UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`LUMENTUM HOLDINGS, INC., LUMENTUM, INC., AND LUMENTUM
`OPERATIONS, LLC
`Petitioner
`
`v.
`
`CAPELLA PHOTONICS, INC.
`Patent Owner
`
`
`
`Case No. IPR2015-00731
`
`Patent No. RE 42,368
`
`__________________
`
`
`
`PETITIONER’S UPDATED EXHIBIT LIST
`
`US.104719660.01
`
`
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`LUMENTUM HOLDINGS, INC., LUMENTUM, INC., AND LUMENTUM
`OPERATIONS, LLC
`Petitioner
`
`v.
`
`CAPELLA PHOTONICS, INC.
`Patent Owner
`
`
`
`Case No. IPR2015-00731
`
`Patent No. RE 42,368
`
`__________________
`
`
`
`PETITIONER’S UPDATED EXHIBIT LIST
`
`US.104719660.01
`
`
`
`Case No. IPR2015-00731
`Petitioner’s Updated Exhibit List
`
`
`
`Exhibit No.
`
`Description:
`
`Exhibit 1001
`
`U.S. Reissued Patent No. RE42,368 to Chen et al.
`(“’368 Patent”)
`
`Exhibit 1002
`
` File History of U.S. Patent No. RE42,368 to Chen
`et al. (“’368 File History”)
`
`Exhibit 1003
`
` U.S. Patent No. 6,498,872 to Bouevitch et al.
`(“Bouevitch”)
`
`Exhibit 1004
`
` U.S. Patent No. 6,625,340 to Sparks et al.
`(“Sparks Patent,” or “Sparks”)
`
`Exhibit 1005
`
` Excerpts from Born et al., Principles of Optics,
`(6th Ed., Pergammon Press 1984)
`
`Exhibit 1006
`
` U.S. Patent No. 6,798,992 to Bishop et al.
`(“Bishop”)
`
`Exhibit 1007
`
` U.S. Patent No. 6,507,421 to Bishop et al.
`(“Bishop ‘421”)
`
`Exhibit 1008
`
` Provisional Patent App. No. 60/277,217 (“‘368
`Provisional”)
`
`Exhibit 1009
`
` U.S. Patent No. 6,253,001 to Hoen (“Hoen”)
`
`Exhibit 1010
`
` U.S. Patent No. 5,661,591 to Lin at al. (“Lin”)
`
`Exhibit 1011
`
` Doerr et al., An Automatic 40-Wavelength
`Channelized Equalizer, IEEE Photonics
`Technology Letters, Vol., 12, No. 9, (Sept. 2000)
`
`
`US.104719660.01
`
`1
`
`
`
`Case No. IPR2015-00731
`Petitioner’s Updated Exhibit List
`
`
`Exhibit No.
`
`Description:
`
`Exhibit 1012
`
` U.S. Patent No. 5,936,752 to Bishop et al.
`(“Bishop ‘752”)
`
`Exhibit 1013
`
` Excerpt from New World English Dictionary
`(“servo” and “servomechanism”)
`
`Exhibit 1014
`
`Exhibit 1015
`
` Excerpt from Collins English Dictionary -
`Complete & Unabridged 10th Edition.
`HarperCollins Publishers ("feedback)
`
` Ford et al., Wavelength Add–Drop Switching
`Using Tilting Micromirrors, Journal of Lightwave
`Technology, Vol. 17, No. 5 (May 1999) (“Ford”)
`
`Exhibit 1016
`
` U.S. Patent No. 6,069,719 to Mizrahi (“Mizrahi”)
`
`Exhibit 1017
`
` U.S. Patent No. 6,204,946 to Aksyuk et al.
`(“Aksyuk”)
`
`Exhibit 1018
`
` U.S. Patent Application Publication No. US
`2002/0105692 to Lauder et al. (“Lauder”)
`
`Exhibit 1019
`
`Exhibit 1020
`
` Giles et al., Reconfigurable 16-Channel WDM
`DROP Module Using Silicon MEMS Optical
`Switches, IEEE Photonics Technology Letters,
`Vol. 11, No. 1, (Jan. 1999) (“Giles 16-Channel
`WDM DROP Module”)
`
` Andrew S. Dewa, and John W. Orcutt,
`Development of a silicon 2-axis micro-mirror for
`optical cross-connect, Technical Digest of the
`Solid State Sensor and Actuator Workshop, Hilton
`Head Island, SC, June 4-8, 2000) at pp. 93-96
`(“Dewa”)
`
`
`US.104719660.01
`
`2
`
`
`
`Case No. IPR2015-00731
`Petitioner’s Updated Exhibit List
`
`
`Exhibit No.
`
`Description:
`
`Exhibit 1021
`
` U.S. Patent No. 6,011,884 to Dueck et al.
`(“Dueck”)
`
`Exhibit 1022
`
` U.S. Patent No. 6,243 ,507 to Goldstein et al.
`(“Goldstein ‘507”)
`
`Exhibit 1023
`
` U.S. Patent No. 6,567,574 to Ma, et al. (“Ma”)
`
`Exhibit 1024
`
` U.S. Patent No. 6,256,430 to Jin, et al. (“Jin”)
`
`Exhibit 1025
`
` U.S. Patent No. 6,631,222 to Wagener et al.
`(“Wagener”)
`
`Exhibit 1026
`
` U.S. Patent No. 5,875,272 to Kewitsch et al.
`(“Kewitsch”)
`
`Exhibit 1027
`
` U.S. Patent No. 6,285,500 to Ranalli at al.
`(“Ranalli”)
`
`Exhibit 1028
`
` Declaration of Sheldon McLaughlin
`
`Exhibit 1029
`
` Declaration of Dr. Dan Marom filed in Inter Partes
`Review Case 2014-01166
`
`Exhibit 1030
`
` James A. Walker et al., Fabrication of a
`Mechanical Antireflection Switch for Fiber-to-the-
`Home Systems, 5 J. Microelectromechanical Sys.
`45, 46-47, Fig. 3 (1996) (“Walker”)
`
`Exhibit 1031
`
` U.S. Patent No. 5,414,540 to Patel et al. (“Patel”)
`
`Exhibit 1032
`
` Borella, et al., Optical Components for WDM
`Lightwave Networks, Proceedings of the IEEE,
`Vol. 85, NO. 8, August 1997 (“Borella”)
`
`
`US.104719660.01
`
`3
`
`
`
`Case No. IPR2015-00731
`Petitioner’s Updated Exhibit List
`
`
`Exhibit No.
`
`Description:
`
`Exhibit 1033
`
` U.S. Patent No. 6,928,244 to Goldstein et al.
`(“Goldstein ‘244”)
`
`Exhibit 1034
`
`Exhibit 1035
`
` Steffen Kurth et al., Silicon mirrors and
`Micromirror Arrays for Spatial Laser Beam
`Modulation, Sensors and Actuators, A 66, July
`1998
`
` C. Randy Giles and Magaly Spector, The
`Wavelength Add/Drop Multiplexer for Lightwave
`Communication Networks, Bell Labs Technical
`Journal, (Jan.-Mar. 1999) (“Giles and Spector”)
`
`Exhibit 1036
`
` U.S. Patent No. 5,872,880 to Maynard (the
`“Maynard patent”)
`
`Exhibit 1037
`
`Lumentum Holdings, Inc. Form 8-K, filed
`08/06/2015
`
`Exhibit 1038
`
`Declaration of Joel D. Sayres in Support of Motion
`for Pro Hac Vice Admission
`
`Exhibit: 1039
`
`Schedule 5.5(A) (Redacted)
`
`
`
`Dated: February 9, 2016
`
`
`
`Faegre Baker Daniels
`2200 Wells Fargo Center
`90 S. Seventh Street
`Minneapolis, MN 55402
`Tel: (612) 766-7000
`
`
`
`
`US.104719660.01
`
`Respectfully submitted,
`
`Faegre Baker Daniels LLP
`
`
` / Walter Linder /
`Walter C. Linder
`Reg. No. 31, 707
`Lead Counsel
`Telephone: 612-766-8801
`
`
`
`
`
`
`
`
`By:
`
`
`
`
`4
`
`
`
`Case No. IPR2015-00731
`Petitioner’s Updated Exhibit List
`
`
`
`
`
`
`US.104719660.01
`
`5
`
`
`
`Case No. IPR2015-00731
`Petitioner’s Updated Exhibit List
`
`
`CERTIFICATE OF SERVICE
`
`I hereby certify that I caused a true and correct copy of the foregoing
`
`Petitioner’s Updated Exhibit List and Exhibit 1039 to be served by email on the
`
`following:
`
`Jason D. Eisenberg, Reg. No. 43,447
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`1100 New York Avenue, N.W. Washington, D.C. 20005
`E-mail: jasone-PTAB@skgf.com
`
`Robert Greene Sterne, Reg. No. 28,912
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`1100 New York Avenue, N.W. Washington, D.C. 20005
`E-mail: rsterne-PTAB@skgf.com
`
`Jon E. Wright, Reg. No. 50,720
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`1100 New York Avenue, N.W. Washington, D.C. 20005
`E-mail: jwright-PTAB@skgf.com
`
`Nicholas J. Nowak
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`1100 New York Avenue, N.W. Washington, D.C. 20005
`E-mail: nnowak-PTAB@skgf.com
`
`FAEGRE BAKER DANIELS LLP
`
`
`
` / Walter Linder /
`Walter C. Linder
`Reg. No. 31, 707
`Lead Counsel
`Telephone: 612-766-8801
`
`
`
`
`
`
`
`
`By:
`
`
`
`
`6
`
`
`
`Dated: February 9, 2016
`
`Faegre Baker Daniels
`2200 Wells Fargo Center
`90 S. Seventh Street
`Minneapolis, MN 55402
`Tel: (612) 766-7000
`
`
`
`
`
`
`US.104719660.01
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