAP ACQUISITION CORP.
By: /s/ W. F. Osl, Jr. By: /s/ ▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇
---------------------------------- -----------------------------------
Print Name: ▇▇▇▇▇▇▇ ▇. Osl, Jr. Print Name: ▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇
-------------------------- ---------------------------
Title: Vice President Title: President
------------------------------- --------------------------------
Date: 7/31/96 Date: 7/31/96
-------------------------------- ---------------------------------
34
APPENDIX A
A--PATENTS AND PATENT APPLICATIONS
35
APPENDIX A
CAP A-PATENT APPLICATIONS
---- ---------------- ------------------------------------- ---------------- ----------------
No. Case Name Title Filing Date Serial No.
---- ---------------- ------------------------------------- ---------------- ----------------
1. Amrany 8 Implied Interleaving, A Family of 6/6/95 08/469558
Systematic Interleavers and
Deinterleavers
---- ---------------- ------------------------------------- ---------------- ----------------
2. ▇▇▇▇ 11 Improved Sampling System for Radio 10/17/95 08/544244
Frequency Receiver
---- ---------------- ------------------------------------- ---------------- ----------------
3. ▇▇▇▇▇▇ 28 Digitally Controlled Hhigh 8/15/94 08/290253
Resolution Hybrid Phase Synthesizer
---- ---------------- ------------------------------------- ---------------- ----------------
4. ▇▇▇▇▇▇▇▇ 3- An Adaptive Pre-Equalizer for User 2/22/96 08/605404
5-22-34 in Data Communications Equipment
---- ---------------- ------------------------------------- ---------------- ----------------
5. ▇▇▇▇▇▇▇▇ 2 Independent Dual HDSL Channel 12/20/95 08/579713
training and Data Alignment
---- ---------------- ------------------------------------- ---------------- ----------------
6. ▇▇▇▇▇▇▇▇ ▇ ▇▇▇▇▇▇▇ Effect Reduction 12/29/95 08/586008
---- ---------------- ------------------------------------- ---------------- ----------------
7. ▇▇▇▇▇▇▇▇ 4 Dual Channel Timing Recovery 2/16/96 08/602944
---- ---------------- ------------------------------------- ---------------- ----------------
8. ▇▇▇▇▇▇▇▇ 6-18 A Transmission System for Digital 4/4/96 08/628220
Audio Broadcasting
---- ---------------- ------------------------------------- ---------------- ----------------
Page 1 of 1
36
APPENDIX A
CAP A-PATENTS
---- --------------- ---------- ----------- ---------- ---------------------------------------
No. Case Name Issue Patent No. Filing Title
Date Date
---- --------------- ---------- ----------- ---------- ---------------------------------------
1. AMRANY 1-25 2/11/92 5088057 4/5/90 RATIONAL RATE FREQUENCY GENERATOR
---- --------------- ---------- ----------- ---------- ---------------------------------------
2. GOLDEN 3 3/10/92 5095495 9/4/90 USE OF CYCLOSTATIONARY SIGNAL TO
CONSTRAIN THE FREQUENCY RESPONSE OF A
FRACTIONALLY SPACED EQUALIZE
---- --------------- ---------- ----------- ---------- ---------------------------------------
3. AMAN 2-6-4 3/10/92 5095497 11/20/89 TECHNIQUE FOR ACHIEVING THE FULL
CODING GAIN OF ENCODED DIGITAL SIGNALS
---- --------------- ---------- ----------- ---------- ---------------------------------------
4. ▇▇▇▇ 7 5/19/92 5115452 8/2/90 PHASE JITTER CORRECTION ARRANGEMENT
---- --------------- ---------- ----------- ---------- ---------------------------------------
5. ▇▇▇▇▇▇ 17 7/28/92 5134633 11/30/90 DIGITAL COMMUNICATIONS-SYNCHRONIZATION
SCHEME
---- --------------- ---------- ----------- ---------- ---------------------------------------
6. ▇▇▇▇▇▇ 1 9/8/92 5146494 7/31/89 OVERLAPPING LOOK-UP-AND-ADD ECHO
CANCELLER REQUIRING A SMALLER MEMORY
SIZE
---- --------------- ---------- ----------- ---------- ---------------------------------------
7. ▇▇▇▇▇▇▇▇ 1 11/10/92 5162762 3/25/91 PHASE-LOCK LOOP WITH ADAPTIVE SCALING
ELEMENT
---- --------------- ---------- ----------- ---------- ---------------------------------------
8. AMAN 3-9-5 11/10/92 5162812 10/11/91 TECHNIQUE FOR ACHIEVING THE FULL
CODING GAIN OF ENCODED DIGITAL SIGNALS
---- --------------- ---------- ----------- ---------- ---------------------------------------
9. GOLDEN 4 11/10/92 5163044 1/2/91 USE OF A FRACTIONALLY SPACED
EQUALIZER TO PERFORM ECHO
CANCELLATION IN A FULL-DUPLEX MODEM
---- --------------- ---------- ----------- ---------- ---------------------------------------
10. ▇▇▇▇ 8-26 11/10/92 5163066 5/24/91 SYNCHRONIZING THE OPERATION OF
MULTIPLE EQUALIZERS IN A DIGITAL
COMMUNICATIONS SYSTEM
---- --------------- ---------- ----------- ---------- ---------------------------------------
11. WANG 10 11/9/93 5260972 7/9/91 TECHNIQUE FOR DETERMINING SIGNAL
DISPERSION CHARACTERISTICS IN
COMMUNICATIONS SYSTEMS
---- --------------- ---------- ----------- ---------- ---------------------------------------
12. LATURELL 2 1/18/94 5280526 5/26/92 TRANSFORMER-LESS HYBRID CIRCUIT
---- --------------- ---------- ----------- ---------- ---------------------------------------
13. AMRANY 6 6/7/94 5319585 4/28/93 HIGH RESOLUTION FILTERING USING LOW
RESOLUTION PROCESSORS
---- --------------- ---------- ----------- ---------- ---------------------------------------
14. SORBARA 1-18 7/19/94 5331670 1/31/92 SYNCHRONIZATION SCHEME FOR A DIGITAL
COMMUNICATION SYSTEM
---- --------------- ---------- ----------- ---------- ---------------------------------------
15. ▇▇▇▇ 10-27 10/4/94 5353312 12/27/91 EQUALIZER-BASED TIMING RECOVERY
---- --------------- ---------- ----------- ---------- ---------------------------------------
16. GOLDEN 5 12/27/94 5377230 5/1/92 EXTENDED BANDWIDTH TRANSMITTER FOR
CROSSTALK CHANNELS
---- --------------- ---------- ----------- ---------- ---------------------------------------
17. AMRANY 3 1/24/95 5384810 2/5/92 MODULE DECODER
---- --------------- ---------- ----------- ---------- ---------------------------------------
18. ▇▇▇▇▇ 8/22/95 5444712 8/30/93 COMMUNICATION MODE IDENTIFICATION
49-1-3-2-1-24 TECHNIQUE
---- --------------- ---------- ----------- ---------- ---------------------------------------
19. ▇▇▇▇▇▇▇▇▇ 4-6 3/19/96 5499923 11/9/94 COMMUNICATION CARD WITH EXTENDIBLE,
ROTATABLE COUPLING
---- --------------- ---------- ----------- ---------- ---------------------------------------
20. GADOT 1-5-1-13 4/30/96 5513216 10/13/94 HYBRID EQUALIZER ARRANGEMENT FOR USE IN
DATA COMMUNICATION EQUIPMENT
---- --------------- ---------- ----------- ---------- ---------------------------------------
21. AMRANY 7 6/25/96 5530959 5/18/94 SELF-SYNCHRONIZING
SCRAMBLER/DESCRAMBLER WITHOUT ERROR
MULTIPLICATION
---- --------------- ---------- ----------- ---------- ---------------------------------------
Page 1 of 1
37
APPENDIX A
NON-CAP A-PATENT APPLICATIONS
-------- ---------------- ------------------------------------- ---------------- ----------------
No. Case Name Title Filing Date Serial No.
-------- ---------------- ------------------------------------- ---------------- ----------------
1. Bedingfield 2-1 Sample and Hold Circuit Using an 4/29/96 08/639541
Operational Amplifier and High
Impedance Buffer Connected by a
Switched Diode Capacitor Circuit
-------- ---------------- ------------------------------------- ---------------- ----------------
2. ▇▇▇▇▇ 48-26 Simultaneous Analog and Digital 6/14/93 08/076517
Communication Using Fractional Rate
Encoding
-------- ---------------- ------------------------------------- ---------------- ----------------
3. ▇▇▇▇▇ 55-4 Modem Receiver Preemphasis 12/13/94 08/354978
-------- ---------------- ------------------------------------- ---------------- ----------------
4. ▇▇▇▇▇ 56 Trellis Enhanced Precoder 2/12/95 08/391328
-------- ---------------- ------------------------------------- ---------------- ----------------
5. ▇▇▇▇▇ 57 Apparatus for High-Speed 10/10/95 08/541863
Simultaneous Voice/Data
Communications
-------- ---------------- ------------------------------------- ---------------- ----------------
6. ▇▇▇▇▇ 64-6 Compensator for Rob-Bit-Signaling
in PCM Systems
-------- ---------------- ------------------------------------- ---------------- ----------------
7. ▇▇▇▇▇ 65-7 Transmitter Compensation for
Digital Loss and
Robbed-Bit-Signaling
-------- ---------------- ------------------------------------- ---------------- ----------------
8. ▇▇▇▇▇▇ 1 Line-Poweree Modem with Capacitive 8/11/95 08/514040
Isolated
-------- ---------------- ------------------------------------- ---------------- ----------------
9. ▇▇▇▇▇▇ 2 Integrated Loop Current Detector 2/28/96 08/608418
Apparatus for a PSTN Modem
-------- ---------------- ------------------------------------- ---------------- ----------------
10. Bottoms Cellular Phone Interface For A 4/26/96 08/639359
10-44-22-3-23 Simultaneous Voice/Data Modem
-------- ---------------- ------------------------------------- ---------------- ----------------
11. Bottoms Sound Modification For Use In 4/20/94 08/23/0565
7-34-14-10 Simultaneous Voice and Data
Communications
-------- ---------------- ------------------------------------- ---------------- ----------------
12. Bottoms Cellular Phone Interface For A 8/1/94 08/283333
8-35-15-2-12 Simultaneous Voice/Data Modem (NOW ABANDONED)
-------- ---------------- ------------------------------------- ---------------- ----------------
13. ▇▇▇▇▇▇ 19-1-2 Compounding of Voice Signal for 6/14/93 08/076506
Simultaneous Voice and Data
Transmission
-------- ---------------- ------------------------------------- ---------------- ----------------
14. ▇▇▇▇▇▇ 36-7 Simultaneous Voice/Data Answering 6/24/94 08/264880
Machine
-------- ---------------- ------------------------------------- ---------------- ----------------
15. ▇▇▇▇▇▇ 37-17-11 Simultaneous Analog and Digital 10/21/94 08/327270
Communication Having Increased
Phase Immunity
-------- ---------------- ------------------------------------- ---------------- ----------------
16. ▇▇▇▇▇▇ Autorate Method for Simultaneous 12/8/94 08/352297
▇▇-▇▇-▇▇-▇▇ Transmission of Voice and Data
-------- ---------------- ------------------------------------- ---------------- ----------------
17. ▇▇▇▇▇▇ 39 This is a Continuation Technique 1/26/95 08/378766
for Transmitting Analog or Digital
Signals in a Common Frequency Band
of a Communications Channel
-------- ---------------- ------------------------------------- ---------------- ----------------
18. ▇▇▇▇▇▇▇ 5-1-2 Simultaneous Full Duplex Voice and 5/1/95 08/432486
Group 3 Facsimile System and Method
-------- ---------------- ------------------------------------- ---------------- ----------------
19. ▇▇▇▇▇ 1-1-1-2 Transparent Call Progress 1/30/95 08/380872
-------- ---------------- ------------------------------------- ---------------- ----------------
20. Ghahramani 2 A Method for Measuring the 10/11/94 08/320810
Usability of A System and for Task
Analysis and Re-engineering
-------- ---------------- ------------------------------------- ---------------- ----------------
Page 1 of 1
38
APPENDIX A
NON-CAP A-PATENT APPLICATIONS
-------- ---------------- ------------------------------------- ---------------- ----------------
No. Case Name Title Filing Date Serial No.
-------- ---------------- ------------------------------------- ---------------- ----------------
21. ▇▇▇▇▇▇ 10-19-7 An Enabling Technique for Quickly 4/5/96 08/628410
Establishing High Speed PSTN
Connections in Telecommuting
Applications
-------- ---------------- ------------------------------------- ---------------- ----------------
22. ▇▇▇▇▇▇ 5-17-5 An Enabling Technique for Quickly 11/3/94 08/333686
Establishing High Speed PSTN (NOW ABANDONED)
Connections in Telecommuting
Applications
-------- ---------------- ------------------------------------- ---------------- ----------------
23. ▇▇▇▇▇ 1-6-1 Apparatus and Method for 5/8/92 07/880257
Downloading Programs
-------- ---------------- ------------------------------------- ---------------- ----------------
24. ▇▇▇▇▇ 1 System and Method for Bus 12/28/96 08/607912
Contention Resolution
-------- ---------------- ------------------------------------- ---------------- ----------------
25. ▇▇▇▇▇ 2 Slot-Token Protocol 2/28/96 08/608378
-------- ---------------- ------------------------------------- ---------------- ----------------
26. ▇▇▇▇▇▇▇▇▇ ▇▇-▇ ▇▇▇▇▇▇▇▇▇▇▇▇ Voice and Data Call 4/8/94 08/225296
Establishment Using a Simultaneous
Voice and Data Modem Pool and
Private Branch Exchange Facilities
-------- ---------------- ------------------------------------- ---------------- ----------------
27. ▇▇▇▇▇▇▇▇▇ 15-8 A Method For Dial-In Access 6/20/96 08/262169
Security Using a Multimedia Modem
-------- ---------------- ------------------------------------- ---------------- ----------------
28. Ko 13 Independently Switched Voice And 3/23/94 08/21/6373
Data Calls Using a Simultaneous
Voice and Data Modem
-------- ---------------- ------------------------------------- ---------------- ----------------
29. Ko 16 Linear Prediction Filter 12/21/94 08/360906
Coefficient Quantizer & Filter Set
-------- ---------------- ------------------------------------- ---------------- ----------------
30. ▇▇▇▇▇▇ 1-1 Circuit and Method for Multiplexing 11/14/95 08/557873
A Frame-Relay Virtual Circuit and
Frame-Relay System Having
Multiplexed Virtual Circuits
-------- ---------------- ------------------------------------- ---------------- ----------------
31. ▇▇▇▇▇ 2-1 Interchange Circuit Overload 10/7/94 08/320147
Protection Using Driver Current
Limiting
-------- ---------------- ------------------------------------- ---------------- ----------------
32. ▇▇▇▇▇ 1-2 A Technique for Sending Faxes Over 12/18/95 08/573702
Cellular Communications Channel
-------- ---------------- ------------------------------------- ---------------- ----------------
33. ▇▇▇▇▇ 2-3 Method and Apparatus for Bypassing 12/18/95 08/573701
a Cellular Modem Pool During a Fax
Transmission
-------- ---------------- ------------------------------------- ---------------- ----------------
34. ▇▇▇▇▇▇▇▇▇ 4 Discontinuous Transmission of 3/12/96 08/614225
Circuit-Switching Analog Cellular
Data
-------- ---------------- ------------------------------------- ---------------- ----------------
35. ▇▇▇▇▇ 10 Adaptive Transmit Levels for Modems 10/18/93 08/137542
Operating Over Cellular (NOW ABANDONED)
-------- ---------------- ------------------------------------- ---------------- ----------------
36. ▇▇▇▇▇ 22 Adaptive Transmit Levels for Modems 3/21/96 08/619149
Operating Over Cellular
-------- ---------------- ------------------------------------- ---------------- ----------------
Page 2 of 2
39
APPENDIX A
NON-CAP A-PATENTS
------- --------------- ---------- ----------- ---------- ---------------------------------------
No. Case Name Issue Patent No. Filing Title
Date Date
------- --------------- ---------- ----------- ---------- ---------------------------------------
1. GEORGOPULOS 1 1/17/95 D354500 3/10/93 MODEM HOUSING
------- --------------- ---------- ----------- ---------- ---------------------------------------
2. CRAFT 1-11 6/18/91 5025211 12/20/89 TECHNIQUE FOR REDUCING
ELECTROMAGNETIC INTERFERENCE
------- --------------- ---------- ----------- ---------- ---------------------------------------
3. ▇▇▇▇▇▇ 14 1/14/92 5081647 1/6/89 COMMUNICATION OF A VOICE SIGNAL VIA
CONTINUOUS QUADRATURE AMPLITUDE
MODULATOR
------- --------------- ---------- ----------- ---------- ---------------------------------------
4. ▇▇▇▇▇ 35 4/7/92 5103227 9/26/90 MODULUS CONVERTER FOR FRACTIONAL RATE
ENCODING
------- --------------- ---------- ----------- ---------- ---------------------------------------
5. ▇▇▇▇▇ 37-4 4/14/92 5105443 5/29/90 INBAND CODING OF SECONDARY DATA
------- --------------- ---------- ----------- ---------- ---------------------------------------
6. ▇▇▇▇▇ 40-2 4/27/93 5206854 9/24/91 DETECTING LOSS OF ECHO CANCELLATION
------- --------------- ---------- ----------- ---------- ---------------------------------------
7. ▇▇▇▇▇ 36-16 7/20/93 5230010 9/26/90 FRACTIONAL RATE MODULATION
------- --------------- ---------- ----------- ---------- ---------------------------------------
8. ▇▇▇▇▇ 38-12 9/7/93 5243627 8/22/91 SIGNAL POINT INTERLEAVING TECHNIQUE
------- --------------- ---------- ----------- ---------- ---------------------------------------
9. ▇▇▇▇ 4 10/5/93 5251328 12/20/90 PREDISTORTION TECHNIQUE FOR
COMMUNICATIONS SYSTEMS
------- --------------- ---------- ----------- ---------- ---------------------------------------
10. ▇▇▇▇▇ 39-25 11/23/93 5265127 9/3/91 NON-LINEAR ENCODER AND DECODER FOR
INFORMATION TRANSMISSION THROUGH
NON-LINEAR CHANNELS
------- --------------- ---------- ----------- ---------- ---------------------------------------
11. ▇▇▇▇▇ 42-17 1/18/94 5280503 1/13/92 DATA COMMUNICATION SYSTEM WITH DATA
RATE THROTTLING
------- --------------- ---------- ----------- ---------- ---------------------------------------
12. ▇▇▇▇▇ 41-5 3/1/94 5291521 1/31/92 INDEX ASSIGNMENT IN REDUNDANCY -
DOCED DATA COMMUNICATION SYSTEMS
------- --------------- ---------- ----------- ---------- ---------------------------------------
13. ▇▇▇▇▇▇▇▇▇ 4/5/94 5301246 7/29/92 DATA COMMUNICATIONS EQUIPMENT
2-1-2 SECURITY DEVICE USING CALLING PARTY
DIRECTORY NUMBER
------- --------------- ---------- ----------- ---------- ---------------------------------------
14. ▇▇▇▇▇ 44-1 5/10/94 5311557 7/10/92 CIRCULAR LIMITER FOR USE IN A
RECEIVER TO REDUCE THE EFFECTS OF THE
SIGNAL DISTORTION
------- --------------- ---------- ----------- ---------- ---------------------------------------
15. ▇▇▇▇▇▇ 5/10/94 5311578 5/7/92 TECHNIQUE FOR AUTOMATIC
18-5-1-16 IDENTIFICATION OF A REMOTE MODEM
------- --------------- ---------- ----------- ---------- ---------------------------------------
16. ▇▇▇▇▇ 3-3 5/10/94 5311596 8/31/92 CONTINUOUS AUTHENTICATION USING AN
IN-BAND OR OUT-OF BAND SIDE CHANNEL
------- --------------- ---------- ----------- ---------- ---------------------------------------
17. ▇▇▇▇▇ 45-10-26 8/30/94 5343500 7/9/92 NON-LINEAR ENCODER AND DECODER FORM
INFORMATION TRANSMISSION THROUGH
NON-LINEAR CHANNELS
------- --------------- ---------- ----------- ---------- ---------------------------------------
18. ▇▇▇▇▇ 4 9/20/94 5349635 11/19/92 HALF-DUPLEX OR FULL-DUPLEX AUTOMODE
OPERATION FOR USE IN DATA
COMMUNICATIONS EQUIPMENT
------- --------------- ---------- ----------- ---------- ---------------------------------------
19. ▇▇▇▇ 2-3 11/1/94 5361259 2/19/93 A WIDE AREA NETWORK (WAN) ARRANGEMENT
------- --------------- ---------- ----------- ---------- ---------------------------------------
20. ▇▇▇▇▇▇▇▇▇ 11/29/94 5369703 10/18/91 COMMAND AND CONTROL SIGNALLING METHOD
1-1-4 AND APPARATUS
------- --------------- ---------- ----------- ---------- ---------------------------------------
21. ▇▇▇▇▇▇▇▇▇ 1 12/13/94 5373149 2/1/93 FOLDING ELECTRONIC CARD ASSEMBLY
------- --------------- ---------- ----------- ---------- ---------------------------------------
PAGE 1 OF 3
40
APPENDIX A
NON-CAP A-PATENTS
------- --------------- ---------- ----------- ---------- ---------------------------------------
No. Case Name Issue Patent No. Filing Title
Date Date
------- --------------- ---------- ----------- ---------- ---------------------------------------
22. ▇▇▇▇▇ 5 2/28/95 5394392 12/14/92 METHOD FOR TRANSFERRING INFORMATION
USING MODEMS
------- --------------- ---------- ----------- ---------- ---------------------------------------
23. ▇▇▇▇▇ 6 3/7/95 5396486 12/17/92 DATA COMMUNICATIONS EQUIPMENT
INTERFACE LEADS TO SIGNAL HALF-DUPLEX
OR FULL-DUPLEX OPERATION
------- --------------- ---------- ----------- ---------- ---------------------------------------
24. ▇▇▇▇▇ 51-17 3/7/95 5396519 10/22/93 METHOD AND APPARATUS FOR ADAPTIVELY
PROVIDING PRECODING AND PREEMPHASIS
CONDITIONING TO SIGNAL DATA FOR
TRANSFER OVER A COMMUNICATION CHANNEL
------- --------------- ---------- ----------- ---------- ---------------------------------------
25. ▇▇▇▇▇▇ 27-7-4 7/25/95 5436930 6/14/93 SIMULTANEOUS ANALOG AND DIGITAL
COMMUNICATIONS WITH A SELECTION OF
DIFFERENT SIGNAL POINT CONSTELLATIONS
BASED ON SIGNAL ENERGY
------- --------------- ---------- ----------- ---------- ---------------------------------------
26. ▇▇▇▇▇▇▇▇▇ 1-1 8/22/▇▇ ▇▇▇▇▇▇▇ ▇/12/91 DIAL RESTORAL METHOD AND APPARATUS
------- --------------- ---------- ----------- ---------- ---------------------------------------
27. ▇▇▇▇▇▇ 25-5-7 9/5/95 5448555 6/14/93 SIMULTANEOUS ANALOG AND DIGITAL
COMMUNICATION
------- --------------- ---------- ----------- ---------- ---------------------------------------
28. ▇▇▇▇▇▇ 1-2-7 9/12/95 5450438 7/26/93 1200 BIT PER SECOND FALLBACK METHOD
FOR USE IN MOBILE RADIO
------- --------------- ---------- ----------- ---------- ---------------------------------------
29. GEORGOPULOS 10/10/95 5457601 12/8/93 CREDIT CARD-SIZED MODEM WITH
3-3 MODULAR DAA
------- --------------- ---------- ----------- ---------- ---------------------------------------
30. ▇▇▇▇▇▇▇ 3-10 12/5/▇▇ ▇▇▇▇▇▇▇ ▇▇/12/93 CALL ESTABLISHMENT FOR SIMULTANEOUS
ANALOG AND DIGITAL COMMUNICATIONS
------- --------------- ---------- ----------- ---------- ---------------------------------------
31. ▇▇▇▇▇▇▇ 4-13 12/12/95 5475691 11/15/93 VOICE ACTIVATED DATA RATE CHANGE IN
SIMULTANEOUS VOICE AND DATA
TRANSMISSION
------- --------------- ---------- ----------- ---------- ---------------------------------------
32. ▇▇▇▇▇ 54-19 12/12/95 5475711 9/14/94 SYSTEM FOR CHANNEL CAPACITY MODULATION
------- --------------- ---------- ----------- ---------- ---------------------------------------
33. ▇▇▇▇▇▇ 22-3-3 12/12/95 5475713 6/14/93 SHAPED SIGNAL SPACES IN A
SIMULTANEOUS VOICE AND DATA SYSTEM
------- --------------- ---------- ----------- ---------- ---------------------------------------
34. ▇▇▇▇▇ 11 12/26/95 5479480 12/30/93 DUAL MODE CELLULAR MODEM
------- --------------- ---------- ----------- ---------- ---------------------------------------
35. ▇▇▇▇▇▇▇▇▇ 3-1 12/26/95 5479650 12/24/92 METHOD AND APPARATUS FOR SWITCHING
COMMUNICATIONS FROM A SECONDARY
CHANNEL TO A PRIMARY CHANNEL
------- --------------- ---------- ----------- ---------- ---------------------------------------
36. ▇▇▇▇▇ 52-18 1/2/96 5481567 9/12/94 METHOD AND APPARATUS FOR
AUTOMATICALLY ADAPTING THE AMOUNT OF
WARPING IN A SYSTEM TRANSMITTING
INFORMATION THROUGH A NON-LINEAR
CHANNEL
------- --------------- ---------- ----------- ---------- ---------------------------------------
37. ▇▇▇▇▇▇ 4/9/96 5506866 11/15/93 SIDE-CHANNEL COMMUNICATIONS IN
31-12-11-2 SIMULTANEOUS VOICE AND DATA
TRANSMISSION
------- --------------- ---------- ----------- ---------- ---------------------------------------
38. ▇▇▇▇▇▇ 32 4/30/96 5513212 11/15/93 CONVERSION OF A FAX MODULATION TO A
DATA TRANSMISSION
------- --------------- ---------- ----------- ---------- ---------------------------------------
39. ▇▇▇▇▇ 5-14 5/30/96 5513213 3/27/95 DATA DRIVEN AUTORATING
------- --------------- ---------- ----------- ---------- ---------------------------------------
PAGE 2 OF 3
41
APPENDIX A
NON-CAP A-PATENTS
------- --------------- ---------- ----------- ---------- ---------------------------------------
No. Case Name Issue Patent No. Filing Title
Date Date
------- --------------- ---------- ----------- ---------- ---------------------------------------
40. ▇▇▇▇▇ 5/28/96 5521942 6/14/93 A METHOD FOR INCREASING THE DYNAMIC
47-20-6-15 RANGE OF A SIGNAL IN A SIMULTANEOUS
VOICE AND DATA SYSTEM BY THE USE OF
OVERLAPPING SIGNAL POINT REGIONS AND
TRELLIS CODING
------- --------------- ---------- ----------- ---------- ---------------------------------------
41. ASHLEY 2-2 6/18/96 5528630 4/20/94 COUPLER FOR COMMUNICATION SYSTEMS
WHICH UTILIZE MORE THAN ONE FREQUENCY
BAND
------- --------------- ---------- ----------- ---------- ---------------------------------------
42. MASSINI 1-1 7/9/96 5533663 11/21/94 SOLDER WAVE MEASUREMENT DEVICE
------- --------------- ---------- ----------- ---------- ---------------------------------------
43. BOTTOMS 7/16/96 5537436 6/14/93 SIMULTANEOUS ANALOG AND DIGITAL
6-29-1-2-9-1-4-8 COMMUNICATION APPLICATIONS
------- --------------- ---------- ----------- ---------- ---------------------------------------
44. ▇▇▇▇▇▇ 7/16/96 5537441 6/14/93 CONTROLLED SIMULTANEOUS ANALOG AND
30-2-2-7-10-5 DIGITAL COMMUNICATION
------- --------------- ---------- ----------- ---------- ---------------------------------------
45. BEDINGFIELD 7/16/96 5537654 4/20/94 PCMCIA INTERFACE USING SHARED MEMORY
1-1
------- --------------- ---------- ----------- ---------- ---------------------------------------
46. MASSINI 2-2 7/23/96 5538175 11/21/94 ADJUSTMENT OF SOLDER WAVE PROCESS IN
REAL TIME
------- --------------- ---------- ----------- ---------- ---------------------------------------
Page 3 of 3
42
APPENDIX A
PARADYNE NON-CAP PATENT APPLICATIONS
-------- ---------------- ------------------------------------- ---------------- ----------------
No. Case Name Title Filing Date Serial No.
-------- ---------------- ------------------------------------- ---------------- ----------------
1. ▇▇▇▇▇ 58-1-18 Echo Canceling Method and Apparatus 9/29/95 08/536908
for Data Over Cellular
-------- ---------------- ------------------------------------- ---------------- ----------------
2. ▇▇▇▇▇ 59-2-19 Echo Canceling Method and Apparatus 9/29/95 08/536916
for Data Over Cellular
-------- ---------------- ------------------------------------- ---------------- ----------------
3. ▇▇▇▇▇ 60-21 Echo Canceler Gain Tracker for 9/29/95 08/536917
Cellular Modems
-------- ---------------- ------------------------------------- ---------------- ----------------
4. ▇▇▇▇▇ 61-22 Echo Cancellation for Modems 11/14/95 08/557635
-------- ---------------- ------------------------------------- ---------------- ----------------
5. ▇▇▇▇▇ 62-23 Echo Cancellation for Modems 11/14/95 08/557634
-------- ---------------- ------------------------------------- ---------------- ----------------
6. ▇▇▇▇▇ 63-5 Interpolation System for Fixed 12/22/95 08/577786
Sample Rate Signal Processing
-------- ---------------- ------------------------------------- ---------------- ----------------
7. Buck 1-1 Self Locking and Ejecting RJ-11 Plug 9/15/95 08/528819
-------- ---------------- ------------------------------------- ---------------- ----------------
8. ▇▇▇▇▇▇▇▇▇ 18 A Transparent Technique for 5/31/95 08/457881
"Mu-law" Modems to Detect Mutual
Connection Via an All Digital
Circuit
-------- ---------------- ------------------------------------- ---------------- ----------------
9. Ko 20 Speech Silence Detection Using 4/12/95 08/420466
Autocorrelation Coefficients
-------- ---------------- ------------------------------------- ---------------- ----------------
10. ▇▇▇▇▇ 3 Time-division Multiple-access 7/31/95 08/509309
Method for Packet Transmission on
Shared Synchronous Serial Buses
-------- ---------------- ------------------------------------- ---------------- ----------------
11. ▇▇▇▇▇ 16 Error Control Negotiation Based on 5/31/95 08/458048
Modulation
-------- ---------------- ------------------------------------- ---------------- ----------------
12. ▇▇▇▇▇ 17 The Use of Compression to Improve 12/18/95 08/573700
the Sending of Faxes over Analog
Cellular
-------- ---------------- ------------------------------------- ---------------- ----------------
13. ▇▇▇▇▇ 20 An Improved Method for Sending 12/18/95 08/573739
Faxes Over Wireless Llinks
-------- ---------------- ------------------------------------- ---------------- ----------------
Page 1 of 1
43
APPENDIX A
PARADYNE NON-CAP PATENTS
------- --------------- ---------- ----------- ---------- ---------------------------------------
No. Case Name Issue Patent No. Filing Title
Date Date
------- --------------- ---------- ----------- ---------- ---------------------------------------
1. KORZIK 1 1/23/84 D272340 5/11/81 HOUSING FOR PRINTED CIRCUIT BOARDS
------- --------------- ---------- ----------- ---------- ---------------------------------------
2. KORZIK 3-3-1-1 3/27/84 D273189 8/12/81 DISPLAY TERMINAL
------- --------------- ---------- ----------- ---------- ---------------------------------------
3. ▇▇▇▇▇▇▇▇▇ 1 6/2/81 4271527 8/31/79 DOUBLE SIDE BAND-QUADRATURE CARRIER
MODULATION SIGNAL STRUCTURES
------- --------------- ---------- ----------- ---------- ---------------------------------------
4. ▇▇▇▇▇▇▇▇▇ 2 6/16/81 4273955 3/2/79 ERROR DETECTING AND CORRECTING SYSTEM
------- --------------- ---------- ----------- ---------- ---------------------------------------
5. ▇▇▇▇▇▇▇▇▇ 6/15/82 4335464 1/24/80 DUAL MULTIPOINT DATA TRANSMISSION
3-1-1 SYSTEM MODEM
------- --------------- ---------- ----------- ---------- ---------------------------------------
6. ▇▇▇▇▇▇▇▇▇ 4 2/15/83 4374436 10/17/80 SYSTEM FOR THE MONITORING AND
RESTORATION OF SERIES TERMINALS IN A
LOOPED COMMUNICATION SYSTEM
------- --------------- ---------- ----------- ---------- ---------------------------------------
7. ▇▇▇▇▇▇▇▇▇ 5 4/26/83 4381546 3/2/79 SYSTEM FOR THE QUANTITATIVE
MEASUREMENT OF IMPAIRMENTS IN THE
COMMUNICATION CHANNEL OF A QUADRATURE
AMPLITURE MODULATION DATA
COMMUNICATION SYSTEM
------- --------------- ---------- ----------- ---------- ---------------------------------------
8. ▇▇▇▇▇ 2-1 6/28/▇▇ ▇▇▇▇▇▇▇ ▇/9/81 TELEPHONE SYSTEM RING PERIOD DETECTOR
------- --------------- ---------- ----------- ---------- ---------------------------------------
9. ▇▇▇▇▇▇▇ 1 2/8/83 4396239 3/10/81 INTERLOCK MECHANISM
------- --------------- ---------- ----------- ---------- ---------------------------------------
10. ▇▇▇▇▇▇▇▇▇▇ 1 2/28/84 4434378 11/6/81 D.C. POWER MONITOR
------- --------------- ---------- ----------- ---------- ---------------------------------------
11. KORZIK 2-2 3/20/84 4437717 9/28/81 RACK MOUNTABLE PRIMARY POWER AC PLUG
------- --------------- ---------- ----------- ---------- ---------------------------------------
12. ▇▇▇▇▇▇ 2 8/7/84 4464767 9/8/81 SYSTEM FOR GENERATION OF MULTIPLE
POINTED QAM SIGNAL SPACES BY USE OF
SYNCHRONOUS QAM TRANSMITTERS
------- --------------- ---------- ----------- ---------- ---------------------------------------
13. ▇▇▇▇▇▇ 3-1 3-5-85 4503545 10/28/81 SYSTEM FOR EVALUATING TRANSMISSION
LINE IMPAIRMENTS
------- --------------- ---------- ----------- ---------- ---------------------------------------
14. ▇▇▇▇▇▇ 4-3 4/2/85 4509171 12/8/82 MODEM MULTIPLEXER SYNCHRONIZATION BY
RADIAL MODULATION
------- --------------- ---------- ----------- ---------- ---------------------------------------
15. ▇▇▇▇▇▇▇▇▇ 6 5/7/85 4516216 5/10/82 IN-SERVICE MONITORING SYSTEM FOR DATA
COMMUNICATIONS NETWORK
------- --------------- ---------- ----------- ---------- ---------------------------------------
16. ▇▇▇▇▇ 4-1 5/14/85 4517680 2/23/83 ERROR VECTOR NORMALIZER
------- --------------- ---------- ----------- ---------- ---------------------------------------
17. ▇▇▇▇▇▇ 5-5-1 6/25/85 4525846 12/27/82 MODEM IN-BAND SECONDARY CHANNEL VIA
RADIAL MODULATION
------- --------------- ---------- ----------- ---------- ---------------------------------------
18. ▇▇▇▇▇▇ 6 6/25/85 4525847 11/10/82 QAM ENCODER
------- --------------- ---------- ----------- ---------- ---------------------------------------
19. ▇▇▇▇▇▇ 7-6-2 7/30/85 4532640 8/12/82 MODEM IN-BAND SECONDARY CHANNEL VIA
RADIAL MODULATION
------- --------------- ---------- ----------- ---------- ---------------------------------------
20. ▇▇▇▇▇▇▇▇ 3-7 8/6/85 4534026 12/6/83 NORMALIZED ERROR COMPENSATOR FOR
MODEMS USING RADIAL AMPLITUDE
MODULATION FOR MULTIPLEXING
------- --------------- ---------- ----------- ---------- ---------------------------------------
PAGE 1 OF 4
44
APPENDIX A
PARADYNE NON-CAP PATENTS
------- --------------- ---------- ----------- ---------- ---------------------------------------
NO. CASE NAME ISSUE PATENT NO. FILING TITLE
DATE DATE
------- --------------- ---------- ----------- ---------- ---------------------------------------
21. ▇▇▇▇▇ 8-4 8/6/85 4534036 12/8/82 PHASE TRACKING LOOP IMPAIRMENT
MONITOR FOR MODEMS
------- --------------- ---------- ----------- ---------- ---------------------------------------
22. ▇▇▇▇▇▇▇▇ 1-1 8/13/85 4535452 2/29/84 MULTI-MODEM VARIABLE PART
DEMULTIPLEXER SYNCHRONIZATION ADAPTER
------- --------------- ---------- ----------- ---------- ---------------------------------------
23. ▇▇▇▇▇ 9-5 11/26/85 4555790 6/30/83 DIGITAL MODEM HAVING A MONITOR FOR
SIGNAL-TO-NOISE RATIO
------- --------------- ---------- ----------- ---------- ---------------------------------------
24. ▇▇▇▇▇▇▇▇▇ 7 12/10/85 4558317 11/17/82 DIGITAL COMMUNICATION LINK MONITORING
DEVICE
------- --------------- ---------- ----------- ---------- ---------------------------------------
25. ▇▇▇▇▇ 10-2-1 9/16/86 4612509 1/13/83 FREQUENCY SHIFT KEYED DEMODULATOR
------- --------------- ---------- ----------- ---------- ---------------------------------------
26. ▇▇▇▇▇▇▇▇▇ 8 12/2/86 4627077 12/3/84 MODIFIED QAM DATA POINT CONSTELLATION
FOR SECONDARY CHANNEL SIGNALLING
------- --------------- ---------- ----------- ---------- ---------------------------------------
27. ▇▇▇▇▇ 11 12/16/86 4630286 10/10/84 DEVICE FOR SYNCHRONIZATION OF
MULTIPLE TELEPHONE CIRCUITS
------- --------------- ---------- ----------- ---------- ---------------------------------------
28. ▇▇▇▇▇▇▇▇▇ 9 12/16/86 4630287 6/25/85 SECONDARY CHANNEL SIGNALLING IN A QAM
DATA POINT CONSTELLATION
------- --------------- ---------- ----------- ---------- ---------------------------------------
29. ▇▇▇▇▇ 12-1 12/23/86 4631738 12/6/84 GAIN TRACKER FOR DIGITAL MODEM
------- --------------- ---------- ----------- ---------- ---------------------------------------
30. ▇▇▇▇▇ 13-2 12/30/86 4633485 3/8/85 ADAPTIVE NOISE SUPPRESSION FOR
DIGITAL MODEMS
------- --------------- ---------- ----------- ---------- ---------------------------------------
31. ▇▇▇▇▇ 14 1/13/87 4637035 2/16/84 DIGITAL MODEM FOR MULTIPLE TELEPHONE
CIRCUITS
------- --------------- ---------- ----------- ---------- ---------------------------------------
32. ▇▇▇▇▇▇▇▇ 1/27/87 4639934 4/11/85 LINE IMPAIRMENT DISPLAY FOR DIGITAL
3-1-15 MODEMS
------- --------------- ---------- ----------- ---------- ---------------------------------------
33. ▇▇▇▇▇▇ 2/24/87 4645871 6/17/85 NON-INTERFERING IN-BAND
8-10-1-1 PROTOCOL-INDEPENDENT DIAGNOSTIC
SCANNING IN A DIGITAL MULTIPOINT
COMMUNICATION SYSTEM
------- --------------- ---------- ----------- ---------- ---------------------------------------
34. ▇▇▇▇▇▇▇▇ 4-6 2/24/87 4646325 4/15/85 INDEX DECODER FOR DIGITAL MODEMS
------- --------------- ---------- ----------- ---------- ---------------------------------------
35. ▇▇▇▇▇▇ 9 3/31/87 4654807 12/6/83 METHOD FOR MEASURING COMMUNICATION
CHANNEL IMPAIRMENT IN POLLING
APPLICATIONS
------- --------------- ---------- ----------- ---------- ---------------------------------------
36. ▇▇▇▇▇▇ 10 5/5/87 4663766 10/10/84 METHOD OF DETERMINING AUTOMATICALLY
THE RATE OF THE DATA SIGNALS IN A
MODEM
------- --------------- ---------- ----------- ---------- ---------------------------------------
37. ▇▇▇▇▇ 16-7 5/26/87 4669090 7/5/75 HALF-DUPLEX MODEM WITHOUT TURNAROUND
DELAY
------- --------------- ---------- ----------- ---------- ---------------------------------------
38. ▇▇▇▇▇ 17-8 6/30/87 4677624 3/1/85 SELF-SYNCHRONIZING DE-INTERLEAVER FOR
VITERBI DECODER USED IN WIRELINE
MODEMS
------- --------------- ---------- ----------- ---------- ---------------------------------------
39. ▇▇▇▇▇ 18-9-11 6/30/87 4677625 3/1/85 DISTRIBUTED TRELLIS ENCODER
------- --------------- ---------- ----------- ---------- ---------------------------------------
40. ▇▇▇▇▇ 19-10 6/30/87 4677626 3/1/85 SELF-SYNCHRONIZING INTERLEAVER FOR
TRELLIS ENCODER USED IN WIRELINE
MODEMS
------- --------------- ---------- ----------- ---------- ---------------------------------------
41. ▇▇▇▇▇ 20-5 7/28/87 4683578 7/5/85 AUTOMATIC GAIN CONTROL USING THE
EXTREME POINTS OF A CONSTELLATION
------- --------------- ---------- ----------- ---------- ---------------------------------------
42. ▇▇▇▇▇▇▇▇ 11-1 11/24/87 4709377 3/13/85 VITERBI DECODER FOR WIRELINE MODEMS
------- --------------- ---------- ----------- ---------- ---------------------------------------
PAGE 2 OF 4
45
APPENDIX A
PARADYNE NON-CAP PATENTS
------- --------------- ---------- ----------- ---------- ---------------------------------------
NO. CASE NAME ISSUE PATENT NO. FILING TITLE
DATE DATE
------- --------------- ---------- ----------- ---------- ---------------------------------------
43. ▇▇▇▇▇▇▇▇▇ 2 3/15/88 4731843 12/30/85 METHOD AND DEVICE OF INCREASING THE
EXECUTION SPEED OF CIPHER FEEDBACK
MODE OF THE DES BY AN ARBITRARY
------- --------------- ---------- ----------- ---------- ---------------------------------------
44. ▇▇▇▇▇ 21 3/29/88 4734920 10/10/84 HIGH SPEED MODEM FOR MULTIPLE
COMMUNICATION CIRCUITS
------- --------------- ---------- ----------- ---------- ---------------------------------------
45. ▇▇▇▇▇ 22-12 5/10/88 4744092 7/5/75 TRANSPARENT ERROR DETECTION IN HALF
DUPLEX MODEMS
------- --------------- ---------- ----------- ---------- ---------------------------------------
46. ▇▇▇▇▇▇▇▇ 13-23 6/21/88 4752943 8/7/87 FREQUENCY OF OCCURRENCE RETRAINING
DECISION CIRCUIT
------- --------------- ---------- ----------- ---------- ---------------------------------------
47. ▇▇▇▇▇ 24-6 9/13/88 4771232 1/4/88 NON-INTERRUPTIVE SPECTRUM ANALYZER
FOR DIGITAL MODEMS
------- --------------- ---------- ----------- ---------- ---------------------------------------
48. ▇▇▇▇▇ 25-14 1/3/89 4796279 6/30/87 SUBRATE PREAMBLE DECODER FOR A HIGH
SPEED MODEM
------- --------------- ---------- ----------- ---------- ---------------------------------------
49. ▇▇▇▇▇ 1 1/10/89 4797815 11/22/85 INTERLEAVED SYNCHRONOUS BUS ACCESS
PROTOCOL FOR A SHARED MEMORY
MULTI-PROCESSOR SYSTEM
------- --------------- ---------- ----------- ---------- ---------------------------------------
50. ▇▇▇▇▇▇▇▇▇ 11 1/10/89 4797878 8/18/87 MULTIPLE VIRTUAL MULTIPOINT MODEM
USING TDM/TOKEN THROWING TECHNIQUE
------- --------------- ---------- ----------- ---------- ---------------------------------------
51. LBETTS 26-7 3/7/89 4811357 1/4/88 SECONDARY CHANNEL FOR DIGITAL MODEMS
USING SPREAD SPECTRUM SUBLIMINAL
INDUCED MODULATION
------- --------------- ---------- ----------- ---------- ---------------------------------------
52. BOTTOMS 2-1 3/21/89 4815105 4/7/87 SELECTIVE SIGNALLING ENCODER/ DECODER
FOR MULTIPOINT DATA COMMUNICATION
NETWORKS
------- --------------- ---------- ----------- ---------- ---------------------------------------
53. ▇▇▇▇▇▇▇▇ 5/23/89 4833690 8/18/87 REMOTE EYE PATTERN DISPLAY FOR
8-1-1-27 DIGITAL MODEMS
------- --------------- ---------- ----------- ---------- ---------------------------------------
54. ▇▇▇▇▇▇ 1 8/22/89 4860009 2/12/88 BIDIRECTIONAL MULTIFRAME CONVERTER
FOR DATA COMMUNICATIONS SYSTEMS
------- --------------- ---------- ----------- ---------- ---------------------------------------
55. ▇▇▇▇▇ 28-9 8/28/89 4862464 12/30/87 DATA ERROR DETECTOR FOR DIGITAL
MODEMS USING TRELLIS CODING
------- --------------- ---------- ----------- ---------- ---------------------------------------
56. ▇▇▇▇▇▇▇▇▇ 3 9/5/89 4864617 7/15/87 SYSTEM AND METHOD FOR REDUCING
DEADLOCK CONDITIONS CAUSED BY
REPEATED TRANSMISSION OF DATA
SEQUENCES EQUIVALENT TO THOSE USED
FOR INTER-DEVICE SIGNALLING
------- --------------- ---------- ----------- ---------- ---------------------------------------
57. BOTTOMS 3-4 2/6/90 4898547 7/30/85 HYBRID INTERFACE ADAPTER
------- --------------- ---------- ----------- ---------- ---------------------------------------
58. ▇▇▇▇▇▇ 12-29 5/8/90 4924516 5/23/89 METHOD AND SYSTEM FOR A SYNCHRONIZED
PSEUDO-RANDOM PRIVACY MODEM
------- --------------- ---------- ----------- ---------- ---------------------------------------
59. KING 1 6/26/90 4937819 9/26/88 TIME ORTHOGONAL MULTIPLE VIRTUAL DCE
FOR USE IN ANALOG AND DIGITAL NETWORKS
------- --------------- ---------- ----------- ---------- ---------------------------------------
60. ▇▇▇▇▇ 30-15 7/3/90 4939748 8/7/87 UNOBSTRUSIVE SIGNATURE FOR MODULATED
SIGNALS
------- --------------- ---------- ----------- ---------- ---------------------------------------
61. ▇▇▇▇▇ 53-9-17 12/18/90 4979184 5/9/89 AUTOMATIC EQUALIZER INITIALIZATION
TIME CONTROL FOR MULTIPOINT NETWORKS
------- --------------- ---------- ----------- ---------- ---------------------------------------
62. ▇▇▇▇▇ 31-1 4/16/91 5008903 5/25/89 ADAPTIVE TRANSMIT PRE-EMPHASIS FOR
DIGITAL MODEM COMPUTED FROM NOISE
SPECTRUM
------- --------------- ---------- ----------- ---------- ---------------------------------------
PAGE 3 OF 4
46
APPENDIX A
PARADYNE NON-CAP PATENTS
------- --------------- ---------- ----------- ---------- ---------------------------------------
NO. CASE NAME ISSUE PATENT NO. FILING TITLE
DATE DATE
------- --------------- ---------- ----------- ---------- ---------------------------------------
63. ▇▇▇▇▇ 34-15 3/24/92 5099478 5/23/89 COMMUNICATION OF SECONDARY CHANNEL
BYTE IN A SYNCHRONOUS MODEM WITHOUT
STATISTICAL UNCERTAINTY
------- --------------- ---------- ----------- ---------- ---------------------------------------
64. ▇▇▇▇▇▇▇ 1-3 10/5/93 5251236 4/5/91 FRACTIONAL RATE MODEM WITH TRELLIS
------- --------------- ---------- ----------- ---------- ---------------------------------------
Page 4 of 4
47
APPENDIX B-1
PARADYNE TRADEMARKS
-------------------- ------------------ -------------- ------------ -------------
TRADEMARK COUNTRY NAME APPLICATION REGISTRATION STATUS
NUMBER NUMBER
-------------------- ------------------ -------------- ----------- --------------
INFORMATION VENDING ▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇ ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇
▇▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇
-------------------- ------------------ -------------- ----------- --------------
NETCARE BRAZIL 816542953 816542953 REGISTERED
-------------------- ------------------ -------------- ----------- --------------
NETCARE CANADA 566954 340698 REGISTERED
-------------------- ------------------ -------------- ----------- --------------
NETCARE JAPAN 119798186 2145918 REGISTERED
-------------------- ------------------ -------------- ----------- --------------
NETCARE UNITED KINGDOM 1390275 PENDING
-------------------- ------------------ -------------- ----------- --------------
NETCARE UNITED KINGDOM 1390276 PENDING
-------------------- ------------------ -------------- ----------- --------------
NETCARE UNITED STATES OF 584594 1340553 REGISTERED
AMERICA
-------------------- ------------------ -------------- ----------- --------------
NETCARE UNITED STATES OF 603532 1425919 REGISTERED
AMERICA
-------------------- ------------------ -------------- ----------- --------------
Page 1 of 1
48
APPENDIX B-2
TRADEMARK ASSIGNMENT AGREEMENT
(AT&T PARADYNE CORPORATION to LUCENT TECHNOLOGIES INC.)
THIS TRADEMARK ASSIGNMENT AGREEMENT, made and effective as of the Closing
Date by AT&T PARADYNE CORPORATION ("PARADYNE"), a Delaware corporation, and
LUCENT TECHNOLOGIES INC. ("LUCENT"), a Delaware corporation.
WHEREAS, PARADYNE, on the effective day hereof, has adopted, used,
registered or applied to register in certain countries throughout the world
certain trademarks and service marks as set forth in Appendix B-1 (collectively,
the "PARADYNE Marks"); and
WHEREAS, PARADYNE wishes to transfer to LUCENT and LUCENT wishes to acquire
the PARADYNE Marks.
NOW, THEREFORE, the PARADYNE and LUCENT agree as follows:
1. For good and valuable consideration, the receipt of which is hereby
acknowledged, PARADYNE hereby assigns and conveys to LUCENT all its right, title
and interest in and to the PARADYNE Marks, together with the goodwill of the
business symbolized by the PARADYNE Marks.
2. This Trademark Assignment Agreement is intended in original and in
certified copy to be filed with the competent domestic and foreign institutions,
together with an application for assignment of the corresponding registrations
and applications for registrations.
3. Should the filing of this document be insufficient for the assignment
of the proprietary rights and applications for proprietary rights, both parties
hereto shall execute all reasonable documents and perform all other acts
necessary to effect transfer of the PARADYNE Marks.
4. LUCENT shall bear the costs arising out of or in connection with the
implementation of the assignments contained herein.
AT&T PARADYNE CORPORATION LUCENT TECHNOLOGIES INC.
By: By:
---------------------------------- ------------------------------------
Its: Its:
--------------------------------- -----------------------------------
Date: Date:
-------------------------------- ----------------------------------
Page 1 of 2
49
NOTARIAL CERTIFICATIONS
I, a Notary Public, certify that on ___________, 1996, before me personally
appeared ______________________, to me known to be an Authorized Signatory of
AT&T PARADYNE CORPORATION and that he executed the foregoing Trademark
Assignment Agreement.
.................
.................
.................
I attest:
Signed in:
Dated:
Notary Public "Official Seal"
----------------------------
Signature of Notary Public
* * *
I, a Notary Public, certify that on ___________, 1995, before me personally
appeared ______________________, to me known to be an Authorized Signatory of
LUCENT TECHNOLOGIES INC., and that he executed the foregoing Trademark
Assignment Agreement.
.................
.................
.................
I attest:
Signed in:
Dated:
Notary Public "Official Seal"
----------------------------
Signature of Notary Public
Page 2 of 2
50
APPENDIX C
PARADYNE PRODUCTS
o GENESIS AND GENEVA FAMILY (3800/3900)
o Triple modem nest for the 3000 Carrier
o Synchronous data compression
o Integrated Diagnostics
o Mocha and Hypermodem
▇ ▇▇▇▇▇ FAMILY - SUBRATE DIGITAL LEASE LINE (3600/3500)
o ISDN DBM
o V.34 DBM
o Extended Range
o Autorate
o Cross Pair Detection
o Integrated Diagnostics
o Multiplexor Options
o Paddle Cards
o 64k/128k NTU's
o SPINNAKER FAMILY - T1/E1/HDSL CSU & DSU (31XX,33XX)
o ASCII Interface Redesign
o TCP & Telnet
o Device Specific SNMP MIBs
o Voice Compression
o International Power
o Integrated Diagnostics
o Optical Interface
o CARIBBEAN SUBRATE FAMILY - DDS FRAME RELAY
o Aruba - DDS Frame Relay
o Frame Relay Aware/Frame Relay Aggregation
o Synchronous Data Compression
o BRI DBM
o FTP Down Line Load
o 14 Slot Nest
o FRAD
o PCMCIA Management Interfaces
Page 1 of 5
51
o Cost Reduction (Antigua)
o Curacao - DDS Frame Relay Edge Router
o Single Card Router with 1-port Native Element DTE
o Supports above Aruba Functionality
o CARIBBEAN NxDSO FAMILY - T1/E1
o Barbados - T1/FT1 Low End Multiplexor & DSU
o SNMP, Telnet, TCP
o PRI
o 5 Slot Carrier
o 2 Slot Stand Alone Package
o 14 Slot Nest
o Single T1 Leased Line NAM with DSX, with 2 ports
o Dual T1 Leased Line NAM without DSX, no ports
o Dual DSX APM without ports
o PCMCIA Management (via Ethernet or Token Ring LAN, V.34)
o 8-port FXS, FSO, or E&M Voice APM
o Voice Compression APM
o 4-port Synchronous Data APM
o Synchronous Data Compression APM
o 6-port OCU APM
o 5-port SRU APM
o 6-port Management Interface APM
o 4-port BRI APM
o 8-port 4.34 Modem Pool APM
o Martinique - E1/FE1 Low End Multiplexor & DSU
o Dual E1 Leased Line NAM with ports
o Dual E1 Leased Line NAM without ports
o Support for above Barbados configurations and options
o Trinidad - T1/FT1 Frame Relay DSU
o SNMP, Telnet, TCP
o 2 Slot Stand Alone Package
o 14 Slot Nest
o T1 Frame Relay NAM with DSX, with 2 ports
o BRI DBM
o Frame Relay Aware, Frame Relay Aggregation with
Compression APM
Page 2 of 5
52
o FRAD APM
o HEARTLAN FAMILY - LOW END/LOW COST SUBRATE AND T1
o Beagle - Subrate Leased Line DSU
o DDS NI with 1 port
o SNMP, Telnet, TCP
o Ethernet Management Interface
o Greyhound - T1/FT1 Leased Line DSU
o T1/FT1 NI without DSX, with 1 port
o T1/FT1 NI with DSX, with 1 port
o T1/FT1 NI with DSX, with 2 ports
o SNMP, Telnet, TCP
o With or without Ethernet Management Interface
o Poodle - V.11 NTU
o 64k V.11 NI with 1 port DTE
o 64k V.11 NI with 5 port DTE, with X.50
o SYSTEM PRODUCTS
o ADSL/SDSL/HDSL/VDSL/RADSL PC Cards, Workstation Interface Cards,
and Stand Alone "Modems"
o Open Access Gateway (Multiplexor)
o Central Site Concentrators for ADSL/SDSL/HDSL/VDSL/
RADSL lines
o xDSL with packet or cell protocols
o TDM extensions
o Modem Pool extensions for analog, mu-law, ISDN
o Service Translation for broadband, video transmission
o Acculink Access Controller (AAC) Cards
o Direct Interface with Digital Access Cross Connect
System (DACS)
o Modem Pool
o TDM Access Multiplexor
o HAWK - REMOTE ACCESS AND TELECOMMUTING SERVER
o V.34, V.34Q and ISDN BRI Remote Access Port Concentrators
o T1 PRI Network Interface
o Windows NT
o Novell
o Temporary Office Extensions
Page 3 of 5
53
o Remote Office Extensions
o High Card Density (16 ports OCD)
o Very High Card Density (30 ports OCD)
o Mocha and Hypermodem
o E1 Interface
o WIRELESS SYSTEMS
o ETC2 for Wireless Data Gateway, Hawk and Open Access Gateway
o CDPD and PCS protocols (TDMA, CDMA, GSM)
o SOFTWARE PRODUCTS
o Network Management System Applications for all Present Paradyne
Products and Other Products Listed Herein
o Element Management Applications for all Present Paradyne Products
and Other Products Listed Herein
o Extended Leased Line Network Management Applications on HP
Openview and IBM SystemView
o Performance Management Applications for all Present Paradyne
Products and Other Products Listed Herein, on HP Openview and IBM
SystemView
o Service Management Applications for all Present Paradyne Products
and Other Products Listed Herein, on HP Openview and IBM
SystemView
o TL-1 Interface for HP Openview and IBM SystemView o CMIP/SNMP
Wrappers for HP Openview and IBM SystemView
o The following products are to be assessed in January, 1997. The commercial
development status of each product will be determined and such product
will be added to this Appendix C if the product is either
o (I) at the time of assessment under development for a scheduled
commercial release, or
o (II) firmly committed for development to begin no later than
March 31, 1997 for a scheduled commercial release; in this case,
the product is added to this Appendix C only to the extent that
such development does begin before March 31
o The products to be assessed are
o The following modules for CARIBBEAN NxDSO
o ATM NAM
o Encryption APM
o Security APM
o Cayman - FT3 ATM DSU
o ATM Access Multiplexor
o The following modules for Open Access Gateway
Page 4 of 5
54
o POTS Splitting
o Encryption
o Security
Page 5 of 5
55
APPENDIX D
THIRD PARTY LICENSES
1. Alcatel N.V.
2. Analog Devices, Inc.
3. Applied Materials, Inc.
4. Chartered Semiconductor Manufacturing, PTE
5. Cypress Semiconductor Corporation
6. Fraunhoffer-Gesellschaft
7. The General Electric Company, p.l.c.
8. ▇▇▇▇▇ Microcomputer Products, Inc.
9. Hewlett-Packard Company
10. Hitachi, Ltd.
11. Integrated Device Technology, Inc.
12. Kokusai Denshin Denwa Co., Ltd.
13. Linear Technology Corp.
14. Matsushita Electric Industrial Co., Ltd.
15. NEC
16. Nippon Telegraph and Telephone Corp.
17. OKI Electric
18. Olivetti
19. ▇▇▇▇▇▇▇▇' Gloeilampenfabrieken
20. Penril Datacomm Networks, Inc.
21. Rockwell International Corporation
22. Samsung Electronics Company, Ltd.
23. Sanyo Electric Co., Ltd.
24. Seeq Technology, Inc.
25. Siemens Aktiengesellschaft
26. Silicon Systems Incorporated
27. Sony Corporation
28. Sumitomo Electric Industries, Ltd.
29. VLSI Technology, Inc.
30. VMX/Octel
Page 1 of 1
56
APPENDIX E
IMMUNITY PATENTS AND APPLICATIONS
CAP TECHNOLOGY
----------------- ---------------------------------------------------------------- --------------
PATENT NUMBER TITLE AUTHOR
----------------- ---------------------------------------------------------------- --------------
4,247,940 Equalizer for complex data signals ▇▇▇▇▇▇▇ et al
----------------- ---------------------------------------------------------------- --------------
4,304,962 Data Scrambler ▇▇▇▇▇▇▇▇ et al
----------------- ---------------------------------------------------------------- --------------
4,464,545 Echo canceller ▇▇▇▇▇▇
----------------- ---------------------------------------------------------------- --------------
4,483,012 Differentially convolutional channel coding with expanded set Wei
of signaling
----------------- ---------------------------------------------------------------- --------------
4,651,320 Inband Coding Of Secondary Data Thapar
----------------- ---------------------------------------------------------------- --------------
4,682,358 Echo canceller ▇▇▇▇▇▇
----------------- ---------------------------------------------------------------- --------------
4,788,694 Trellis coding with substrates Calderbank
----------------- ---------------------------------------------------------------- --------------
4,924,492 Method and apparatus for wideband transmission of digital ▇▇▇▇▇▇ et al
signals between, for example, a telephone central office and
customer premises.
----------------- ---------------------------------------------------------------- --------------
4,995,057 Technique for Achieving the Theoretical Coding Gain of Digital ▇▇▇▇▇ et al
Signals Incorporating Error Correction
----------------- ---------------------------------------------------------------- --------------
5,052,000 Technique for improving the operation of decision feedback Wang et al
equalizers in communications systems utilizing error correction
----------------- ---------------------------------------------------------------- --------------
5,056,117 Decision feedback equalization with trellis coding ▇▇▇▇▇▇ et al
----------------- ---------------------------------------------------------------- --------------
5,442,626 Digital Communications System with Symbol Multiplexers Wei
----------------- ---------------------------------------------------------------- --------------
RE 31253 Echo cancellation in two-wire, two-way data transmission ▇▇▇▇▇▇▇▇▇
systems
----------------- ---------------------------------------------------------------- --------------
5,488,633 Intersymbol Interference Channel Coding Scheme ▇▇▇▇▇▇
----------------- ---------------------------------------------------------------- --------------
5,483,551 Crosstalk Suppression Technique ▇▇▇▇▇ et al
----------------- ---------------------------------------------------------------- --------------
5,521,949 Synchronization Scheme for Digital Communications Systems ▇▇▇▇▇ et al
Transporting Data at a Customer-Controlled Rate
----------------- ---------------------------------------------------------------- --------------
5,528,686 Transformerless Hybrid Circuit having Direct Powered Line-Side ▇▇▇▇▇▇ et al
Amplifiers
----------------- ---------------------------------------------------------------- --------------
08/215562 Signal Constellation Time Division Multiplexing ▇▇▇▇▇ et al
----------------- ---------------------------------------------------------------- --------------
4,800,573 Equalization Arrangement ▇▇▇▇ 3
----------------- ---------------------------------------------------------------- --------------
5,214,656 Multiplexed Coded Modulation ▇▇▇▇▇ et al
----------------- ---------------------------------------------------------------- --------------
5,371,762 Technology using Signal Storing Devices Amrany et al
----------------- ---------------------------------------------------------------- --------------
----------------- ---------------------------------------------------------------- --------------
5,406,586 Signal correlation Technique Wang-12
----------------- ---------------------------------------------------------------- --------------
08/322878 Hybrid Equalizer Arrangement for DEI Wang-14
----------------- ---------------------------------------------------------------- --------------
08/547584 Signal Constellation TDM Arrangement ▇▇▇▇▇,
Sorbara
----------------- ---------------------------------------------------------------- --------------
5,428,608 Call Connector Technique ▇▇▇▇▇▇▇ et al
----------------- ---------------------------------------------------------------- --------------
5,440,585 Applications of Simultaneous Analog and Digital Communications ▇▇▇▇▇▇▇▇▇
----------------- ---------------------------------------------------------------- --------------
08/453855 Simultaneous Analog and Digital Communication ▇▇▇▇▇▇ et al
----------------- ---------------------------------------------------------------- --------------
ETC(R) TECHNOLOGY:
None
Page 1 of 1
57
APPENDIX F
Known Reexaminations and Other
Patent #5280526 is being reexamined.
Patent #5448555 is subject to an interference.
Page 1 of 1
58
APPENDIX G
MEMBERS OF "KNOWLEDGE" GROUP
▇▇▇▇▇▇ ▇▇▇▇▇▇
▇▇▇▇ ▇▇▇▇▇
▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇▇
▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇
▇▇▇▇▇ ▇▇▇▇▇▇▇▇
▇▇▇▇ ▇▇▇▇▇▇▇
▇▇▇▇▇ ▇▇▇▇▇
▇▇▇▇▇▇▇ ▇▇▇▇▇
▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇▇
▇▇▇▇ ▇▇▇▇▇▇▇▇
▇▇▇▇ ▇▇▇▇▇
▇▇▇▇▇ ▇▇▇▇▇▇
▇▇▇▇▇▇ ▇▇▇▇▇▇
▇▇▇▇ ▇▇▇▇▇▇
▇. ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇
▇▇▇▇ ▇▇▇▇▇▇▇▇▇
▇▇▇▇▇▇▇ Osl
▇▇▇▇▇▇ ▇▇▇▇▇▇▇
Page 1 of 1
59
APPENDIX H
Certain Legal Proceedings
See Exhibit OO in the purchase agreement.
Page 1 of 1