EXHIBIT 10.13
Note: Redacted portions have been marked with (***). The redacted portions are
subject to a request for confidential treatment that has been filed with the
Securities and Exchange Commission.
RESTATED AND AMENDED
INTELLECTUAL PROPERTY AGREEMENT
BY AND BETWEEN;
▇▇▇▇ COMMUNICATIONS RESEARCH, INC.
("BELLCORE")
- and -
TELLIUM, INC.
("CORPORATION")
____________________________________________________________________
DATED: December 1998
____________________________________________________________________
INTELLECTUAL PROPERTY AGREEMENT
-------------------------------
This Agreement is effective the 8th day of May, 1997 ("Effective Date") by
and between ▇▇▇▇ Communications Research Inc., a Delaware corporation having an
office and place of business at ▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇, ▇▇▇▇▇▇▇▇▇▇, New Jersey 07960-
6438 ("Bellcore") and Tellium, Inc., a Delaware corporation having an office and
place of business at ▇ ▇▇▇▇▇▇▇▇ ▇▇▇▇▇, ▇▇▇▇▇▇▇▇ ▇, ▇▇▇▇▇▇▇▇▇ ▇▇ ▇▇▇▇▇, and
successor in interest to MWD, Inc. (the "Corporation"), Bellcore and the
Corporation being referred to herein individually as a "Party" and collectively
as the "Parties". This Agreement replaces the Intellectual Property Agreement
dated May 8, 1997 ("IPA").
WHEREAS, Bellcore, ▇▇▇▇▇ Corporation and Oak Investment Partners and
others entered a series of agreements dated May 8, 1997, including a Stock
Purchase and Contribution Agreement (hereinafter the "Contribution Agreement")
and a Stockholders Agreement and other related agreements for the formation and
capitalization of the Corporation;
WHEREAS, the Corporation's business entails developing, manufacturing,
marketing and distributing products and systems using Wavelength Division
Multiplexing ("WDM") technology;
WHEREAS, Bellcore has contributed certain intellectual property rights
to the Corporation related to WDM technology heretofore developed by Bellcore in
exchange for capital stock of the Corporation;
WHEREAS, under the IPA, the Parties exchanged certain rights and
obligations relating to the intellectual property in the WDM technology;
WHEREAS, the Parties desire to amend and restate the terms and
obligations of the original IPA and to further provide the Corporation
additional rights to Bellcore intellectual property to assist the Corporation in
conducting its business as set forth in its business plan.
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NOW THEREFORE, FOR AND IN CONSIDERATION OF the premises and other good
and valuable consideration, the receipt and sufficiency of which are hereby
acknowledged, the Parties agrees as follows:
ARTICLE I - DEFINITIONS
As used herein, the following terms shall have the indicated meaning:
"Affiliate" - means, with respect to any party, an entity that owns or controls,
is owned or controlled by, or is owned by any entity owning or controlling,
such party in question at the time in question. For purposes of this
definition, ownership or control of a corporation or similar entity
requires the direct or indirect ownership of stock or other interest
representing at least two-thirds (2/3) of the voting power for the election
or appointment of directors of such corporation or entity.
"Bellcore Retained WDM Activity" - means the design, development, maintenance
and licensing of network software and network operations systems software
in the WDM Field and related consulting services.
"Bellcore Patents" - means all patents granted on or before the Effective Date,
all patent applications pending on or before the Effective date, all
continuations, divisions, and continuations-in-part of such patent
applications, all patents issuing on any of the foregoing applications, all
reissues of any of the foregoing patents and all foreign counterparts to
any of the foregoing patent applications and patents, to the extent owned
by, assigned to, subject to an obligation to assign to, or for which
Bellcore has the right to enforce or license without the payment of
royalties or fees to third parties.
"Corporation Products" - means any one or more of the products described in the
attached Exhibit G, the components thereof, and any combination of the
foregoing, which are made by or for the Corporation and/or its successors
in interest.
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"Corporation Services" - means any one or more of the services described in the
attached Exhibit G, or any combination thereof, that is performed by
Corporation, its successors in interest, and/or any of their
subcontractors.
"Computer Software" - means the computer software (including object code, source
code and related documentation) listed on Schedule III as attached to the
Stock Purchase and Contribution Agreement ("Contribution Agreement")
between the Parties.
"Documentation" - means technical memoranda, reports, laboratory notebooks,
manuals, engineering documentation, designs, specifications, and process
instructions listed on Schedule IV as attached to the Contribution
Agreement.
"Group A Patents" - Group A patents are a category of patents identified as
being required for and solely applicable in the WDM Hardware Field and
shall mean the patents, patent applications and invention disclosures
listed in Exhibit A hereto, all patent applications filed based on any such
disclosures, all divisions, continuations and continuations-in-part of such
patent applications, all patents issuing on any of the foregoing
applications, all re-issues of any of the foregoing patents and all foreign
counterparts to any of the foregoing patent applications and patents.
"Group B Patents" - Group B patents are a category of patents identified as
being required for and applicable in both the WDM Hardware Field and
elsewhere in the WDM Field and shall mean the patents, patent applications
and invention disclosures listed in Exhibit B hereto, all patent
applications filed based on any such disclosures, all divisions,
continuations and continuations-in-part of such patent applications, all
patents issuing on any of the foregoing applications, all re-issues of any
of the foregoing patents and all foreign counterparts to any of the
foregoing patent applications and patents.
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"Group C Patents" - Group C patents are a category of patents identified as
being applicable in the WDM Field, but not meeting the above-stated
criteria of Group A Patents or Group B Patents and shall mean the patents,
patent applications and invention disclosures listed in Exhibit C hereto,
all patent applications filed based on any such disclosures, all divisions,
continuations and continuations-in-part of such patent applications, all
patents issuing on any of the foregoing applications, all re-issues of any
of the foregoing patents and all foreign counterparts to any of the
foregoing patent applications and patents..
"Hardware" - means active and passive devices, components (sub-assemblies),
network elements (stand-alone functional communications units) for use in
the WDM Field, whether or not including embedded control software. Hardware
shall include, but not be limited to, laser arrays, receiver arrays,
add/drop multiplexers, terminal multiplexers, Multiwavelength optical cross
connects and wavelength interchange optical cross connects.
"Manufacture" -- shall be defined as contemplated and interpreted under the
Telecommunications Act of 1996.
"Non-Assertion Technology" - means physical and datalink layer functionality,
structure or apparatus, any hardware control functionality, structure or
apparatus, any software control functionality, structure or apparatus, any
monitoring hardware functionality, structure or apparatus, any monitoring
software functionality, structure or apparatus, any power supply hardware
functionality, structure or apparatus, any power supply software
functionality, structure or apparatus, any network element management
software functionality, structure or apparatus, within the WDM Field. Non-
Assertion Technology shall expressly include optical service channel
functionality, structure or apparatus and switching functionality,
structure or apparatus of WDM optical add/drop multiplexers and
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optical cross connects. Non-Assertion Technology shall not include
switching functionality, structure or apparatus, that is performed in
response to the information content of transmission signals (excluding
optical service channel signals) switched by such WDM optical add/drop
multiplexers and optical cross connects.
"Technical Information" - means (i) the technical information and know-how known
to the Transferred Employees, (ii) the Computer Software, and (iii) the
Documentation, all in their current form as of May 8, 1997.-
"Transferred Employees" - means the employees of the Corporation identified at
Schedule V as attached to the Contribution Agreement.
"WDM Field" - means the optical wavelength division multiplexing field.
"WDM Hardware Field" - means the design, development, manufacture and sale of
Hardware but excluding Bellcore Retained WDM Activity.
ARTICLE II - THE TRANSFER OF INTELLECTUAL PROPERTY RIGHTS
2.1 Patents - Assignment
--------------------
Bellcore hereby assigns to the Corporation, the entire right, title and
interest in and to the Group A Patents, including the right to ▇▇▇ and recover
for past infringement thereof, but subject to (a) the pre-existing Bellcore
licenses or immunities from suit relating to such patents listed in Exhibit D
hereto, and (b) a retained royalty-free, irrevocable, license for Bellcore and
its Affiliates (i) to perform research and development activities for themselves
and others, subject to the observance of the obligations of Section 4.2 hereof
regarding Technical Information, (ii) to make, have made, use, import, license,
sell and offer for license or sale computer software of any
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type, (iii) to test and evaluate products of itself and others, (iv) to perform
any activities in connection with the development or formulation of
requirements, which include criteria for assessing device, product, system,
network, architecture and process performance, interoperability and operation
("Requirements"), (v) to design, develop, maintain and license network
management systems and operations systems software in the WDM Field, design
network-level architecture, perform systems integration (creating systems
solutions by acquiring and integrating network elements and other
telecommunications units which may include software and operations and
maintenance services), and perform consulting services relating thereto and (vi)
to perform any other specified activities to be agreed upon in writing by the
Parties.
2.2 Patents - License
-----------------
(a) Bellcore hereby grants to the Corporation a royalty-free, worldwide,
irrevocable license under the Group B Patents to make, use, have made, import,
sell, and offer to sell (i) products embodying or utilizing any invention
claimed in a Group B Patent, (ii) products made by or using a method or process
of any claim of a Group B Patent, and (iii) services using methods or processes
of any claim of a Group B patent. Such license is: (i) exclusive, with the right
to sublicense, in the WDM Hardware Field and (ii) non-exclusive, without the
right to sublicense, other than in the WDM Hardware Field. Such exclusive
license shall be subject to (a) any pre-existing Bellcore licenses or immunities
from suit relating to such patents listed in Exhibit D hereto, and (b) a
retained royalty-free, worldwide, irrevocable license for Bellcore and its
Affiliates (i) to perform research and development activities for themselves or
others, subject to the observance of the obligations of Section 4.2 hereof
regarding Technical Information, (ii) to make, have made, use, import, license,
sell and offer for license or sale computer software of any type (iii) to test
and evaluate products of itself and others, (iv) to perform any activities in
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connection with the development or formulation of Requirements, and (v) to
perform any other specified activities to be agreed upon in writing by the
Parties.
(b) Bellcore hereby grants to the Corporation a royalty-free, worldwide,
irrevocable, non-exclusive license in the WDM Field under the Group C Patents to
make, use, have made, import, sell, and offer to sell (i) products embodying or
utilizing any invention claimed in a Group C Patent, (ii) products made by or
using a method or process of any claim of a Group C Patent, and (iii) services
using methods or processes of any claim of a Group C patent, without the right
to sublicense.
2.3 Specific Patents - Licenses
---------------------------
(a) Regarding the following patents, patent applications, and all patent
applications based on any of the following disclosures, if any, all parents (to
the extent Bellcore is an owner or co-owner of such parent application),
divisions, continuations and continuations-in-part of such patent applications
(and patent applications pursuant to which such patents were granted), all
patents issuing on any of the foregoing applications, all re-issues of any of
the foregoing patents and all foreign counterparts to any of the foregoing
patent applications and patents (hereinafter, the "Section 2.3 Patents"),
Bellcore grants to the Corporation a non-transferable, worldwide, royalty-free,
irrevocable license to make, use, have made, import, sell, and offer to sell (i)
products embodying or utilizing any invention claimed in a Section 2.3 Patent,
(ii) products made by or using a method or process claimed in a Section 2.3
Patent, and (iii) services using methods or processes of any claim of a Section
2.3 patent. Such license is: (i) exclusive with the right to sublicense under
Bellcore's rights in the claims of the Section 2.3 Patents in the WDM Hardware
Field, and (ii) non-exclusive under such claims outside of the WDM Hardware
Field, with the right to sublicense as set forth below in Section 2.3 (c).
(i) US Patent No. 5,673,142
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(ii) A patent application covering an invention relating to a method
of identifying faults in WDM optical networks, filed by Lucent
Technologies solely in the name of ▇▇▇▇ ▇▇▇▇▇▇▇, an employee of
Lucent Technologies (such license being contingent upon
Bellcore's reaching agreement with Lucent Technologies, Inc.
regarding Bellcore's claim of joint ownership of such
invention).
(iii) A patent application covering an invention relating to a method
of fast gain control in WDM optical networks, filed by Lucent
Technologies solely in the name of A. K. Srivastava, an employee
of Lucent Technologies (such license being contingent upon
Bellcore's reaching agreement with Lucent Technologies, Inc.
regarding Bellcore's claim of joint ownership of such
invention).
(iv) U.S. Patent No. 4,821,255.
(v) U.S. Patent No. 5,550,818.
(vi) A patent application entitled (***).
(b) The exclusive field of use licenses granted in Section 2.3(a) hereof
shall be subject to: (a) the pre-existing Bellcore licenses or
immunities from suit relating to such patents listed in Exhibit D
hereto, and (b) a retained royalty-free, worldwide, irrevocable license
for Bellcore and its Affiliates (i) to perform research and development
activities for themselves and others, subject to the observance of the
obligations of Section 4.2 hereof regarding Technical Information (ii)
to make, have made, use, import, license, sell and offer for license or
sale computer software of any type, (iii) to test and evaluate products
of itself and others, (iv) to perform any activities in connection with
the development or formulation of Requirements, and (v) to
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perform any other specified activities to be agreed upon in writing by
the Parties.
(c) Bellcore hereby grants to Corporation the right to sublicense
Corporation's customers under Corporation's non-exclusive rights to the
Section 2.3 Patents outside the WDM Hardware Field, subject to the
following limitations:
(i) such sublicenses shall be personal, non-exclusive, royalty-free,
and non-transferable;
(ii) such sublicenses may only be granted to persons or entities who
are vendees of Corporation Products or Corporation Services;
(iii) any sublicensees agree to be bound by an agreement substantially
in conformance with and no less restrictive than the terms of
the Customer Sublicense Agreement attached hereto and made a
part hereof as Exhibit H;
(iv) such sublicense rights shall not include the right to make or
operate a network or system if such network or system, or the
operation of such network or system, infringes any claim of a
Section 2.3 Patent solely from the presence or operation of
products other than Corporation's products, and Bellcore hereby
expressly reserves the right to enforce such claim against such
network or system.
2.4 Technical Information
----------------------
Bellcore hereby grants to the Corporation a non-transferable, royalty-
free, irrevocable, worldwide license to use, reproduce, prepare derivative works
based on, distribute, and display the Technical Information. Such license is:
(a) exclusive in the WDM Hardware Field for such Technical Information owned by
Bellcore and solely applicable to the WDM Hardware Field (with the right to
sublicense in the WDM Hardware Field subject to the sublicensee's undertaking in
writing to be bound by the
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obligations of Section 4.1 hereof), and (b) nonexclusive (without the right to
sublicense) in the WDM Field. Such exclusive license in the WDM Hardware Field
shall become non-exclusive after three (3) years from the Effective Date hereof
for the Technical Information specified in clause (1) of the definition thereof
and not otherwise included in the Technical Information, and shall be subject to
(a) the pre-existing Bellcore licenses relating to Technical Information listed
at Exhibit D hereto and (b) the retained irrevocable, royalty-free, worldwide,
right of Bellcore and its Affiliates to use such Technical Information (i) to
perform research and development activities for themselves or for projects
performed for others that do not solely relate to the subject matter of the WDM
Hardware Field, subject to the confidentiality and non-disclosure provisions of
Section 4.2 hereof, (ii) to make, have made, use, import, license, sell and
offer for license or sale computer software of any type, (iii) to test and
evaluate products of itself and others, (iv) to perform any activities in
connection with the development or formulation of Requirements and (v) to
perform any other specified activities to be agreed upon in writing by the
Parties.
2.5 Reserved
--------
2.6 Specific Information
--------------------
Notwithstanding the provisions of Section 2.4 hereof the rights granted to
the Corporation in the following information shall be governed solely by the
provisions of this Paragraph 2.6. Bellcore hereby grants to the Corporation the
following non-transferable, royalty-free, irrevocable, worldwide rights in the
information specified below in the form in which it exists as of the Effective
Date unless otherwise indicated and subject to any pre-existing Bellcore
licenses or immunities from suit relating to such information:
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(1) a sole license to use the C program source code for the
network simulation tool software comprising the ▇▇▇▇▇▇▇ simulator that
runs on the OPNET platform;
(2) a sole license to use the C program source code for the
frequency and time simulation tools being developed by ▇▇▇▇▇▇▇ ▇▇▇▇▇▇
that runs on the SPW platform; provided, however, that Bellcore shall
have the right to use, provide and license object code based in whole
or in part on such source code for research purposes and prototypes
and for noncommercial networks for governmental agencies or other
noncommercial entities;
(3) a sole license, with the right to sublicense, to use the C++
program source code for the Network Element Software, including
the Network element controller and the Craft and Graphical User
Interface concepts and software, developed by Bellcore for the MONET
and ONTC testbeds; provided, however, that Bellcore shall have the
right to use, provide and license object code based in whole or in
part on such source code for research purposes and prototypes and for
noncommercial networks for governmental agencies or other
noncommercial entities;
(4) a non-exclusive license for internal use only and not for
providing services for others, to use (i) the WDM Planning Tool in
its current form and in its first released form as adapted by
Bellcore's Software Systems Group as an add-on module to Bellcore's
SONET Planning Tool and (ii) the SONET Planning Tool, as set forth in
the SONET and WDM Planning Tools License Agreement entered into by the
Corporation and Bellcore on even date herewith;
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(5) a non-exclusive license to use the following reports listed
at Schedule IV to the Contribution Agreement (but no other reports
prepared for a client unless specifically stated): (i) ▇▇▇▇▇ Optical
Networking deliverable, (ii) ONTC deliverable reports; (iii) SONET
deliverable reports; and (iv) ONR deliverable reports
(6) a non-exclusive license to use the Technical Information
created by Bellcore personnel in Department 2167 to the extent it is
directed to the following WDM applications: networking, architectures,
economics, switching protocols, protection switching signaling,
management, control, economic and performance modeling and integration
with current SONET; and
(7) a non-exclusive license to: (a) use and copy the documents
generated solely by Bellcore prior to and after the Effective Date
hereof under the current Defense Advanced Research Projects Agency-
Multiwavelength Optical Networking contract (Contract No. MDA 972-95-
3-0027 DARPA-MONET ("DARPA MONET Contract") (but not including any
extension thereof or follow-on program), provided that the Corporation
continues to make Transferred Employees available for the DARPA MONET
Contract under the terms set forth in the Consulting Agreement entered
into by the Corporation and Bellcore on even date herewith, and (b)
disclose information in such documents to the Corporation's hardware
customers (subject to the provisions of Section 4.1 hereof) to the
extent that such disclosure is necessary for the marketing, use and
maintenance of such hardware to which the information directly
relates.
2.7 Third Party Information
-----------------------
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Notwithstanding the provisions of Sections 2.4 and 2.6 hereof, Bellcore
does not grant to the Corporation any rights in Technical Information to the
extent that such Technical Information is proprietary or confidential
information of third parties and Bellcore does not have the right to grant such
rights to such proprietary or confidential information without a breach of
obligation to any third party or the payment of any royalties or fees to such
third parties.
2.8 Existing License Agreements
---------------------------
Bellcore retains and does not assign to the Corporation all existing
license agreements involving any of the Group A, Group B, or Section 2.3 Patents
or Technical Information listed in Exhibit D.
2.9 Covenant Not to ▇▇▇
-------------------
(a) Bellcore hereby covenants not to ▇▇▇ the Corporation or its Affiliates
for any contributory infringement or inducement of infringement of any Bellcore
optical networking patents or patent claims that are based on or claim priority
of an application filed until two (2) years after the Effective Date. The
Corporation hereby covenants not to ▇▇▇ Bellcore or its Affiliates for
contributory infringement or inducement of infringement of any of the
Corporation's optical networking patents naming any of the Transferred Employees
as inventors or based on or claiming priority of an application filed until two
(2) years after the Effective Date hereof. The covenants in this Section
2.9(a), however, do not extend to, or benefit customers of the Corporation or
Bellcore, and Bellcore and the Corporation each retain whatever rights it might
have against such customers for any direct or other infringement of its patents.
(b) Bellcore hereby agrees that it shall not, and agrees that its
Affiliates shall not, assert any claim of any one or more of the Bellcore
Patents:
(i) against Corporation or its successors in interest for making,
having made, using, selling, licensing, offering for sale or license, or
importing any one or more
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Note: Redacted portions have been marked with (***). The redacted portions are
subject to a request for confidential treatment that has been filed with the
Securities and Exchange Commission.
of the Corporation Products or Corporation Services to the extent any
infringement of a claim of such Bellcore Patents is a result of Non-Assertion
Technology of the Corporation Product or such infringement is a result of
providing Non-Assertion Technology as a Corporation Service;
(ii) against Corporation's vendees, mediate or immediate, for using,
selling, licensing, offer for sale or license, or importing any one or more of
Corporation Products to the extent any infringement of a claim of such Bellcore
Patents is a result of any Non-Assertion Technology of the Corporation Product;
(iii) against Corporation's vendors for making Corporation Products,
or components thereof, which are provided to Corporation for sale or use by
Corporation to the extent any infringement of a claim of such Bellcore Patents
is a result of Non-Assertion Technology of the Corporation Product;
(iv) against subcontractors for performing Corporation Services to
Corporation customers for or on behalf of Corporation to the extent any
infringement of a claim of such Bellcore Patents is a result of providing Non-
Assertion Technology as a Corporation Service; and
(v) against third parties for making or using a network or system
that infringes a network claim of a Bellcore Patent provided that a Corporation
Product is a material element of such infringed network claim and such
Corporation Product has no substantial use other than a use that infringes such
network claim.
(c) (i) For the select sub-set of Bellcore Patents as listed in Exhibit I
(including those patents added to Exhibit I pursuant to the procedures set forth
in subsections ii, iii, and iv below), and all continuations, divisions,
continuations-in-part of the applications leading to such patents (or patent
applications pursuant to which such patents were granted), all patents that
issue from any of the foregoing, all reissues of any of the foregoing and all
foreign counterparts of any of the foregoing applications and patents,
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Note: Redacted portions have been marked with (***). The redacted portions are
subject to a request for confidential treatment that has been filed with the
Securities and Exchange Commission.
Bellcore agrees that it will make any assignment or exclusive license of the
Bellcore Patents subject to the terms of the non-assertion provisions of this
Section 2.9
(ii) For a period of six months extending forward from the execution
date of this Agreement, the Corporation shall have the right to request, in
writing, up to ten (10) additional Bellcore Patents to be added to the list set
forth in Exhibit I. Within ninety (90) days after receiving this request,
Bellcore shall have the right to remove from this list of requested additional
Bellcore Patents, those it believes, in good faith, are not relevant to the WDM
Field. The remaining requested Bellcore Patents shall then become incorporated
in and become part of Exhibit I.
(iii) At the end of the two year period beginning on the Effective
Date of this Agreement, Bellcore agrees to provide the Corporation a listing of
all patents issued to Bellcore within that two (2) year period that Bellcore in
good faith believes are relevant to the WDM Field. Within 90 days of receiving
this listing, the Corporation shall have the right to identify, in writing, up
to thirty (30) patents from the list to be incorporated in and become part of
Exhibit I.
(iv) During the two year period beginning on the Effective Date of
this Agreement, Bellcore agrees that before it either assigns or exclusively
licenses any patent that issued within this two year period and for which
Bellcore in good faith believes such issued patent is relevant to the WDM Field,
it will notify the Corporation of the issued patent in question, and the
Corporation will have the option of adding such patent to the list of patents in
Exhibit I. Any such patent added to Exhibit I under this subsection iv will
count toward the thirty (30) the Corporation may add to Exhibit I under
subsection iii above.
(d) Bellcore agrees that it shall grant upon request non-exclusive
licenses on commercially reasonable terms to third parties under any one or more
of Bellcore Patents necessary to permit the implementation and use of
Corporation Products and/or
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Note: Redacted portions have been marked with (***). The redacted portions are
subject to a request for confidential treatment that has been filed with the
Securities and Exchange Commission.
Corporation Services in any network covered by such Bellcore Patents.
Notwithstanding the foregoing, nothing in this paragraph shall be construed to
limit or restrict, in any way, Bellcore's ability to assign or exclusively
license any of the Bellcore Patents prior to any such request.
2.10 Inventions Conceived Prior to the Effective Date
------------------------------------------------
Except as provided in Section 2.1, title to any inventions conceived prior
to the Effective Date hereof by Transferred Employees shall vest in Bellcore
whether or not patent application(s) covering such inventions are filed before
or after such Effective Date, provided, however, that the Parties agree to
negotiate in good faith as to whether patent applications for such inventions
filed after the Effective Date should be included in and treated as Group A
Patents, Group B Patents, or Group C Patents pursuant to the following criteria:
(1) Group A Patents -- patents required for and solely applicable in
the WDM Hardware Field.
(2) Group B Patents -- patents required for and applicable in both the
WDM Hardware Field and elsewhere in the WDM Field.
(3) Group C Patents -- applicable in the WDM Field, but not meeting
the above-stated criteria of Group A Patents or Group B Patents.
Any such patent applications that are agreed to be treated as Group A Patents,
Group B Patents, or Group C Patents shall be added to Exhibit A, B, or C
respectively, and, if in Group A, shall be assigned by Bellcore to the
Corporation subject to retained rights as set out in Section 2.1 hereof.
2.11 Non-enforcement Against Bellcore under the Corporation's Patents
----------------------------------------------------------------
The Corporation covenants for itself and for any successor in interest not
to ▇▇▇ Bellcore, its Affiliates, and their customers based on any patent of the
Corporation relating to optical networking or WDM technology that is filed, or
claims the priority of
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Note: Redacted portions have been marked with (***). The redacted portions are
subject to a request for confidential treatment that has been filed with the
Securities and Exchange Commission.
any application filed, prior to the execution of this restated and amended
Agreement, as a result of Bellcore or its Affiliates (a) making, using,
licensing, importing, selling or offering for license or sale computer software
of any type, or the use of such computer software by their customers, or (b)
performing any activities in connection with the development or formulation of
Requirements.
2.12 Trademarks
----------
To the extent that it has any, Bellcore hereby assigns its entire right,
title and interest in and to the trademarks TELLIUM and LAMBDANET to the
Corporation, together with all of Bellcore's good will associated with or
symbolized by such ▇▇▇▇.
2.13 No Implied Licenses
-------------------
Nothing in this Agreement shall be interpreted or construed as granting to the
Corporation or its customers any licenses or rights in any patents or patent
applications owned by or licensed to Bellcore or its Affiliates except as
specifically stated in this Agreement, irrespective of whether by implication,
custom, estoppel or operations of law.
ARTICLE III - PATENT COSTS, ENFORCEMENT AND DEFENSE
---------------------------------------------------
3.1 Group A Patents
---------------
The Corporation shall be responsible for, bear all costs and retain all
recoveries associated with, the preparation, filing, prosecution, maintenance
and enforcement or defense of the Group A Patents incurred or received after the
Effective Date.
3.2 Other Patents - Prosecution
---------------------------
Bellcore shall be responsible for the preparation, filing, prosecution and
maintenance of the Group B and Section 2.3 Patents using counsel selected by
Bellcore and reasonably acceptable to the Corporation, subject to the provisions
of Section 3.4 hereof. Bellcore and the Corporation shall share equally the
costs of preparation, filing, prosecution and maintenance of the Group B Patents
and the Section 2.3 Patents incurred
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Note: Redacted portions have been marked with (***). The redacted portions are
subject to a request for confidential treatment that has been filed with the
Securities and Exchange Commission.
after the Effective Date hereof. The Corporation shall have the opportunity to
comment and have input on the prosecution and maintenance of such Group B
Patents and Section 2.3 Patents.
3.3 Other Patents - Defense and Enforcement
---------------------------------------
(a) Subject to the provisions of Paragraph 3.3(b) and (c) hereof, the
Corporation shall be solely responsible for, bear all costs associated with and
retain all recoveries obtained from, the enforcement of Group B Patents and
Section 2.3 Patents in the WDM Hardware Field using counsel selected by the
Corporation and reasonably acceptable to Bellcore. Bellcore shall be solely
responsible for, bear all costs associated with and retain all recoveries
obtained from, the enforcement of Group B Patents and Section 2.3 Patents
outside the WDM Hardware Field.
(b) Each of Bellcore and the Corporation shall cooperate with the other in
the enforcement and defense of the Group A, Group B and Section 2.3 Patents.
Each agrees to give the other notice of any claims, suits or proceedings
challenging the validity or enforceability of any of the Group B or Section 2.3
Patents. Bellcore and the Corporation shall permit themselves to be named as an
additional plaintiff in any suit or proceeding brought by the other Party hereto
pursuant to Section 3.3(a) hereof, against a third party asserting infringement
of any of the Group B or Section 2.3 Patents, if doing so is necessary in order
to bring or maintain such suit; provided that such suit does not also charge a
third party with infringement of other patents not included in the Group B or
Section 2.3 Patents, and does not include any other claim by such other Party
than infringement of Group B patents and Section 2.3 Patents. Such other Party
shall give the Party being named at least 30 days prior written notice before
naming it as an additional plaintiff and shall indemnify and hold it harmless
against any costs, damages, penalties or expense incurred by or awarded against
it (including reasonable attorney's fees) as a
-19-
Note: Redacted portions have been marked with (***). The redacted portions are
subject to a request for confidential treatment that has been filed with the
Securities and Exchange Commission.
result of such suit or proceeding. Bellcore shall have the right to be
represented by counsel of its choosing in any suit or proceeding brought by or
against the Corporation that involves a challenge to the validity or
enforceability of any Group B or Section 2.3 Patent. Should the suit or
proceeding be brought in a jurisdiction having an "entire controversy doctrine"
Bellcore and the Corporation agree to cooperate to ensure that no legitimate
cause of action be excluded from the suit or proceeding.
3.4 Discontinuation of Maintenance or Prosecution
---------------------------------------------
In the event that the Corporation or Bellcore shall decide not to file or
to discontinue prosecution or maintenance or to discontinue its participation in
such filing, prosecution, or maintenance of any patent application or patent
among Groups A or B or Section 2.3 Patents in any country in the world, the
discontinuing Party making such decision shall notify the other Party in writing
at least 60 days prior to the deadline for taking such action to permit such
other Party to assume the responsibility of such patent application or patent,
at its own expense. In the event such other Party elects to file or continue
the prosecution of such patent application or to maintain such patent
application or patent at its expense, if the discontinuing Party owns such
patent application or patent, it shall assign it to such other Party subject to
a retained non-exclusive license in the WDM Field, and if such discontinuing
Party had license rights in such patent application or patent, they shall become
non-exclusive; provided, however, that in the case of a Group B or Section 2.3
Patent being assigned by Bellcore to the Corporation pursuant to this Section
3.4, such non-exclusive license to Bellcore in the WDM Hardware Field shall only
extend to the retained rights in such field specified in Section 2.2 or 2.3
hereof, respectively.
ARTICLE IV - CONFIDENTIALITY
----------------------------
4.1 The Corporation shall hold in confidence and not disclose any portion of
the Technical Information licensed to the Corporation pursuant to this Agreement
except (a)
-20-
Note: Redacted portions have been marked with (***). The redacted portions are
subject to a request for confidential treatment that has been filed with the
Securities and Exchange Commission.
to its employees and consultants who have a need to know such information and to
any others to whom such disclosure may be expressly authorized hereunder, or (b)
where such disclosure is necessary to implement the use for which rights are
granted hereunder or the information is inherently disclosed by the exercise of
such rights.
4.2 Bellcore shall hold in confidence and not disclose any portion of the
Technical Information licensed exclusively to the Corporation pursuant to this
Agreement, except (a) to its employees and consultants who have a need to know
such information and to any others to whom such disclosure may be expressly
authorized hereunder, or (b) where such disclosure is necessary to implement the
rights retained hereunder or the information is inherently disclosed by the
exercise of such rights.
4.3 Further to Sections 4.1 and 4.2 above, Bellcore and the Corporation agree
that they shall appropriately notify each person to whom any such disclosure is
made that such disclosure is made in confidence and that the disclosed Technical
Information must be kept in confidence by such person.
4.4 The obligations of this Article 4 shall endure for a period of 5 years from
and after the Effective Date, but shall not apply to any portion of the
Technical Information that the Party wishing to disclose can demonstrate (a) has
become available to the general public, provided that such public knowledge was
not the result of any fault of such Party or its Affiliates, (b) has been
lawfully received without obligation of confidentiality from a third party that
is not under an obligation of confidence with respect thereto, or (c) that such
disclosure is required by law, regulation or order of a court, provided that
notice thereof is promptly given to the other Party prior to such disclosure in
time that it may seek a protective order.
ARTICLE V - MISCELLANEOUS
-------------------------
-21-
Note: Redacted portions have been marked with (***). The redacted portions are
subject to a request for confidential treatment that has been filed with the
Securities and Exchange Commission.
5.1 In the event that either Party discovers that it does not have or has not
received a document that it should have retained or received pursuant to this
Agreement, the other Party shall cooperate in supplying a copy of such document
to such Party.
5.2 Bellcore warrants that it has full right to enter and perform its
obligations under this Agreement and to make the assignments and grant the
licenses herein granted.
5.3 EXCEPT AS PROVIDED IN THIS ARTICLE V, BELLCORE MAKES NO REPRESENTATIONS OR
WARRANTIES, EXPRESS OR IMPLIED. BY WAY OF EXAMPLE BUT NOT OF LIMITATION,
BELLCORE MAKES NO REPRESENTATION OR WARRANTIES OF MERCHANTABILITY OR FITNESS FOR
ANY PARTICULAR PURPOSE, OR CONCERNING THE VALIDITY, ENFORCEABILITY OR SCOPE OF
ANY PATENT OR THAT THE USE OF THE PATENTS AND TECHNICAL INFORMATION ASSIGNED OR
LICENSED PURSUANT TO THIS AGREEMENT OR ANY OF IT WILL NOT INFRINGE ANY PATENT,
COPYRIGHT, TRADEMARK, TRADE SECRET OR KNOW-HOW OF ANY THIRD PARTY, AND IT SHALL
BE THE SOLE RESPONSIBILITY OF THE CORPORATION TO MAKE SUCH DETERMINATION AS IS
NECESSARY WITH REGARD TO THE ACQUISITION OF LICENSES UNDER INTELLECTUAL PROPERTY
RIGHTS OF THIRD PARTIES.
5.4 The Corporation will not, without the express written permission of
Bellcore (a) use in advertising, publicity, packing, labeling or otherwise any
tradename, trademark, trade device, service ▇▇▇▇, symbol or any other
identification or any abbreviation, contraction or simulation thereof owned or
used by Bellcore to identify its products and services, or (b) represent
directly or indirectly, that any product or service produced in the whole or in
part by the use of any of the Technical Information is a product or a service
of Bellcore or is made in accordance with or uses any information or
documentation of Bellcore.
-22-
Note: Redacted portions have been marked with (***). The redacted portions are
subject to a request for confidential treatment that has been filed with the
Securities and Exchange Commission.
5.5 Nothing contained in here shall be construed as conferring by implication,
estoppel or otherwise, except as expressly granted herein, any license or right
under any patent whether or not the exercise of any right herein granted
necessarily employs an invention of any existing or later issued patent.
5.6 Bellcore and the Corporation shall not be liable to one another for
indirect, special, incidental or consequential loss or damages of any nature,
however caused.
5.7 Upon the execution of this Agreement, the IPA executed on May 8, 1997 by
and between the parties is terminated and superceded by this Agreement. This
Agreement, together with the Contribution Agreement, set forth the entire
agreement and understanding between the Parties as to the subject matter hereof
and merges all prior discussions between them. Neither of the Parties shall be
bound by any conditions, definitions, warranties, understandings,
representations with respect to such subject matter other than expressly
provided herein, or in any referred to existing written agreement between the
Parties.
5.8 Neither this Agreement nor any right hereunder shall be assignable or
otherwise transferable in whole or in part by either Party without the prior
written consent of the other; provided, however, that either Party shall have
the right to assign this Agreement to the successor of substantially all of its
related business, who agrees in a writing, delivered to the other Party, to be
bound by the obligations of this Agreement.
5.9 Bellcore shall provide the Corporation with an assignment document for the
United States and for the foreign patents and patent applications in the Group A
Patents in the form of Exhibits F and G hereto. Bellcore agrees at the request
of the Corporation to execute additional documents prepared by the Corporation
that are necessary or appropriate for the preparation, filing, prosecution, or
maintenance of any one or more of the Group A Patents in any one or more
countries. Bellcore further agrees at the request of the Corporation to execute
any additional documents prepared by corporation that are
-23-
Note: Redacted portions have been marked with (***). The redacted portions are
subject to a request for confidential treatment that has been filed with the
Securities and Exchange Commission.
necessary or appropriate for the enforcement or defense of any one or more of
the Group A Patents in any one or more countries and Corporation shall reimburse
Bellcore for any and all costs, including personnel time, reasonably incurred by
Bellcore in executing such additional documents. Bellcore specifically agrees to
cooperate with any attempt by Tellium or its successor in interest to have
assignment documents executed by Bellcore, and its current and/or former
employees for applications and patents based on provisional applications filed
in the United States.
5.10 This Agreement and all licenses granted herein shall continue in full force
and effect for the term hereof, except as expressly provided in this Section
5.10. This Agreement and all licenses granted hereunder shall terminate and the
IPA executed on May 8, 1997 by and between the parties shall be reinstated,
effective immediately, if prior to either of (i) a third party or parties
investing in the Corporation at least Twelve Million Dollars ($12,000,000) in
addition to the bridge financing which is occurring on or about the date hereof,
or (ii) a sale of the Corporation (whether by sale of stock, merger,
consolidation or similar transaction or sale of all or substantially all of the
assets of the Corporation) for at least Twenty Four Million Dollars
($24,000,000), any of the following occur:
(i) any material breach by Corporation of this Agreement (continuing for
thirty (30) calendar days after receipt of notice from Bellcore);
(ii) a sale of the Corporation for less than Twenty Four Million Dollars
($24,000,000);
(iii) the initiation of any judicial or nonjudicial foreclosure proceedings
pursuant to the Uniform Commercial Code or other applicable law by
any secured or unsecured creditor of the Corporation;
(iv) the appointment of a receiver, or any comparable event or proceeding
under the laws of the jurisdiction in which Corporation is located;
-24-
Note: Redacted portions have been marked with (***). The redacted portions are
subject to a request for confidential treatment that has been filed with the
Securities and Exchange Commission.
(v) the making by Corporation of any assignment for the benefit of
creditors; or
(vi) a violation by the Corporation of any governmental prohibition
regarding technology export,
provided, however, that in the event of the occurrence of an event described in
either clause (iii) or (iv) which is dismissed or discharged within sixty (60)
days of the institution thereof, then this Agreement all such licenses shall
automatically, and without any further action being required, be reinstated and
in full force and effect.
5.11 All notices or other communications under this Agreement shall be in
writing and shall be deemed to have been duly given when (a) delivered in
person, (b) one day after being delivered, properly addressed, fees pre-paid to
an overnight delivery service for next day delivery (c) sent by facsimile, (d)
three days after being deposited in the U.S. mail, postage pre-paid. All such
notices shall be addressed as follows:
To: ▇▇▇▇ Communications Research Inc.
▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇
▇▇▇▇▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇-▇▇▇▇
Attention: ▇▇▇▇▇ ▇. ▇▇▇▇▇▇
Tel: (▇▇▇) ▇▇▇-▇▇▇▇
Fax: (▇▇▇) ▇▇▇-▇▇▇▇
and
Tellium, Inc.
▇ ▇▇▇▇▇▇▇▇ ▇▇▇▇▇
▇▇▇▇▇▇▇▇ ▇
▇▇▇▇▇▇▇▇▇, ▇▇▇ ▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇
Attention: M. ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇
Tel: (▇▇▇) ▇▇▇-▇▇▇▇
Fax: (▇▇▇) ▇▇▇-▇▇▇▇
The address of either Party at which notices or communications are to be sent,
may be changed by notice to the other Party.
-25-
Note: Redacted portions have been marked with (***). The redacted portions are
subject to a request for confidential treatment that has been filed with the
Securities and Exchange Commission.
5.12 This Agreement shall be interpreted and construed in accordance with the
laws of the State of Delaware applicable to agreements made and to be performed
within the State of Delaware.
5.13 If any provision or portion of a provision of this Agreement is held
invalid or unenforceable, the remainder of the Agreement shall not be affected,
and the remaining terms will continue in effect and be binding on the Parties,
provided that such holding of invalidity or unenforceability does not materially
affect the essence of the Agreement.
-26-
Note: Redacted portions have been marked with (***). The redacted portions are
subject to a request for confidential treatment that has been filed with the
Securities and Exchange Commission.
IN WITNESS WHEREOF, THE PARTIES HERETO HAVE CAUSED THIS AGREEMENT TO BE EXECUTED
IN DUPLICATE ORIGINALS BY THEIR RESPECTIVELY DULY AUTHORIZED REPRESENTATIVES.
▇▇▇▇ Communications Research, Inc.,
a Delaware corporation
By: __________________________________________
Name: ________________________________________
Title: _______________________________________
Tellium, Inc., a Delaware corporation
By: __________________________________________
Name: ________________________________________
Title: _______________________________________
-27-
Note: Redacted portions have been marked with (***). The redacted portions are
subject to a request for confidential treatment that has been filed with the
Securities and Exchange Commission.
Exhibit A
---------
Group A Patents
---------------
------------------------------------------------------------------------------------------------------------------
Total Patent # or Patent Title Status Foreign
----- ----------- ------------ ------ -------
Serial # Filing
-------- ------
Status
------
------------------------------------------------------------------------------------------------------------------
1 (***) (***) (***) (***)
------------------------------------------------------------------------------------------------------------------
2 (***) (***) (***) (***)
------------------------------------------------------------------------------------------------------------------
3 (***) (***) (***) (***)
------------------------------------------------------------------------------------------------------------------
4 08/554,599 Self-Aligned Ridge-to-Buried Hererstructure App 965 Available
Waveguide for Multiwavelength Laser Array Filed on
Integration 06/17/96
------------------------------------------------------------------------------------------------------------------
5 5,612,968 Redundant Wavelength Laser Array 3/18/97 NONE
------------------------------------------------------------------------------------------------------------------
6 60/035,590 Design for 40-wavelength Laser Array; now Prov. Filed Available
Dense Multiwavelength Laser Array Apparatus App 1032
1/17/97
------------------------------------------------------------------------------------------------------------------
7 60/036,003 Integrated Laser Arrays with Modulator Prov. Filed Available
App 1039
1/22/97
------------------------------------------------------------------------------------------------------------------
8 5,414,540 Frequency-Selective Optical Switch Employing 5/9/95 Pending
a Frequency Dispersive Element Polarizing Germany,
Dispersive Element and Polarizing Modulating France,
Elements United
Kingdom,
Canada,
Japan
------------------------------------------------------------------------------------------------------------------
9 08/780,925 Wedge-Shaped Liquid Crystal Cell App 1017 Available
Filed
1/9/97
------------------------------------------------------------------------------------------------------------------
10 60/037,216 Temperature Indemendent Operation of Liquid Prov. Filed Available
Crystal Modulators App 1043
2/6/97
------------------------------------------------------------------------------------------------------------------
-28-
Note: Redacted portions have been marked with (***). The redacted portions are
subject to a request for confidential treatment that has been filed with the
Securities and Exchange Commission.
------------------------------------------------------------------------------------------------------------------
11 5,392,154 Self-Regulating Multiwavelength Optical 2/21/95 None
Amplifier Module for Scalable Lightwave
Communications System
------------------------------------------------------------------------------------------------------------------
12 5,345,322 Fiber Amplifier Cascade for Multiwavelength 9/6/94 None
Lightwave Communications System
------------------------------------------------------------------------------------------------------------------
13 08/688,588 Automatic Feedback Gain Control for Multiple App 955 Available
Channels in a Doped Fiber Amp Filed
7/30/96
------------------------------------------------------------------------------------------------------------------
14 08/568,037 A Parametric Wavelength-interchanging App 908 None
Cross-Connect Architecture 12/6/95
------------------------------------------------------------------------------------------------------------------
15 08/654,979 Method and Apparatus for Monitoring the App 968 Available
State of Liquid Crystal Polarization 5/29/96
Modulator
------------------------------------------------------------------------------------------------------------------
16 (***) (***) (***) (***)
------------------------------------------------------------------------------------------------------------------
17 60/037,411 Dual Liquid Crystal Switch Prov. App Available
1042
2/7/97
------------------------------------------------------------------------------------------------------------------
18 (***) (***) (***) (***)
------------------------------------------------------------------------------------------------------------------
19 60/035,784 Hybrid Wavelength Interchange Crossconnect Prov. App Available
using both Transparent Optical Switch and 989
Electronic Switching Technologies; now 1/7/97
Hybrid Multiwavelength Optical
Cross-Connects and Add Drop Multiplexers
------------------------------------------------------------------------------------------------------------------
20 5,434,700 All-Optical Wavelength Converter 7/18/95 None
------------------------------------------------------------------------------------------------------------------
21 (***) (***) (***) (***)
------------------------------------------------------------------------------------------------------------------
22 08/528,447 Passband Flattening of Integrated Optical App 898 Available
Filters Iss Fee
Mailed
------------------------------------------------------------------------------------------------------------------
23 (***) (***) (***) (***)
------------------------------------------------------------------------------------------------------------------
-29-
Note: Redacted portions have been marked with (***). The redacted portions are
subject to a request for confidential treatment that has been filed with the
Securities and Exchange Commission.
---------------------------------------------------------------------------------------------------------------
24 5,741,811 Optical Switch 5/5/98 None
---------------------------------------------------------------------------------------------------------------
25 5,239,607 Optical Fiber Amplifier with Flattened Gain 08/24/93 None
---------------------------------------------------------------------------------------------------------------
End of Exhibit A
----------------
-30-
Note: Redacted portions have been marked with (***). The redacted portions are
subject to a request for confidential treatment that has been filed with the
securities and Exchange Commission.
Exhibit B
---------
Group B Patents
---------------
-----------------------------------------------------------------------------------------------------------------
Total Patent # or Patent Title Status Foreign
-------- ---------- ------------ ------ -------
Serial # Filing
-------- ------
Status
------
-----------------------------------------------------------------------------------------------------------------
1 60/035,782 InP- Based Heteerojunction Bipolar Transistor Prov App None
1000
1/7/97
-----------------------------------------------------------------------------------------------------------------
2 (***) (***) (***) (***)
-----------------------------------------------------------------------------------------------------------------
3 5,130,667 Differential Transmimpedance Amplifier 7/14/92 Pending -
Germany,
France, UK,
Netherlands,
Canada, JP
-----------------------------------------------------------------------------------------------------------------
4 Semiconductor Lasers with Thermally Stable ▇▇▇▇.▇▇▇ Available
Emission Wavelength 1056
3/31/97
-----------------------------------------------------------------------------------------------------------------
5 08/660,330 In-P Based Lasers with Reduced Blue Shifts App 966 EPO,
5,771,256 6/03/96 Canada,
Japan
-----------------------------------------------------------------------------------------------------------------
6 08/587,909 Reduced Crosstalk in Optical Crossconnects by App 923 None
5,737,103 Appropriate Configuration of Unused Switch 1/16/96
Elements
-----------------------------------------------------------------------------------------------------------------
7 08/498,080 Asymmetric Optical Cross Connect Switch App 888 None
7/3/95
Abandoned
-----------------------------------------------------------------------------------------------------------------
8 (***) (***) (***) (***)
-----------------------------------------------------------------------------------------------------------------
9 5,207,864 Low-Temperature Fusion of Dissimilar 5/4/93 None
Semiconductors
-----------------------------------------------------------------------------------------------------------------
10 08/602,391 Nonlinear Optical Waveguides with Differing App 934 EPO,
5,802,232 Orientation Achieved by Wafer Bonding Fld 2/16/96 Canada,
Iss. ▇/▇/▇▇ ▇▇▇▇▇ ▇▇▇▇▇,
▇▇▇▇▇
Taiwan
-----------------------------------------------------------------------------------------------------------------
-31-
-----------------------------------------------------------------------------------------------------------------
11 (***) (***) (***) (***)
-----------------------------------------------------------------------------------------------------------------
12 5,345,073 Very High Speed Optical Receiver with Cascadable 9/6/94 None
Differential Action Feedback Driver
-----------------------------------------------------------------------------------------------------------------
13 5,006,906 Integrated Semiconductor Waveguide Photodetector 4/9/91 None
-----------------------------------------------------------------------------------------------------------------
End of Exhibit B
-32-
Exhibit C
---------
Group C Patents
---------------
--------------------------------------------------------------------------------------------------------------
Total Patent # Patent Title Status Foreign
----- --------- ------------ ------ -------
or Serial Filing
--------- ------
# Status
- ------
--------------------------------------------------------------------------------------------------------------
1 5,214,527 Electronically Switched Multiple-Channel 5/25/93 None
Optical Receiver
--------------------------------------------------------------------------------------------------------------
2 5,541,949 Strained AiGaInAs Quantum Well Diode Laser 7/30/96 Pending
Germany,
France, China,
Japan
--------------------------------------------------------------------------------------------------------------
3 5,381,434 High Temperature Uncooled Diode Laser 1/10/95 Pending
Germany,
France,
China, Japan
--------------------------------------------------------------------------------------------------------------
4 08/682,863 Coherent Blue/Green Optical Source App 978 None
5,796,902 Fld.07/05/96
Iss. 8/18/98
--------------------------------------------------------------------------------------------------------------
5 5,123,581 Oblique Fracturing of Optical Fibers by 6/23/92 None
Offset Shearing
--------------------------------------------------------------------------------------------------------------
6 5,213,244 Oblique Fracturing of Optical Fibers by 5/23/93 None
Angled Scoring
--------------------------------------------------------------------------------------------------------------
7 5,323,416 Planarized Interference Mirror 6/21/96 None
--------------------------------------------------------------------------------------------------------------
8 5,414,541 Optical Switch Employing First and Second 5/9/95 None
FerroElectric Cells with Alignment Layers
Having Alignment Directions Offset by 45
Degrees
--------------------------------------------------------------------------------------------------------------
End o Exhibit C
-33-
Exhibit D
---------
Existing License Agreements
---------------------------
Certain persons are authorized to use Bellcore's intellectual property pursuant
to the following agreements:
1. Intellectual Property Agreement between Bellcore and the RBOCS (January 1,
1994).
2. Patent License Agreement between AT&T and Bellcore (January 1 1989)
3. MONET Consortium Agreement (October 31, 1994)
4. License to DARPA under MONET (as amended April 9, 1997)
5. Master Agreement for Software and Services between Bellcore and Ameritech
Services Inc., ▇▇▇▇ Atlantic NSI Holdings, Inc., BellSouth Telecommunications
Inc., Southwestern ▇▇▇▇ Telephone Company, Telesector Resources Group Inc., and
US WEST Communications, Inc. (1996) and amendments thereto, and the Amended and
Restated Master Agreement for Software and Services which became effective upon
the close of the sale of Bellcore to SAIC.
6. Technology Transfer Agreement between ▇▇▇▇ Communications Research Inc. and
JDS Fitel, Inc. dated May 28, 1996 relating to Optical Switches.
7. Technology Reinvestment Project (TRP) Technology Development Agreement
between SONET/ATM Self-Healing Ring Consortium and The Advanced Projects Agency,
dated September 6, 1994, concerning Information Infrastructure-Network
Architecture.
8. Patent license as follows:
Patent No. Country Licensee Date
---------- ------- -------- ----
5,414,540 USA JDS Fitel May 28, 1996
End of Exhibit D
-34-
Exhibit E
---------
Assignment Document for Group A Patents
---------------------------------------
To Be Provided Later
-35-
Exhibit F
---------
Assignment Document for Group A Patent Applications
---------------------------------------------------
To Be Provided Later
-36-
Exhibit G
---------
Tellium's Products and Services'
Transport Products:
-------------------------------------------------------------------------------------------------------------
WDM Terminal Terminal Multiplexer network elements for WDM systems capable of providing
Multiplexers multiplexed and demultiplexed signals. Terminal Multiplexers may include
either compliant or non-compliant interfaces with transponders. Terminal
Multiplexers may be managed network elements containing an embedded software
control system with interfaces to an element management system.
-------------------------------------------------------------------------------------------------------------
WDM Amplifier Systems Optical Amplifier network elements for WDM systems. WDM Amplifier Systems may
be managed network elements containing an embedded software control system with
interfaces to an element management system.
-------------------------------------------------------------------------------------------------------------
WDM Optical Add-Drop Configurable and fixed optical add-drop multiplexer network elements for use
Multiplexers in, for example, optical rings, meshes, and linear chain systems. Includes
both multiplexing and demultiplexing functionality. WDM Optical Add-Drop
Multiplexers may be managed network elements containing an embedded software
control system with interfaces to an element management system.
-------------------------------------------------------------------------------------------------------------
Switching Products:
-------------------------------------------------------------------------------------------------------------
Optical Cross-Connects Cross-connect switches, including but not limited to wavelength-selective and
wavelength-interchanging cross-connects, using both/either optical or
electronic switching fabrics capable of interconnecting optical signals.
Optical Cross-connects may be managed network elements containing an embedded
software control system with interfaces to an element management system.
-------------------------------------------------------------------------------------------------------------
Network Products:
-----------------
-------------------------------------------------------------------------------------------------------------
Point-to-Point and WDM point-to-point and linear chain systems including, for example, WDM
Linear Chain WDM terminal multiplexers, optical amplifiers and optical add-drop multiplexers,
Systems connected to transport equipment, such as SONET multiplexers, optical
cross-connects, data switching apparatus and networks.
-------------------------------------------------------------------------------------------------------------
Survivable WDM Ring WDM Ring networks to provide self-healing survivable ring operation, which may
Networks include, for example, both/either optical add-drop multiplexers and/or optical
cross-connects, optical amplifiers and WDM terminals. Includes an element
management system to coordinate the actions and management of network elements
in the WDM Ring, with interfaces to a variety of Network Management Systems.
-------------------------------------------------------------------------------------------------------------
Survivable WDM Mesh WDM mesh networks to provide self-healing mesh restoration. Includes, for
Networks example, add-drop multiplexers, optical cross-connects and WDM Terminals. Also
includes Mesh Restoration Algorithm and system capability and element
management system to coordinate the actions and management of network elements
in the WDM mesh, with interfaces to a variety of Network
-------------------------------------------------------------------------------------------------------------
-37-
----------------------------------------------------------------------------------------------------------------
Management Systems.
----------------------------------------------------------------------------------------------------------------
Hybrid Architectures WDM meshes and rings and hierarchical networks including transport, switching
and network element control systems with distributed network control and
survivability and restoration functions.
----------------------------------------------------------------------------------------------------------------
Hybrid Network Elements Combinations of WDM transport network elements and switching network elements
for specialized network applications in the WDM Field.
----------------------------------------------------------------------------------------------------------------
Network Management Products:
----------------------------------------------------------------------------------------------------------------
WDM Global Element WDM Element management systems to coordinate the operation and administration
Management Systems of individual and network systems of network elements. Includes, but is not
limited to, interfaces to the element controllers, craft and GUI interface,
and to the network management system.
----------------------------------------------------------------------------------------------------------------
Embedded Network Element control system that is embedded within WDM network element to manage,
Element Control Systems operate, and report on the performance and operation of the network element.
Includes, but is not limited to, interface to element management system.
----------------------------------------------------------------------------------------------------------------
Services:
----------------------------------------------------------------------------------------------------------------
Network Planning Modeling and optimizing broadband optical communication networks with respect
Product Support to the deployment of WDM networks and systems.
Services
----------------------------------------------------------------------------------------------------------------
Engineering, Field and Customer product and field support.
Installation Services
----------------------------------------------------------------------------------------------------------------
-38-
Exhibit H
PATENT SUB-LICENSE AGREEMENT
This Agreement, effective as of the date the last Party executes it, is
between [* Tellium, Inc., a Delaware corporation having an office and place
of business at ▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇, ▇▇▇▇▇▇▇▇ ▇, ▇▇▇▇▇▇▇▇▇ ▇▇ ▇▇▇▇▇ or its
successors in interest *], (the "Corporation"), and ____________________
(SUBLICENSEE).
Definitions
"BELLCORE" means ▇▇▇▇ Communications Research Inc. a Delaware
corporation having an office and place of business at ▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇,
▇▇▇▇▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇
"BELLCORE PATENTS" means the following patents or patent applications
for which BELLCORE has granted CORPORATION the right to sublicense:
[* To be completed by CORPORATION so as to include any one or more of
the following:
U.S. Patent No. 5,673,142 (BELLCORE is a joint owner);
U.S. Patent No. 4,821,255;
U.S. Patent No. 5,550,818;
(***);
A patent application covering an invention relating to a method of
identifying faults in WDM optical networks, filed by Lucent
Technologies solely in the name of ▇▇▇▇ ▇▇▇▇▇▇▇, an employee of Lucent
Technologies (to the extent BELLCORE has rights therein); and
A patent application covering an invention relating to a method of fast
gain control in WDM networks, filed by Lucent Technologies solely in
the name of A.K. Srivastava, an employee of Lucent Technologies (to
the extent BELLCORE has rights therein)
All parents (to the extent BELLCORE is an owner or co-owner of such parent
application), continuations, divisions, and continuations in part of the
foregoing, all patents issuing on the foregoing, all re-issues of any of
the foregoing patents, and all foreign counterparts to any of the foregoing
patent applications and patents *]
"CORPORATION PRODUCTS" means any one or more of the products described in
the attached Exhibit G, the components thereof, and any combination of the
foregoing, which are made by or for the CORPORATION and/or its successors
in interest.
License Grant
-39-
CORPORATION, pursuant to the rights granted to it by BELLCORE, hereby grants to
SUBLICENSEE, under the BELLCORE PATENTS, a personal, worldwide, royalty-free,
nonexclusive and nontransferable license to use CORPORATION PRODUCTS, alone or
in combination with other products, free of infringement of said BELLCORE
PATENTS.
The foregoing licenses shall not include:
any further sublicensing rights, or the right to make or operate a network or
system, if such network or system, or the operation of such network or system,
infringes a claim of such BELLCORE PATENTS solely for the presence or operation
of products other than CORPORATION PRODUCTS. Bellcore expressly reserves the
right to enforce such claim against such network or system.
3. Term and Termination - The license granted hereunder shall terminate upon the
earlier of: (a) the expiration of the last to expire of the BELLCORE PATENTS, or
(b) until SUBLICENSEE first ceases to use CORPORATION PRODUCTS. SUBLICENSEE
shall have the right to terminate this license at its convenience upon (30) days
written notice.
[* Other terms to be completed by Corporation *]
4. Representation and Disclaimer of Warranties - CORPORATION represents and
warrants that it is duly authorized to enter into this license. SUBLICENSEE
represents and warrants that it is duly authorized to enter into and be bound by
this license.
EXCEPT FOR THE FOREGOING REPRESENTATIONS, BELLCORE AND CORPORATION MAKE NO
OTHER, AND HEREBY DISCLAIM, ANY AND ALL WARRANTIES, WHETHER EXPRESS OR IMPLIED.
Moreover, nothing contained in this Sublicense Agreement shall be construed as:
(a) requiring the securing of any patent or the maintaining of any patent in
force;
(b) a warranty as to the validity or scope of any BELLCORE PATENT ;
(c) a warranty or representation that any design, implementation, or operation
of any network or system will be free from infringement of patents or other
intellectual property rights, other than the patents licensed hereunder and
the other intellectual property rights granted herein, but only to the
extent to which licenses or rights remain in force hereunder;
(d) conferring any right to use, in advertising, publicity or otherwise, any
name, trade name, trademark, service ▇▇▇▇, or any contraction, abbreviation
or simulation thereof;
(e) an obligation to furnish any manufacturing or technical information or any
information concerning pending patent applications; or
(f) conferring by implication, estoppel or otherwise any license or other right
under any patent or other intellectual property, except as expressly
granted herein.
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5. Indemnification - SUBLICENSEE shall, at its own expense, defend, indemnify,
and hold harmless BELLCORE , and their officers, directors, and employees,
against all claims, liabilities, damages, expenses (including without limitation
reasonable attorney fees and cost), or loss arising out of: (1) any
implementation or operation by SUBLICENSEE of any network or system, unless
otherwise agreed to in a separate writing with Bellcore; or (2) any material
breach by SUBLICENSEE of any of its obligations hereunder.
6. Binding Effect. This sublicense agreement shall be binding upon and it shall
enure to the benefit of the parties hereto the their respective successors and
permitted assigns. This sublicense and the grant of rights hereunder, are
personal to the SUBLICENSEE.
7. Assignment. Except as provided in this paragraph, neither this sublicense,
nor any rights or obligations hereunder, may be assigned; provided, however,
that each of the parties may assign this sublicense, and all rights and
obligations hereunder, to a successor entity as a result of a sale of all or
substantially all of the assets of the party which relate to this sublicense.
8. Patent Marking - SUBLICENSEE shall ▇▇▇▇ all network and or service marketing
material with the applicable numbers of the BELLCORE PATENTS.
9. Entire Agreement. This Covenant constitutes the entire agreement and
understanding of the parties with regard to the subject matter hereof and merges
and supersedes all prior discussions, negotiations, understandings and
agreements between the parties concerning the subject matter hereof.
10. Non-Disclosure. Under no circumstances shall the terms and conditions of
this sublicense be disclosed to any third parties (other than BELLCORE or
BELLCORE'S parent corporation), except where such terms and conditions have
become public knowledge or where disclosure is required by order or regulation
of a court of government agency.
In Witness Whereof, each of the Parties has caused this Agreement to be
executed in duplicate originals by its duly authorized representative on the
respective date entered below.
CORPORATION SUBLICENSEE
By _____________________________ By ___________________________
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Title___________________________ Title__________________________
Date____________________________ Date _________________________
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EXHIBIT I
PATENTS:
-----------------------------------------------------------------------------------------------------------------------------
PATENT No. TITLE DATE INVENTORS
-----------------------------------------------------------------------------------------------------------------------------
RE35,337 Temperature compensation of liquid-crystal etalon filters 9/24/96 ▇▇▇▇▇, ▇▇▇▇▇▇▇
-----------------------------------------------------------------------------------------------------------------------------
4,658,152 Adaptive Rate Multiplexer-Demultiplexer 4/14/98 ▇▇▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
4,683,573 Temperature Stabilization of Injection Lasers 7/28/98 ▇▇▇▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
4,709,978 ▇▇▇▇-▇▇▇▇▇▇▇ Integrated Optical Modulator 12/1/87 Jackel
----------------------------------------------------------------------------------------------------------------------------
4,755,987 High speed scrambling at lower clock speeds July 5, ▇▇▇, ▇▇▇
1988/
June 5,
1987
----------------------------------------------------------------------------------------------------------------------------
4,772,854 All optical repeater 9/20/88 ▇▇▇▇▇▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
4,775,207 Electro-optical switch 10/4/88 ▇▇▇▇▇▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
4,788,721 Routing of Network Traffic 11/29/88 Krishnan, ▇▇▇
----------------------------------------------------------------------------------------------------------------------------
4,796,266 Laser driver circuit with dynamic bias 1/3/89 Banwell, ▇▇▇▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
4,813,756 Etalon filters for optical channel selection in wavelength division 3/21/89 ▇▇▇▇▇▇▇, ▇▇▇
multiplexed fiber systems
----------------------------------------------------------------------------------------------------------------------------
4,819,226 Framer circuit for use in a DTDM network April 4, Beckner, Chao,
1989 / Robe, ▇▇▇▇▇
Nov. 10
1987
----------------------------------------------------------------------------------------------------------------------------
4,834,483 Fast Optical Cross-Connect for Parallel Processing Computers 5/30/89 Arthurs, Goodman,
et al.
----------------------------------------------------------------------------------------------------------------------------
4,835,763 Survivable ring network 5/30/89 ▇▇▇
----------------------------------------------------------------------------------------------------------------------------
4,835,768 High speed digital signal framer-demultiplexer May. 30, ▇▇▇▇▇▇▇, Kong
1989 /
April 14,
1988
----------------------------------------------------------------------------------------------------------------------------
4,846,540 Optical waveguide junction 7/11/89 Kapon
----------------------------------------------------------------------------------------------------------------------------
4,855,231 Phase-shifted gratings by selective image reversal of photoresist Dec. 5, Chan
1989 /
May. 6,
1988
----------------------------------------------------------------------------------------------------------------------------
4,856,860 Integrated all-optical switching devices 8/15/89 ▇▇▇▇▇▇▇▇▇▇, ▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
4,869,569 Polarizing Optical Waveguides 9/26/98 Kapon
----------------------------------------------------------------------------------------------------------------------------
4,873,681 Hybrid optical and electronic packet switch 10/10/98 Arthurs, Goodman,
Kobrinski, Vecchi
----------------------------------------------------------------------------------------------------------------------------
4,896,934 Broadband optical multicast switch 1/30/90 Arthurs, Goodman,
▇▇▇, ▇▇▇
----------------------------------------------------------------------------------------------------------------------------
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----------------------------------------------------------------------------------------------------------------------------
4,906,064 Switch for selectively switching optical wavelengths 3/6/90 ▇▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
4,931,941 Adaptive Routing of Network Traffic 6/5/90 Krishnan
----------------------------------------------------------------------------------------------------------------------------
4,943,133 Low loss semiconductor optical phase modulator 7/24/90 Deri, Kapon
----------------------------------------------------------------------------------------------------------------------------
4,949,350 Surface emitting semiconductor laser Aug. 14, ▇▇▇▇▇▇, ▇▇▇▇▇▇▇
1990 /
July 17,
1989
----------------------------------------------------------------------------------------------------------------------------
4,965,525 Angled-facet flared-waveguide traveling-wave laser amplifiers Oct. 23, Zah
1990 /
Nov. 13
1989
----------------------------------------------------------------------------------------------------------------------------
4,980,891 Clocked optical regenerator and other optoelectronic functional circuits 12/25/90 ▇▇▇▇▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
4,988,157 Optical switch using bubbles 1/29/91 Jackel, ▇▇▇▇▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
5,002,349 Integrated acousto-optic filters and switches 3/26/91 Cheung, Heffner,
▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
5,029,176 Monolithic multiple-wavelength laser array 7/2/91 ▇▇▇▇▇-▇▇▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
5,031,187 Planar array of vertical-cavity, surface-emitting lasers 7/9/91 ▇▇▇▇▇▇▇▇▇, ▇▇▇
▇▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
5,034,344 Method of making a surface emitting semiconductor laser 7/23/91 ▇▇▇▇▇▇, ▇▇▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
5,034,958 Front-surface emitting diode laser 7/23/91 Kwon, Yoo
----------------------------------------------------------------------------------------------------------------------------
5,040,876 Liquid crystal light modulators with asymmetrical interfaces 8/20/91 ▇▇▇▇▇, ▇▇▇
----------------------------------------------------------------------------------------------------------------------------
5,068,749 Electronically tunable polarization-independent liquid crystal optical 11/26/91 ▇▇▇▇▇
filter
----------------------------------------------------------------------------------------------------------------------------
5,111,231 Dual-polarization liquid crystal etalon filter 5/5/92 ▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
5,113,275 Temperature compensation of liquid-crystal etalon filters 5/12/92 ▇▇▇▇▇, ▇▇▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
5,132,824 Liquid -crystal modulator array 7/21/92 ▇▇▇▇▇, ▇▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
5,133,029 Adiabatic polarization splitter 7/21/92 ▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
5,150,236 Tunable Liquid Crystal Etalon Filter 9/22/92 ▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
5,159,481 Polarization scrambler for polarization-sensitive optical devices 10/27/92 Maeda
----------------------------------------------------------------------------------------------------------------------------
5,172,257 Twisted Ferroelectric liquid crystal modulator for providing ▇▇▇▇ scale 12/15/92 ▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
5,173,794 Wavelength division multiplexing using a tunable acousto-optic filter 12/22/92 ▇▇▇▇▇▇, ▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
5,177,634 High Gain Limiting Erbium-Doped Fiber Amplifier with Wide Dynamic Range 1/5/93 Way
----------------------------------------------------------------------------------------------------------------------------
5,179,548 Self-healing bidirectional logical-ring network using crossconnects 1/12/93 ▇▇▇▇▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
5,218,604 Dual-hubbed arrangement to provide a protected ring interconnection 6/8/93 Sosnosky
----------------------------------------------------------------------------------------------------------------------------
5,218,653 Polarization converter with apodized acoustic waveguide 6/8/93 ▇▇▇▇▇▇▇, ▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
5,221,983 Passive Photonic loop architecture employing wavelength multiplexing 6/22/93 ▇▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
5,327,427 Self-healing meshed network using logical ring structures 7/5/94 ▇▇▇▇▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
5,351,262 Multi-stripe array grating integrated cavity laser 9/27/94 ▇▇▇▇▇▇▇▇, Soole
----------------------------------------------------------------------------------------------------------------------------
5,400,171 Acousto-optic filter with near-ideal bandpass characteristics 3/21/95 Song
----------------------------------------------------------------------------------------------------------------------------
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----------------------------------------------------------------------------------------------------------------------------
5,442,623 Passive protected self healing ring network 8/15/95 Wu
----------------------------------------------------------------------------------------------------------------------------
5,446,807 Passband-flattened acousto-optic polarization converter 8/29/95 ▇▇▇▇▇, d'Alessandro
----------------------------------------------------------------------------------------------------------------------------
5,455,877 Multi-channel wavelength-routing switch using acousto-optic polarization 10/3/95 ▇▇▇▇▇, Jackel
converters
----------------------------------------------------------------------------------------------------------------------------
5,495,360 1.5 micrometers wavelength asymmetric ▇▇▇▇▇-▇▇▇▇▇ modulator with negative chirp 2/27/96 Yoo
----------------------------------------------------------------------------------------------------------------------------
5,701,168 Inverse twisted and super-twisted nematic liquid crystal device 12/23/97 ▇▇▇▇▇
----------------------------------------------------------------------------------------------------------------------------
5,732,179 Birefringence-free semiconductor waveguide 3/24/98 Caneau, Song, Soole
----------------------------------------------------------------------------------------------------------------------------
5,748,811 Optical Switch 5/5/98 Amersfoort, Soole
----------------------------------------------------------------------------------------------------------------------------
5,777,763 In-line optical wavelength reference and control module 7/7/98 ▇▇▇▇▇▇▇▇▇ III
----------------------------------------------------------------------------------------------------------------------------
5,793,745 Bundled protection switching in a wide area network background of the 8/11/98 Manchester
invention
----------------------------------------------------------------------------------------------------------------------------
5,802,232 Bonded structure with portions of differing crystalographic orientations, 9/1/98 Bhat
particularly useful as a non linear optical waveguide
----------------------------------------------------------------------------------------------------------------------------
APPLICATIONS:
-------------------------------------------------------------------------
Application No. Title Date Inventors
-------------------------------------------------------------------------
08/926,332 Hitless Reconfiguration 9/5/97 Bala, Chang, Ellinas,
of a Wavelength Division Post, ▇▇▇▇, ▇▇▇
Multiplexed Optical
Communication Network
-------------------------------------------------------------------------
09/088,977 Centralized Wavelength 6/2/98 ▇▇▇▇▇▇▇▇
Distribution for Dense
Wavelength Division
Multiplexed Systems
-------------------------------------------------------------------------
09/156,715 Detecting Fiber Cuts in a Richards, Jackel,
WDM Ring with Optical ▇▇▇▇▇▇▇▇▇▇, ▇▇▇
Protection Switching
-------------------------------------------------------------------------
End of Exhibit I
----------------
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