PATENT SECURITY AGREEMENT

EX-10.3 4 applied_8k-ex1003.htm PATENT SECURITY AGREEMENT

Exhibit 10.3

 

PATENT SECURITY AGREEMENT

 

This PATENT SECURITY AGREEMENT (this “Agreement”), dated as of June 30, 2015 and, by and between, APPLIED OPTOELECTRONICS, INC., a Delaware corporation (the “Borrower”) and each Additional Grantor that may become a party hereto after the date hereof (each of the Borrower and each Additional Grantor being a “Grantor” and collectively the “Grantors”) and EAST WEST BANK, as Agent for and representative of the Lender Parties (in such capacity, the “Agent”). If there are no Guarantors that are party to this Agreement, the term “Grantors” shall refer only to the Borrower.

 

WHEREAS, the Grantor has granted a security interest in and continuing Lien on the Collateral (including the patents subject of this Agreement) to the Agent pursuant to the Security Agreement, and desires to enter into this Agreement for purposes of affirming such grant to the Agent, and providing a short-form medium to facilitate the recording of such security interest in the applicable governmental offices.

 

NOW, THEREFORE, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Grantor agrees as follows:

 

Section 1. Affirmation and Grant of Security. The Grantor hereby affirms its grant to the Agent of, and grants to the Agent, a security interest in and continuing lien on all of such Grantor’s right, title and interest in, to and under the patents listed on Schedule I to secure the Secured Obligations.

 

Section 2. Recordation. The Grantor authorizes and requests that the Commissioner of Patents and Trademarks and any other applicable government officer record this Agreement.

 

Section 3. Grants, Rights and Remedies. This Agreement has been entered into in conjunction with the provisions of the Security Agreement. The Grantor does hereby acknowledge and confirm that the grant of the security interest hereunder to, and the rights and remedies of, the Agent with respect to the Collateral are more fully set forth in the Security Agreement, the terms and provisions of which are incorporated herein by reference as if fully set forth herein.

 

Section 4. Miscellaneous. The Grantor agrees that neither this Agreement nor any term hereof may be changed, waived, discharged or terminated, except by an instrument in writing signed by the party (including, if applicable, any party required to evidence its consent to or acceptance of this Agreement) against whom enforcement of such change, waiver, discharge or termination is sought. This Agreement may be executed in any number of counterparts, each of which when so executed shall be deemed to be an original and all of which taken together shall constitute one and the same agreement.

 

Section 5. Governing Law. THIS AGREEMENT SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF NEW YORK WITHOUT GIVING EFFECT TO ITS CHOICE OF LAW PRINCIPLES, EXCEPT TO THE EXTENT THAT THE UCC PROVIDES THAT THE PERFECTION OF THE SECURITY INTEREST HEREUNDER, OR REMEDIES HEREUNDER, IN RESPECT OF ANY PARTICULAR COLLATERAL ARE GOVERNED BY THE LAWS OF A JURISDICTION OTHER THAN THE STATE OF NEW YORK.

 

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IN WITNESS WHEREOF, the Grantor has caused this Patent Security Agreement to be duly executed and delivered by its officer thereunto duly authorized as of the date first above written.

 

  APPLIED OPTOELECTRONICS, INC.
   
  By:     /s/ Stefan J. Murry
  Name: Stefan J. Murry
  Title: CFO and Chief Strategy Officer

 

 

 

(Signature Page to Patent Security Agreement)

 

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SCHEDULE I

 

ISSUED PATENTS

 

Patent No. Country Title Issue Date
8,995,484 USA Temperature controlled multi-channel transmitter optical subassembly and optical transceiver module including same 03-31-2015
8,831,433 USA Temperature controlled multi-channel transmitter optical subassembly and optical transceiver module including same 09-09-2014
8,891,974 USA Distortion compensation circuit including tunable phase path 11-18-2014
8,805,191 USA Optical transceiver including optical fiber coupling assembly to increase usable channel wavelengths 08-12-2014
8,655,183 USA Optical transceiver that maintains a bend diameter of an internal optical fiber and method of assembling same 02-18-2014
9,002,214 USA Wavelength-selectable laser device and apparatus and system including same 04-07-2015
8,818,208 USA Laser mux assembly for providing a selected wavelength 08-26-2014
8,606,116 USA System and method for distortion compensation in response to frequency detection 12-10-2013
8,670,675 USA System and method for distortion compensation including configureable delay 03-11-2014
8,718,489 USA Distortion compensation circuit including one or more phase invertible distortion paths 05-06-2014
8,899,846 USA Receptacle diplexer 12-02-2014
8,320,773 USA Reducing cross-modulation in multichannel modulated optical systems 11-27-2012
8,091,876 USA Fixture for securing optoelectronic packages for wire and/or component bonding 01-10-2012
8,045,164 USA Position finding system and method for use in aligning laser device with an optical fiber 10-25-2011

 

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8,406,631 USA Network timing 03-26-2013
7,978,985 USA Clipping correction system and method for correcting clipped signals in a receiver 07-12-2011
8,165,474 USA Reducing cross modulation in multichannel modulated optical systems with anti-clipping 04-24-2012
8,787,772 USA Laser package including semiconductor laser and memory device for storing laser parameters 07-22-2014
8,073,340 USA Distortion compensation circuit including one or more phase invertible distortion paths 12-06-2011
8,121,493 USA Distortion compensation circuit and method based on orders of time dependent series of distortion signal 02-21-2012
7,766,686 USA Pluggable form factor release mechanism 08-03-2010
8,121,170 USA Gain-coupled distributed feedback semiconductor laser including first-order and second-order gratings 02-21-2012
7,925,170 USA Predistortion circuit including distortion generator diodes with adjustable diode bias 04-12-2011
7,573,923 USA Laser drive circuit and method providing high limit clipping corresponding to low limit clipping in a laser 08-11-2009
8,358,937 USA Systems and methods for reducing clipping in multichannel modulated optical systems 01-22-2013
8,165,475 USA Systems and methods for reducing clipping in multichannel modulated optical systems 04-24-2012
7,627,012 USA Distributed feedback semiconductor laser including wavelength monitoring section 12-01-2009
7,542,503 USA Distributed feedback laser with improved optical field uniformity and mode stability 06-02-2009
7,478,955 USA Modular laser package system 01-20-2009
7,010,013 USA Assembly with tapered, threaded ferrule housing for improved alignment of fiber with laser 03-07-2006
6,859,481 USA Optically-pumped multiple-quantum well active region with improved distribution of optical pumping power 02-22-2005
6,652,707 USA Method and apparatus for demounting workpieces from adhesive film 11-25-2003
6,795,478 USA VCSEL with antiguide current confinement layer 09-21-2004

 

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7,026,178 USA Method for fabricating a VCSEL with ion-implanted current-confinement structure 04-11-2006
6,697,413 USA Tunable vertical-cavity surface-emitting laser with tuning junction 02-24-2004
6,788,466 USA Multiple reflectivity band reflector 09-07-2004
6,763,053 USA Laser having multiple reflectivity band reflector 07-13-2004
6,765,939 USA Multiple reflectivity band reflector with non-uniform profile and laser system employing same for laser wavelength monitoring 07-20-2004
6,735,224 USA Planar lightwave circuit for conditioning tunable laser output 05-11-2004
6,763,046 USA Method and system employing multiple reflectivity band reflector for laser wavelength monitoring 07-13-2004
6,611,543 USA Vertical-cavity surface-emitting laser with metal mirror and method of fabrication of same 08-26-2003
6,549,556 USA Vertical-cavity surface-emitting laser with bottom dielectric distributed bragg reflector 04-15-2003
8,126,329 USA Quad-port optical module with pass-through and add/drop configuration 02-28-2012
7,519,260 USA Coaxial optoelectronic device separation apparatus and method 04-14-2009
8,079,222 USA Thermoelectric cooler controller 12-20-2011
8,055,138 USA Photosensor operating point 11-08-2011
7,583,719 USA Complex-coupled distributed feedback semiconductor laser 09-01-2009
7,468,286 USA System and method for securing optoelectronic packages for mounting components at a mounting angle 12-23-2008
6,263,002 USA Tunable fiber fabry-perot surface-emitting lasers 07-17-2001
6,736,550 USA Housing for passively aligning an optical fiber with a lens 05-18-2004
6,608,855 USA Single-mode DBR laser with improved phase-shift section 08-19-2003
6,669,367 USA Optical fiber with mirror for semiconductor laser 12-30-2003
6,724,796 USA Modified distributed bragg reflector (DBR) for vertical cavity surface-emitting laser (VCSEL) resonant wavelength tuning sensitivity control 04-20-2004
6,560,265 USA Method and apparatus for polarizing light in a VCSEL 05-06-2003

 

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6,636,544 USA Overlapping wavelength-tunable vertical cavity surface-emitting laser (VCSEL) arrays 10-21-2003
6,696,307 USA Patterned phase shift layers for wavelength-selectable vertical cavity surface-emitting laser (VCSEL) arrays 02-24-2004
6,782,019 USA VCSEL with heat-spreading layer 08-24-2004
6,471,582 USA Adapter for coupling air duct to fan-driven vent 10-29-2002
7,010,012 USA Method and apparatus for reducing specular reflections in semiconductor lasers 03-07-2006
6,765,948 USA VCSEL assembly with edge-receiving optical devices 07-20-2004
6,560,259 USA Spatially coherent surface-emitting, grating coupled quantum cascade laser with unstable resonance cavity 05-06-2003
6,746,777 USA Alternative substrates for epitaxial growth 06-08-2004
6,455,908 USA Multispectral radiation detectors using strain-compensating superlattices 09-24-2002
6,603,184 USA Double heterostructure photodiode with graded minority-carrier blocking structures 08-05-2003
6,406,795 USA Compliant universal substrates for optoelectronic and electronic devices 06-18-2002
6,638,773 USA Method for fabricating single-mode DBR laser with improved yield 05-31-2002

 

 

 

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PATENT APPLICATIONS

 

Appl. No. Country Title
13/975,867 USA Heated laser package with increased efficiency for optical transmitter systems
13/893,802 USA Compact multi-channel optical transceiver module
14/088,883 USA Aligning and directly optically coupling photodetectors to optical demultiplexer outputs in a multichannel receiver optical subassembly
13/760,533 USA Thermally shielded multi-channel transmitter optical subassembly and optical transceiver module including same
13/708,569 USA Thermally isolated multi-channel transmitter optical subassembly and optical transceiver module including same
13/709,195 USA Multi-channel optical transceiver module including dual fiber type direct link adapter for optically coupling optical subassemblies in the transceiver module
13/644,113 USA Filtered laser array assembly with external optical modulation and WDM optical system including same
13/595,505 USA External cavity laser array system and WDM optical system including same
13/357,142 USA Optically matched laser array coupling assembly for coupling laser array to arrayed waveguide grating
13/357,130 USA Laser array mux assembly with external reflector for providing a selected wavelength or multiplexed wavelengths
13/543,259 USA Extended cavity fabry-perot laser assembly capable of high speed optical modulation with narrow mode spacing and WDM optical system including same
13/357,116 USA Wavelength-selectable laser device providing spatially-selectable wavelength(s)
12/245,008 USA Reducing cross-modulation in multichannel modulated optical systems
13/916,652 USA Tunable laser with multiple in-line sections including sampled gratings
14/551,353 USA Tunable laser with multiple in-line sections including sampled gratings
13/235,976 USA Receptacle diplexer
14/188,768 USA Improved optical networking unit (ONU) packaging
14/190,765 USA Scribe etch process for semiconductor laser chip manufacturing

 

 

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14/456,124 USA Monitoring a multiplexed laser array in an optical communication system
14/672,802 USA Improved coupling of photodetector array to optical demultiplexer outputs with index matched material
14/248,553 USA Switched radio frequency (RF) driver for tunable laser with multiple in-line sections
14/312,930 USA Laser transceiver with improved bit error rate
14/528,011 USA Transceiver with a thermal AWG DEMUX and thermal AWG MUX
14/665,639 USA Multichannel receiver optical subassembly with improved sensitivity
14/501,751 USA Semiconductor laser diode with integrated heating region
14/452,715 USA Test Fixture with thermoelectric cooler and spring-operated holding
14/465,240 USA Method and system for alignment of photodector array to optical demultiplexer outputs
14/295,459 USA Monitoring and controlling temperature across a laser array in a transmitter optical subassembly (TOSA) package
14/661,772 USA Tunable laser including parallel lasing cavities with a common
14/590,456 USA Two-section semiconductor laser with modulation-independent grating section to reduce chirp
14/588,608 USA System, method and fixture for performing both optical power and wavelength measurements of light emitted from a laser diode
14/263,142 USA Pluggable optical transceiver module
14/482,550 USA Optical coupling element and optical module having the same
14/504,500 USA Pluggable optical transceiver module

 

 

 

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