1
EXHIBIT 10.92
2
SPECTRAN CORPORATION
SPECTRAN COMMUNICATION FIBER TECHNOLOGIES, INC.
SPECTRAN SPECIALTY OPTICS COMPANY
APPLIED PHOTONIC DEVICES, INC.
TO
FLEET NATIONAL BANK, AS TRUSTEE
---------------------
PATENT COLLATERAL ASSIGNMENT
---------------------
DATED AS OF DECEMBER 1, 1996
3
PATENT COLLATERAL ASSIGNMENT
PATENT COLLATERAL ASSIGNMENT (as may be amended, restated or otherwise
modified from time to time, this "AGREEMENT"), dated as of December 1, 1996,
among each of SPECTRAN CORPORATION (together, with its successors and assigns,
the "COMPANY"), a Delaware corporation, SPECTRAN COMMUNICATION FIBER
TECHNOLOGIES, INC., a Delaware corporation, SPECTRAN SPECIALTY OPTICS COMPANY, a
Delaware corporation, and APPLIED PHOTONIC DEVICES, INC., a Delaware corporation
(all of the foregoing (other than the Company), together with their respective
successors and assigns, referred to herein, individually, as a "GUARANTOR," and,
collectively, as the "GUARANTORS;" the Company and the Guarantors being
collectively referred to herein as the "OBLIGORS"), and FLEET NATIONAL BANK, a
national banking association, as security trustee under a certain Trust
Indenture (as may be amended, restated or otherwise modified from time to time,
the "TRUST INDENTURE"), dated as of the date hereof, among the Obligors, Fleet
National Bank (in its capacity as such security trustee, and together with any
successor or co-security trustee that becomes such in accordance with the
provisions of the Trust Indenture, the "TRUSTEE") and the other parties
signatory thereto.
1. PRELIMINARY STATEMENTS
1.1 The Liens granted herein to the Trustee by each of the Obligors are
for the ratable benefit of the Beneficiaries, as provided in the Trust
Indenture.
1.2 The Trustee is to act as trustee on behalf of the Beneficiaries in
accordance with the terms of the Trust Indenture and the other Security
Documents.
1.3 All acts and proceedings required by law and by the certificate or
articles of incorporation and bylaws of each of the Obligors necessary to
constitute this Agreement a valid and binding agreement for the uses and
purposes set forth herein, in accordance with its terms, have been done and
taken, and the execution and delivery hereof has been in all respects duly
authorized.
2. INTERPRETATION OF THIS AGREEMENT
2.1 TERMS DEFINED.
As used in this Agreement, the following terms have the respective
meanings set forth below or provided for in the section or other part of this
Agreement referred to immediately following such term (such definitions to be
equally applicable to both the singular and plural forms of the terms defined)
or, if not defined herein, then as defined in the Trust Indenture.
AGREEMENT, THIS -- introductory sentence.
BANK AGREEMENT -- has the meaning specified in the Trust Indenture.
BANK LENDER -- has the meaning specified in the Trust Indenture.
BENEFICIARY -- has the meaning specified in the Trust Indenture
SPECTRAN CORPORATION 1 PATENT COLLATERAL ASSIGNMENT
4
2. INTERPRETATION OF THIS AGREEMENT
CODE -- means the Uniform Commercial Code as in effect from time to time
in any specified or applicable jurisdiction.
COLLATERAL -- Section 3.
COMPANY -- the introductory sentence.
EVENT OF DEFAULT -- has the meaning specified in the Trust Indenture.
GUARANTORS -- introductory sentence.
LENDING DOCUMENTS -- has the meaning specified in the Trust Indenture.
LIEN -- has the meaning specified in the Security Agreement.
OBLIGORS -- introductory sentence.
PATENTS -- means and includes:
(a) all foreign and United States (including, without limitation,
each individual state thereof) patents, letters patent and patent
applications and registrations and general intangibles of like nature, and
all improvements to each of the foregoing, including, without limitation,
those listed on Schedule A and those further provided for in Section 4.3,
and any and all rights pertaining to any of the foregoing;
(b) all proceeds of the foregoing (including, without limitation,
license royalties and proceeds of infringement suits); all general
intangibles associated with any of the foregoing, including, without
limitation, all goodwill associated with the foregoing and with the
business of the Obligor to which the foregoing relates;
(c) the right to xxx for past, present and future infringements, all
rights corresponding thereto; and
(d) all reissues, divisions, continuations, renewals, extensions and
continuations-in-part thereof.
PERSON -- means an individual, a partnership, a corporation, a trust, a
limited liability company, an unincorporated organization, or a government or
agency or political subdivision thereof.
SECURED OBLIGATIONS -- has the meaning specified in the Trust Indenture.
SECURITY AGREEMENT -- means that certain Security Agreement, dated as of
the date hereof, among each of the Obligors and the Trustee, together with any
acknowledgements and agreements delivered in connection therewith, as the same
may be amended, restated, modified or supplemented from time to time.
SPECTRAN CORPORATION 2 PATENT COLLATERAL ASSIGNMENT
5
2. INTERPRETATION OF THIS AGREEMENT
SECURITY DOCUMENTS -- has the meaning specified in the Trust Indenture.
SUBSIDIARY -- has the meaning specified in the Trust Indenture.
TRUST INDENTURE -- introductory sentence.
TRUSTEE -- introductory sentence.
2.2 HEADINGS; INDEPENDENT CONSTRUCTION.
(a) SECTION HEADINGS ETC. The titles of the Sections of this
Agreement appear as a matter of convenience only, do not constitute a part
hereof and shall not affect the construction hereof. The words "herein,"
"hereof," "hereunder" and "hereto" refer to this Indenture as a whole and
not to any particular Section or other subdivision. References to Sections
are, unless otherwise specified, references to Sections of this Agreement.
References to Annexes, Schedules, Exhibits and Attachments are, unless
otherwise specified, references to Annexes, Schedules, Exhibits and
Attachments attached to this Agreement.
(b) CONSTRUCTION. Each covenant contained herein shall be construed
(absent an express contrary provision herein) as being independent of each
other covenant contained herein, and compliance with any one covenant
shall not (absent such an express contrary provision) be deemed to excuse
compliance with one or more other covenants.
2.3 SEPARATE AGREEMENTS.
Notwithstanding that this Agreement is among each of the Obligors and the
Trustee, this Agreement shall be construed and interpreted as a separate
Agreement between each Obligor, respectively, and the Trustee, and any whole or
partial invalidity of this Agreement in respect of any Obligor shall not have
any effect on the validity or enforceability of this Agreement as among each
other Obligor, respectively, as the case may be, and the Trustee.
2.4 PARTIAL INVALIDITY.
The unenforceability or invalidity of any provision or provisions of this
Agreement shall not render any other provision or provisions contained in this
Agreement unenforceable or invalid.
2.5 GOVERNING LAW.
THIS AGREEMENT SHALL BE CONSTRUED IN ACCORDANCE WITH AND GOVERNED BY THE
INTERNAL LAWS OF THE COMMONWEALTH OF MASSACHUSETTS, EXCEPT TO THE EXTENT THAT
THE PERFECTION OF THE LIENS IN AND TO THE COLLATERAL ARE GOVERNED BY THE LAWS OF
ANY JURISDICTION OTHER THAN THE COMMONWEALTH OF MASSACHUSETTS.
SPECTRAN CORPORATION 3 PATENT COLLATERAL ASSIGNMENT
6
3. GRANT OF SECURITY INTEREST
3. GRANT OF SECURITY INTEREST
As security for the payment by each Obligor of the Secured Obligations and
the performance by such Obligor of its other obligations and undertakings under
this Agreement and under the other Lending Documents, each Obligor does hereby
grant, bargain, convey, assign, transfer, mortgage, hypothecate, pledge, confirm
and grant a continuing security interest to the Trustee in and to all Patents in
which such Obligor has any right title or interest, in each case, whether
presently existing or hereafter acquired (all such Property collectively
referred to as "COLLATERAL").
4. REPRESENTATIONS, WARRANTIES AND COVENANTS CONCERNING PATENTS
4.1 PATENTS, ETC.
Each Obligor represents, warrants and covenants that:
(a) Schedule A completely and accurately lists all Patents in which
such Obligor has any right, title or interest as of the date of its
execution and delivery of this Agreement and describes the nature of the
interest and all sub-licenses and other interests granted by such Obligor
in such Patent;
(b) the Patents are subsisting and have not been adjudged invalid or
unenforceable, in whole or in part;
(c) each of the Patents (and the Obligors license therein, as the
case may be) is valid and enforceable;
(d) such Obligor has the unqualified right to enter into this
Agreement and perform its terms and has entered and will enter into
written agreements with each of its present and future employees, agents
and consultants that will enable it to comply with the covenants herein
contained.
4.2 NO INCONSISTENT AGREEMENTS.
Until all of the Secured Obligations shall have been satisfied in full and
no Bank Lender is obligated to make a further advance under the Bank Agreement,
no Obligor will, without the Trustee's prior written consent, enter into any
agreement (including, without limitation, a license agreement) that is
inconsistent with such Obligor's obligations under this Agreement.
4.3 AFTER-ACQUIRED PATENTS SUBJECT TO THIS AGREEMENT.
(a) If while any Secured Obligation is outstanding or any Bank
Lender is obligated to make an advance under the Bank Agreement, any
Obligor shall obtain rights to any new patentable inventions, or become
entitled to the benefit of any patent, letter patent or patent application
or registration for any reissue, division, continuation, renewal,
extension, or continuation-in-part of any Patent or any improvement on any
Patent, the
SPECTRAN CORPORATION 4 PATENT COLLATERAL ASSIGNMENT
7
4. REPRESENTATIONS, WARRANTIES AND COVENANTS CONCERNING PATENTS
same shall automatically be deemed subject to this Agreement and included
within the term "Patent," and such Obligor shall give to the Trustee
prompt notice thereof in writing.
(b) Each Obligor grants the Trustee a power-of-attorney, irrevocable
so long as any Secured Obligations remain outstanding or any Bank Lender
is obligated to make any advance under the Bank Agreement, to modify this
Agreement from time to time by amending Schedule A (without requirement of
any consent or further action on the part of any Obligor) to include any
future Patents to which any Obligor shall have any right, title or
interest.
4.4 LICENSE.
Unless and until there shall have occurred and be continuing an Event of
Default, the Trustee hereby grants to each Obligor the exclusive,
nontransferable right and license to make, have made, use and sell the
inventions disclosed and claimed in the Patents for such Obligor's own benefit
and account and for no other. Each Obligor agrees that it will not, without the
prior written consent of the Majority Beneficiaries, sell or assign its interest
in, or grant any sublicense under, the license granted to such Obligor in this
Section.
4.5 PATENT APPLICATIONS; ENFORCEMENT RIGHTS.
Each Obligor shall have the duty to prosecute diligently any patent
application of the Patents, pending as of the date of this Agreement or
thereafter until the Secured Obligations shall have been paid in full and no
Bank Lender is obligated to make a further advance under the Bank Agreement, to
make application on unpatented but patentable inventions and to preserve and
maintain all rights in patent applications and patents of the Patents. Any
expenses incurred in connection with such an application shall be borne by such
Obligor. No Obligor shall abandon any right to file a patent application, or any
pending patent application or patent without the consent of the Trustee. Each
Obligor shall further enter into such agreements with its employees, and take
such other reasonable measures, as are necessary to insure that such Obligor
shall have and enjoy all rights to apply for, register and use, subject to
Section 4.3, patents with respect to patentable inventions invented by such
employees in the ordinary course of their employment; provided, that the
Obligors may fairly compensate such employees for having invented such
inventions.
4.6 FURTHER ASSURANCES.
So long as any of the Secured Obligations shall be outstanding or any Bank
Lender is obligated to make an advance under the Bank Agreement, each Obligor,
at its own expense, will timely execute, acknowledge, deliver, file and record,
or will cause to be executed, acknowledged, delivered, filed or recorded, all
such further instruments, agreements, assignments and assurances as may be
necessary or appropriate (and, in any event, as may be reasonably requested by
the Trustee):
(a) to preserve and continue in force each of the patent
applications, letters patent and patents contained in the Patents and to
pay any and all fees and expenses
SPECTRAN CORPORATION 6 PATENT COLLATERAL ASSIGNMENT
8
4. REPRESENTATIONS, WARRANTIES AND COVENANTS CONCERNING PATENTS
in connection therewith (including, without limitation, payment of such
maintenance fees, if any, as may be imposed by the United States Patent
and Trademark Office); and
(b) to subject to this Agreement, and to preserve, continue and
protect the Lien of this Agreement on, and the rights of the Trustee in
and to, the Patents, including, without limitation, any Patents acquired
after the date of this Agreement (as set forth in Section 4.3), except
in the case of a Patent that, in the reasonable judgment of the Company
and subject to the prior written consent of the Trustee, has either lost
its strategic value, or the cost of maintenance of which outweighs its
benefit to the Company.
4.7 CERTAIN ACTIONS PERMITTED.
Notwithstanding Section 4.3 and Section of this Agreement, each Obligor
may
(a) license to any other Obligor, and license, in the ordinary
course of its business, solely to purchasers of its fiber optic cable and
other fiber optic products or to a third party in connection with an
agreement for the distribution or sale of such Obligor's products (which
distribution agreement may be on an exclusive basis in a given territory)
or with an agreement to develop a product that when developed and sold in
the ordinary course of business will result in revenue to such Obligor,
the nonexclusive right to use such products, and
(b) grant technology licenses or sublicenses to the extent permitted
by the other Lending Documents.
5. DEFAULTS -- REMEDIES
5.1 DEFAULT REMEDIES.
(a) All of the Trustee's rights and remedies with respect to the
Patents, whether established hereby or by the Security Agreement, or by
any other agreement or by law, shall be cumulative and may be exercised
singularly or concurrently. Without limiting the foregoing, this Agreement
is executed in furtherance of, and supplementary to, the provisions of the
Security Agreement, the terms and conditions of which are incorporated
hereby as if set forth in full herein. In the event any provision of the
Security Agreement conflicts with any provision of this Agreement, the
provisions of the Security Agreement shall prevail and this Agreement
shall be deemed to have been modified to the extent necessary to conform
to the provisions of the Security Agreement.
(b) If an Event of Default exists, the Trustee may exercise all of
the rights and remedies of a secured party under the Code and all of the
rights and remedies conferred in this Agreement, in the Security Agreement
or in any other Lending Document, it being expressly understood that no
such remedy is intended to be exclusive of any other remedy or remedies,
but each and every remedy shall be cumulative and shall be in addition to
every other remedy given in this Agreement, in the Security Agreement or
in
SPECTRAN CORPORATION 6 PATENT COLLATERAL ASSIGNMENT
9
5. DEFAULTS -- REMEDIES
any other Lending Document or now or hereafter existing at law or in
equity or by statute, and may be exercised from time to time as often as
may be deemed expedient by the Trustee. Without limiting the generality of
the foregoing, if an Event of Default exists and is continuing, the
Trustee may immediately terminate the license granted to any Obligor
pursuant to Section 4.4 to use the Patents, and, without demand of
performance and without other notice (except as set forth in clause (c)
below), or demand whatsoever to such Obligor, all of which are hereby
expressly waived, and without advertisement, sell at public or private
sale or otherwise realize upon, in the Commonwealth of Massachusetts or
elsewhere, the whole or from time to time any part of the Patents, or any
interest that any or all of the Obligors may have therein.
(c) Each Obligor and the Trustee agree that ten (10) days' notice to
the Obligors of any public or private sale or other disposition of the
Patents shall be reasonable notice thereof, and such sale shall be at such
reasonable locations as the Trustee shall designate in such notice. Any
other requirement of notice, demand or advertisement for sale is, to the
extent permitted by law, waived by each Obligor. The Trustee shall have
the right to bid at any such sale on behalf of any one or more of the
Beneficiaries (who shall also have the right to bid individually).
Proceeds arising from any such sale shall be applied in the manner set
forth in the Trust Indenture.
(d) If any Event of Default exists, the Trustee shall have the
right, but shall in no way be obligated to, bring suit in its own name to
enforce the Patents and any license thereunder, in which event each
Obligor shall at the request of the Trustee do any and all lawful acts and
execute any and all proper documents reasonably required by the Trustee in
aid of such enforcement, and each Obligor shall promptly, upon demand,
reimburse and indemnify the Trustee for all reasonable costs and expenses
incurred by the Trustee in the exercise of its rights under this Section
5.1(d).
(e) The Obligors jointly and severally will pay to the Trustee all
reasonable expenses (including court costs and attorneys' fees and
expenses) of, or incident to, the enforcement of any of the provisions of
this Agreement and all other charges due against the Patents including,
without limitation, taxes, assessments, security interests, Liens or
encumbrances upon the Patents and any expenses, including transfer or
other taxes, arising in connection with any sale, transfer or other
disposition of the Patents.
5.2 OTHER ENFORCEMENT RIGHTS.
The Trustee may proceed to protect and enforce this Agreement by suit or
suits or proceedings in equity, at law or in bankruptcy, and whether for the
specific performance of any covenant or agreement in this Agreement contained or
in execution or aid of any power in this Agreement granted, or for foreclosure
under this Agreement, or for the appointment of a receiver or receivers for the
Patents or any part thereof, for the recovery of judgment for the obligations
secured by this Agreement or for the enforcement of any other proper, legal or
equitable remedy available under applicable law.
SPECTRAN CORPORATION 7 PATENT COLLATERAL ASSIGNMENT
10
5. DEFAULTS -- REMEDIES
5.3 APPLICATION OF PROCEEDS.
The proceeds of any exercise of rights with respect to the Patents, or any
part thereof, and the proceeds and the avails of any remedy under this Agreement
shall be paid to and applied in accordance with the provisions of the Trust
Indenture. If there is a deficiency, the Obligors jointly and severally shall,
subject always to the other provisions of this Agreement, remain liable therefor
and shall forthwith pay the amount of any such deficiency to the Trustee.
6. MISCELLANEOUS
6.1 COMMUNICATIONS.
All communications under this Agreement shall be in writing and shall be
made to the Persons and addresses, and in the manner, provided in the Trust
Indenture.
6.2 WAIVER AND AMENDMENT.
No provision of this Agreement will be waived, amended, modified or
supplemented except by a written instrument executed by the Obligors and the
Trustee in accordance with the Trust Indenture.
6.3 SURVIVAL.
All warranties, representations, certifications and covenants made by the
Obligors in this Agreement and in the other Lending Documents or in any
certificate or other document or instrument delivered by it or on behalf of it
under this Agreement or any other Lending Document shall be considered to have
been relied upon by the Trustee and each holder of the Secured Obligations and
shall survive the delivery to each holder of Secured Obligations of any
instrument or other document evidencing the same regardless of any investigation
made by the Trustee, any of the Beneficiaries or on their behalf. All statements
in any such certificate or other instrument shall constitute warranties and
representations by the Obligors under this Agreement. This Agreement shall be
binding upon the Obligors and inure to the benefit of and be enforceable by the
Trustee and the Beneficiaries.
6.4 SUCCESSORS AND ASSIGNS.
Whenever any of the parties to this Agreement is referred to, such
reference shall be deemed to include the successors and assigns of such party,
and all the covenants, promises and agreements in this Agreement contained by or
on behalf of any of the Obligors, or by or on behalf of the Trustee, shall bind
and inure to the benefit of the respective successors and assigns of such
parties whether so expressed or not.
SPECTRAN CORPORATION 8 PATENT COLLATERAL ASSIGNMENT
11
6. MISCELLANEOUS
6.5 ADDITIONAL PARTIES.
Any Person which becomes a Subsidiary after the Closing Date and which is
required, pursuant to the Trust Indenture or any other Lending Document, to
become a party to this Agreement shall execute and deliver a duplicate original
of this Agreement and, upon acceptance thereof by the Trustee, such Subsidiary
shall become an "Obligor" under this Agreement for all purposes and shall be
deemed to have made the covenants and agreements of each Obligor set forth
herein as of the date of the execution and delivery of such acknowledgment and
agreement (including, without limitation, the grant of the security interest
contained in Section 3) and shall comply with all other obligations to be
performed by an Obligor party hereto.
6.6 SUBJECT TO TRUST INDENTURE.
Any and all rights granted to the Trustee under this Agreement are to be
held and exercised by the Trustee as trustee for the benefit of the
Beneficiaries, pursuant to the provisions of the Trust Indenture. To the extent
set forth in the Lending Documents and any other document or instrument creating
or evidencing any Secured Obligation, each of the Beneficiaries shall be a
beneficiary of the terms of this Agreement. Any and all obligations under this
Agreement of the parties to this Agreement, and the rights and indemnities
granted to the Trustee under this Agreement, are created and granted subject to,
and in furtherance (and not in limitation) of, the terms of the Trust Indenture.
Nothing in this Agreement expressed or implied is intended or shall be construed
to give to any Person other than the Obligors, the Beneficiaries and the Trustee
any legal or equitable right, remedy or claim under or in respect of this
Agreement or any covenant, condition or provision herein contained, and all such
covenants, conditions and provisions are and shall be held to be for the sole
and exclusive benefit of the Obligors, the Beneficiaries and the Trustee.
6.7 TERM OF AGREEMENT.
This Agreement shall be and remain in full force and effect until
terminated in accordance with the Trust Indenture; provided, that all
indemnities of the Obligors contained in this Agreement shall survive, and
remain operative and in full force and effect regardless of, the termination of
this Agreement.
6.8 ENTIRE AGREEMENT.
This Agreement constitutes the final written expression of all of the
terms hereof and is a complete and exclusive statement of those terms.
6.9 EXECUTION IN COUNTERPART.
This Agreement may be executed in one or more counterparts and shall be
effective when at least one counterpart shall have been executed by each party
to this Agreement, and each
SPECTRAN CORPORATION 9 PATENT COLLATERAL ASSIGNMENT
12
6. MISCELLANEOUS
set of counterparts which, collectively, show execution by each party to this
Agreement shall constitute one duplicate original.
[Remainder of page blank. Next page is signature page.]
SPECTRAN CORPORATION 10 PATENT COLLATERAL ASSIGNMENT
13
IN WITNESS WHEREOF, each Obligor has caused this Agreement to be executed
by an authorized officer, and Fleet National Bank, as Trustee, has caused this
Agreement to be executed by an authorized officer, all as of the day and year
first above written.
Signed, sealed and delivered SPECTRAN CORPORATION
in the presence of:
/s/ Xxxxx X. Hand By /s/ Xxxxx X. Xxxxxx
----------------------------- -----------------------------
Name: Xxxxx X. Hand Name: Xxxxx X. Xxxxxx
Title: Secretary
/s/ Xxxxx X. Xxxxx
-----------------------------
Name: Xxxxx X. Xxxxx
SPECTRAN COMMUNICATION FIBER
TECHNOLOGIES, INC.
/s/ Xxxxx X. Hand By /s/ Xxxxx X. Xxxxxx
----------------------------- -----------------------------
Name: Xxxxx X. Hand Name: Xxxxx X. Xxxxxx
Title: Secretary
/s/ Xxxxx X. Xxxxx
-----------------------------
Name: Xxxxx X. Xxxxx
SPECTRAN SPECIALTY OPTICS COMPANY
/s/ Xxxxx X. Hand By /s/ Xxxxx X. Xxxxxx
----------------------------- -----------------------------
Name: Xxxxx X. Hand Name: Xxxxx X. Xxxxxx
Title: Secretary
/s/ Xxxxx X. Xxxxx
-----------------------------
Name: Xxxxx X. Xxxxx
APPLIED PHOTONIC DEVICES, INC.
/s/ Xxxxx X. Hand By /s/ Xxxxx X. Xxxxxx
----------------------------- -----------------------------
Name: Xxxxx X. Hand Name: Xxxxx X. Xxxxxx
Title: Secretary
/s/ Xxxxx X. Xxxxx
-----------------------------
Name: Xxxxx X. Xxxxx
SPECTRAN CORPORATION PATENT COLLATERAL ASSIGNMENT
14
STATE OF CONNECTICUT )
) SS.
COUNTY OF HARTFORD )
On December 26, before me, the undersigned, a notary public in and for
said County and State, duly commissioned and sworn, personally appeared Xxxxx X.
Xxxxxx, personally known to me or proved to me to be on the basis of
satisfactory evidence to be the person who executed the within instrument as the
Secretary of SPECTRAN SPECIALTY OPTICS COMPANY, a Delaware corporation, and
acknowledged that such corporation executed the same.
IN WITNESS WHEREOF, I have hereunto set my hand and affixed my official
seal the day and year in this certificate first above written.
/s/Xxxx Xxxxxxxx
------------------------------------
Notary Public in and for the
County of Hartford,
State of Connecticut
My Commission Expires: Nov. 30, 2000
[SEAL]
STATE OF CONNECTICUT )
) SS.
COUNTY OF HARTFORD )
On December 26, before me, the undersigned, a notary public in and for
said County and State, duly commissioned and sworn, personally appeared Xxxxx X.
Xxxxxx, personally known to me or proved to me to be on the basis of
satisfactory evidence to be the person who executed the within instrument as the
Secretary of APPLIED PHOTONIC DEVICES, INC., a Delaware corporation, and
acknowledged that such corporation executed the same.
IN WITNESS WHEREOF, I have hereunto set my hand and affixed my official
seal the day and year in this certificate first above written.
/s/Xxxx Xxxxxxxx
-------------------------------------
Notary Public in and for the
County of Hartford,
State of Connecticut
My Commission Expires: Nov. 30, 2000
[SEAL]
SPECTRAN CORPORATION PATENT COLLATERAL ASSIGNMENT
15
STATE OF HARTFORD )
) SS.
COUNTY OF HARTFORD )
On December 26, before me, the undersigned, a notary public in and for
said County and State, duly commissioned and sworn, personally appeared Xxxxx X.
Xxxxxx, personally known to me or proved to me to be on the basis of
satisfactory evidence to be the person who executed the within instrument as the
Secretary of SPECTRAN CORPORATION, a Delaware corporation, and acknowledged that
such corporation executed the same.
IN WITNESS WHEREOF, I have hereunto set my hand and affixed my official
seal the day and year in this certificate first above written.
/s/Xxxx Xxxxxxxx
--------------------------------------
Notary Public in and for the
County of Hartford,
State of Connecticut
My Commission Expires: Nov. 30, 2000
[SEAL]
STATE OF CONNECTICUT )
) SS.
COUNTY OF HARTFORD )
On December 26, before me, the undersigned, a notary public in and for
said County and State, duly commissioned and sworn, personally appeared Xxxxx X.
Xxxxxx, personally known to me or proved to me to be on the basis of
satisfactory evidence to be the person who executed the within instrument as the
Secretary of SPECTRAN COMMUNICATION FIBER TECHNOLOGIES, INC., a Delaware
corporation, and acknowledged that such corporation executed the same.
IN WITNESS WHEREOF, I have hereunto set my hand and affixed my official
seal the day and year in this certificate first above written.
/s/Xxxx Xxxxxxxx
--------------------------------------
Notary Public in and for the
County of Hartford,
State of Connecticut
My Commission Expires: Nov. 30, 2000
[SEAL]
SPECTRAN CORPORATION PATENT COLLATERAL ASSIGNMENT
16
FLEET NATIONAL BANK, as Trustee
/s/ Xxxxx X. Xxxxx By /s/ Xxxxxxx Xxxxxx
----------------------------- ---------------------------------
Name: Xxxxx X. Xxxxx Name: Xxxxxxx Xxxxxx
Title: Corporate Trust Officer
/s/ Xxxxx Xxxxxx
-----------------------------
Name: Xxxxx Xxxxxx
17
STATE OF CONNECTICUT )
) SS.
COUNTY OF HARTFORD )
On December 23, before me, the undersigned, a notary public in and for
said County and State, duly commissioned and sworn, personally appeared
Xxxxxxx X. Xxxxxx, personally known to me or proved to me to be on
the basis of satisfactory evidence to be the person who executed the within
instrument as the Corporate Trust Officer of FLEET NATIONAL BANK, a national
banking association, and acknowledged that such national banking association
executed the same as security trustee thereunder.
IN WITNESS WHEREOF, I have hereunto set my hand and affixed my official
seal the day and year in this certificate first above written.
/s/Xxxx Xxxxxxxx
--------------------------------------
Notary Public in and for the
County of Hartford,
State of Connecticut
My Commission Expires:
[SEAL]
[SEAL]
SPECTRAN CORPORATION PATENT COLLATERAL ASSIGNMENT
18
Schedule A to Patent Collateral Assignment
PATENTS, LETTERS PATENT AND PATENT APPLICATIONS AND REGISTRATIONS
See attached list.
19
PATENT REPORT
-------------------------------------------------------------------------------
FIBER OPTIC MAGNETIC FIELD SENSOR UNITED KINGDOM
Owner: SPECTRAN CORPORATION
Inventors - XXXXXX, XXXXXXX X.; XXXXXX, XXXX
Xxx No.: 2186072 JANUARY 31, 1986 Expires: JANUARY 31, 2006 PATENTED
App No.: 8602464.3 JANUARY 31, 1986
Ref: 003585-0002-002
-------------------------------------------------------------------------------
FIBER OPTIC MAGNETIC FIELD SENSOR FRANCE
Owner: SPECTRAN CORPORATION
Inventors - XXXXXX, XXXXXXX X.; XXXXXX, XXXX
Xxx No.: 8601457 FEBRUARY 03, 1986 Expires: FEBRUARY 03, 2006 PATENTED
App No.: 8601457 FEBRUARY 03, 1986
Ref: 003585-0002-004
-------------------------------------------------------------------------------
FIBER OPTIC MAGNETIC FIELD SENSOR SWEDEN
Owner: SPECTRAN CORPORATION
Inventors - XXXXXX, XXXXXXX X.; XXXXXX, XXXX
Xxx No.: 8600433-0 JANUARY 31, 1986 Expires: JANUARY 31, 2006 PATENTED
App No.: 8600433-0 JANUARY 31, 1986
Ref: 003585-0002-016
XXXXXX, Xxxxxxx X. XXXXXX, Mohd
-------------------------------------------------------------------------------
FIBER OPTIC MAGNETIC FIELD SENSOR UNITED STATES
Inventors - XXXXXX, XXXXXXX X.; XXXXXX, XXXX
Xxx No.: 4,550,281 MARCH 17, 1987 PATENTED
App No.: 08/624,355 JUNE 25, 1984
Ref: 003585-0002-999
-------------------------------------------------------------------------------
-1-
20
PATENT REPORT
--------------------------------------------------------------------------------
HIGH TENSILE STRENGTH OPTICAL FIBER UNITED STATES
Inventors - XXXXXX, XXXXXX X.; XXXXXX, XXXX
Xxx No: 4,660,928 APRIL 28, 1987 PATENTED
App No: 05/653,113 SEPTEMBER 21, 1984
Ref: 003585-0004-999
--------------------------------------------------------------------------------
FIBER OPTIC PRESSURE SENSOR UNITED KINGDOM
Owner: SPECTRAN CORPORATION
Inventors - XXXXXX, XXXXXXX X.; XXXXXX, XXXX
Xxx No: 2188073 JANUARY 31, 1986 Expires: JANUARY 31, 2006 PATENTED
App No: 8602465.0 JANUARY 31, 1986
Ref: 003585-0005-002
--------------------------------------------------------------------------------
FIBER OPTIC PRESSURE SENSOR FRANCE
Owner: SPECTRAN CORPORATION
Inventors - XXXXXX, XXXXXXX X.; XXXXXX, XXXX
Xxx No: 8601458 FEBRUARY 31, 1986 Expires: FEBRUARY 03, 2006 PATENTED
App No: 8601458 FEBRUARY 31, 1986
Ref: 003585-0005-004
--------------------------------------------------------------------------------
FIBER OPTIC PRESSURE SENSOR SWEDEN
Owner: SPECTRAN CORPORATION
Inventors - XXXXXX, XXXXXXX X.; XXXXXX, XXXX
Xxx No: 8600434-8 FEBRUARY 31, 1986 Expires: JANUARY 31, 2006 PATENTED
App No: 8600434-8 FEBRUARY 31, 1986
Ref: 003585-0005-016
XXXXXX Xxxxxxx X. XXXXXX, Mohd
--------------------------------------------------------------------------------
-2-
21
PATENT REPORT
-------------------------------------------------------------------------------
FIBER OPTIC PRESSURE SENSOR UNITED STATES
Inventors - XXXXXX XXXXXXX E.; XXXXXX, XXXX
Xxx No: 4,701,614 OCTOBER 20, 1987 PATENTED
App No: 05/624.259 JUNE 25, 1984
Ref: 003585-0005-999
-------------------------------------------------------------------------------
HERMETIC COATINGS FOR OPTICAL FIBERS CANADA
Owner: SPECTRAN CORPORATION
Inventors - RAYCHAUDMURI, XXXXXXXXXX; XXXXXXX, XXXXX X.
Xxx No: 1,295,892 FEBRUARY 18, 1992 Expires: FEBRUARY 18, 2009 PATENTED
App No: 532.631 MARCH 20, 1987
Ref: 003585-0020-001
-------------------------------------------------------------------------------
HERMETIC COATINGS FOR OPTICAL FIBERS UNITED KINGDOM
Owner: SPECTRAN CORPORATION
Inventors - XXXXXXXXXXXX, XXXXXXXXXX; XXXXXXX, XXXXX X.
Xxx No: G80301030 MARCH 31, 1987 Expires: MARCH 31, 2007 PATENTED
App No: 57903021.1 MARCH 31, 1987
Basic App: PCT/US87/00733 MARCH 31, 1986 Ref: 003585-0020-002
-------------------------------------------------------------------------------
HERMETIC COATINGS FOR OPTICAL FIBERS GERMANY
Owner: SPECTRAN CORPORATION
Inventors - XXXXXXXXXXXX, XXXXXXXXXX; XXXXXXX, XXXXX X.
Xxx No: DE0301030 MARCH 31, 1987 Expires: MARCH 31, 2007 PATENTED
App No: 87903021.1 MARCH 31, 1987
Basic App: PCT/US87/00733 MARCH 31, 1986 Ref: 003585-0020-003
-------------------------------------------------------------------------------
HERMETIC COATINGS FOR OPTICAL FIBERS FRANCE
Owner: SPECTRAN CORPORATION
Inventors - XXXXXXXXXXXX, XXXXXXXXXX; XXXXXXX, XXXXX X.
Xxx No: FR0301030 MARCH 31, 1987 Expires: MARCH 31, 2007 PATENTED
App No: 87903021.1 MARCH 31, 1987
Basic App: PCT/US87/00733 MARCH 31, 1986 Ref: 003585-0020-004
-------------------------------------------------------------------------------
-3-
22
PATENT REPORT
_______________________________________________________________________________
HERMETIC COATING FOR OPTICAL FIBER BRAZIL
Owner: SPECTRAN CORPORATION
Inventors -- XXXXXXXXXXXX, XXXXXXXXXX; XXXXXXX, XXXXX X.
Xxx No:
App No: PIE707655 MARCH 31, 1987 PENDING
Basic App: PCT/US87/00733 Ref: 003685-0020-037
HERMETIC COATINGS FOR OPTICAL FIBERS TAIWAN
_______________________________________________________________________________
Owner: SPECTRAN CORPORATION
Inventors -- XXXXXXXXXXXX, XXXXXXXXXX; XXXXXXX, XXXXX X.
Xxx No :NI-35477 DECEMBER 11, 1989 Expires: DECEMBER 11, 2004 PATENTED
App No .76-101935 APRIL 08, 1987
Ref: 003585-0020-185
_______________________________________________________________________________
HERMETIC COATINGS FOR OPTICAL FIBERS EUROPEAN PATENT CONV.
Owner: SPECTRAN CORPORATION
Inventors -- XXXXXXXXXXXX, XXXXXXXXXX; XXXXXXX, XXXXX X.
Xxx No :0301103C MARCH 31, 1987 Expires: MARCH 31, 2007 PATENTED
App No:87903C21.1 MARCH 31, 1987
Basic App:PCT/US87/00733 MARCH 31, 1986 Ref: 003585-0020-227
_______________________________________________________________________________
HERMETIC COATING FOR OPTICAL FIBER AND PRODUCT UNITED STATES
Inventors -- XXXXXXX, XXXXX X.; XXXXXXXXXXXX, XXXXXXXXXX
Xxx No :4,735,358 APRIL 03, 1989 PATENTED
App No:08/846,331 MARCH 31, 1986
Ref: 003585-0020-395
_______________________________________________________________________________
PRESSURE OR STRAIN SENSITIVE OPTICAL FIBER CANADA
Owner: SPECTRAN CORPORATION
Inventors -- XXXXX, XXXXXX X.; SVETAKA, XXXXXXX X.
Xxx No .1,304,243 JUNE 30, 1992 Expires: JUNE 30,2009 PATENTED
App No: 551,402 NOVEMBER 09, 1987
Ref: 003585-0022-001
_______________________________________________________________________________
-4-
23
PATENT REPORT
________________________________________________________________________________
PRESSURE OR STRAIN SENSITIVE OPTICAL FIBER TAIWAN
Owner: SPECTRAN CORPORATION
Inventors -- XXXXX, XXXXXX X.; SVETAKA, XXXXXXX X.
Xxx No :NI-34110 OCTOBER 01, 1989 Expires: OCTOBER 01, 2004 PATENTED
App No: 77-100108 JANUARY 08, 1988
Ref: 003585-0022-185
________________________________________________________________________________
PRESSURE SENSITIVE OPTICAL FIBER UNITED STATES
Inventors -- XXXXX, XXXXXX X.; SVETAKA, XXXXXXX X.
Xxx No :4,770,492 SEPTEMBER 13, 1988 PATENTED
App No: 06/924093 OCTOBER 28, 1986
Ref: 003585-0022-599
________________________________________________________________________________
COMPOSITE CAPILLARY TUBE STRUCTURE AND METHOD OF FORMING UNITED STATES
Inventors -- XXXXXX, XXXXXXX X.; XXXXXX, XXXX
Xxx No :4,812,344 MARCH 14, 1989 PATENTED
App No:07/173,952 MARCH 28, 1988
Ref: 003585-0023-999
________________________________________________________________________________
OXIDE COATINGS FOR FLUORIDE GLASS CANADA
Owner: SPECTRAN CORPORATION
Inventors -- XXXXX, XXXXX X. X.; XXXXXXXX, XXXXXXXXX X.;
XXXXXXX, XXXXX X.
Xxx No :1,323,222 OCTOBER 19, 1993 Expires: OCTOBER 19, 2010 PATENTED
App No:572,088 JULY 14, 1988
Ref: 003585-0024-001
________________________________________________________________________________
-5-
24
PATENT REPORT
-------------------------------------------------------------------------------
OXIDE COATINGS FOR FLUORIDE GLASS UNITED STATES
Inventors - VACHA XXXXX X. X.; XXXXXXXX, XXXXXXXXX X.;
XXXXXXX, XXXXX X.
Xxx No: 4,883,339 NOVEMBER 28, 1989 PATENTED
App No: 07/074,646 JULY 17, 1987
Ref: 003585-0024-999
-------------------------------------------------------------------------------
HERMETIC COATINGS FOR NON-SILCA BASED OPTICAL FIBERS UNITED STATES
Inventors - VACHA, XXXXX X. X.; XXXXXXX, XXXXX X.; XXXXXXXX,
XXXXXXXXX X.; XXXXXXXXXXXX, XXXXXXXXXX; XXXXXX, XXX X.;
MOSSADECH, REZA; XXXXXXXX, XXXXX X.
Xxx No: 4,874,222 OCTOBER 17, 1989 PATENTED
App No: 07/160,545 FEBRUARY 25, 1988
Ref: 003586-0025-999
-------------------------------------------------------------------------------
CVD TORCH UNITED STATES
Inventor - XXXXX, XXXXXX X.
Xxx No: 4,863,102 SEPTEMBER 05, 1989 PATENTED
App No: 07/272,281 DECEMBER 19, 1988
Ref: 003585-0036-999
-------------------------------------------------------------------------------
OXIDE COATINGS FOR FLUORIDE GLASS UNITED STATES
Inventors - VACHA, XXXXX X. X.; XXXXXXXX, XXXXXXXXX X.;
XXXXXXX, XXXXX X.
Xxx No: 4,938,662 JULY 03, 1990 PATENTED
App No: 07/379,847 JULY 14, 1989
Ref: 003585-0038-999
-------------------------------------------------------------------------------
COMPOSITION HAVING IMPROVED OPTICAL QUALITIES CANADA
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventor - XXXXXXX, BOLESH J.
Xxx No: 1,221,797 MAY 12, 1987 Expires: MAY 12, 2004 PATENTED
App No: 472,370 JANUARY 18, 1985
Ref: 003585-0051-001
-------------------------------------------------------------------------------
-6-
25
PATENT REPORT
--------------------------------------------------------------------------------
FLUOROACRYLATES HAVING IMPROVED OPTICAL QUALITIES AUSTRALIA
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventor - XXXXXXX, BOLESH J.
Xxx No: 569145 MARCH 08, 1985 Expires: MARCH 08, 2006 PATENTED
App No: 39659/85 MARCH 08, 1985
Ref: 003585-0051-007;
--------------------------------------------------------------------------------
COMPOSITION HAVING IMPROVED OPTICAL QUALITIES UNITED STATES
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventor - XXXXXXX, BOLESH J.
Xxx No: 4,511,209 APRIL 15, 1985 Expires: APRIL 16, 2002 PATENTED
App No: DE/572.397 JANUARY 20, 1984
Ref: 003585-0051-999;
--------------------------------------------------------------------------------
FIBER OPTIC COUPLER CANADA
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventors - XXXXX, XXXXXXX X.; XXXXX, XXXXX X.; XXXXXX, XXXXXXX X.
Xxx No: 1,287,763 AUGUST 20, 1991 Expires: AUGUST 20, 2008 PATENTED
App No: 543,354 JULY 30, 1987
Ref: 003585-0052-001;
--------------------------------------------------------------------------------
FIBER OPTIC COUPLER GERMANY
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventors - XXXXX, XXXXXXX X.; XXXXX, XXXXX X.; XXXXXX, XXXXXXX X.
Xxx No: DE3751674 JULY 31, 1987 Expires: JULY 31, 2007 PATENTED
App No: 87306838.1 JULY 31, 1987
Ref: 003585-0052-003
--------------------------------------------------------------------------------
FIBER OPTIC COUPLER EUROPEAN PATENT CONV.
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventors - XXXXX, XXXXXXX X.; XXXXX, XXXXX X.; XXXXXX, XXXXXXX X.
Xxx No: 0271177 JULY 31, 1987 Expires: JULY 31, 2007 PATENTED
App No: 87306838.1 JULY 31, 1987
Ref: 003585-0052-227;
--------------------------------------------------------------------------------
-7-
26
PATENT REPORT
-------------------------------------------------------------------------------
OPTICAL FIBER COUPLER UNITED STATES
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventors - XXXXX, XXXXXXX X.; XXXXX, XXXXX X.; XXXXXX, XXXXXXX X.
Xxx No.: 4,784,452 NOVEMBER 15, 1988 Expires: NOVEMBER 15, 2005 PATENTED
App No.: 06/992.799 AUGUST 01, 1986
Ref: 003585-0052-999;
-------------------------------------------------------------------------------
ANGLED INPUT FIBER FACE GERMANY
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventor - XXXXXXX, JR., XXXX X.
Xxx No.: Expires: OCTOBER 10, 2010 FILED WAIT EXAM
App No.: P4032184.3 OCTOBER 10, 1990
Ref: 003585-0053-003;
-------------------------------------------------------------------------------
ANGLED INPUT FIBER FACE FRANCE
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventor - XXXXXXX, JR., XXXX X.
Xxx No.: 9012701 OCTOBER 15, 1990 Expires: OCTOBER 15, 2010 PATENTED
App No.: 9012701 OCTOBER 15, 1990
Ref: 003585-0053-004;
-------------------------------------------------------------------------------
ANGLED INPUT FIBER FACE JAPAN
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventor - XXXXXXX, JR., XXXX X.
Xxx No.: Expires: OCTOBER 16, 2010 FILED WAIT EXAM
App No.: 2-275471 OCTOBER 16, 1990
Ref: 003585-0053-012;
-------------------------------------------------------------------------------
ANGLED OPTICAL FIBER INPUT END FACE AND METHOD FOR UNITED STATES
DELIVERING ENERGY
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventor - XXXXXXX, JR., XXXX X.
Xxx No.: 4,993,691 FEBRUARY 25,1991 Expires: FEBRUARY 26, 2008 PATENTED
App No.: 07/42/,877 OCTOBER 16, 1989
Ref: 003585-0053-999;
-------------------------------------------------------------------------------
-8-
27
PATENT REPORT
-------------------------------------------------------------------------------
CLEAVING TOOL FOR OPTICAL FIBERS UNITED STATES
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventor - XXXXX, XXXXXX X.
Xxx No: 5.108.021 APRIL 28, 1992 Expires: APRIL 28, 2009 PATENTED
App No: 07/575.979 AUGUST 31, 1990
Ref: 003585-0054-953:
-------------------------------------------------------------------------------
FIBER OPTIC DIFFUSER TIP GERMANY
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventors - XXXX, XXXXXX X.; XXXXXXXXX, XXXXXXX X.; XXXXXXXX, XXXXXX X.;
XXXXXX, XXX X.; DE CARLO, XXXXXXX X.
Xxx No: Expires: NOVEMBER 30, 2014 PENDING
App No: P4442523.6 NOVEMBER 30, 1994
Ref: 003585-0053-003
-------------------------------------------------------------------------------
FIBER OPTIC DIFFUSER TIP JAPAN
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventors - XXXX, XXXXXX X.; XXXXXXXXX, XXXXXXX X.; XXXXXXXX, XXXXXX X.;
XXXXXX, XXX X.; DE CARLO, XXXXXXX X.
Xxx No: Expires: DECEMBER 31, 2004 PENDING
App No: 6-309328 DECEMBER 13, 1994
Ref: 003585-0055-012
-------------------------------------------------------------------------------
FIBER OPTIC DIFFUSER TIP UNITED STATES
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventors - XXXX, XXXXXX X.; XXXXXXXXX, XXXXXXX X.; XXXXXXXX, XXXXXX X.;
XXXXXX, XXX X.; DE CARLO, XXXXXXX X.
Xxx No: 5.373,571 DECEMBER 13, 1994 Expires: DECEMBER 13, 2011 PATENTED
App No: 08/053,193 MARCH 16, 1993
Ref: 003585-0055-999:
-------------------------------------------------------------------------------
OPTICAL FIBER CABLE CONNECTOR ASSEMBLY GERMANY
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventors - XXXX, XXXXXX X.; XXXXXX, XXX X.; XXXXXXXXX, XXXXXXX X.
Xxx No: Expires: NOVEMBER 30, 2014 FILED WAIT EXAM
App No: P4442524.4 NOVEMBER 30, 1994
Ref: 0003526-0055-003.
-------------------------------------------------------------------------------
-9-
28
PATENT REPORT
-------------------------------------------------------------------------------
OPTICAL FIBER CABLE CONNECTOR ASSEMBLY JAPAN
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventors - XXXX, XXXXXX X.; XXXXXX, XXX X.; XXXXXXXXX, XXXXXXX X.
Xxx No: Expires: NOVEMBER 30, 2014 FILED WAIT EXAM
App No: 6-297560 NOVEMBER 30, 1994
Ref: 003685-0056-012
-------------------------------------------------------------------------------
OPTICAL FIBER CABLE CONNECTOR ASSEMBLY UNITED STATES
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventors - XXXX, XXXXXX X.; XXXXXX, XXX X.; XXXXXXXXX, XXXXXXX X.
Xxx No: 5,455,880 OCTOBER 03, 1995 Expires: DECEMBER 01, 2013 PATENTED
App No: 08/159,832 DECEMBER 01, 1993
Ref: 003585-0056-999
-------------------------------------------------------------------------------
COATING COMPOSITIONS CANADA
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventors - XXXXXXX, BOLESH J.; XXXXXXXXX, XXXXX X.
Xxx No: 1,307,071 SEPTEMBER 01, 1992 Expires: SEPTEMBER 01, 2009 PATENTED
App No: 545,139 AUGUST 24, 1987
Ref: 003585-0059-001
-------------------------------------------------------------------------------
COATING COMPOSITIONS UNITED KINGDOM
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventors - XXXXXXX, BOLESH J.; XXXXXXXXX, XXXXX X.
Xxx No: 2209034 AUGUST 25, 1987 Expires: AUGUST 25, 2007 PATENTED
App No: 8719985.7 AUGUST 25, 1987
Ref: 003585-0059-002
-------------------------------------------------------------------------------
COATING COMPOSITIONS FRANCE
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventors - XXXXXXX, BOLESH J.; XXXXXXXXX, XXXXX X.
Xxx No: 8712288 SEPTEMBER 04, 1987 Expires: SEPTEMBER 04, 2007 PATENTED
App No: 8712288 SEPTEMBER 04, 1987
Ref: 003585-0055-004
-------------------------------------------------------------------------------
-10-
29
PATENT REPORT
-------------------------------------------------------------------------------
COATING COMPOSITIONS FOR OPTICAL FIBERS UNITED STATES
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventors - XXXXXXX, BOLESH J.; XXXXXXXXX, XXXXX X.
Xxx No: 4,707,078 NOVEMBER 17, 1987 Expires: NOVEMBER 17, 2004 PATENTED
App No: 08/722,828 APRIL 12, 1985
Ref: 003585-0053-999
-------------------------------------------------------------------------------
OPTICAL FIBER AND METHOD OF PRODUCING SAME JAPAN
Owner: SPECTRAN COMMUNICATION FIBER TECHNOLOGIES, INC.
Inventor - XXXXXX, XXXXX
Xxx No: 2519728 AUGUST 06, 1985 Expires: AUGUST 06, 2005 PATENTED
App No: 60-171925 AUGUST 06, 1985
Ref: 003585-0060-012
-------------------------------------------------------------------------------
OPTICAL FIBER AND METHOD OF PRODUCING SAME UNITED STATES
Owner: SPECTRAN COMMUNICATION FIBER TECHNOLOGIES, INC.
Inventor - XXXXXX, XXXXX
Xxx No: 4,599,098 JULY 08, 1986 Expires: JULY 08, 2003 PATENTED
App No: 08/579,496 FEBRUARY 13, 1984
Ref: 003585-0060-999
-------------------------------------------------------------------------------
METHODS OF MAKING OPTICAL WAVEGUIDES AND WAVEGUIDES MADE THEREBY JAPAN
Owner: SPECTRAN COMMUNICATION FIBER TECHNOLOGIES, INC.
Inventor - XXXXXX, XXXXX
Xxx No: Expires: JANUARY 30, 2007 PENDING
App No: 62-018760 JANUARY 30, 1987
Ref: 003585-0061-012
-------------------------------------------------------------------------------
METHODS OF MAKING OPTICAL WAVEGUIDES UNITED STATES
Owner: SPECTRAN COMMUNICATION FIBER TECHNOLOGIES, INC.
Inventor - XXXXXX, XXXXX
Xxx No: 5,028,246 JULY 02, 1991 Expires: JULY 02, 2008 PATENTED
App No: 07/308,886 FEBRUARY 08, 1989
Ref: 003585-0061-999
-------------------------------------------------------------------------------
-11-
30
PATENT REPORT
-------------------------------------------------------------------------------
OPTICAL WAVEGUIDES HAVING REDUCED BENDING LOSS AND METHOD OF UNITED STATES
MAKING THE SAME
Owner: SPECTRAN COMMUNICATION FIBER TECHNOLOGIES, INC.
Inventor - XXXXX, XXXXXXXX X.
Xxx No: 5,175,785 DECEMBER 29, 1992 Expires: DECEMBER 29, 2009 PATENTED
App No.07/894,652 MARCH 02, 1991
Ref: 003585-0062-999:
-------------------------------------------------------------------------------
METHODS OF MAKING OPTICAL WAVEGUIDES AND WAVEGUIDES MADE UNITED STATES
THEREBY
Owner: SPECTRAN COMMUNICATION FIBER TECHNOLOGIES, INC.
Inventor - XXXXXXX, XXXXXX
Xxx No: 5,318,511 JUNE 07, 1994 Expires: JUNE 07,2011 PATENTED
App No.07/851,489 MARCH 13, 1992
Ref: 003585-0063-999:
-------------------------------------------------------------------------------
METHODS OF MAKING OPTICAL WAVEGUIDES UNITED STATES
Owner: SPECTRAN COMMUNICATION FIBER TECHNOLOGIES, INC.
Inventor - XXXXXX, XXXXX
Xxx No: 5,384,430 NOVEMBER 15, 1994 Expires: NOVEMBER 15, 2011 PATENTED
App No.08/002,077 JANUARY 08, 1993
Ref: 003585-0064-999:
Archive: 11,595
-------------------------------------------------------------------------------
OPTICAL FIBER CLADDING CANADA
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventor - XXXXXXX, BOLESH J.
Xxx No: 1,221,795 MAY 12, 1987 Expires: MAY 12, 2004 PATENTED
App No.422,209 FEBRUARY 23, 1983
Ref: 003585-0065-001:
-------------------------------------------------------------------------------
COATING COMPOSITION FRANCE
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventor - XXXXXXX, BOLESH J.; XXXXXXXXX, XXXXX X.
Xxx No: Expires: SEPTEMBER 04, 2007 FILED WAIT EXAM
App No.9215010 SEPTEMBER 04, 1987
Ref: 003585-0066-004:
-------------------------------------------------------------------------------
-12-
31
PATENT REPORT
------------------------------------------------------------------------------
METHODS OF MAKING OPTICAL WAVEGUIDES AND WAVEGUIDES MADE JAPAN
THEREBY
Owner: SPECTRAN COMMUNICATION FIBER TECHNOLOGIES, INC.
Inventor - XXXXXX, XXXXX
Xxx No: Expires: JANUARY 14, 2013 PENDING
App No: 5-21868 JANUARY 14, 1993
Ref: 003585-0065-012:
------------------------------------------------------------------------------
METHODS OF MAKING OPTICAL WAVEGUIDES UNITED STATES
Owner: SPECTRAN COMMUNICATION FIBER TECHNOLOGIES, INC.
Inventor - XXXXXX, XXXXX
Xxx No: 5,558,693 SEPTEMBER 24, 1996 Expires: SEPTEMBER 24, 2013 PATENTED
App No: 08/319,394 OCTOBER 06, 1994
Ref: 003585-0070-999
------------------------------------------------------------------------------
METHOD OF MAKING OPTICAL WAVEGUIDES AND WAVEGUIDES MADE UNITED STATES
THEREBY
Owner: SPECTRAN COMMUNICATION FIBER TECHNOLOGIES, INC.
Inventor - XXXXXX, XXXXX
Xxx No: PENDING
App No: 08/475,545 JUNE 06, 1995
Ref: 003585-0071-999
------------------------------------------------------------------------------
FIBER OPTIC DIFFUSER TIP UNITED STATES
Owner: SPECTRAN SPECIALTY OPTICS COMPANY
Inventors - XXXX, XXXXXX X.; XXXXXXXXX, XXXXXXX X.; XXXXXXXX, XXXXXX
X.; XXXXXX, XXX X.; DE CARLO, XXXXXXX X.
Xxx No: REISSUE
AUGUST 08, 1995
Ref: 003585-0072-999
------------------------------------------------------------------------------
METHOD OF MAKING AN OPTICAL FIBER PREFORM UNITED STATES
Inventors - WU, FENGOING; XXXXXX, XXXXXXX
Xxx No: UNFILED
Ref: 003585-0079-999
------------------------------------------------------------------------------
-13-
32
In addition, the Company holds the following material licenses:
1. License Agreement, dated January 1, 1991, by and between the
Company and Corning, Inc. The license expires upon expiration of
all subject patents.
2. License Agreement, dated February 1, 1983, by and between the
Company and Corning Glass Works. The license expires upon
expiration of all subject patents.
3. Patent License Agreement, dated August 15, 1981, by and between
the Company and Western Electric Company, Incorporated. The
license with respect to each subject patent expires upon
expiration of such patent.
4. Agreement, dated January 21, 1985, by and between the Company
and Aetna Communications Laboratories. The license expires upon
the transfer of the subject patents and related technology to
the Company.
5. License Agreement, dated October 31, 1983, by and between the
Company and Gulf & Western Manufacturing Company. The license
expires upon expiration of all subject patents.
6. License Agreement between Sumitomo Electric Industries, Ltd.
("Sumitomo") and Xxxxxx-Xxxxxxxx Optics Company ("EBOC") dated
November 1, 1990 (assigned to SpecTran Specialty Optics
Company), Supplemental Agreement between Sumitomo and EBOC dated
November 1, 1990 and Amendment to License Agreement between
SpecTran Specialty Optics Company ("SSOC") and Sumitomo dated
November 1, 1995. The license expires on April 12, 2005.
7. License Agreement between EBOC and Toray Industries, Inc. dated
September 1, 1986 (assigned to SSOC) and Amendment to License
Agreement between Toray Industries and SSOC dated August 30,
1996. The license has a term of eight years.
8. License Agreement between EBOC and Asahi Glass Co., Ltd. dated
March 15, 1993 (assigned to SSOC). The license expires upon
expiration of all subject patents.
9. License Agreement between Lightwave Technologies, Inc. and
Sumitomo dated July 7, 1987.* The license terminates upon
expiration of all subject patents.
33
10. License Agreement between Lightwave Technologies, Inc. and
Polaroid Corporation dated March 31, 1984 (assigned to
Xxxxxx-Xxxxxxxx Optical Technologies, Inc.).* The license has no
specified expiration date; however, royalty payments thereunder
ceased in 1992.
* These agreements were assigned by Lightwave Technologies, Inc. to
Xxxxxx-Xxxxxxxx Optical Technologies, Inc. ("EBOT") as part of EBOT's
acquisition of Lightwave and were subsequently transferred by EBOT to Cal
Optics, Inc., a company which was formed to facilitate the transaction under
which the specialty fiber operations of EBOC was acquired by the Company. A
wholly-owned subsidiary of the Company, EBOT Acquisition Corp., purchased the
stock of Cal Optics, Inc. EBOT Acquisition Corp and Cal Optics, Inc. were
subsequently merged into the Company. The agreements were subsequently assigned
by the Company to SSOC as part of the Company's restructuring.
