Exhibit 1020
`
`ZTE Corporation and ZTE (USA) Inc.
`
`

`
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`|DC_|TCCOMP_00000337
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1020-00001
`
`
`

`
`
`
`0 .
`::O1)M.«\‘.l\4HODMAKiMaii:ige;990()S;l 9 2
`- COATIOJ
`
`[me
`
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`iitiiniliiiitiii
`
`i
`
`Docks: N0_; '[‘AN99_16
`
`1 01 276261
`T0 lhfi Honorable Commissioner of Patents and Trademarks: Please record the attached original documents or copy thereof.
` I. Name otconveying party(ies)
`Name and address of receiving party(ies)
`
`/111011135 F.. Gorsuch
`
`Name:
`Tantivx Communications, Inc.
`Internal Address:
`
`
`
`
`
`
`
` Ailtlitiuiizil nziiiic(s) ulicoiivcyiiig party(ies) attached? [] Yes [X J No
`
`3-
`Street Address:
`2200 Front Street, Suite 300
` Nature of conveyance:
`
`
` [X] Assignment Merger
`
` l l
`
`[J
` Security Agreement
`[
`] Change of Name
` City:
`Melboumt:
`State;
`FL
`ZIP:
`32901
`
`Other
`[l
`
`January 7, 2000
`txecution Date:
`
`
`
`
`Additional name(s) & addrcss(cs) attached’?
`
`
` 4 Application numbertsl or patent number[s):
`
`lfthis document is being filed together with a new application, the execution date ofthe application is: —?_?—
`A. Patent Application No.(s')
`D. PatentN0.(x)
`
`
`
`
`()9/4t)(),l3(i
`
`Additional numbers attached’?
` [
`
`
`5. Name and address of party to whom correspondence
`6. Total number ofapplieations and patents involved:
`[1 ]
`- concerning document should be mailed:
`
`
`
`
`
`Name: David J. Thibodeau, Jr.
`7. Total Fee (37 C.F.R. 3.41) ......................... .. 5 40.00
`
`
`
`internal Address:
`
`[ X]
`Enclosed
`[X]
`Authorized to charge any deficiencies or credit any
`
`
`overpayment to deposit account
`Hamilton, Brook, Smith & Rexnolds, P.C.
`[
`Authorszcd to be charged to deposit account
`
`Street Address:
`
`Two Militia Drive 8. Deposit account number:
`
`
` ()8-0380
`City: Lexington
`MA
`ZIP:
`0242 l -4799
`
`
`
`(Attach duplicate copy ofthis page ifpaying by deposit account)
` DO NOT USE THIS SPACE
`
` 9. Statement and signature.
`To the but 0/"lily /moivledge and belief." Iliaforeguing t'nfuruiuu'uu it true mu! correct um! any attached copy is a true copy oftlic rmginul
`d(J(‘ll)7l(’llI
`
`
`
`Gerald M. Bluhm
`’
`:51
`,3”
`y;/0 -35'
`3 (7.7
`
`
`Name of Person Signing
`Signature
`
`
`J
`
`
`
`
`
`
`
`
`Total number of pages including cover sheet, attachments, and document:
`
` [3]
`
`oa/23/aooo tiisuvoi oooooeie 09400136
`
`01 FC:581
`
`Qi.oo op)
`
`I
`
`PATENT
`
`REEL: 010559 FRAME: 0980
`
`|DC_lTCCOMP_00000338
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1020-00002
`
`
`
`)Yes
`
`I X] No
`
`

`
`ASSIGNMENT
`
`Docket No. TAN99-16
`
`Sole
`
`WHEREAS, I, Thomas E. Gorsuch, have invented a certain improvement in Dual
`Mode Subscriber Unit for Short Range, High Rate and Long Range, Lower Rate Data
`Communications , described in an application for Letters Patent of the United States, the
`specification of which:
`
`[
`
`]
`
`is being executed on even date herewith and is about to be filed in the United
`States Patent Office;
`
`[X]
`
`was filed on
`
`September 21, 1999 as Application No. 09/400,136
`
`;
`
`[
`
`]
`
`was patented under U.S. Patent No.
`
`on
`
`WHEREAS, Tantivy Communications, Inc. (hereinafter "ASS1GNEE"), a corporation
`organized and existing under the laws of the State of Delaware and having a usual place of
`business at 2200 Front Street, Suite 300, Melbourne Florida 32901 desires to acquire an
`interest therein in accordance with agreements duly entered into with me;
`
`NOW, THEREFORE, to all whom it may concern be it known that for and in
`consideration of said agreements and of other good and valuable consideration, the receipt of
`which is hereby acknowledged, I have sold, assigned and transferred and by these presents do
`hereby sell, assign and transfer unto said ASSIGNEE, its successors, assigns and legal
`representatives, the entire right, title and interest in and throughout the United States of America,
`its territories and all foreign countries, in and to said invention as described in said application,
`together with the entire right, title and interest in and to said application and such Letters Patent
`as may issue thereon; said invention, application and Letters Patent to be held and enjoyed by
`said ASSIGNEE for its own use and behalf and for its successors, assigns and legal represen-
`tatives, to the full end of the term for which said Letters Patent may be granted as fully and
`entirely as the same would have been held by me had this assignment and sale not been made; I
`hereby convey all rights arising under or pursuant to any and all international agreements,
`treaties or laws relating to the protection of industrial property by filing any such applications for
`Letters Patent. I hereby acknowledge that this assignment, being ofthe entire right, title and
`interest in and to said invention, carries with it the right in ASSIGNEE to apply for and obtain
`from competent authorities in all countries of the world any and all Letters Patent by attorneys
`and agents of ASSIGNEE‘s selection and the right to procure the grant of all such Letters Patent
`to ASSIGNEE for its own name as assignee of the entire ‘right, title and interest therein;
`
`AND, I hereby further agree for myself and my executors and administrators to execute
`upon request any other lawful documents and likewise to perform any other lawful acts which
`may be deemed necessary to secure fully the aforesaid invention to said ASSIGNEE, its
`successors, assigns and legal representatives, but at its or their expense and charges, including
`the execution of applications for patents in foreign countries, and the execution of substitution,
`reissue, divisional or continuation applications and preliminary or other statements and the
`giving of testimony in any interference or other proceeding in which said invention or any
`application or patent directed thereto may be involved;
`
`_
`
`'
`
`PATENT
`’ REEL: o1o559 FRAME: 0931
`
`|DC_|TCCOMP_00000339
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1020-00003
`
`

`
`
`
` AND, I do hereby authorize and request the Commissioner of Patents of the United States
`to issue such Letters Patent as shall be granted upon said application or applications based
`thereon to said ASSIGNEE, its successors, assigns, and legal representatives.
`
`
`
`IN TESTIMONY WHEREOF, I have hereunto set my hand and affixed my seal the date
`set forth below.
`
`
`
`
`
`.
`Inventor's Signature:
`
`fla
`
`.\‘
`T homas E. Gorsuch
`
`State/Cmornnionwealth
`of
`i
`[Q lg}
`County of
`
`[ V;
`
`Then personally appeared before me the above-named Thomas E. Gorsuch and
`acknow edged that he/she executed the foregoing instrument as his/her free act and deed this
`
`Z-
`
`W
`
`dayof 3§Q,[l§[(}}31
`
`,+9ZO0O
`
`'
`KRISTEN KING
`“
`' " MY COMMISSION ICC 8119942
`_.
`EXPlRES: February 24. 2000
`3¢ndedThrU New Public undo:-Him
`O.‘
`
`1/..-'
`
`.
`
`'
`
`Notary Public
`
`(print name)
`
`
`
`,
`REcoRDEb: 01/24/2000
`
`
`
`PATENT
`’REEL: 010559 FRAME: 0932
`
`lDC_|TCCOMP_00000340
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1020-00004
`
`

`
`E"£"§3I§}
`
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`
`|DC_|TCCOMP_00000341
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1020-00005
`
`
`

`
`
`
`1-31 —92
`
`O2-O6-2002
`lllllllllllllllmlllllllll
`E
`101974464
`
`u.s. DEPARTMENT OF COMMERCE 7
`Patent and Trademark Office
`
`ER SHEET
`‘Ly
`
` .
`
`To the Honorable Commissioner of Patents and Trademarks: Please record the attached original documents or copy thereof.
`l1- Name Of C0|'W8VinQ Dam/liesli
`2. Name and address of receiving partyliesl:
`Name: Silicon Valle Bank
`Internal Address: Loan Documentation -H8‘l-56- Ht\\r35 '
`I‘
`"l
`
`
`‘law/\‘ll\‘J\.} (Cl'lWVtLlVll.f‘a;\.CA/L‘? ilm‘ v
`
`Additional name(s) of conveying par’ty(ies] attached’? [jYes
`3. Nature of conveyance:
`[:lAssignment
`[:IMerger
`/ ‘fig
`
`No
`
`
`
`Street Address: 3003 Tasman Dr:
`
`[flsecurity Agreement
`
`[:I Change of Name
`
`City: Santa Clara
`
`State: Ca
`
`ZIP: 95054
`
`B Other
`
`f_xecution Date: HWVMVM’ 910: 3 00 l
`'4. Application number(s) or patent number(s):
`
`Additional name(s) & address(es) attached? 1:] Yes ® No
`
`If this document is being filed together with a new application, the execution date of the application is:
`
`A. PatentApplication No.(s)
`
`
`B. Patent No.(s)
`
`l
`
`E
`
`l
`
`».
`
`l
`
`5333 qrjlwd cmlTn0Tiu~{mg
`
`f A
`
`dditional numbers attached’? K] Yes D No
`
`~=
`
`F‘
`
`-
`
`5. Name and address of party to whom correspondence
`iconcerning document should be mailed:
`
`6. Total number of applications and patents involved: 8 g
`
`Name: Silicon Valley Bank
`
`Internal Address: Loan Documentation HGTSU H P‘
`
`l "J5
`
`7. Total fee (37 CFR 3.41):
`X] Enclosed
`
`3,5 '10
`
`l Authorized to be charged to deposit account
`
`l
`
`.
`
`| E
`
`
`'Street Address: 3003 Tasman Dr.
`'
`.Citv: Santa Clara
`
`State: Ca
`
`8. Deposit account number:
`(Attach duplicate cogv of this page if paying by deposit account)
`ZlP: 95054
`DO NOT USE THlS SPACE
`
`oat/05/2002 6Ttltl1l
`otf rc=5a1
`
`00000014 5001535
`3520.00 09
`
`
`
`
`
`'9. Statement and signature.
`
`To the best ofmy /wow./edge and ballet.
`or the original doc..'ment.
`
`t.
`
`foregoing information is tn./e and correct and any attached m,o_v is a true copy
`
`.gQ,,,,,‘(, mun
`.l\l_:gr'm= 4jfQt1rr:.1n Riljninr:
`
`OMB No C-G5‘. -001: lexg 4.94»
`
`Total number 0
`
`atlyrn
`omprishg cover sheet:
`
`Ialialvl
`D.’-HF!
`
`,
`-
`
`M
`
`PATENT
`
`REEL: 012506 FRAME: 0808
`
`|DC_|TCCOMP_00000342
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1020-00006
`
`

`
`1-we
`ilssued Datei
`:
`06/27/00 {Dynamic Bandwidth Allocation To Transmit A Wireless Protocol Across A Code
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`|DC_|TCCOMP_00000343
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`ZTE Corporation and ZTE (USA) Inc.
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`COMPANY CONFIDENTIAL
`2
`
`PATENT
`REEL: 012506 FRAME: 0310
`
` issued-Filed 11-13-Oitxls
`
`|DC_|TCCOMP_00000344
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1020-00008
`
`

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`IDC_lTCCOMP_00000345
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1020-00009
`
`

`
`
`
`INTELLECTUAL PROPERTY SECURITY AGREEMENT
`
`This Intellectual Property Security Agreement is entered into as of November 30, 2001 by
`and between SILICON VALLEY BANK (“Bank”) and TANTIVY COMMUNICATIONS, INC.,
`a Delaware corporation (“Grantor”).
`
`RECITALS
`
`Bank has agreed to make certain advances of money and to extend certain
`A.
`financial accommodation to Grantor (the “Loans”) in the amounts and manner set forth in that
`certain Loan and Security Agreement by and between Bank and Grantor dated of even date
`herewith (as the same may be amended, modified or supplemented from time to time, the “Loan
`Agreement"; capitalized terms used herein are used as defined in the Loan Agreement). Bank is
`willing to make the Loans to Cvrantor, but only upon the condition, among others, that Grantor
`shall grant to Bank a security interest in certain Copyrights, Trademarks and Patents to secure the
`obligations of Grantor under the Loan Agreement.
`
`to the terms of the Loan Agreement, Grantor has granted to Bank a
`Pursuant
`B.
`security interest in all of Grantor's right, title and interest, whether presently existing or hereafter
`acquired, in, to and under all ofthe Collateral.
`
`NOW, THEREFORE, for good and valuable consideration, receipt of which is hereby
`acknowledged, and intending to be legally bound, as collateral security for the prompt and
`complete payment when due of its obligations under the Loan Agreement, Grantor hereby
`represents, warrants, covenants and agrees as follows:
`
`AGREEMENT
`
`To secure its obligations under the Loan Agreement, Grantor grants and pledges to Bank a
`security interest in all of Grantor's right, title and interest in, to and under its Intellectual Property
`Collateral (including without
`limitation those Copyrights, Patents and Trademarks listed on
`Schedules A, B and C hereto), and including without limitation all proceeds thereof (such as, by
`way of example but not by way of limitation. license royalties and proceeds of infringement
`suits), the right to sue for past, present and future infringements, all rights corresponding thereto
`throughout
`the world and all
`re-issues, divisions continuations,
`renewals, extensions and
`continuations—in-part thereof.
`
`This security interest is granted in conjunction with the security interest granted to Bank
`under the Loan Agreement. The rights and remedies of Bank with respect to the security interest
`granted hereby are in addition to those set forth in the Loan Agreement and the other Loan
`Documents. and those which are now or hereafter available to Bank as a matter of law or equity.
`Each right. power and remedy of Bank pro‘.-".ded for herein or 1.". the Loan Agreeme. t or any at
`the Loan Documents. or now or hereafter existing at law or in equity shall be cumulative and
`
`l0(i570__3.l)OC
`l
`I "29.-Oi
`
`PATENT
`
`REEL: 012506 FRAME: 0812
`
`|DC_|TCCOMP_00000346
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1020-00010
`
`

`
`
`
`concurrent and shall be in addition to every right, power or remedy provided for herein and the
`exercise by Bank of any one or more of the rights, powers or remedies provided for in this
`Intellectual Property Security Agreement,
`the Loan Agreement or any of the other Loan
`Documents, or now or hereafter existing at law or in equity, shall not preclude the simultaneous
`or later exercise by any person, including Bank, of any or all other rights, powers or remedies.
`
`the parties have cause this Intellectual Property Security
`IN WITNESS WHEREOF,
`Agreement to be duly executed by its officers thereunto duly authorized as of the first date
`written above.
`
`Address of Grantor:
`1450 S. Babcock Street
`
`GRANTOR:
`
`TANTIVY COMMUNICATIONS, INC.
`
`Melbourne, Florida 32901
`
`Attn: Lisa M. Kolb, Vice President Finance
`
`BANK:
`
`H5’ eta» Cc 4 CW0
`
`Address of Bank:
`
`515 N. Flagler Drive
`Suite 1200
`
`West Palm Beach, Florida 33401
`Attn: Jeffrey P. White
`
`SILICON VALLEY BANK
`
`By:
`
`Name:
`Title:
`
`SILICON VALLEY BANK
`
`By:
`
`Name:
`
`Title:
`
`[005 70_2.D(7C
`llI_‘_*):Dl
`
`PATENT
`
`REEL: 012506 FRAME: 0813
`
`|DC_|TCCOMP_00000347
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1020-00011
`
`

`
`
`
`concurrent and shall be in addition to every right, power or remedy provided for herein and the
`exercise by Bank of any one or more of the rights, powers or remedies provided for in this
`Intellectual Property Security Agreement,
`the Loan Agreement or any of the other Loan
`Documents, or now or hereafter existing at law or in equity, shall not preclude the simultaneous
`or later exercise by any person, including Bank, ofany or all other rights, powers or remedies.
`
`the parties have cause this Intellectual Property Security
`IN WITNESS WHEREOF,
`Agreement to be duly executed by its officers thereunto duly authorized as of the first date
`written above.
`
`Address of Grantor:
`1450 S. Babeoek Street
`
`Melboume, Florida 32901
`
`Attn: Lisa M. Kolb, Vice President Finance
`
`GRANTOR:
`
`TANTIVY COMMUNICATIONS, INC.
`
`By:
`
`Name:
`Title:
`
`BANK:
`
`Address 0fBank;
`
`SILICON VALLEY BANK
`
`515 N. Flagler Drive
`
`Suite 1200
`West Palm Beach, Florida 33401
`
`Attn: Jeffrey P. White
`
`By:
`
`Na e:
`
`T‘ le:
`
`_/6’;
`
`9
`
`3:. .
`
`/.7
`
`net 8
`
`}\_J%k\‘T~‘¢._
`'~L'>.I\0~l‘
`
`SILICON VALLEY BANK
`
`By:
`
`Name:
`Title:
`
`l0b5'.v‘()_2‘ not‘
`I l.".".)'Ol
`
`PATENT
`
`REEL: 012506 FRAME: 0814
`
`|DC_|TCCOMP_00000348
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1020-00012
`
`

`
`
`
`concurrent and shall be in addition to every right, power or remedy provided for herein and the
`exercise by Bank of any one or more of the rights, powers or remedies provided for in this
`Intellectual Property Security Agreement,
`the Loan Agreement or any of the other Loan
`Documents, or now or hereafter existing at law or in equity, shall not preclude the simultaneous
`or later exercise by any person, including Bank, of any or all other rights, powers or remedies.
`
`the parties have cause this Intellectual Property Security
`IN WITNESS WHEREOF,
`Agreement to be duly executed by its officers thereunto duly authorized as of the first date
`written above.
`
`Address of Grantor:
`1450 S. Babcock Street
`
`Melbourne, Florida 32901
`Attn: Lisa M. Kolb, Vice President Finance
`
`GRANTOR:
`
`TANTIVY COMMUNICATIONS, INC.
`
`Address of Bank;
`
`515 N. Flagler Drive
`
`Suite I200
`West Palm Beach, Florida 33401
`Attn: Jeffrey P. White
`
`By:
`
`Name:
`Title:
`
`BANK:
`
`SILICON VALLEY BANK
`
`By:
`
`-
`
`% E
`Name:
`‘fun I/e.-H»
`Title:
`Dwlxun h)v_i_
`
`SILICON VALLEY BANK
`
`By:
`
`Name:
`
`Title:
`
`SV BE l':m1i\ \
`l7_!lI7/(H
`
`L .miii1iinii..iim:1s (I l‘
`
`\u-.‘iIrii_\ Agreement)
`
`PATENT
`
`REEL: 012506 FRAME: 0815
`
`lDC_|TCCOMP_00000349
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1020-00013
`
`

`
`
`
`EXHIBIT A
`
`Copyrights
`
`Description
`
`Registration/
`Appiication
`Number
`
`Registration}
`Application
`Date
`
`\
`x
`N u
`
`K
`K . H” /I
`‘V (“J *1
`'
`
`r
`
`,7 3
`
`\i
`
`Ob$70_2.DD(‘
`lfZ\|i(ll
`
`PATENT
`REEL: 012506 FRAME: 0816
`
`|DC___|TCCOMP_0OOOO35O
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1020-00014
`
`

`
`
`
`EXHIBIT B
`
`Patents
`
`Descrigtion
`
`Registration/
`Application
`Number
`
`Registration!
`Application
`Date
`
`,
`
`-‘
`
`\\
`
`\ i‘-‘
`
`‘
`
`//
`
`H/’
`
`1bS70_2.DOL'
`.-019.01
`
`PATENT
`
`REEL: 012506 FRAME: 0817
`
`|DC_|TCCOMP_00000351
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1020-00015
`
`

`
` EXHIBIT C
`
`Trademarks
`
`—Q9¥5;9Q°Jl
`
`Registration/
`Application
`Number
`
`Registration]
`Application
`Date
`
`\F\/’{/
`if‘ i
`‘n
`
`,«\.'\4"}‘j“
`J‘ N ' V
`
`X"
`
`f
`['17 ,3‘
`‘?‘‘V
`
`it-.<7o_:.ooc
`«I970!
`
`RECORDED: 01/