Document:

EX-10.19

 

Exhibit 10.19

 

INTELLECTUAL PROPERTY LICENSE AGREEMENT

by and between

HITACHI, LTD.

and

OPTO-DEVICE, LTD.

 

Dated as of October 1, 2002

 

 

 

TABLE OF CONTENTS

	 	 	 	 	 
	Section 1. Definitions
	 	 	1	 
	 
	 	 	 	 
	(a) “Added Products”
	 	 	1	 
	(b) “Affiliate”
	 	 	1	 
	(c) “Assets”
	 	 	2	 
	(d) “Assigned IP”
	 	 	2	 
	(e) “Business”
	 	 	2	 
	(f) “Commercially Reasonable Efforts”
	 	 	2	 
	(g) “Closing”
	 	 	2	 
	(h) “Closing Date”
	 	 	2	 
	(i) “Cure Period”
	 	 	2	 
	(j) “Dispute Notice”
	 	 	2	 
	(k) “Existing Third Party License Agreements”
	 	 	2	 
	(l) “Future Hitachi IP”
	 	 	2	 
	(m) “Future Third Party License Agreements”
	 	 	2	 
	(n) “HTS Business”
	 	 	2	 
	(o) “Indemnified Party”
	 	 	2	 
	(p)“Intellectual Property”
	 	 	2	 
	(q) “Licensed IP”
	 	 	3	 
	(r) “Losses”
	 	 	3	 
	(s) “Material Adverse Effect”
	 	 	3	 
	(t) “Minority-Owned Affiliate”
	 	 	3	 
	(u) “Non-Transferred License Agreements”
	 	 	3	 
	(v) “OpNext Japan”
	 	 	3	 
	(w) “OpNext Japan R&D Agreement”
	 	 	3	 
	(x) “OpNext Parties”
	 	 	3	 
	(y) “Opto-Device IP”
	 	 	4	 
	(z) “Opto-Device Third Party License Agreement”
	 	 	4	 
	(aa) “Person”
	 	 	4	 
	(bb) “SIC Business”
	 	 	4	 
	(cc) “Subsidiary”
	 	 	4	 
	(dd) “Third Party Claim”
	 	 	4	 
	(ee) “Third Party License Agreements”
	 	 	4	 
	(ff) “Wholly-Owned Subsidiaries”
	 	 	4	 
	 
	 	 	 	 
	Section 2. Assigned Intellectual Property
	 	 	5	 
	 
	 	 	 	 
	(a) License
	 	 	5	 
	(b) Review of Obligations
	 	 	5	 
	(c) Status of Wholly-Owned Subsidiaries
	 	 	5	 
	 
	 	 	 	 
	Section 3. Licensed Intellectual Property
	 	 	5	 
	 
	 	 	 	 
	(a) Definition
	 	 	5	 
	(b) License
	 	 	6	 
	(c) Sublicense
	 	 	7	 
	(d) Review of Obligations
	 	 	8	 

i

 

	 	 	 	 	 
	(e) Obligation to Maintain Intellectual Property
	 	 	8	 
	(f) Future Hitachi IP
	 	 	8	 
	(g) Transfer of Licensed IP
	 	 	9	 
	(h) Change in Status
	 	 	9	 
	 
	 	 	 	 
	Section 4. Opto-Device Intellectual Property
	 	 	9	 
	 
	 	 	 	 
	(a) Definition
	 	 	9	 
	(b) License
	 	 	9	 
	(c) Termination Conditions
	 	 	9	 
	(d) Review of Obligations
	 	 	10	 
	(e) Status of Wholly-Owned Subsidiaries
	 	 	10	 
	 
	 	 	 	 
	Section 5. Third-Party License Agreements
	 	 	11	 
	 
	 	 	 	 
	(a) Definition
	 	 	11	 
	(b) Existing Third Party License Agreements
	 	 	11	 
	(c) Future Third Party License Agreements
	 	 	11	 
	(d) Other Agreements
	 	 	12	 
	(e) Termination of Obligations
	 	 	13	 
	 
	 	 	 	 
	Section 6. Representations and Warranties of Hitachi
	 	 	13	 
	 
	 	 	 	 
	(a) Assigned IP and Licensed IP
	 	 	13	 
	(b) Authority
	 	 	13	 
	(c )No Conflicts
	 	 	14	 
	(d) Litigation, etc
	 	 	14	 
	(e)Infringement of Licensed IP
	 	 	14	 
	(f) Product Clearance Searches
	 	 	14	 
	 
	 	 	 	 
	Section 7. Covenants of Hitachi
	 	 	15	 
	 
	 	 	 	 
	(a) Ordinary Course
	 	 	15	 
	(b) Covenant Not to Sue
	 	 	15	 
	(c) Confidentiality
	 	 	15	 
	(d) Opto-Device’s and Hitachi’s Trademark, Trade Names, etc
	 	 	16	 
	(e) Taxes
	 	 	17	 
	(f) New Product Clearance Searches
	 	 	17	 
	(g) Guaranty
	 	 	17	 
	 
	 	 	 	 
	Section 8. Representations and Warranties of Opto-Device
	 	 	17	 
	 
	 	 	 	 
	(a) Authority
	 	 	17	 
	(b) No Conflicts
	 	 	17	 
	 
	 	 	 	 
	Section 9. Covenants of Opto-Device
	 	 	18	 
	 
	 	 	 	 
	(a) Confidentiality
	 	 	18	 
	(b) No Additional Representations
	 	 	18	 
	(c) Covenant Not to Sue
	 	 	19	 
	(d) Guaranty
	 	 	19	 

ii

 

	 	 	 	 	 
	Section 10. Mutual Covenants
	 	 	19	 
	 
	 	 	 	 
	(a) Consents
	 	 	19	 
	(b) Non-Transferred License Agreements
	 	 	20	 
	(c) Press Releases
	 	 	20	 
	(d) Commercially Reasonable Efforts
	 	 	20	 
	(e) Injunctive Relief
	 	 	20	 
	 
	 	 	 	 
	Section 11. Indemnification
	 	 	20	 
	 
	 	 	 	 
	(a) Previously Disclosed Claims
	 	 	20	 
	(b)Intellectual Property Indemnification and Defense
	 	 	21	 
	(c) Indemnification by Hitachi
	 	 	21	 
	(d) Indemnification by Opto-Device
	 	 	22	 
	(e) Losses Net of Insurance
	 	 	22	 
	(f) Limitations on Indemnification
	 	 	22	 
	(g) Procedures Relating to Indemnification
	 	 	23	 
	(h) Duty to Mitigate
	 	 	24	 
	 
	Section 12. Dispute Resolution
	 	 	24	 
	 
	 	 	 	 
	Section 13. Assignment
	 	 	24	 
	 
	 	 	 	 
	Section 14. Third-Party Beneficiaries
	 	 	24	 
	 
	 	 	 	 
	Section 15. Termination
	 	 	25	 
	 
	 	 	 	 
	Section 16. Survival of Representations and Warranties
	 	 	25	 
	 
	 	 	 	 
	Section 17. Expenses
	 	 	25	 
	 
	 	 	 	 
	Section 18. Export Control
	 	 	25	 
	 
	 	 	 	 
	Section 19. Amendment and Waiver
	 	 	25	 
	 
	 	 	 	 
	Section 20. Notices
	 	 	25	 
	 
	 	 	 	 
	Section 21. Interpretation
	 	 	26	 
	 
	 	 	 	 
	Section 22. Counterparts
	 	 	27	 
	 
	 	 	 	 
	Section 23. Entire Agreement
	 	 	27	 
	 
	 	 	 	 
	Section 24. Relationship to Other Agreements
	 	 	27	 
	 
	 	 	 	 
	Section 25. Schedules or Exhibits
	 	 	27	 
	 
	 	 	 	 
	Section 26. No Strict Construction
	 	 	27	 
	 
	 	 	 	 
	Section 27. Severability
	 	 	27	 
	 
	 	 	 	 
	Section 28. Governing Law
	 	 	28	 
	 
	 	 	 	 
	Section 29. Submission to Jurisdiction; Waivers
	 	 	28	 
	 
	 	 	 	 
	Section 30. Delivery by Facsimile
	 	 	29	 
	 
	 	 	 	 
	Section 31. Exhibits and Schedules
	 	 	29	 
	 
	 	 	 	 
	Section 32. Recordation
	 	 	29	 
	 
	 	 	 	 

iii

 

	 	 	 	 	 
	Section 33. Third Parties
	 	 	29	 
	 
	 	 	 	 
	Section 34. Survival
	 	 	29	 
	 
	 	 	 	 
	Section 35. Hitachi Communication Technologies, Ltd
	 	 	29	 

iv

 

INTELLECTUAL PROPERTY LICENSE AGREEMENT

          THIS INTELLECTUAL PROPERTY LICENSE AGREEMENT (the “IP License Agreement”), dated as of
October 1, 2002, is entered into by and between HITACHI, LTD., a corporation existing under the
laws of Japan (“Hitachi”), and OPTO-DEVICE LIMITED, a corporation existing under the laws
of Japan (“Opto-Device”), pursuant to the terms of the Business Transfer Agreement, dated
July 24, 2002 (the “Business Transfer Agreement”), entered into between Hitachi and
Opto-Device and the Stock Purchase Agreement, dated October 1, 2002 (the “Stock Purchase
Agreement”), entered into between Hitachi and OpNext, Inc., a Delaware corporation
(“OpNext”). All capitalized terms used herein but not defined herein shall have the
meanings ascribed to such terms in the Stock Purchase Agreement.

WITNESSETH

          WHEREAS, the Business Transfer Agreement provides the terms and conditions under which Hitachi
sold to Opto-Device all of the Assets (as defined below), which are necessary or reasonably
required for the operation of the opto-device business of Hitachi’s Semiconductor and Integrated
Circuits Group (“SIC”) and Hitachi Tohbu Semiconductor, Ltd., a corporation existing under
the laws of Japan and a Wholly-Owned Subsidiary of Hitachi (“HTS”). This IP License
Agreement provides the terms and conditions under which Hitachi will be licensing to Opto-Device
the Intellectual Property (as defined below) rights, which are necessary or reasonably required for
the operation of the Business (as defined below) and which were not transferred/assigned under the
Business Transfer Agreement;

          WHEREAS, simultaneously with the execution of this IP License Agreement, Hitachi is entering
into the Stock Purchase Agreement pursuant to which OpNext will acquire all of the outstanding
capital stock of Opto-Device; and

          WHEREAS, as part of the transfer of Assets related to the Business pursuant to the Business
Transfer Agreement, Hitachi and Opto-Device desire to enter into this IP License Agreement to set
forth the terms and conditions regarding the license of the Intellectual Property related to the
Business.

          NOW, THEREFORE, in consideration of the mutual covenants contained herein and other good and
valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties
to this IP License Agreement hereby agree as follows:

Section 1. Definitions. The following terms, when used herein with initial capital
letters, shall have the respective meanings set forth in this Section 1.

          (a) “Added Products” shall have the meaning as set forth in Section 3(a) of this IP
License Agreement.

          (b) “Affiliate” of any particular Person shall mean any other Person controlling,
controlled by or under common control with such particular Person, where “control” means the
possession, directly or indirectly, of the power to direct the management and policies of a Person
whether through the ownership of voting securities, contract or otherwise.

1

 

          (c) “Assets” shall have the meaning as set forth in Section 1(c) of the Stock Purchase
Agreement.

          (d) “Assigned IP” shall have the meaning as set forth in Section 9(b) of the Stock
Purchase Agreement.

          (e) “Business” shall mean, collectively, the HTS Business and the SIC Business.

          (f) “Commercially Reasonable Efforts” shall mean diligent and commercially reasonable and
expeditious efforts to accomplish a task or objective in a manner that is at least equal to the
efforts, quality and resources devoted by a party that such party would apply to its own high
priority task or objective under similar circumstances.

          (g) “Closing” shall have the meaning a s set forth in Section 4 of the Stock Purchase
Agreement.

          (h) “Closing Date” shall have the meaning as set forth in Section 4 of the Stock Purchase
Agreement.

          (i)“Cure Period” shall have the meaning as set forth in Section 3(b)(ii) of this IP
License Agreement.

          (j) “Dispute Notice” shall have the meaning as set forth in Section 12 of this IP License
Agreement.

          (k) “Existing Third Party License Agreements” shall have the meaning as set forth in
Section 5(a) of this EP License Agreement.

          (l) “Future Hitachi IP” shall have the meaning as set forth in Section 3(f) of this IP
License Agreement.

          (m) “Future Third Party License Agreements” shall have the meaning as set forth in Section
5(a) of this IP License Agreement.

          (n) “HTS Business” shall mean the business of manufacturing opto-device Products for
telecommunication, information application and industrial uses operated by HTS as of the Closing.

          (o) “Indemnified Party” shall have the meaning as set forth in Section 11(g) of this IP
License Agreement.

          (p) “Intellectual Property” shall mean all: (i) patents, patent applications, patent
disclosures and inventions (including all extensions, reexaminations, reissues, continuations and
renewals related thereto); (ii) copyrights (registered or unregistered and all renewals thereof)
and copyrightable works and registrations and applications for registration thereof; (iii) mask
works and registrations and applications for registration thereof; (iv) computer software, data,
databases and documentation thereof; and (v) trade secrets and other confidential

2

 

information
(including ideas, formulas, compositions, inventions (whether patentable or
unpatentable and whether or not reduced to practice), know-how, manufacturing and production
processes and techniques, research and development information, drawings, specifications, designs,
plans, proposals, technical data, operating, maintenance and safety materials and drawings, test
procedures, test data, sources of materials and supplies, financial and marketing plans and
customer and supplier lists and information). Intellectual Property, as referred to in this IP
License Agreement, refers to rights throughout the world, including any equivalent of any of the
foregoing in any jurisdiction or under any laws, regulations or treaties.

          (q) “Licensed IP” shall have the meaning set forth in Section 3(a) of this IP License
Agreement.

          (r) “Losses” shall have the meaning set forth in Section 11(c) of this IP License
Agreement.

          (s) “Material Adverse Effect” shall mean a change, effect, event or occurrence with
respect to Opto-Device, the Business or the Assets that, individually or in the aggregate, is/are
reasonably likely to be materially adverse to the financial condition, assets, operations or
business of Opto-Device, the Business or the Assets, other than (i) changes relating to United
States, Japanese or other foreign economies in general or the industry of the Business in general
and not specifically relating to the Business and (ii) to the extent that the Business and the
Assets were operated by Hitachi and HTS in substantially the same manner as the Business and the
Assets were operated by Hitachi and HTS prior to June 11, 2002, changes that are the result of
disruptions to the Business as a result of Hitachi’s review and consideration of a reorganization
of the Business or the execution of this IP License Agreement or the announcement of the
transactions contemplated hereby or by the Stock Purchase Agreement (none of which shall be deemed
to constitute a failure of the condition set forth in this IP License Agreement).

          (t) “Minority-Owned Affiliate” shall mean any entity that a party, directly or indirectly,
at any time, owns or controls twenty percent (20%) to fifty percent (50%) of the voting equity
shares or securities convertible into such shares.

          (u) “Non-Transferred License Agreements” shall have the meaning as set forth in Section
10(b) of this IP License Agreement.

          (v) “OpNext Japan” shall mean OpNext Japan, Inc., a corporation existing under the laws of
Japan and a Wholly-Owned Subsidiary of OpNext.

          (w) “OpNext Japan R&D Agreement” shall mean the Research and Development Agreement, dated
as of July 31, 2001, by and between Hitachi and OpNext Japan, as amended on the date hereof by the
First Amendment to OpNext Japan R&D Agreement, by and among Hitachi, OpNext Japan and Opto-Device,
and as otherwise amended, supplemented or modified from time to time.

          (x) “OpNext Parties” shall have the meaning as set forth in Section 11(a) of this IP
License Agreement.

3

 

          (y) “Opto-Device IP” shall have the meaning as set forth in Section 4(a) of this IP
License Agreement.

          (z) “Opto-Device Third Party License Agreement” shall have the meaning as set forth in
Section 5(d) of this IP License Agreement.

          (aa) “Person” shall mean any individual, corporation, partnership, limited liability
company, business trust, association, joint stock company, trust, unincorporated organization,
joint venture, firm or other entity or a government or any political subdivision or agency,
department or instrumentality thereof.

          (bb) “SIC Business” shall mean the business of designing, developing, manufacturing,
selling and distributing opto-device Products for telecommunication, information application and
industrial uses operated by Hitachi’s Semiconductor and Integrated Circuits Group as of the
Closing.

          (cc) “Subsidiary” shall mean, with respect to any Person, any corporation, limited
liability company, partnership, association or other business entity of which (i) if a corporation,
a majority of the total voting power of shares of stock entitled (without regard to the occurrence
of any contingency) to the vote in the election of directors, managers, or trustees thereof is at
the time owned or controlled, directly or indirectly, by that Person or one or more of the other
Subsidiaries of that Person or a combination thereof or (ii) if a limited liability company,
partnership, association or other business entity, a majority of the limited liability company,
partnership or other similar ownership interest thereof is at the time owned or controlled,
directly or indirectly, by any Person or one or more Subsidiaries of that Person or a combination
thereof. For purposes hereof, a Person or Persons shall be deemed to have a majority ownership
interest in a limited liability company, partnership, association or other business entity if such
Person or Persons shall be allocated a majority of limited liability company, partnership,
association or other business entity gains or losses or shall be or control the managing director
or general partner of such limited liability company, partnership, association or other business
entity.

          (dd) “Third Party Claim” shall have the meaning as set forth in Section 11(g) of this IP
License Agreement.

          (ee) “Third Party License Agreements” shall have the meaning as set forth in Section 5(a)
of this IP License Agreement.

          (ff) “Wholly-Owned Subsidiaries” shall mean, with respect to any Person, any corporation,
limited liability company, partnership, association or other business entity of which (i) if a
corporation, one hundred percent (100%) of the total voting power of shares of stock entitled
(without regard to the occurrence of any contingency) to vote in the election of directors,
managers or trustees thereof is at the time owned or controlled, directly or indirectly, by that
Person or one or more of the other Wholly-Owned Subsidiaries of that Person or a combination
thereof or (ii) if a limited liability company, partnership, association or other business entity,
all of the limited liability company, partnership or total ownership interest thereof is at the
time

4

 

owned or controlled, directly or indirectly, by any Person or one or more other Wholly-Owned
Subsidiaries of that Person or a combination thereof.

Section 2. Assigned Intellectual Property.

          (a) License. Opto-Device shall license, and does hereby license effective as of the
Closing Date, the Assigned IP back to Hitachi arid its Wholly-Owned Subsidiaries on a fully
paid-up, non-exclusive, perpetual and irrevocable basis to use, make, have made, sell, advertise,
offer to sell, lease, import, export and supply products and services throughout the world using
the Assigned IP, unless otherwise terminated according to the provisions in this IP License
Agreement. For the avoidance of doubt, this IP License Agreement does not grant Hitachi or its
Wholly-Owned Subsidiaries the right to sublicense the Assigned IP and Hitachi and its Wholly-Owned
Subsidiaries shall not have the right to sublicense the Assigned IP without the prior written
consent of Opto-Device, not to be unreasonably withheld, unreasonably delayed or unreasonably
conditioned.

          (b) Review of Obligations. The obligations set forth in this Section 2 shall expire on
the tenth (10th) anniversary of the Closing Date; provided, however,
that the license under Assigned IP existing as of the tenth (10th) anniversary of the
Closing Date shall continue, under reasonable terms and conditions to be agreed between the
parties, until the expiration of all of such Assigned IP.

          (c) Status of Wholly-Owned Subsidiaries.

               (i) License to Assigned IP. If at any time a Wholly-Owned Subsidiary of Hitachi ceases to
remain a Wholly-Owned Subsidiary of Hitachi, Hitachi shall provide written notice of such change to
Opto-Device in accordance with Section 20 of this IP License Agreement and the license under
Assigned IP to such Wholly-Owned Subsidiary, shall continue, pursuant to the terms and conditions
of this IP License Agreement.

               (ii) Sublicenses. For the avoidance of doubt, this IP License Agreement does not grant
Wholly-Owned Subsidiaries of Hitachi the right to sublicense the Assigned IP and an entity that
ceases to remain a Wholly-Owned Subsidiary of Hitachi shall not have the right to sublicense the
Assigned IP without the prior consent of Opto-Device, not to be unreasonably withheld, unreasonably
delayed or unreasonably conditioned; provided, however, that to the extent any
sublicenses have been granted with Opto-Device’s prior written consent with respect to the Assigned
IP during the time such entity is a Wholly-Owned Subsidiary of Hitachi, such sublicenses shall
continue, pursuant to the terms and conditions of this IP License Agreement and such sublicense.

Section 3. Licensed Intellectual Property.

          (a) Definition. “Licensed IP” shall mean: (i) existing, issued patents and
pending patent applications of Hitachi filed prior to the tenth (10th) anniversary of
the Closing Date (including all extensions, reexaminations, reissues, continuations and renewals
related thereto) covering the products of the Business listed on Exhibit B to the Stock
Purchase Agreement and processes of the Business, throughout the world, which cannot be transferred
to

5

 

Opto-Device due to Hitachi’s reasonable requirements to use such Intellectual Property in
other Hitachi business units; and (ii) all know-how and other Intellectual Property used in
connection with the Business in whatever form that was not capable of assignment pursuant to the
provisions of the Business Transfer Agreement due to Hitachi’s reasonable requirements to use such
Intellectual Property in other Hitachi business units (e.g., product specifications,
manufacturing processes, quality control procedures, instruction and/or operating, maintenance and
safety materials and drawings, test procedures, test data, sources of material and supplies and the
like). Hitachi shall use Commercially Reasonable Efforts to list all material patents that
constitute Licensed IP on Exhibit A hereto, which schedule may be amended by the parties’
mutual written consent, together with an explanation of why each patent cannot be transferred to
Opto-Device pursuant to the Business Transfer Agreement. For nine (9) months following the
Closing, Hitachi and Opto-Device agree to cooperate in supplementing Exhibit B to the Stock
Purchase Agreement to include all products sold by the Business and/or planned as of the Closing
Date, all products planned during the one (1) year period prior to the Closing Date that pertain to
the following research areas: (i) Tunable Lasers; (ii) 40G; (iii) Packaging Technology; and (iv)
Modulators, and all products sold by the Business during the one (1) year period prior to the
Closing Date; provided, however, to the extent any products are added to
Exhibit B of the Stock Purchase Agreement that were not sold or planned as of the Closing
Date (“Added Products”), at that time the parties will negotiate in good faith and on
reasonable terms the extent to which the representations, warranties and covenants, or any other
obligations of Hitachi under this IP License Agreement, the Stock Purchase Agreement and the OpNext
Japan R&D Agreement would apply to such Added Products. For two (2) years following the Closing,
Hitachi and Opto-Device agree to cooperate in supplementing Exhibit A hereof to include all
material patents that are necessary or reasonably required for the purpose of operation of the
Business as conducted on the Closing Date.

          (b) License.

               (i) Hitachi shall license, and does hereby license effective as of the Closing Date, the
Licensed IP to Opto-Device, on a fully paid-up, non-exclusive, perpetual and irrevocable basis to
use, make, have made, sell, advertise, offer to sell, lease, import, export and supply products and
services throughout the world using the Licensed IP, unless otherwise terminated according to the
provisions in this IP License Agreement.

               (ii) Termination Conditions. Such license shall not be terminated or its exploitation
enjoined, until and unless: (i) Opto-Device has committed a material breach of its obligations
under this IP License Agreement, Hitachi has given written notice of such breach to Opto-Device and
such breach remains uncured after sixty (60) days of receiving notice of such breach (the “Cure
Period”), or, in the case of a breach that cannot be cured within such Cure Period, Opto-Device
has not instituted within such Cure Period steps necessary to remedy the default and/or thereafter
has not diligently pursued the same to completion; or (ii) Opto-Device has committed an incurable
material breach. In the event the breach is a curable breach that cannot be cured within the Cure
Period but with respect to which Opto-Device has instituted steps necessary to remedy the default
and is thereafter diligently pursuing such cure, both parties shall negotiate to determine whether
further pursuit of such cure is reasonable. If the parties cannot agree on a resolution in such
negotiations, then this issue shall be referred to arbitration

6

 

pursuant to the arbitration
procedures set forth in Exhibit B hereto to decide whether such breach
can be cured or any other alternative remedy should be adopted. In the event the breach is an
incurable breach, the parties agree that the matter shall be referred to arbitration pursuant to
the arbitration procedures set forth in Exhibit B hereto to determine the appropriate
remedy. In the event that either party submits the dispute to arbitration, both parties shall
cooperate in such binding arbitration in accordance with Exhibit B.

          (c) Sublicense.

               (i) Subsidiaries. Hitachi will grant, and does hereby grant effective as of the
Closing Date, to Opto-Device the right to freely sublicense the Licensed IP to its Subsidiaries,
OpNext and OpNext’s Subsidiaries; provided, however, that Opto-Device will not have
the right to sublicense any Licensed IP that is developed or filed for after the Closing Date, to
any entity other than OpNext and Opto-Device’s and OpNext’s Wholly-Owned Subsidiaries, without the
prior written consent of Hitachi, not to be unreasonably withheld, unreasonably delayed or
unreasonably conditioned.

               (ii) Minority-Owned Affiliates. Opto-Device shall be permitted to further sublicense
the Licensed IP to its Minority-Owned Affiliates, subject to approval by Hitachi, not to be
unreasonably withheld, unreasonably delayed or unreasonably conditioned, and to commercially
reasonable restrictions to be imposed by Hitachi that will be agreed to by the parties in writing.

               (iii) Customers. Opto-Device shall be permitted to further sublicense the Licensed IP
to its customers as necessary or appropriate in connection with the completion of Opto-Device’s
products and services, to complete the sale of products or services in the ordinary course of
business or to enable joint development of a product or system with Opto-Device’s customers to be
manufactured and sold by Opto-Device to such customers, provided Opto-Device proposes the terms and
conditions of such sublicense to Hitachi and agrees that such sublicense shall be subject to
Hitachi’s exercise of one (1) of the following options in Hitachi’s sole discretion, with respect
to the terms and conditions proposed by Opto-Device: (i) Hitachi may consent to the sublicense
terms and conditions as is; (ii) Hitachi may propose that a revised version of the sublicense, with
reasonably modified terms and conditions be utilized; (iii) Hitachi may enter into a direct license
with Opto-Device’s customer under the same terms and conditions as Opto-Device’s proposed
sublicense; (iv) Hitachi may propose to enter into a direct license with Opto-Device’s customer
under reasonably modified terms and conditions; or (v) Hitachi may commence discussions with
Opto-Device to reach a resolution of Hitachi’s concerns with respect to such sublicense, if Hitachi
believes such sublicense is not in the best interest of the parties. Hitachi shall have the sole
discretion to determine which of the five (5) foregoing options Hitachi will exercise in each case.
With respect to Hitachi’s exercise of one (1) of the five (5) foregoing options, Hitachi agrees to
provide consents to and/or notify Opto-Device of Hitachi’s proposed modifications within fifteen
(15) Business Days of receipt of the sublicense terms and conditions from Opto-Device. In the
event that Hitachi exercises one (1) of the five (5) foregoing options, the parties agree to
negotiate in good faith and on reasonable terms to resolve the situation within a reasonable amount
of time, which shall not exceed fifteen (15) Business Days of Hitachi’s provision of such a
response to Opto-Device;

7

 

provided, however, Hitachi shall not contact such
Opto-Device customers that are the subject of negotiations between Hitachi and Opto-Device, without
the prior written consent of Opto-Device
prior to the resolution of such negotiations. If the parties cannot agree on a resolution in
such negotiations, then this issue shall be referred to arbitration pursuant to the arbitration
procedures set forth in Exhibit B hereto. In the event that either party submits the
dispute to arbitration, both parties shall cooperate in such binding arbitration in accordance with
Exhibit B.

          (d) Review of Obligations. The obligations set forth in this Section 3 shall expire on
the tenth (10th) anniversary of the Closing Date; provided, however,
that the license under Licensed IP existing as of the tenth (10th) anniversary of the
Closing Date shall continue, under reasonable terms and conditions to be agreed between the
parties, until the expiration of all of such Licensed IP. Notwithstanding the foregoing, if one
(1) of the conditions set forth in Section 3(b)(ii) is met, Hitachi may elect to be completely
relieved of its obligations set forth in this Section 3. If Hitachi elects to be relieved of its
obligations under this Section 3, the parties shall renegotiate in good faith and on commercially
reasonable terms a new license governing the Licensed 1P.

          (e) Obligation to Maintain Intellectual Property. Hitachi shall continue to maintain in
effect all Intellectual Property relating to the Business through the Closing Date in the same
manner as Hitachi has done prior to entering into the Stock Purchase Agreement. After the Closing
Date, the Licensed IP shall be maintained by the division of Hitachi in control of such Licensed IP
in a manner that is equal to the efforts, quality and resources devoted by such division as
applicable in the ordinary course of the business from time to time for similar Intellectual
Property.

          (f) Future Hitachi IP. “Future Hitachi IP” shall mean patents that may be issued to
Hitachi and patent applications (including all extensions, reexaminations, reissues, continuations
and renewals related thereto) that may be filed by Hitachi after the Closing Date but prior to the
tenth (10th) anniversary of the Closing Date that are reasonably relevant to the
Business as conducted on the Closing Date and as modified or expanded in the future to the extent
that any such modification or expansion relates to modifications to, extensions of or new versions
of product lines existing or planned as of the Closing Date. The parties agree to cooperate and
consult with each other to develop procedures by which Opto-Device will keep Hitachi informed of
any modifications or expansions to the Business in order for Hitachi to identify Future Hitachi IP
and notify Opto-Device accordingly. If requested by Opto-Device, any of such Future Hitachi IP
will be licensed to Opto-Device under the terms and conditions set forth in Section 3(b)(i). Any
such license pursuant to this Section 3(f) shall be subject to the termination provisions in
Section 3(b)(ii), the sublicensing terms in Section 3(c), the renegotiation terms in Section 3(d)
and the maintenance terms in Section 3(e). Notwithstanding Section 3(c), Opto-Device will have the
right to freely sublicense Future Hitachi IP to its Subsidiaries, OpNext and OpNext’s Subsidiaries
even if such Future Hitachi IP is developed or filed after the Closing Date. In the event that the
parties disagree as to whether any particular Intellectual Property developed by Hitachi after the
Closing constitutes Future Hitachi IP, the parties shall first attempt to resolve the dispute
through good faith and reasonable negotiations in accordance with Section 12 hereof. In the event
that the dispute cannot be resolved through such negotiations, a party shall refer the dispute to
arbitration pursuant to the arbitration procedures

8

 

set forth in Exhibit B hereto. In the
event that either party
submits the dispute to arbitration, both parties shall cooperate in such binding arbitration in
accordance with Exhibit B.

          (g) Transfer of Licensed IP. In the event a division of Hitachi that is the owner of the
Licensed IP or any Future Hitachi IP that is licensed to Opto-Device under Section 3(f) is sold or
otherwise transferred by Hitachi, Hitachi will make necessary arrangements to secure a license
under the terms and conditions of this IP License Agreement for Opto-Device from the new owner such
that Opto-Device can continue to use such Licensed IP and such Future Hitachi IP until such
Licensed IP and/or Future Hitachi IP expires hereunder, unless otherwise terminated according to
the provisions of this IP License Agreement.

          (h) Change in Status.

          If at any time a Subsidiary, Wholly-Owned Subsidiary or Minority-Owned Affiliate of
Opto-Device or a Subsidiary or Wholly-Owned Subsidiary of OpNext ceases to remain a Subsidiary,
Wholly-Owned Subsidiary or Minority-Owned Affiliate (as appropriate) to the extent any sublicenses
have been granted by Opto-Device or OpNext to such entity with respect to the Licensed IP during
the time such entity is such a Subsidiary, Wholly-Owned Subsidiary or Minority-Owned Affiliate (as
appropriate), such sublicenses of Licensed IP existing as of the date such entity ceases to remain
a Subsidiary, Wholly-Owned Subsidiary or Minority-Owned Affiliate (as appropriate) shall continue,
pursuant to the terms and conditions of this IP License Agreement and such sublicense.

Section 4. Opto-Device Intellectual Property.

          (a) Definition. “Opto-Device IP” shall mean patents issued and patent applications
filed after the Closing Date (including all extensions, reexaminations, reissues, continuations and
renewals related thereto) of Opto-Device but filed prior to the tenth (10th) anniversary
of the Closing Date covering products and processes of the Business, throughout the world (but
excluding Assigned IP and Licensed IP).

          (b) License. Opto-Device shall license, and does hereby license as of the Closing Date, the
Opto-Device IP to Hitachi and its Wholly-Owned Subsidiaries on a fully paid-up, non-exclusive,
perpetual and irrevocable basis, to use, make, have made, sell, advertise, offer to sell, lease,
import, export and supply products and services throughout the world using the Opto-Device IP,
unless otherwise terminated according to the provisions of this IP License Agreement. For the
avoidance of doubt, this IP License Agreement does not grant Hitachi or its Wholly-Owned
Subsidiaries the right to sublicense the Opto-Device IP and Hitachi and its Wholly-Owned
Subsidiaries shall not have the right to sublicense the Opto-Device IP without the prior written
consent of Opto-Device, not to be unreasonably withheld, unreasonably delayed or unreasonably
conditioned.

          (c) Termination Conditions. Such license shall not be terminated or its exploitation
enjoined, until and unless: (i) Hitachi has committed a material breach of its obligations under
this IP License Agreement, Opto-Device has given written notice of such breach to Hitachi and such
breach remains uncured after the Cure Period, or, in the case of a breach, which cannot be cured
within such Cure Period, Hitachi has not instituted within such

9

 

Cure Period steps necessary to
remedy the default and/or thereafter has not diligently pursued the same to completion; or (ii)
such a material breach is incurable. In the event the breach is a curable breach that cannot be
cured within the Cure Period but with respect to which Hitachi has instituted steps necessary to
remedy the default and is thereafter diligently pursuing such cure, both parties shall negotiate to
determine whether further pursuit of such cure is reasonable. If the parties cannot agree on a
resolution in such negotiations, then this issue shall be referred to arbitration pursuant to the
arbitration procedures set forth in Exhibit B hereto to decide whether such breach can be
cured or any other alternative remedy should be adopted. In the event the breach is an incurable
breach, the parties agree that the matter shall be referred to arbitration pursuant to the
arbitration procedures set forth in Exhibit B hereto to determine the appropriate remedy.
In the event that either party submits the dispute to arbitration, both parties shall cooperate in
such binding arbitration in accordance with Exhibit B.

          (d) Review of Obligations. The obligations set forth in this Section 4 shall expire on
the tenth (10th) anniversary of the Closing Date; provided, however, that the
license under Opto-Device IP existing as of the tenth (10th) anniversary of the Closing
Date shall continue, under reasonable terms and conditions to be agreed between the parties, until
the expiration of all of such Opto-Device IP. Notwithstanding the foregoing, if one (1) of the
conditions set forth in Section 4(c) is met, Opto-Device may elect to be completely relieved of its
obligations set forth in this Section 4. If Opto-Device elects to be relieved of its obligations
under this Section 4, the parties shall renegotiate in good faith and on commercially reasonable
terms a new license governing the Opto-Device IP.

          (e) Status of Wholly-Owned Subsidiaries.

               (i) License to Opto-Device IP. If at any time a Wholly-Owned Subsidiary of Hitachi
ceases to remain a Wholly-Owned Subsidiary of Hitachi, Hitachi shall provide written notice of such
change to Opto-Device in accordance with Section 20 of this IP License Agreement and the license
under Opto-Device IP existing as of the date such Wholly-Owned Subsidiary ceases to remain a
Wholly-Owned Subsidiary, shall continue, pursuant to the terms and conditions of this IP License
Agreement; provided, however, for any Intellectual Property related to the Business
that is developed by Opto-Device after a Wholly-Owned Subsidiary ceases to remain a Wholly-Owned
Subsidiary, the parties shall negotiate in good faith and on commercially reasonable terms a new
license governing such Intellectual Property.

               (ii) Sublicenses. For the avoidance of doubt, this IP License Agreement does not
grant Wholly-Owned Subsidiaries of Hitachi the right to sublicense the Opto-Device IP and an entity
that ceases to remain a Wholly-Owned Subsidiary of Hitachi shall not have the right to sublicense
the Opto-Device IP without the prior written consent of Opto-Device, not to be unreasonably
withheld, unreasonably delayed or unreasonably conditioned; provided, however, that
to the extent any sublicenses have been granted with Opto-Device’s prior written consent with
respect to the Opto-Device IP during the time such entity is a
Wholly-Owned Subsidiary of Hitachi, such sublicenses shall continue, pursuant to the terms and
conditions of this IP License Agreement and such sublicense.

10

 

Section 5. Third-Party License Agreements.

          (a) Definition. “Third Party License Agreements” shall mean those rights owned by
Hitachi under any license agreements relating to Intellectual Property owned by third parties and
related to the Business, throughout the world, that cannot be assigned under the Business Transfer
Agreement or licensed under Section 3 hereof. “Existing Third Party License Agreements”
are those that are in existence on the Closing Date. “Future Third Party License
Agreements” are those entered into after the Closing Date.

          (b) Existing Third Party License Agreements. To the extent that any Existing Third Party
License Agreement does not provide for an automatic sublicense to Opto-Device, Hitachi shall, upon
Opto-Device’s written request, sublicense, and does hereby sublicense, rights under any such
Existing Third Party License Agreements to Opto-Device but only to the extent that Hitachi has the
right to make available such rights to Opto-Device, subject to the condition that Opto-Device
abides by the terms and conditions of any such Existing Third Party License Agreement. The rights
referred to above will be provided to Opto-Device on a fully paid-up, non-exclusive basis, except
if royalty payments are necessary based specifically on what is being done by Opto-Device, then
Opto-Device shall be liable for such royalty payments. Hitachi shall, upon Opto-Device’s written
request, sublicense rights under Existing Third Party License Agreements to OpNext and OpNext’s and
Opto-Device’s Wholly-Owned Subsidiaries provided: (i) Opto-Device obtains Hitachi’s reasonable
prior written consent; (ii) Hitachi can make available such license rights to OpNext and OpNext’s
and Opto-Device’s Wholly-Owned Subsidiaries; and (iii) OpNext and OpNext’s and Opto-Device’s
Wholly-Owned Subsidiaries abide by the terms and conditions of such Existing Third Party License
Agreements. Notwithstanding the foregoing, if any such sublicense invokes any Japanese tax issues,
then Hitachi shall not be obliged to grant a sublicense to OpNext and OpNext’s and Opto-Device’s
Wholly-Owned Subsidiaries without entering into a separate agreement with OpNext and such
Wholly-Owned Subsidiaries under reasonable terms and conditions to be agreed upon between the
relevant parties to address such tax issues. The sublicense provided in this subsection 5(b) is
subject to the termination provisions of the Existing Third Party License Agreement. The rights
referred to above will be provided to OpNext and such Wholly-Owned Subsidiaries on a fully paid-up,
non-exclusive basis, except if royalty payments are necessary based specifically on what is being
done by OpNext and such Wholly-Owned Subsidiaries, then Opto-Device shall be liable for or shall
cause OpNext and such Wholly-Owned Subsidiaries to be liable for such royalty payments.

          (c) Future Third Party License Agreements. Hitachi shall use Commercially Reasonable Efforts
to obtain the right to sublicense rights to Opto-Device under Future Third Party License
Agreements, which may be entered into by Hitachi after the Closing Date, subject to the condition
that Opto-Device abides by the terms and conditions of such Future Third Party License Agreements.
The rights referred to above will be granted to Opto-Device on a fully paid-up, non-exclusive
basis, except if royalty payments are necessary based specifically on what is being done by
Opto-Device, then Opto-Device shall be
liable for such royalty payments. Hitachi shall, upon Opto-Device’s written request, sublicense
rights under Future Third Party License Agreements to OpNext and OpNext’s and Opto-Device’s
Wholly-Owned Subsidiaries provided: (i) Opto-Device obtains Hitachi’s reasonable prior written
consent; (ii) Hitachi can

11

 

make available such license rights to OpNext and OpNext’s and
Opto-Device’s Wholly-Owned Subsidiaries; and (iii) OpNext and OpNext’s and Opto-Device’s
Wholly-Owned Subsidiaries abide by the terms and conditions of such Future Third Party License
Agreements. Notwithstanding the foregoing, if such sublicense invokes any Japanese tax issues then
Hitachi shall not be obliged to grant a sublicense to OpNext and OpNext’s and Opto-Device’s
Wholly-Owned Subsidiaries without entering into a separate agreement with OpNext and such
Wholly-Owned Subsidiaries under reasonable terms and conditions to be agreed upon between the
relevant parties to address such tax issues. The sublicense provided in this subsection 5(c) is
subject to the termination provisions of the Future Third Party License Agreements. The rights
referred to above will be provided to OpNext and such Wholly-Owned Subsidiaries on a fully paid-up,
non-exclusive basis, except if royalty payments are necessary based specifically on what is being
done by OpNext and such Wholly-Owned Subsidiaries, then Opto-Device shall be liable for or shall
cause OpNext and such Wholly-Owned Subsidiaries to be liable for such royalty payments.

          Hitachi shall provide an analysis of its Existing Third Party License Agreements that are
cross-licenses with major competitors of Opto-Device’s products sold as of the Closing Date,
including whether Opto-Device is covered by such cross-license agreement and whether Opto-Device
has the option to be covered, or to not be covered, by such cross-license agreement. In addition,
within one hundred and eighty (180) days after the Closing Date, Hitachi shall cooperate with
Opto-Device in creating a list of all Existing Third Party License Agreements that are material to
the Business. Such a list may be amended from time to time to include Future Third Party License
Agreements that may be material to the Business, as determined by Hitachi and Opto-Device after
reviewing the rights available under such Future Third Party License Agreements. Upon request from
Opto-Device, Hitachi shall consult with and provide reasonable assistance to Opto-Device employees
with respect to the foregoing. Within one hundred and eighty (180) days after the Closing Date,
Hitachi and Opto-Device agree to negotiate in good faith and on a reasonable basis to create a
mechanism whereby: (i) Hitachi can, to the extent it becomes aware of or is notified about
termination, renegotiation or any other material change under an Existing Third Party License
Agreements or Future Third Party License Agreements that Opto-Device includes in its list of
material licenses, communicate to Opto-Device within a reasonable period of time information
relating to such termination, renegotiation or material change to the rights prior to such events
occurring; and (ii) Opto-Device can communicate with Hitachi prior to the termination or material
change to the rights available to be sublicensed by Hitachi to Opto-Device under the Existing Third
Party License Agreements and under any Future Third Party License Agreements. Both parties agree
to cooperate with each other to minimize any impact of such termination and renegotiation events.

          (d) Other Agreements. In the event that Opto-Device or one of its Affiliates obtains a
separate license agreement for Intellectual Property related to the Business with the same
unrelated third party with which Hitachi had a Third Party License Agreement (“Opto- Device
Third Party License Agreement”), Opto-Device will cooperate with and reasonably assist Hitachi
in its efforts to obtain a license with that party under substantially the same terms and
conditions as those under such Opto-Device Third Party License Agreement it has obtained with
such third party. If permitted by the terms of such Opto-Device Third Party License
Agreement,

12

 

Opto-Device will grant a sublicense of the Intellectual Property rights to Hitachi under
such Opto-Device Third Party License Agreement.

          (e) Termination of Obligations. The obligations set forth in this Section 5 shall
terminate upon a Change of Control (as defined in the Stockholders’ Agreement, dated July 31, 2001,
among OpNext, Hitachi and Clarity Partners, L.P., a Delaware limited partnership, Clarity OpNext
Holdings I, LLC, a Delaware limited liability company and Clarity OpNext Holdings II, LLC, a
Delaware limited liability company) of Opto-Device.

Section 6. Representations and Warranties of Hitachi.

          (a) Assigned IP and Licensed IP. Except as disclosed on Schedule 6(a) or in Section
11(a), Hitachi hereby represents and warrants that:

               (i) Hitachi owns or has the right to use and sublicense the Licensed IP, and Hitachi has the
rights to manufacture and/or sell products including the Licensed IP and to license such rights to
Opto-Device and has timely filed and prosecuted patent applications for the Assigned IP and
Licensed IP in accordance with Hitachi’s standard business practices;

               (ii) Except as provided in Exhibit C and Section 11(a), no claims, which could
reasonably be expected to have a Material Adverse Effect, are pending in writing or, to the best
knowledge of Hitachi, threatened in writing against Hitachi as of the Closing Date by any Person
with respect to the material patents listed on Exhibit A;

               (iii) To Hitachi’s Knowledge, there has been no event or circumstance relating to the Business
that poses an unreasonable risk of infringing a patent. Except with respect to the claims
referenced in Section 11(a) of this IP License Agreement, a list of each warning letter that has
been addressed to Hitachi products made or sold as part of the operation of the Business, and a
list of all attorney opinions that have been obtained regarding non-infringement of patents
relating to the Business, is provided in Exhibit C. A copy of each such letter and opinion
shall be provided to Opto-Device, to the extent that such can be done without waiving any
attorney-client privilege;

               (iv) As of the Closing, Hitachi shall have assigned under the terms and conditions of the
Business Transfer Agreement or licensed under the terms and conditions hereof to Opto-Device the
Intellectual Property necessary or reasonably required for the purpose of the operation of the
Business as of the Closing Date; and

               (v) Hitachi is in compliance with the terms and conditions related to Intellectual Property
contained in the Stock Purchase Agreement.

          (b) Authority. Hitachi is a corporation duly organized under the laws of Japan. Hitachi has
all requisite corporate power and authority to enter into this IP License Agreement and to
consummate the
transactions contemplated hereby. All corporate acts and other proceedings required to be taken by
Hitachi to authorize the execution, delivery and performance of this IP License Agreement and the
consummation of the transactions contemplated hereby have been duly and properly taken. This IP
License Agreement has been

13

 

duly executed and delivered by Hitachi and constitutes the valid and
binding obligation of Hitachi, enforceable against Hitachi in accordance with its terms.

          (c) No Conflicts. The execution and delivery by Hitachi of this IP License Agreement do not,
and the consummation by Hitachi of the transactions contemplated hereby and compliance by Hitachi
with the terms hereof do not and shall not: (i) conflict with or result in a breach of the terms,
conditions or provisions of; (ii) constitute a default under; (iii) result in the creation of any
lien, security interest, charge or encumbrance upon Hitachi’s capital stock or assets under; (iv)
give any third party the right to modify, terminate or accelerate any obligation under; (v) result
in a violation of; or (vi) require any authorization, consent, approval, exemption or other action
by or notice or declaration to, or filing with, any court or administrative or governmental body or
agency pursuant to the charter documents of Hitachi, or any law, statute, rule or regulation to
which Hitachi is subject, or any agreement, instrument, order, judgment or decree to which Hitachi
is subject.

          (d) Litigation, etc. Except as set forth in Section 11(a), there are no actions, suits,
proceedings, orders, investigations or claims pending or, to the best of Hitachi’s Knowledge,
threatened against Hitachi, at law or in equity, before or by any governmental department,
commission, board, bureau, agency or instrumentality (including any actions, suits, proceedings or
investigations with respect to the transactions contemplated by this IP License Agreement) or any
facts that are known by Hitachi to form a reasonable basis for any such action, suit, proceeding,
order, investigation or claim, which, in the case of any of the foregoing items, could reasonably
be expected to have material adverse effect on the ability of Hitachi to consummate the
transactions contemplated hereby.

          (e) Infringement of Licensed IP. To the extent a competitor of the Business is infringing or
misappropriating the Licensed IP or any Future Hitachi IP that is licensed to Opto-Device under
Section 3(b) or Section 3(f), respectively, in Opto-Device’s reasonable business judgment and such
infringement is material to the Business, Hitachi, in its sole discretion, will protect
Opto-Device’s interest by either: (i) initiating and maintaining legal proceedings with respect to
such alleged infringement or misappropriation against any such Person on behalf of Opto-Device or
(ii) by taking some other appropriate action that will not have a Material Adverse Effect on the
ongoing business of Opto-Device; provided that with respect to clauses (i) and (ii), both parties
shall consult and cooperate with each other in determining how to respond to the infringing
activities. For the avoidance of doubt, Hitachi may or may not consult with Opto-Device prior to
determining whether to pursue (i) or (ii). Upon the resolution of such infringement by settlement
or otherwise, any damages, profits and awards of whatever nature recoverable for such infringement
shall, after deducting the parties’ expenses, be reasonably allocated between the parties based on
the facts and circumstances of the infringement. Both parties will reasonably consider the option
of settling
such matter by granting a sublicense of all or portion of the Licensed IP and any Future Hitachi IP
that is licensed to Opto-Device.

          (f) Product Clearance Searches. In accordance with Hitachi’s ordinary business practice
for new product release searches, Hitachi has conducted appropriate patent clearance searches
during the design process and prior to putting on the market those products

14

 

listed on Exhibit
B to the Stock Purchase Agreement that are sold as of the Closing Date, and based upon the
information obtained during such clearance searches Hitachi does not believe there is a likelihood
that the products listed on Exhibit B to the Stock Purchase Agreement that are on the
market as of the Closing Date infringe the intellectual property of any third party in such markets
in which such products have been introduced.

Section 7. Covenants of Hitachi. Hitachi covenants and agrees as follows:

          (a) Ordinary Course. Except as permitted by the terms of this IP License Agreement,
during the period beginning on March 31, 2002 and ending on the Closing Date, Hitachi shall cause
the Business to be conducted in the ordinary course and in accordance with all applicable laws and
regulations.

          (b) Covenant Not to Sue. Hitachi herewith covenants not to sue Opto-Device or OpNext for
infringement or misappropriation of any Intellectual Property related to the Business, throughout
the world. Hitachi also covenants not to sue any sublicensees of Opto-Device that are authorized
pursuant to the terms of Section 3(c) or customers of Opto-Device or OpNext for infringement or
misappropriation of any Intellectual Property related to the Business throughout the world;
provided, however, covenants not to sue customers of Opto-Device or OpNext shall be
applied in accordance with the “exhaustion doctrine” such that it only extends to products or
methods provided by Opto-Device or OpNext to customers and shall not extend to any portions of any
systems or subsystems or any other customer’s products or methods that incorporate such products or
methods provided by Opto-Device or OpNext to the extent such portions are not covered by Assigned
IP, Licensed IP or Third Party License Agreements (to the extent that Hitachi has a right to sue
thereunder).

          (c) Confidentiality

               (i) Subject to Section 13(l) of the Stock Purchase Agreement, with respect to any information
furnished to Hitachi and its Affiliates pursuant to the Business Transfer Agreement, the Stock
Purchase Agreement or this IP License Agreement, that Hitachi and its Affiliates reasonably
understands to be proprietary or confidential in nature and any confidential information relating
to the Business, including Assigned IP and Opto-Device IP, Hitachi and its Affiliates shall
maintain the confidentiality of all such information in accordance with Hitachi’s and its
Affiliates’ policies respectively for the protection of their own nonpublic information (which
policies shall provide at least reasonable protection) and the terms and conditions of the Stock
Purchase Agreement and this IP License Agreement. Hitachi agrees to cause its Affiliates to comply
with the terms of this Section 7(c).

               (ii) The limitations set forth in this Section 7(c) shall not apply with respect to the
disclosure of any information: (A) to Hitachi’s employees, auditors, counsel or other professional
advisors, sublicensees of Hitachi authorized pursuant to the terms of this IP License Agreement or
suppliers (collectively its “Representatives”) if Hitachi, or any of Hitachi’s authorized
sublicensees under this IP License Agreement, in its sole discretion, determine that it is
reasonably necessary for such party to have access to such information, provided that any such
Person agrees to be bound by the provisions of this Section 7(c) to the same extent as Hitachi; (B)
as has become or previously was generally available to the public

15

 

other than by reason of a breach
of this Section 7(c) by Hitachi or has become available to Hitachi after the Closing on a
non-confidential basis; (C) as may be required or reasonably necessary in any report, statement or
testimony submitted to any municipal, state or federal regulatory body having or claiming to have
jurisdiction over Hitachi (it being understood that, to the extent practicable, Hitachi shall
provide Opto-Device with prompt notice to any such event and cooperate in good faith to enable
Opto-Device to participate to protect its interest in such confidential information); (D) as may be
required in response to any summons or subpoena or in connection with any litigation; and (E) in
order to comply with any law, order, regulation or ruling applicable to Hitachi, and Hitachi shall
be liable for any breach of the provisions hereof by any of its Representatives. In connection
with any employees or former employees of Hitachi and its Affiliates, Hitachi will and will cause
its Affiliates to, use Commercially Reasonable Efforts, at Opto-Device’s request and at Hitachi’s
expense, to enforce existing confidentiality agreements and rights under United States or Japanese
law requiring employees to keep trade secrets confidential and to assign intellectual property
rights to Hitachi and its Affiliates (as applicable).

          (iii) Notwithstanding Section 7(c)(ii), to the extent that after the Closing Date, Hitachi
desires to disclose to Hitachi’s sublicensed Subsidiaries that are not Wholly-Owned Subsidiaries,
sublicensed Affiliates (including sublicensed Minority-Owned Affiliates) and/or suppliers (i)
Opto-Device IP and/or (ii) any information furnished to Hitachi pursuant to this IP License
Agreement, the Stock Purchase Agreement, the Business Transfer Agreement and the OpNext Japan R&D
Agreement, which Hitachi reasonably understands to be proprietary or confidential in nature and any
confidential information relating to the Business that Hitachi did not disclose to its sublicensed
Affiliates and/or suppliers prior to the Closing Date, Hitachi shall notify Opto-Device of such
desire and propose the terms and conditions of an appropriate nondisclosure agreement into which
Opto-Device and the corresponding Hitachi sublicensee may enter. Opto-Device agrees that within
fifteen (15) Business Days of receipt of such request and proposed nondisclosure agreement,
Opto-Device shall, at its sole discretion, either: (i) enter into the proposed nondisclosure
agreement and directly provide the requested confidential information to such Hitachi Affiliate or
supplier; (ii) propose reasonably modified terms and conditions of the nondisclosure agreement
under which Opto-Device will provide the requested confidential information to Hitachi’s Affiliate
or supplier; or (iii) commence discussions with Hitachi to reach a resolution of Opto-Device’s
concerns with respect to such disclosure, if Opto-Device believes such disclosure is not in the
best interest of the parties. In the event that Opto-Device elects to exercise option (ii) or
(iii), the parties agree to negotiate in good faith and on reasonable terms to resolve the
situation within a reasonable amount of time, which shall not exceed fifteen (15) Business Days of
Opto-Device’s provision of such a response. If the parties cannot agree on a resolution in such
negotiations, then this issue shall be referred to arbitration pursuant to the arbitration
procedures set forth in Exhibit B hereto. In the
event that either party submits the dispute to arbitration, both parties shall cooperate in
such binding arbitration in accordance with Exhibit B.

          (d) Opto-Device’s and Hitachi’s Trademark, Trade Names, etc. Without limiting any provisions
of the Stock Purchase Agreement or the Indication Agreement, dated as of the Closing Date between
Hitachi and Opto-Device, if necessary, Opto-Device and Hitachi may negotiate in good faith the
terms and conditions under which Hitachi and Opto-Device may

16

 

use any of the trademarks, trade
names, trade dress, service marks, logos and/or domain names relating to the Business and any other
means of identifying the Business or its products or services from and after the Closing Date.

          (e) Taxes. Hitachi will be responsible for the payment of any taxes or duties required in
connection with the licensing or sublicensing of the Licensed IP and Third Party License Agreements
to third parties that are incurred on or prior to the Closing Date.

          (f) New Product Clearance Searches. Between the Closing Date and April 1, 2004, Hitachi
shall cooperate with Opto-Device to complete additional clearance searches for modifications to,
extensions of or new versions of products listed on Exhibit B to the Stock Purchase
Agreement in jurisdictions in which such products will be marketed. If during such clearance
searches, the parties discover that such products infringe a third party’s Intellectual Property in
such jurisdictions, the parties shall consult and cooperate with each other in determining how to
respond to the infringing activities.

          (g) Guaranty.

               (1) Hitachi will use reasonable best efforts to cause its Wholly-Owned Subsidiaries (for so
long as they are Wholly-Owned Subsidiaries) to comply with the terms and conditions of this IP
License Agreement and Hitachi shall be liable for any breach of such terms and conditions.

               (2) Hitachi will use reasonable best efforts to cause its Wholly-Owned Subsidiaries that cease
to remain Wholly-Owned Subsidiaries to comply with the terms and conditions of this IP License
Agreement applicable to such entities and Hitachi shall be liable for any breach of such terms and
conditions.

Section 8. Representations and Warranties of Opto-Device. Opto-Device hereby represents
and warrants to Hitachi as follows:

          (a) Authority. Opto-Device is a corporation duly organized under the laws of Japan.
Opto-Device has all requisite corporate power and authority to enter into this IP License Agreement
and to consummate the transactions contemplated hereby. All corporate acts and other proceedings
required to be taken by Opto-Device to authorize the execution, delivery and performance of this IP
License Agreement and the consummation of the transactions contemplated hereby have been duly and
properly taken. This LP License Agreement has been duly executed and delivered by Opto-Device and
constitutes the valid and binding obligation of Opto-Device, enforceable against Opto-Device in
accordance with its terms.

          (b) No Conflicts. The execution and delivery by Opto-Device of this IP License Agreement
do not, and the consummation by Opto-Device of the transactions contemplated hereby and compliance
by Opto-Device with the terms hereof do not and shall not: (i) conflict with or result in a breach
of the terms, conditions or provisions of; (ii) constitute a default under; (iii) result in the
creation of any lien, security interest, charge or encumbrance upon Opto-Device’s capital stock or
assets under; (iv) give any third party the right to modify, terminate or accelerate any obligation
under; (v) result in a violation of; or (vi) require any

17

 

authorization, consent, approval,
exemption or other action by or notice or declaration to, or filing with, any court or
administrative or governmental body or agency pursuant to the charter documents of Opto-Device, or
any law, statute, rule or regulation to which Opto-Device is subject, or any agreement, instrument,
order, judgment or decree to which Opto-Device is subject.

Section 9. Covenants of Opto-Device. Opto-Device covenants as follows:

          (a) Confidentiality

               (i) With respect to (A) any information furnished to Opto-Device pursuant to the Business
Transfer Agreement, the Stock Purchase Agreement or this IP License Agreement that Opto-Device
reasonably understands to be proprietary or confidential in nature and (B) any other confidential
information, in the case of both (A) and (B), relating to Hitachi’s business (other than
information relating to the Business), and (C) any confidential information relating to Licensed IP
and Third Party License Agreements, Opto-Device shall maintain the confidentiality of all such
information in accordance with Opto-Device’s policies for the protection of its own nonpublic
information (which policies shall provide at least reasonable protection).

               (ii) The limitations set forth in this Section 9(a) shall not apply with respect to the
disclosure of any information: (A) to Opto-Device’s employees, auditors, counsel or other
professional advisors, sublicensees of Opto-Device authorized pursuant to the terms of this IP
License Agreement or suppliers if Opto-Device or the sublicensees of Opto-Device authorized
pursuant to the terms of this IP License Agreement, in their sole discretion, determine that it is
reasonably necessary for such party to have access to such information, provided that any such
Person agrees to be bound by the provisions of this Section 9(a) to the same extent as Opto-Device;
(B) as has become or previously was generally available to the public other than by reason of a
breach of this Section 9(a) by Opto-Device or has become available to OptoDevice on a
non-confidential basis after the Closing; (C) as may be required or reasonably necessary in any
report, statement or testimony submitted to any municipal, state or federal regulatory body having
or claiming to have jurisdiction over Opto-Device (it being understood that, to the extent
practicable, Opto-Device shall provide Hitachi prompt notice to any such event and cooperate in
good faith to enable Hitachi to participate to protect its interest in such confidential
information); (D) as may be required or reasonably necessary in response to any summons or subpoena
or in connection with any litigation; and (E) in order to comply with any law, order, regulation or
ruling applicable to Opto-Device. In connection with any employees of Opto-Device (including any
Seconded Employees who are hired after the date hereof by Opto
Device), Opto-Device will use Commercially Reasonable Efforts to enforce existing
confidentiality agreements and rights which Opto-Device is a party to under United States or
Japanese law requiring employees to keep trade secrets confidential and to assign intellectual
property rights to Opto-Device.

          (b) No Additional Representations. Opto-Device acknowledges that neither Hitachi nor any
other Person has made any representation or warranty, express or implied, as to the accuracy or
completeness of any information regarding the Licensed IP or Third Party

18

 

License Agreements except
as expressly set forth in this IP License Agreement or the Schedules and Exhibits hereto. Without
limiting the generality of the foregoing, Hitachi makes no representation or warranty with respect
to the Licensed IP or Third Party License Agreements, express or implied, beyond those expressly
made in Section 6, including any implied representation or warranty as to the condition,
merchantability, suitability or fitness for a particular purpose of any of the Licensed IP or Third
Party License Agreements and, except for the express representations and warranties of Hitachi
contained in Section 6, Opto-Device takes the Licensed IP or Third Party License Agreements on an
“as is” and “where is” basis.

          (c) Covenant Not to Sue. Opto-Device herewith covenants not to sue Hitachi for
infringement or misappropriation of any Intellectual Property related to the Business, throughout
the world. Opto-Device also covenants not to sue sublicensees of Hitachi authorized pursuant to
the terms of Sections 2(a) and 4(b) of this IP License Agreement or customers of Hitachi for
infringement or misappropriation of any Intellectual Property related to the Business throughout
the world; provided, however, covenants not to sue customers of Hitachi shall be
applied in accordance with the “exhaustion doctrine” such that it only extends to products or
methods provided by Hitachi to customers and shall not extend to any portions of any systems or
subsystems or any other customer’s products or methods that incorporate such products or methods
provided by Hitachi, to the extent such portions are not covered by the Opto-Device IP, Assigned IP
and Licensed IP (to the extent that Opto-Device has a right to sue thereunder).

          (d) Guaranty. Opto-Device will use reasonable best efforts to cause its sublicensees
authorized pursuant to Section 3(c) to comply with the terms and conditions of this IP License
Agreement applicable to such entities and sublicense, and Opto-Device shall be liable for any
breach of such terms and conditions.

Section 10. Mutual Covenants. Hitachi and Opto-Device covenant and agree as follows:

          (a) Consents. Opto-Device acknowledges that certain consents to the transactions
contemplated by this IP License Agreement may be required from parties to Third Party License
Agreements and such consents have not been obtained. Opto-Device agrees that Hitachi and its
Minority-Owned Affiliates shall not have any liability whatsoever to Opto-Device arising out of or
relating to the failure to obtain any consents that may have been or may be required in connection
with the transactions contemplated by this Agreement or because of the default, acceleration or
termination of any contract as a result thereof. Opto-Device further agrees that no
representation, warranty or covenant of Hitachi contained herein shall be breached or deemed
breached and no condition of Opto-Device shall be deemed not to be satisfied as a result of the
failure to obtain any consent or as a result of any such default, acceleration or
termination or any lawsuit, action, claim, proceeding or investigation commenced or threatened
by or on behalf of any Person arising out of or relating to the failure to obtain any consent or
any such default, acceleration or termination. At Opto-Device’s written request prior to the
Closing, Hitachi shall cooperate with Opto-Device in any reasonable manner in connection with
Opto-Device’s obtaining any such consents; provided, however, that such cooperation
shall not include any requirement of Hitachi to expend money, commence any litigation or offer or
grant any accommodation (financial or otherwise) to any Person.

19

 

          (b) Non-Transferred License Agreements. With respect to any Third Party License Agreement
that may not be properly licensed to Opto-Device because of the failure to obtain a required
consent (“Non-Transferred License Agreements”), with respect to which Opto-Device requests
Hitachi’s cooperation and with respect to which Hitachi and Opto-Device are unable to obtain a
separate agreement between Opto-Device and the other party or parties, OptoDevice shall have the
right to require that Hitachi use Commercially Reasonable Efforts to perform any such
Non-Transferred License Agreements, to the extent it relates to the Business, as agent for and for
the account of Opto-Device, for a period up to six (6) months following the Closing Date; provided
that Opto-Device shall indemnify Hitachi for any and all costs, expenses, losses and liabilities
incurred by Hitachi or any of its Affiliates in connection with taking such action.

          (c) Press Releases. Each party agrees to consult with the other as to the general nature of
any news releases or public statements with respect to the transactions contemplated by this IP
License Agreement, and use Commercially Reasonable Efforts not to issue any news releases or public
statements inconsistent with results of such consultations. Subject to applicable laws or the
rules of any applicable securities exchange, each party shall use Commercially Reasonable Efforts
to enable the other party to review and comment on all such news releases prior to the release
thereof.

          (d) Commercially Reasonable Efforts. Subject to the terms of this IP License Agreement,
each party will use its Commercially Reasonable Efforts to satisfy all of the conditions set forth
in this IP License Agreement and to cause the Closing and this IP License Agreement to occur.

          (e) Injunctive Relief. The parties acknowledge and agree that money damages would be
inadequate to remedy any breach of the confidentiality obligations in Sections 7(c) and 9(a) and
that the non-breaching party shall be entitled to obtain equitable or other remedies with respect
to any such breach, including injunctive relief.

Section 11. Indemnification.

          (a) Previously Disclosed Claims. Notwithstanding anything to the contrary herein, with
respect to the written claims of Intellectual Property infringement previously disclosed to the
counsel of OpNext, Opto-Device and their respective Subsidiaries (the “OpNext Parties”),
Hitachi shall defend and indemnify the OpNext Parties with respect to any claims or Losses suffered
or incurred by the OpNext Parties as a result of or arising from such previously
written claims regardless of the timing of such claims or Losses, and shall ensure that such
claims will be resolved in a manner that does not adversely affect the ongoing business of
OptoDevice. Furthermore, none of the limitations or other provisions set forth in Section 11(f)
below will apply to the foregoing indemnification obligations. Hitachi shall consult and cooperate
with Opto-Device in determining whether any claim directly related to the previously disclosed
claims referenced to in the preceding sentences shall be covered by the indemnity set forth in this
section.

20

 

          (b) Intellectual Property Indemnification and Defense.

               (i) Before Closing. Hitachi shall indemnify Opto-Device and its Affiliates and each
of their respective officers, directors, members, stockholders, partners and employees (as
applicable) and hold them harmless from any Losses suffered or incurred by any such Indemnified
Party from any third party patent and copyright infringement claims and trade secret
misappropriation claims regarding products, processes or methods related to the Business as it was
conducted prior to the Closing regardless of the timing of such third party’s claim;
provided, however, that such infringement is not attributable to any Opto-Device
IP.

               (ii) After Closing.

               (1) With respect to third party patent or copyright infringement claims or trade secret
misappropriation claims regarding products, processes or methods related to the Business as it is
conducted after the Closing, Hitachi and Opto-Device shall jointly defend such action but only to
the extent that such claim involves Assigned IP or Licensed IP.

               (2) If a third party patent or copyright infringement claim or trade secret misappropriation
claim is made against Opto-Device and its Affiliates and each of their respective officers,
directors, members, stockholders, partners and employees (as applicable) for a new product design,
process or method that is developed after the Closing Date, Hitachi shall be responsible for the
settlement amount of any such claim (provided that prior written approval is obtained) or the
resulting liability of any such claim only to the extent such claim results from a product design
sold by the Business as of the Closing Date, Assigned IP or Licensed IP, while Opto-Device shall be
responsible for the settlement amount of any such claim (provided that prior written approval is
obtained) or the resulting liability of any such claim to the extent that it is caused by the
product design introduced by Opto-Device irrespective of whether such OptoDevice product design is
covered by Assigned IP or Licensed IP. For avoidance of doubt and notwithstanding the foregoing,
the indemnity under this Section 11(b)(ii) shall not apply to any infringement or misappropriation
claims that do not involve such products, processes or methods described above. To the extent
there is a dispute regarding the allocation of the parties’ liabilities under this subsection, the
parties shall negotiate in good faith, in accordance with the terms set forth in Section 12, what
the allocation of liability should be. If the parties are unable to agree even after good faith
negotiations, the parties shall submit the issue to arbitration pursuant to the arbitration
procedures set forth in Exhibit B hereto. In the event that either party submits the
dispute to arbitration, both parties shall cooperate in such binding arbitration in accordance with
Exhibit B.

          (c) Indemnification by Hitachi. From and after the Closing, Hitachi shall indemnify
Opto-Device and its Affiliates and each of their respective officers, directors,
members, stockholders, partners and employees (as applicable) and hold them harmless from any
loss, liability, damage or expense (including court costs and reasonable attorneys’ fees)
(“Losses”) suffered or incurred by any such Indemnified Party to the extent arising from:
(i) any breach of any representation or warranty of Hitachi contained in this IP License Agreement
that survives the Closing Date; and (ii) any breach of any covenant of Hitachi contained in this IP
License Agreement requiring performance before or after the Closing Date.

21

 

          (d)
Indemnification by Opto-Device. From and after the Closing, Opto-Device shall
indemnify Hitachi and its Affiliates and each of their respective officers, directors, members,
stockholders, partners and employees (as applicable) against and hold them harmless from any Losses
suffered or incurred by any such Indemnified Party to the extent arising from: (i) any breach of
any representation or warranty of Opto-Device contained in this IP License Agreement that survives
the Closing Date; and (ii) any breach of any covenant of Opto-Device contained in this IP License
Agreement requiring performance before or after the Closing Date; and (iii) any obligation,
liability, action, suit, claim or other proceeding that arises directly or indirectly out of the
operation of the Business or use of the Assigned IP or Licensed IP on or after the Closing or the
manufacture, distribution, marketing or sale of the Products at any time on or after the Closing.
For avoidance of doubt and notwithstanding the foregoing, the indemnity under this Section 11(d)
shall not apply to any infringement or misappropriation claims that are covered under Section
11(b)(ii) above.

          (e) Losses Net of Insurance. The amount of any and all Losses under this Section 11 shall
be determined net of any amounts recovered or recoverable by the Indemnified Party under insurance
policies with respect to such Losses. Each party hereby waives, to the extent permitted under its
applicable insurance policies, any subrogation rights that its insurer may have with respect to any
indemnifiable Losses.

          (f) Limitations on Indemnification. Notwithstanding the foregoing, in no event shall
either party indemnify the other party under Section 11(b), 11(c)(i) and 11(d)(i) and (iii) of this
IP License Agreement or Sections 17(a)(i), 17(a)(iv), 17(b), 17(c), 17(d)(i) and 17(d)(vi) (as
Sections 17(a) and 17(d) relate to Assigned IP, Licensed IP or any other Intellectual Property
relevant to the Business) of the Stock Purchase Agreement for claims brought on or after one (1)
year from the Closing Date. Neither party shall have any liability under Section 11(b), 11(c)(i)
and 11(d)(i) and (iii) of this IP License Agreement or Sections 17(a)(i), 17(a)(iv), 17(b), 17(c),
17(d)(i) and 17(d)(vi) (as Sections 17(a) and 17(d) relate to Assigned IP, Licensed IP or any other
Intellectual Property relevant to the Business) of the Stock Purchase Agreement, unless the
aggregate of all Losses for which the indemnifying party would, but for this proviso, be liable,
exceeds on a cumulative basis an amount equal to fifty million Yen (¥ 50,000,000), and then only to
the extent of any such excess; provided further, that the indemnifying party’s
liability under Sections 11(b), 11(c)(i) and 11(d)(i) and (iii) of this IP License Agreement or
Sections 17(a)(i) and 17(a)(iv), 17(b), 17(c) and 17(d)(i) and 17(d)(vi) (as Sections 17(a) and
17(d) relate to Assigned IP, Licensed IP or any other Intellectual Property relevant to the
Business) of the Stock Purchase Agreement or Sections 8(g)(i), 8(h) and 8(i)(i) of the OpNext Japan
R&D Agreement in the aggregate shall in no event exceed one billion Yen (¥ 1,000,000,000). The
parties further agree that neither party shall be entitled to assert any claim against the
indemnifying party for indemnification of Losses unless the aggregate Losses asserted in such claim
equal or exceed three million Yen (¥ 3,000,000). To the extent there is a dispute as to whether an
asserted claim (i) exceeds the three million Yen (¥ 3,000,000) threshold and/or (ii) exceeds on a
cumulative basis an amount equal to fifty million Yen (¥ 50,000,000) that has not been resolved
within thirty (30) days after the claim has been asserted, the parties shall refer the dispute to a
partner from an internationally recognized accounting or consulting firm reasonably acceptable to
the parties or to any individual from a valuation firm reasonably acceptable to the parties, and
such partner or individual shall provide within sixty (60) days a

22

 

binding resolution to such dispute. The party disputing the sufficiency of the claim shall
bear all costs associated with the resolution of the dispute; provided, however,
that if the party disputing the sufficiency of the claim prevails, both parties shall share the
costs of resolving such dispute.

          (g) Procedures Relating to Indemnification. In order for a Person (the “Indemnified
Party”) to be entitled to any indemnification provided for under this IP License Agreement in
respect of, arising out of or involving a claim or demand made by any Person against the
Indemnified Party (a “Third Party Claim”), such Indemnified Party must notify the
indemnifying party in writing, and in reasonable detail, of the Third Party Claim as promptly as
reasonably possible after receipt by such Indemnified Party of notice of the Third Party Claim;
provided, however, that failure to give such notification on a timely basis shall
not affect the indemnification provided hereunder except to the extent the indemnifying party shall
have been actually prejudiced as a result of such failure. Thereafter, the Indemnified Party shall
deliver to the indemnifying party, within five (5) Business Days after the Indemnified Party’s
receipt thereof, copies of all notices and documents (including court filings and related papers)
received by the Indemnified Party relating to the Third Party Claim. If a Third Party Claim is
made against an Indemnified Party, the indemnifying party shall be entitled to participate in the
defense thereof and, if it so chooses and acknowledges its obligation to indemnify the Indemnified
Party therefore, to assume the defense thereof with counsel selected by the indemnifying party and
reasonably satisfactory to the Indemnified Party and to settle such suit, action, claim or
proceeding in its discretion with a full release of the Indemnified Party and no admission of
criminal liability. Notwithstanding any acknowledgment made pursuant to the immediately preceding
sentence, the indemnifying party shall continue to be entitled to assert any limitation on its
indemnification responsibility contained in Section 11. Should the indemnifying party so elect to
assume the defense of a Third Party Claim, the indemnifying party shall not be liable to the
Indemnified Party for legal expenses subsequently incurred by the Indemnified Party in connection
with the defense thereof unless the indemnifying party has substantially and materially failed to
defend, contest or otherwise protest in a timely manner against Third Party Claims. If the
indemnifying party assumes such defense, the Indemnified Party shall have the right to participate
in the defense thereof and to employ counsel, at its own expense, separate from the counsel
employed by the indemnifying party, it being understood, however, that the indemnifying party shall
control such defense. The indemnifying party shall be liable for the fees and expenses of counsel
employed by the Indemnified Party for any period during which the indemnifying party has not
assumed the defense thereof. If the indemnifying party chooses to defend any Third Party Claim,
all the parties hereto shall cooperate in the defense or prosecution of such Third Party Claim.
Such cooperation shall include the retention and (upon the indemnifying party’s request) the
provision to the indemnifying party of records and information that are reasonably relevant to such
Third Party Claim, and making employees available on a mutually convenient basis to provide
additional information and explanation of any material provided hereunder. Whether or not the
indemnifying party shall have assumed the defense of a Third Party Claim, the Indemnified Party
shall not admit any liability with respect to, or settle, compromise or discharge, such Third Party
Claim without the indemnifying party’s prior written consent, which consent shall not be
unreasonably withheld, unreasonably delayed or unreasonably conditioned.

23

 

          (h) Duty to Mitigate. With respect to any indemnification provided pursuant to this
Section 11, the Indemnified Party shall have the duty to mitigate any damages resulting from such
Third Party Claim of infringement or misappropriation. In addition, Opto-Device shall make
Commercially Reasonable Efforts to conduct appropriate clearance searches during the design process
and prior to putting a new product on the market in accordance with mutually agreed upon procedures
for new product release searches. Within one hundred and eighty (180) days from the Closing Date,
Hitachi and Opto-Device shall mutually agree upon the procedures to be adopted for conducting new
product release searches and the parties will consider whether the procedures previously agreed to
with respect to OpNext Japan could be adopted for OptoDevice. Between the Closing Date and April
1, 2004, during the design process and prior to putting modifications to, extensions of or new
versions of products listed on Exhibit B to the Stock Purchase Agreement on the market,
Hitachi will cooperate with Opto-Device to conduct appropriate clearance searches. Hitachi shall
provide Opto-Device with copies of the results of searches performed in the past two (2) years by
Hitachi with respect to Licensed IP.

Section 12. Dispute Resolution. In the event of any dispute under this IP License
Agreement, as a condition precedent to either party seeking arbitration (except for actions seeking
injunctive relief), the parties will attempt to resolve such dispute by good faith negotiations.
Such negotiations shall first involve the individuals designated by the parties as having general
responsibility for the IP License Agreement. If such negotiations do not result within thirty (30)
days from written notice of either party indicating that a dispute exists (a “Dispute
Notice”) in a resolution of the dispute, Opto-Device shall nominate one (1) corporate officer
of the rank of vice president or higher and Hitachi shall nominate one (1) corporate officer of the
rank of Board Director or higher, which corporate officers shall meet in person and attempt in good
faith to negotiate a resolution to the dispute. In the event such nominated individuals are unable
to resolve the dispute within forty-five (45) days of receipt by either party of a Dispute Notice,
a party shall refer the matter to arbitration (except for actions seeking injunctive relief)
pursuant to the arbitration procedures set forth in Exhibit B to this IP License Agreement.
In the event that either party submits the dispute to arbitration, both parties shall cooperate in
such binding arbitration in accordance with Exhibit B hereto.

Section 13. Assignment. Except as set forth below, this IP License Agreement and any
rights and obligations hereunder shall not be assignable or transferable by Opto-Device or Hitachi
or Wholly-Owned Subsidiaries (whether or not it is a Wholly-Owned Subsidiary at the time) of
Opto-Device or Hitachi (including by operation of law in connection with a merger or sale of stock,
or sale of substantially all the assets, of Opto-Device or Hitachi or Wholly-Owned Subsidiaries of
Opto-Device or Hitachi) without the prior written consent of the other party and any purported
assignment without such consent shall be void and without effect; provided, however, that this IP
License Agreement, in its entirety, shall be assignable by Opto-Device (or any successor to
Opto-Device) to OpNext or any Wholly-Owned Subsidiary of OpNext.

Section 14. Third-Party Beneficiaries. Opto-Device and Hitachi acknowledge and agree that
this IP License Agreement is intended not only for the benefit of themselves, their Subsidiaries
and for purposes of Section 3(c)(ii), 7(c)(iii) and 10(a) their Minority-Owned Affiliates but also
for the benefit of OpNext and OpNext’s Subsidiaries and Minority-Owned Affiliates.

24

 

Section 15. Termination. This Agreement will terminate automatically and be of no further
force or effect upon the termination of the Stock Purchase Agreement; provided,
however, that the following provisions of this IP License Agreement survive termination of
this IP License Agreement: (i) Sections 7(c) and 10(e) relating to the obligation of Hitachi to
keep confidential certain information and data and injunctive relief for failure to do same,
respectively; (ii) Sections 9(a) and 10(e) relating to the obligation of Opto-Device to keep
confidential certain information and data and injunctive relief for failure to do same,
respectively; (iii) Section 10(c) relating to press releases; (iv) Sections 11(a), 11(b), 11(c),
11(d) and 11(f) relating to indemnification; and (v) Section 17 relating to expenses.

Section 16. Survival of Representations and Warranties. The representations and warranties
contained in this IP License Agreement and in any other document delivered in connection herewith
shall survive the Closing and shall terminate at the close of business on the first (1st)
anniversary of the Closing Date.

Section 17. Expenses. Whether or not the transactions contemplated hereby are consummated,
and except as otherwise specifically provided in this IP License Agreement, all costs and expenses
incurred in connection with this IP License Agreement and the transactions contemplated hereby
shall be paid by the party incurring such costs or expenses.

Section 18. Export Control. Each party shall comply or have its Subsidiaries or Affiliates
comply with any applicable export laws and regulations and obtain any and all export licenses
and/or governmental approvals, if necessary. In the event a licensee (under Sections 2 and 3
above) is unable to obtain any required export license or other governmental approval, and as a
result the licensor (under Sections 2 and 3 above) suffers or will suffer irreparable harm as a
result of the licensee’s failure, the parties acknowledge and agree that money damages would be
inadequate and that the licensor shall be entitled to obtain injunctive or other similar equitable
remedies with respect to any such breach.

Section 19. Amendment and Waiver. No amendment of any provision of this IP License
Agreement shall be valid unless the same shall be in writing and signed by Opto-Device and Hitachi.
The failure of any party to enforce any of the provisions of this IP License Agreement shall in no
way be construed as a waiver of such provisions and shall not affect the right of such party
thereafter to enforce each and every provision of this IP License Agreement in accordance with its
terms.

Section 20. Notices. Any notice provided for in this IP License Agreement shall be in
writing and shall be either personally delivered, mailed first class mail (postage prepaid) or sent
by reputable overnight courier service (charges prepaid) to the parties at the address set forth
below or at such address or to the attention of such other person as the recipient party has
specified by prior written notice to the sending party. Notices shall be deemed to have been given
hereunder on the date delivered when delivered personally, seven (7) days after deposit in the U.S.
mail or Japanese mail and three (3) days after deposit with a reputable overnight courier service.
The addresses for Opto-Device and Hitachi are:

25

 

If to Opto-Device:

Opto-Device, Ltd.

6-2 Otemachi 2-chome

Chiyoda-ku

Tokyo 100-0004 Japan

with a copy, which will not constitute notice to Opto-Device, to:

Kirkland & Ellis

200 East Randolph Drive

Chicago, IL 60601

Attention: William A. Streff, Jr., Esq.

with a copy, which will not constitute notice to Opto-Device, to:

Simpson Thacher & Bartlett

425 Lexington Avenue

New York, NY 10017-3954

Attention: I. Scott Gottdiener, Esq.

If to Hitachi:

Hitachi, Ltd.

6, Kanda-Surugadai 4-chome

Chiyoda-ku

Tokyo, 101-8010 Japan

Attention: Senior Group Executive, Semiconductor and Integrated Circuits
Group

with a copy, which will not constitute notice to Hitachi, to:

Kirkland & Ellis

200 East Randolph Drive

Chicago, IL 60601

Attention: William A. Streff, Jr., Esq.

Fax: (312) 861-2200

with a copy, which will not constitute notice to Hitachi, to:

Simpson Thacher & Bartlett

425 Lexington Avenue

New York, NY 10017-3954

Attention: I. Scott Gottdiener, Esq.

Fax: (212) 455-2502

Section 21. Interpretation. The headings and captions contained in this IP License
Agreement, in any Exhibit or Schedule hereto and in the table of contents to this IP License

26

 

Agreement are for reference purposes only and do not constitute a part of this IP License
Agreement. The use of the word “including” herein shall mean “including without limitation.”

Section 22. Counterparts. This IP License Agreement may be executed in one or more
counterparts, each of which shall be an original and all of which taken together shall constitute
one and the same agreement.

Section 23. Entire Agreement. Except as otherwise expressly set forth herein and except as
set forth in the other agreements executed in connection with the Stock Purchase Agreement, this IP
License Agreement and the other agreements executed in connection with the Stock Purchase Agreement
embody the complete agreement and understanding among the parties hereto with respect to the
subject matter hereof and supersede and preempt any prior understandings, agreements or
representations by or among the parties, written or oral, which may have related to the subject
matter hereof in any way. The provisions of all of the agreements executed in connection with the
Stock Purchase Agreement shall be construed to give effect to the provisions of all of the
agreements to the greatest extent possible.

Section 24. Relationship to Other Agreements. The parties acknowledge and agree that the
Stock Purchase Agreement sets forth additional terms and conditions and obligations of the parties
with respect to Assigned IP and Licensed IP. The provisions of the Business Transfer Agreement and
Stock Purchase Agreement shall be construed to give effect to the provisions of both agreements to
the greatest extent possible.

Section 25. Schedules or Exhibits. The disclosures set forth in any of the Schedules or
Exhibits attached hereto that related to any exception to a particular representation and warranty
made hereunder shall be taken to relate to each other Schedule or Exhibit setting forth an
exception to a representation and warranty made hereunder to the extent it is reasonable to expect
that such disclosure relates to such other representation and warranty. The inclusion of
information in the Schedules or Exhibits hereto shall not be construed as an admission that such
information is material to the Licensed IP, the Business or Hitachi. In addition, matters
reflected in the Schedules or Exhibits are not necessarily limited to matters required by this IP
License Agreement to be reflected in such Schedules or Exhibits. Such additional matters are set
forth for informational purposes only and do not necessarily include other matters of a similar
nature. Prior to the Closing, Hitachi shall have the right to supplement, modify or update the
Schedules or Exhibits hereto to reflect changes in the ordinary course of the Business prior to the
Closing Date.

Section 26. No Strict Construction. Notwithstanding the fact that this IP License
Agreement has been drafted or prepared by one of the parties, Hitachi and OpNext confirm that they
and their respective counsel have reviewed, negotiated and adopted this IP License Agreement as the
joint agreement and understanding of the parties, and the language used in this IP License
Agreement shall be deemed to be language chosen by the parties hereto to express their mutual
intent and no rule of construction shall be applied against any Person.

Section 27. Severability. Whenever possible, each provision of this IP License Agreement
shall be interpreted in such manner as to be effective and valid under applicable law, but if any
provision of this IP License Agreement is held to be invalid, illegal or unenforceable in any

27

 

respect under any applicable law or rule in any jurisdiction, such invalidity, illegality or
unenforceability shall not affect the validity, legality or enforceability of any other provision
of this IP License Agreement in such jurisdiction or affect the validity, legality or
enforceability of any provision in any other jurisdiction, but this IP License Agreement shall be
reformed, construed and enforced in such jurisdiction as if such invalid, illegal or unenforceable
provision had never been contained herein.

Section 28. Governing Law. Except for the last two (2) sentences of Section 3(a), Section
5(c), Sections 6(a)(i), 6(a)(ii) and 6(e), Sections 7(c)(iii), 7(d) and 7(e) and Sections 10(a) and
10(b), this IP License Agreement shall be governed by and construed in accordance with the laws of
Japan without giving effect to any choice-of-law or conflict-of-law provision or rule (whether of
Japan or any other jurisdiction) that would cause the application of the laws of any jurisdiction
other than Japan. The last two (2) sentences of Section 3(a), Section 5(c), Sections 6(a)(i),
6(a)(ii) and 6(e), Sections 7(c)(iii), 7(d), and 7(e) and Sections 10(a) and 10(b) shall be
governed by and construed in accordance with the laws of the State of New York without giving
effect to any choice-of-law or conflict-of-law provision or rule (whether of the State of New York
or any other jurisdiction) that would cause the application of the laws of any other jurisdiction
other than the State of New York. Regardless of the law applied, because this contract is in
English, the terms and conditions of this contract will be interpreted in accordance with the
meaning of the words in American colloquial English.

Section 29. Submission to Jurisdiction; Waivers. With respect to disputes not required to
be submitted to arbitration hereunder (including actions seeking injunctive relief), each party to
this IP License Agreement (including any third-party beneficiaries to this IP License Agreement)
hereby irrevocably and unconditionally:

                         (i) submits for itself and its property in any legal action or proceeding relating to this IP
License Agreement, or for recognition and enforcement of any judgment in respect thereof, to the
non-exclusive general jurisdiction of the courts of Japan situated in Tokyo, Japan;

                         (ii) consents that any such action or proceeding may be brought in such courts, and waives any
objection that it may now or hereafter have to the venue of any such action or proceeding in any
such court or that such action or proceeding was brought in an inconvenient court and agrees not to
plead or claim the same;

                         (iii) agrees that service of process in any such action or proceeding may be effected by
mailing a copy thereof by registered or certified mail (or any substantially similar form of mail),
postage prepaid, to such party at its address set forth herein or at such other address of which
the agent shall have been notified pursuant thereto, to the extent permitted by the laws of Japan;
and

                         (iv) agrees that nothing contained herein shall affect the right to effect service of process
in any other manner permitted by law or shall limit the right to sue in any other jurisdiction.

28

 

Section 30. Delivery by Facsimile. This IP License Agreement, the agreements referred to
herein, and each other agreement or instrument entered into in connection herewith or therewith or
contemplated hereby or thereby, and any amendments hereto or thereto, to the extent signed and
delivered by means of a facsimile machine, shall be treated in all manner and respects as an
original agreement or instrument and shall be considered to have the same binding legal effect as
if it were the original signed version thereof delivered in person. At the request of any party
hereto or to any such agreement or instrument, each other party hereto or thereto shall reexecute
original forms thereof and deliver them to all other parties. No party hereto or to any such
agreement or instrument shall raise the use of a facsimile machine to deliver a signature or the
fact that any signature or agreement or instrument was transmitted or communicated through the use
of a facsimile machine as a defense to the enforceability of a contract and each such party forever
waives any such defense.

Section 31. Exhibits and Schedules. All Exhibits and Schedules annexed hereto or referred
to herein are hereby incorporated in and made a part of this IP License Agreement as if set forth
in full herein.

Section 32. Recordation. This IP License Agreement effects a license of rights in certain
Intellectual Property and may be recorded in appropriate recordal repositories to evidence such
license of rights.

Section 33. Third Parties. Unless otherwise expressly provided, no provisions of this IP
License Agreement are intended or shall be construed to confer upon or give to any Person or entity
other than the parties hereto, any rights, remedies or other benefits hereunder nor to constitute a
waiver or release of any claims or other rights against any Person or entity.

Section 34. Survival. To the extent the terms of this IP License Agreement provide for
rights, interest, duties, claims, undertakings and obligations subsequent to the termination or
expiration of this IP License Agreement, other than a termination caused by the termination of the
Stock Purchase Agreement, such terms of this IP License Agreement shall survive such termination or
expiration, including but not limited to the terms of Sections 1, 2 (to the extent the provision
allows for post-termination or post-expiration license), 3 (to the extent the provision allows for
post-termination or post-expiration license), 4 (to the extent the provision allows for
post-termination or post-expiration license), 5 (to the extent the provision and the Third Party
License Agreement allows for post-termination or post-expiration license), 6 (subject to the one
year survival period from the Closing Date), 7(c), 8 (subject to the one year survival period from
the Closing Date), 9(a), 10, 11(a), 11 (subject to the one year survival period from the Closing
Date, if applicable), 12, 16, 17, 18, 19, 20, 21, 23, 24, 25, 26, 27, 28, 29, 31 and 34.

Section 35. Hitachi Communication Technologies, Ltd. For purposes of this IP License
Agreement, the defined term “Wholly-Owned Subsidiary” shall not include Hitachi’s Wholly-Owned
Subsidiary, Hitachi Communication Technologies, Ltd.

* * * * *

29

 

SIGNATURE PAGE TO IP LICENSE AGREEMENT

          IN WITNESS WHEREOF, the parties have caused this IP License Agreement to be executed by their
duly authorized officers as of the date first written above.

	 	 	 	 	 
	 	OPTO-DEVICE, LTD.

 	 
	 	By:  	/s/ Yasutoshi Kashiwada
 	 
	 	 	Yasutoshi Kashiwada 	 
	 	 	President 	 
	 

	 	 	 	 	 
	 	HITACHI, LTD.

 	 
	 	By:  	/s/ Satoru Ito
 	 
	 	 	Satoru Ito 	 
	 	 	President and Chief Executive Officer,

Semiconductor & Integrated Circuits 	 
	 

 

 

FIRST AMENDMENT TO OPTO-DEVICE IP LICENSE AGREEMENT

     THIS FIRST AMENDMENT TO OPTO-DEVICE IP LICENSE AGREEMENT (this “Amendment”) is entered
into as of October 27, 2006 (the “Amendment Date”), by and between Hitachi, Ltd., a
corporation existing under the laws of Japan (“Hitachi”) and Opnext Japan, Inc., a
corporation existing under the laws of Japan (“Opnext Japan”) and a Wholly Owned Subsidiary
of Opnext, Inc., a Delaware corporation (“Opnext, Inc.”). All capitalized terms used
herein but not defined herein shall have the meaning ascribed to such terms in the IP License
Agreement (as defined below).

RECITALS

     WHEREAS, Hitachi and Opto-Device Limited, a corporation organized under the laws of Japan
(“Opto-Device”) have entered into that certain Intellectual Property License Agreement
dated as of October 1, 2002 (the “IP License Agreement”);

     WHEREAS, Opnext Japan is the successor by merger to Opto-Device and seeks to affirm Hitachi’s
consent to the assignment of the IP License Agreement from Opto-Device to Opnext Japan; and

     WHEREAS, Hitachi and Opnext Japan desire to enter into this Amendment to amend the IP License
Agreement as set forth herein.

     NOW, THEREFORE, in consideration of the mutual covenants contained herein and other good and
valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties
to this Amendment hereby agree as follows:

Section 1. Consent to Assignment.

          Hitachi hereby acknowledges and consents to the assignment of the IP License Agreement from
Opto-Device to Opnext Japan. References to Opto-Device throughout the IP License Agreement shall
be amended to refer to Opnext Japan. Opnext Japan hereby acknowledges and consents to the
assignment of certain of the Licensed Intellectual Property Rights and Future Hitachi IP to Renesas
Technology Corp. Notwithstanding the foregoing, Hitachi shall remain responsible for Renesas
Technology Corp.’s compliance with the IP License Agreement with respect to the Renesas Licensed IP
(as defined below).

Section 2. Amendment Date.

          This Amendment shall be effective as of the Amendment Date. This Amendment and any amendments
made to the provisions of the IP License Agreement hereunder shall have no retroactive effect.

 

 

     Section 3.
Amendment.

          (1) Section 1(q) of the IP License Agreement is hereby amended by deleting it in its entirety
and replacing it with the following Section 1(q):

               (q) “Licensed IP” means Hitachi Licensed IP and Renesas Licensed IP,
collectively.

          (2) Section 1 of the IP License Agreement is hereby amended by adding the following clauses:

               (gg) “Hitachi Licensed IP” means Licensed Intellectual Property Rights
other than Renesas Licensed IP.

               (hh) “Licensed Intellectual Property Rights” shall have the meaning set
forth in Section 3(a) of this IP License Agreement.

               (ii) “Renesas Licensed IP” means that portion of the Licensed
Intellectual Property Rights and Future Hitachi IP that was transferred as part of
the corporate spin-off of SIC by Hitachi to Renesas Technology Corp. on April 1,
2003. For the avoidance of doubt, Renesas Licensed IP does not include any
Intellectual Property that was created by Renesas Technology Corp. after April 1,
2003 or any Intellectual Property that was acquired by Renesas Technology Corp. from
any Person other than Hitachi.

               (jj) “Opnext Entity” means Opnext Japan and its Wholly-Owned
Subsidiaries and Opnext, Inc. and its Wholly-Owned Subsidiaries.

          (3) Section 2(a) of the IP License Agreement is hereby amended by deleting it in its entirety
and replacing it with the following Section 2(a):

               (a) License. Opnext Japan shall license, and does hereby license
effective as of the Closing Date, the Assigned IP back to Hitachi and its
Wholly-Owned Subsidiaries on a fully paid-up, non-exclusive, perpetual and
irrevocable basis to use, make, have made, sell, advertise, offer to sell, lease,
import, export and supply products and services throughout the world using the
Assigned IP. For the avoidance of doubt, this IP License Agreement does not grant
Hitachi or its Wholly-Owned Subsidiaries the right to sublicense the Assigned IP and
Hitachi and its Wholly-Owned Subsidiaries shall not have the right to sublicense the
Assigned IP without the prior written consent of Opnext Japan, not to be
unreasonably withheld, unreasonably delayed or unreasonably conditioned.

          (4) Section 2(b) of the IP License Agreement is hereby amended by deleting it in its entirety
and replacing it with the following Section 2(b):

 

 

               (b) License Term. The license to Assigned IP shall be irrevocable and:
(i) with respect to patent rights, shall survive for so long as any applicable
patent is valid; and (ii) with respect to all other Assigned IP, shall be perpetual.

          (5) Section 3(a) of the IP License Agreement is hereby amended by deleting the first sentence
of Section 3(a) and replacing it with the following sentence:

               (a) Definition. “Licensed Intellectual Property Rights” shall
mean: (i) existing, issued patents and pending patent applications of Hitachi filed
prior to the tenth (10th) anniversary of the Closing Date (including all extensions,
reexaminations, reissues, continuations and renewals related thereto) covering the
products of the Business listed on Exhibit B to the Stock Purchase Agreement
and processes of the Business, throughout the world, which cannot be transferred to
Opnext Japan due to Hitachi’s reasonable requirements to use such Intellectual
Property in other Hitachi business units; and (ii) all know-how and other
Intellectual Property used in connection with the Business in whatever form that was
not capable of assignment pursuant to the provisions of the Business Transfer
Agreement due to Hitachi’s reasonable requirements to use such Intellectual Property
in other Hitachi business units (e.g., product specifications, manufacturing
processes, quality control procedures, instruction and/or operating, maintenance and
safety materials and drawings, test procedures, test data, sources of material and
supplies and the like).

          (6) Section 3(b)(ii) of the IP License Agreement is hereby amended by deleting it in its
entirety and replacing it with the following Section 3(b)(ii):

               (ii) Termination Conditions. Subject to Section 3(d), such license
shall not be terminated or its exploitation enjoined, until and unless: (i) Opnext
Japan has committed a material breach of its obligations under this IP License
Agreement, Hitachi has given written notice of such breach to Opnext Japan and such
breach remains uncured after sixty (60) days of receiving notice of such breach (the
“Cure Period”), or, in the case of a breach that cannot be cured within such
Cure Period, Opnext Japan has not instituted within such Cure Period steps necessary
to remedy the default and/or thereafter has not diligently pursued the same to
completion; or (ii) Opnext Japan has committed an incurable material breach. In the
event the breach is a curable breach that cannot be cured within the Cure Period but
with respect to which Opnext Japan has instituted steps necessary to remedy the
default and is thereafter diligently pursuing such cure, both parties shall
negotiate to determine whether further pursuit of such cure is reasonable. If the
parties cannot agree on a resolution in such negotiations, then this issue shall be
referred to arbitration pursuant to the arbitration procedures set forth in
Exhibit B hereto to decide whether such breach can be cured or any other
alternative remedy should be adopted. In the event the breach is an incurable

 

 

breach, (i) the parties agree that the matter shall be referred to arbitration
pursuant to the arbitration procedures set forth in Exhibit B hereto to
determine the appropriate remedy, and (ii) Opnext Japan shall provide an on-going
plan to address the prevention of such a breach occurring again reasonably
acceptable to Hitachi within sixty (60) days of written notice of the breach and
shall implement and comply with such plan within the time period set forth in such
plan. In the event that either party submits the dispute to arbitration, both
parties shall cooperate in such binding arbitration in accordance with Exhibit
B.

          (7) Section 3(c)(ii) of the IP License Agreement is hereby amended by deleting it in its
entirety and replacing it with the following Section 3(c)(ii):

               (ii) Minority-Owned Affiliates.

               (A) Opnext Japan shall be permitted to further sublicense the Hitachi Licensed
IP to its and Opnext, Inc.’s Minority-Owned Affiliates, subject to approval by
Hitachi, not to be unreasonably withheld, unreasonably delayed or unreasonably
conditioned, and to commercially reasonable restrictions to be imposed by Hitachi
that will be agreed to by the parties in writing.

               (B) Opnext Japan shall be permitted to further sublicense the Renesas Licensed
IP to its Minority-Owned Affiliates, subject to approval by Hitachi, not to be
unreasonably withheld, unreasonably delayed or unreasonably conditioned, and to
commercially reasonable restrictions to be imposed by Hitachi that will be agreed to
by the parties in writing.

          (8) Section 3(c)(iii) of the IP License Agreement is hereby amended by deleting it in its
entirety and replacing it with the following Section 3(c)(iii):

               (iii) Customers.

               (A) Opnext Japan, its Wholly-Owned Subsidiaries, Opnext, Inc. and its
Wholly-Owned Subsidiaries shall be permitted to further sublicense the Hitachi
Licensed IP to their respective customers as necessary or appropriate in connection
with the completion of the applicable Opnext Entity’s products and services, to
complete the sale of products or services in the ordinary course of business or to
enable joint development of a product or system with the applicable Opnext Entity’s
customers to be manufactured and sold by the applicable Opnext Entity to such
customers, provided the applicable Opnext Entity proposes the terms and conditions
of such sublicense to Hitachi and agrees that such sublicense shall be subject to
Hitachi’s exercise of one (1) of the following options in Hitachi’s sole discretion,
with respect to the terms and conditions proposed by the applicable Opnext Entity:
(i) Hitachi may consent to the sublicense terms and conditions as is; (ii) Hitachi
may propose that a revised version of the sublicense, with reasonably modified terms
and conditions be utilized; (iii) Hitachi may enter

 

 

into a direct license with the applicable Opnext Entity’s customer under the
same terms and conditions as the applicable Opnext Entity’s proposed sublicense;
(iv) Hitachi may propose to enter into a direct license with the applicable Opnext
Entity’s customer under reasonably modified terms and conditions; or (v) Hitachi may
commence discussions with the applicable Opnext Entity to reach a resolution of
Hitachi’s concerns with respect to such sublicense, if Hitachi believes such
sublicense is not in the best interest of the parties. Hitachi shall have the sole
discretion to determine which of the five (5) foregoing options Hitachi will
exercise in each case. With respect to Hitachi’s exercise of one (1) of the five
(5) foregoing options, Hitachi agrees to provide consents to and/or notify the
applicable Opnext Entity of Hitachi’s proposed modifications within fifteen (15)
Business Days of receipt of the sublicense terms and conditions from the applicable
Opnext Entity. In the event that Hitachi exercises one (1) of the five (5)
foregoing options, the parties agree to negotiate in good faith and on reasonable
terms to resolve the situation within a reasonable amount of time, which shall not
exceed fifteen (15) Business Days of Hitachi’s provision of such a response to the
applicable Opnext Entity; provided, however, Hitachi shall not contact the
applicable Opnext Entity customers that are the subject of negotiations between
Hitachi and Opnext Japan, without the prior consent of the applicable Opnext Entity
prior to the resolution of such negotiations. If the parties cannot agree on a
resolution in such negotiations, then this issue shall be referred to arbitration
pursuant to the arbitration procedures set forth in Exhibit B hereto. In
the event that either party submits the dispute to arbitration, both parties shall
cooperate in such binding arbitration in accordance with Exhibit B.

               In addition, Hitachi agrees that for the avoidance of doubt the rights provided
for in this Section 3(c)(iii)(A) are in no way meant to limit the rights of Opnext
Japan in Section 3(b)(i).

               (B) Opnext Japan shall be permitted to further sublicense the Renesas Licensed
IP to its customers as necessary or appropriate in connection with the completion of
Opnext Japan’s products and services, to complete the sale of products or services
in the ordinary course of business or to enable joint development of a product or
system with Opnext Japan’s customers to be manufactured and sold by Opnext Japan to
such customers, provided Opnext Japan proposes the terms and conditions of such
sublicense to Hitachi and agrees that such sublicense shall be subject to Hitachi’s
exercise of one (1) of the following options in Hitachi’s sole discretion, with
respect to the terms and conditions proposed by Opnext Japan: (i) Hitachi may
consent to the sublicense terms and conditions as is; (ii) Hitachi may propose that
a revised version of the sublicense, with reasonably modified terms and conditions
be utilized; (iii) Hitachi may enter into a direct license with Opnext Japan’s
customer under the same terms and conditions as Opnext Japan’s proposed sublicense;
(iv) Hitachi may propose to enter into a direct license with Opnext Japan’s customer
under

 

 

reasonably modified terms and conditions; or (v) Hitachi may commence
discussions with Opnext Japan to reach a resolution of Hitachi’s concerns with
respect to such sublicense, if Hitachi believes such sublicense is not in the best
interest of the parties. Hitachi shall have the sole discretion to determine which
of the five (5) foregoing options Hitachi will exercise in each case. With respect
to Hitachi’s exercise of one (1) of the five (5) foregoing options, Hitachi agrees
to provide consents to and/or notify Opnext Japan of Hitachi’s proposed
modifications within fifteen (15) Business Days of receipt of the sublicense terms
and conditions from Opnext Japan. In the event that Hitachi exercises one (1) of
the five (5) foregoing options, the parties agree to negotiate in good faith and on
reasonable terms to resolve the situation within a reasonable amount of time, which
shall not exceed fifteen (15) Business Days of Hitachi’s provision of such a
response to Opnext Japan; provided, however, Hitachi shall not contact such Opnext
Japan customers that are the subject of negotiations between Hitachi and Opnext
Japan, without the prior written consent of Opnext Japan prior to the resolution of
such negotiations. If the parties cannot agree on a resolution in such negotiations,
then this issue shall be referred to arbitration pursuant to the arbitration
procedures set forth in Exhibit B hereto. In the event that either party
submits the dispute to arbitration, both parties shall cooperate in such binding
arbitration in accordance with Exhibit B.

          (9) Section 3(d) of the IP License Agreement is hereby amended by deleting it in its entirety
and replacing it with the following Section 3(d):

               (d) License Term. The licenses to Licensed IP and Future Hitachi IP
shall be irrevocable and: (i) with respect to patent rights, shall survive for so
long as any applicable patent is valid; and (ii) with respect to all other Licensed
IP or Future Hitachi IP, shall be perpetual. Notwithstanding the foregoing, if one
(1) of the conditions set forth in Section 3(b)(ii) is met, (x) Hitachi may
terminate the licenses to Licensed IP and Future Hitachi IP developed or filed on or
after the effective date of termination and (y) the licenses granted Opnext Japan to
Licensed IP and Future Hitachi IP developed or filed prior to the effective date of
termination shall continue pursuant to the terms and conditions set forth herein.

          (10) Section 4(b)(i) of the IP License Agreement is hereby amended by deleting it in its
entirety and replacing it with the following Section 4(b)(i):

               (i) Termination Conditions. Subject to Section 4(c), such license
shall not be terminated or its exploitation enjoined, until and unless: (i) Hitachi
has committed a material breach of its obligations under this IP License Agreement,
Opnext Japan has given written notice of such breach to Hitachi and such breach
remains uncured after the Cure Period, or, in the case of a breach, which cannot be
cured within such Cure Period, Hitachi has not instituted

 

 

within such Cure Period steps necessary to remedy the default and/or thereafter
has not diligently pursued the same to completion; or (ii) Hitachi has committed a
material breach which is incurable. In the event the breach is a curable breach
that cannot be cured within the Cure Period but with respect to which Hitachi has
instituted steps necessary to remedy the default and is thereafter diligently
pursuing such cure, both parties shall negotiate to determine whether further
pursuit of such cure is reasonable. If the parties cannot agree on a resolution in
such negotiations, then this issue shall be referred to arbitration pursuant to the
arbitration procedures set forth in Exhibit B hereto to decide whether such
breach can be cured or any other alternative remedy should be adopted. In the event
the breach is an incurable breach, (i) the parties agree that the matter shall be
referred to arbitration pursuant to the arbitration procedures set forth in
Exhibit B hereto to determine the appropriate remedy, and (ii) Hitachi shall
provide an on-going plan to address the prevention of such a breach occurring again
reasonably acceptable to Opnext Japan within sixty (60) days of written notice of
the breach and shall implement and comply with such plan within the time period set
forth in such plan. In the event that either party submits the dispute to
arbitration, both parties shall cooperate in such binding arbitration in accordance
with Exhibit B.

          (11) Section 4(c) of the IP License Agreement is hereby amended by deleting it in its entirety
and replacing it with the following Section 4(c):

               (c) License Term. The license to Opnext Japan IP shall be irrevocable
and: (i) with respect to patent rights, shall survive for so long as any applicable
patent is valid; and (ii) with respect to all other Opnext Japan IP, shall be
perpetual. Notwithstanding the foregoing, if one (1) of the conditions set forth in
Section 4(b)(i) is met, (x) Opnext Japan may terminate the license to Opnext Japan
IP developed or filed on or after the effective date of termination and (y) the
license granted Hitachi to Opnext Japan IP developed or filed prior to the effective
date of termination shall continue pursuant to the terms and conditions set forth
herein.

          (12) Section 5(e) of the IP License Agreement is hereby amended by deleting it in its entirety
and replacing it with the following Section 5(e):

               (e) Termination of Obligations. The obligations set forth in this
Section 5 shall terminate upon the later of: (i) the date that is one hundred and
eighty (180) days after the date when Opnext, Inc. ceases to be a Subsidiary of
Hitachi, and (ii) the first anniversary of any Initial Public Offering of Opnext,
Inc. (the “Negotiation Period”), provided that, if negotiations are ongoing with
respect to any license and within thirty (30) days of the end of the Negotiation
Period, Opnext Japan provides a written request to Hitachi for an extension of the
Negotiation Period for such time as is required to complete negotiations for such
license, but no longer than one hundred and eighty (180) days, the Negotiation

 

 

Period for such license shall automatically be extended for such requested time
period, not to exceed one hundred and eighty (180) days. Additionally, for so long
as Hitachi owns twenty percent (20%) or more of the voting securities of Opnext,
Inc., Opnext Japan may submit a written request to Hitachi once every six (6) month
period regarding whether Hitachi has entered into (or has entered into negotiations
for) a Future Third Party License Agreement with a specified third party, and
Hitachi will confirm whether or not Hitachi has entered into (or has entered into
negotiations for) a Future Third Party License Agreement with such specified third
party.

          (13) Section 13 of the IP License Agreement is hereby amended by adding the following clause
at the end:

               For the avoidance of doubt, the parties agree that an Initial Public Offering
(as defined in the Stockholders’ Agreement) shall not require the consent of
Hitachi.

          (14) Section 15 of the IP License Agreement is hereby amended by adding the following clause
at the end:

               and (vi) any licenses to Intellectual Property that exists and is subject to
any licenses granted hereunder prior to the effective date of any termination of
this IP License Agreement.

          (15) A new Section 36 is hereby added to the IP License Agreement which provides as follows:

               Section 36. Injunctive Relief. Each party acknowledges and agrees that
the other party’s Intellectual Property and Confidential Information are valuable
property of such other party and that a material breach of this IP License Agreement
(including unauthorized use of Intellectual Property or disclosure of Confidential
Information) will cause irreparable injury for which the injured party does not have
an adequate remedy at law and for which monetary remedies are not sufficient. Each
party shall be entitled to seek equitable relief (including the granting of
injunctive relief in that party’s favor) without the obligation of posting a bond if
the other party makes or threatens a material breach of this IP License Agreement
(including unauthorized use of Intellectual Property or disclosure of Confidential
Information). Each party agrees that equitable relief is not exclusive of other
remedies to which the other party may be entitled at law or in equity as a result of
any such material breach of this IP License Agreement (including any unauthorized
use of Intellectual Property or disclosure of Confidential Information).

          (16) A new Section 37 is hereby added to the IP License Agreement which provides as follows:

 

 

               Section 37. Bankruptcy. The parties agree that if a party becomes a
debtor or debtor-in-possession under Title 11 of the United States Code (the
“Bankruptcy Code”): (i) in the event of a rejection or proposed rejection
of this IP License Agreement under Section 365 of the Bankruptcy Code, any and all
rights licensed pursuant to this IP License Agreement shall be deemed to fall within
the definition of “intellectual property” under Section 101 of the Bankruptcy Code
and, in connection therewith, Section 365(n) of the Bankruptcy Code shall be
implicated by such rejection or proposed rejection; and (ii) notwithstanding Section
365(c) of the Bankruptcy Code or applicable non-bankruptcy law which prohibits,
restricts or conditions the assignment or assumption of this IP License Agreement or
any of the rights therein, but subject to the debtor-in-possession or trustee, as
applicable, otherwise complying with the requirements of Section 365 of the
Bankruptcy Code for assumption, the debtor-in-possession or trustee in bankruptcy
may assume this IP License Agreement. The parties agree that if a party files for
bankruptcy under the laws of any other jurisdiction, the terms of this section will
apply to the extent necessary to preserve the rights provided in this section.

Section 4. No Other Amendments.

          Except as expressly set forth herein, all other terms and conditions of the IP License
Agreement shall remain unmodified, in full force and effect and shall apply to this Amendment.

Section 5. Governing Law.

          This Amendment shall be governed by and construed in accordance with the laws of Japan without
giving effect to any choice-of-law or conflict-of-law provision or rule (whether of Japan or any
other jurisdiction) that would cause the application of the laws of any jurisdiction other than of
Japan. Regardless of the law applied, because this contract is in English, the terms and
conditions of this contract will be interpreted in accordance with the meaning of the words in
American colloquial English, notwithstanding any meaning of any word when translated into its
Japanese equivalent.

Section 6. Dispute Resolution.

          In the event of any dispute under this Amendment, as a condition precedent to either party
seeking arbitration, in connection therewith, the parties will attempt to resolve such dispute by
good faith negotiations (except for actions seeking injunctive relief). Such negotiations shall
first involve the individuals designated by the parties as having general responsibility for the IP
License Agreement. If such negotiations do not result within thirty (30) days from written notice
of either party indicating that a dispute exists (a “Dispute Notice”) in a resolution of
the dispute, Opnext Japan shall nominate one (1) corporate officer of the rank of

 

 

vice president or higher and Hitachi shall nominate one (1) corporate officer of the rank of
Board Director or higher, which corporate officers shall meet in person and attempt in good faith
to negotiate a resolution to the dispute. In the event the corporate executives are unable to
resolve the dispute within forty-five (45) days of receipt by either party of a Dispute Notice, a
party may refer the matter to arbitration (except in the case of disputes arising under Section
11(c) or Section 36 of the IP License Agreement for which the parties may seek injunctive relief).
In the event that either party submits the dispute to arbitration, both parties shall cooperate in
such binding arbitration in accordance with Exhibit B to the IP License Agreement.

Section 7. Interpretation.

          The headings and captions contained in this Amendment and in any Exhibit are for reference
purposes only and do not constitute a part of this Amendment. The use of the word “including”
herein shall mean “including without limitation.”

Section 8. Severability.

          Whenever possible, each provision of this Amendment shall be interpreted in such manner as to
be effective and valid under applicable law, but if any provision of this Amendment held to be
invalid, illegal or unenforceable in any respect under any applicable law or rule in any
jurisdiction, such invalidity, illegality or unenforceability shall not affect the validity,
legality or enforceability of any other provision of this Amendment in such jurisdiction or affect
the validity, legality or enforceability of any provision in any other jurisdiction, but this
Amendment shall be reformed, construed and enforced in such jurisdiction as if such invalid,
illegal or unenforceable provision had never been contained herein.

Section 9. Counterparts.

          This Amendment may be executed in one or more counterparts, each of which shall be an original
and all of which taken together shall constitute one and the same agreement.

* * * * *

 

 

IN WITNESS WHEREOF, the parties have caused this Amendment to be executed by their duly authorized
officers as of the Amendment Date.

	 	 	 	 	 
	OPNEXT JAPAN, INC.

	 	HITACHI, LTD.
	 	 
	 
	 	 	 	 
	/s/ Kei Oki

	 	/s/ Naoya Takahashi	 	 
	 

Name: Kei Oki

	 	 

Name: Naoya Takahashi
	 	 
	Title: President

	 	Title: Vice President and Executive Officer	 	 

SIGNATURE PAGE TO FIRST AMENDMENT TO OPTO-DEVICE IP LICENSE AGREEMENT

 

 

January 29, 2007

Harry L. Bosco

Chief Executive Officer

Opnext, Inc.

1 Christopher Way

Eatontown, NJ 07724

Re: Intellectual Property License Agreement (the “IPLA”) between Hitachi, Ltd.

(Hitachi) and Opnext, Japan, Inc. (“Opnext Japan”)

Dear Mr. Bosco,

     This letter is in regard to the IPLA. In connection with the IPLA, Hitachi has used
commercially reasonable effort under the IPLA, has secured and is in the process of securing
agreements in connection with certain of Hitachi’s cross license agreements with third parties, to
extend such licenses to Opnext, Inc. (“Opnext”) to the extent as stipulated therein, in the event
that Hitachi’s equity ownership in Opnext drops below 50%. The copies of the third party license
agreements and such extensions that Hitachi has provided to Opnext as highly confidential
information, are true and complete, with very limited elimination of portions unrelated to Opnext.
Hitachi hereby agrees that Opnext is a third party beneficiary of such license agreements, and that
Hitachi will cooperate with Opnext to enforce Opnext’s rights under such license agreements.
Further, Hitachi will not make any changes to the above license agreements that adversely affect
Opnext’s rights under such license agreements. Finally, unless stated in the copies of the
agreements or the extensions which Hitachi has provided to Opnext, such licenses are royalty free.

	 	 	 	 	 
	 	Sincerely,

 	 
	 	/s/ Hisashi Kumazaki
 	 
	 	Name:  	Hisashi Kumazaki 	 
	 	Title:  	Manager, IP Licensing Department I

Intellectual Property Group,

Hitachi, Ltd. 	 
	 

 

EXHIBIT A

LIST OF MATERIAL PATENTS

Attached.

A-1

 

 

 

EXHIBIT B

ARBITRATION PROCEDURES

	a.	 	Appointment of Arbitrators. The arbitration shall be heard and determined by a panel
of three (3) persons. Each party shall have the right to designate one (1) member of the
panel. The party requesting arbitration shall communicate its request in writing, identifying
the nature of the dispute and the name of its arbitrator, to the other party (“Arbitration
Request”). The other party shall then name, in writing, its arbitrator within fifteen
(15) Business Days (as defined in the Stock Purchase Agreement) after receipt of the
Arbitration Request. Failure or refusal of the other party to name its arbitrator within the
fifteen (15) day time period shall empower the only appointed arbitrator to name the second
arbitrator. Within twenty-five (25) Business Days after the Arbitration Request, the two (2)
arbitrators shall mutually select a third impartial and neutral arbitrator to the panel. If
the two (2) arbitrators are unable to agree upon an arbitrator within forty-five (45) Business
Days after the Arbitration Request then within sixty-five (65) Business Days after the
Arbitration Request, the ICC shall appoint a third arbitrator.

	b.	 	Governing Law and ICC. All disputes submitted to arbitration under this IP License
Agreement shall be governed by the laws specified in the agreement that is the subject of the
dispute. The arbitration rules of the International Chamber of Commerce (“ICC”) shall
apply to any arbitration under this IP License Agreement, except to the extent the provisions
of this Exhibit B vary therefrom. ICC shall administer the arbitration. Decisions of the
panel shall be made by majority vote. The panel may not award punitive damages, injunctions,
specific performance or temporary restraining orders.

	c.	 	Expedited Schedule. The arbitration shall be conducted on an expedited schedule.
Unless otherwise agreed by the parties, the parties shall make their initial submissions to
the panel within seventy-five (75) Business Days after the Arbitration Request. Within one
hundred twenty (120) Business Days after the Arbitration Request, each party shall supply to
the other party all documents that such party intends to introduce or upon which such party
intends to rely in connection with such proceeding, as well as a list of any and all witnesses
whose testimony such party intends to introduce in connection with such proceeding (with a
brief summary of their area of testimony). Additional documents or witnesses may be
introduced only if a majority of the arbitrators determine that good cause has been shown.
Each party shall also have the right to submit written briefs to the arbitrators in accordance
with a timetable to be established by the arbitrators. Unless agreed by the parties
otherwise, the hearing shall commence within one hundred fifty (150) Business Days after the
Arbitration Request and shall be completed within two hundred twenty-five (225) Business Days
after the Arbitration Request.

	d.	 	Discovery. The parties shall be entitled to discovery of all documents and
information reasonably necessary for a full understanding of any dispute raised in the
arbitration relating to this IP License Agreement. The parties may use all methods of
discovery available under the Japanese Code of Civil Procedure and/or the United States
Federal

B-1 

 

	 	 	Rules of Civil Procedure, including depositions, requests for admission and requests for
production of documents. The time periods applied to these discovery methods shall be set
by the panel so as to permit compliance with the scheduling provisions of this Exhibit
B.

	e.	 	Communication with Arbitrators. Each party shall communicate with the arbitrators
only in the presence of the other party or by writing delivered to the ICC for transmittal to
the arbitrators and the other party.

	f.	 	Prompt Award. Unless otherwise agreed by the parties, the award shall be made
promptly by the panel (in any event, no later than thirty (30) Business Days from the closing
of the hearing). Unless otherwise agreed by the parties, the decision and award by the panel
shall be reasoned, explain the basis of the decision and be in writing. Any failure to render
the award within the foregoing time period shall not affect the validity of such award.

	g.	 	Binding Decisions. The decision or award rendered or made in connection with the
arbitration shall be final and binding upon the parties thereto. The prevailing party may
present the decision or award to any court of competent jurisdiction for confirmation, and
such court shall enter forthwith an order confirming such decision or award. The arbitration
award shall allocate the expenses of the arbitrator(s) and of the arbitration, between the
parties in a manner corresponding to the extent to which one (1) party prevails over the
other.

	h.	 	Location. Based upon the factors set forth below, the arbitrators shall select one
or more of the following cities for the location of the arbitration proceedings: Tokyo, Japan;
London, United Kingdom; or New York, U.S.A. The arbitrators shall take into account: (i) the
relationship between the acts and circumstances surrounding the dispute and the arbitration
location; (ii) the availability and location of witnesses; and (iii) the accessibility and
location of evidence.

	i.	 	Confidentiality. All arbitration proceedings undertaken pursuant to this Exhibit B
and any awards or decisions resulting therefrom shall be deemed to be confidential between the
parties thereto. To the extent either party maintains in good faith that any documents
submitted or testimony introduced in connection with such arbitration contains confidential
information or trade secrets, the parties shall negotiate in good faith in an effort to reach
agreement regarding terms and conditions for keeping such materials and testimony
confidential. If the parties are unable to agree upon such terms, the arbitrators shall have
the right to impose appropriate restrictions to maintain the confidentiality of any
confidential information or trade secrets in connection with the arbitration.

B-2 

 

EXHIBIT C

LIST OF CLAIMS AND WARNING LETTERS

None.

C-1 

 

SCHEDULE 6(a)

None.EX-10.20

 

Exhibit 10.20

 

INTELLECTUAL PROPERTY LICENSE AGREEMENT

by and between

HITACHI COMMUNICATION TECHNOLOGIES, LTD.

and

OPNEXT JAPAN, INC.

Effective as of October 1, 2002

 

 

 

TABLE OF CONTENTS

	 	 	 	 	 
	WITNESSETH
	 	 	1	 
	 
	 	 	 	 
	Section 1. Definitions
	 	 	1	 
	 
	 	 	 	 
	(a) “Affiliate”
	 	 	1	 
	(b) “Assigned IP”
	 	 	2	 
	(c) “Business”
	 	 	2	 
	(d) “Business Transfer Agreement”
	 	 	2	 
	(e) “Clarity”
	 	 	2	 
	(f) “Commercially Reasonable Efforts”
	 	 	2	 
	(g) “Cure Period”
	 	 	2	 
	(h) “Dispute Notice”
	 	 	2	 
	(i) “Future HCT IP”
	 	 	2	 
	(j) “Future Hitachi IP”
	 	 	2	 
	(k) “Himawari I Agreements”
	 	 	2	 
	(l) “HTC Transferred IP”
	 	 	2	 
	(m) “Initial Public Offering”
	 	 	2	 
	(n) “Intellectual Property”
	 	 	2	 
	(o) “Jointly-Developed IP License Agreement”
	 	 	3	 
	(p) “Jointly Developed Intellectual Property”
	 	 	3	 
	(q) “Licensed IP”
	 	 	3	 
	(r) “Minority-Owned Affiliate”
	 	 	3	 
	(s) “Non-Competition Period”
	 	 	3	 
	(t) “OpNext Inc. R&D Agreement”
	 	 	3	 
	(u) “OpNext Japan IP”
	 	 	3	 
	(v) “OpNext Japan IP License Agreement”
	 	 	3	 
	(w) “OpNext Japan R&D Agreement”
	 	 	3	 
	(x) “Opto-Device Limited”
	 	 	4	 
	(y) “Person”
	 	 	4	 
	(z) “Restricted Products”
	 	 	4	 
	(aa) “Spin-Off Date”
	 	 	4	 
	(bb) “Stock Contribution Agreement”
	 	 	4	 
	(cc) “Stockholders’ Agreement”
	 	 	4	 
	(dd) “Subsidiary”
	 	 	4	 
	(ee) “TSD”
	 	 	4	 
	(ff) “TSD Sale”
	 	 	4	 
	(gg) “Wholly-Owned Subsidiaries”
	 	 	4	 
	 
	 	 	 	 
	Section 2. Assigned Intellectual Property
	 	 	5	 
	 
	 	 	 	 
	(a) License
	 	 	5	 
	(b) Acknowledgment
	 	 	5	 
	(c) Review of Obligations
	 	 	5	 

ii

 

	 	 	 	 	 
	Section 3. HCT Transferred IP
	 	 	5	 
	 
	 	 	 	 
	(a) Definition
	 	 	5	 
	(b) License
	 	 	5	 
	(c) Sublicense
	 	 	6	 
	(d) Review of Obligations
	 	 	7	 
	 
	 	 	 	 
	Section 4. Future HCT IP
	 	 	7	 
	 
	 	 	 	 
	(a) Definition
	 	 	7	 
	(b) Future HCT IP License
	 	 	7	 
	(c) Sublicense
	 	 	8	 
	(d) Review of Obligations
	 	 	9	 
	(e) Cooperation
	 	 	9	 
	 
	 	 	 	 
	Section 5. OpNext Japan Intellectual Property
	 	 	9	 
	 
	 	 	 	 
	(a) Definition
	 	 	9	 
	(b) License
	 	 	10	 
	(c) Review of Obligations
	 	 	11	 
	 
	 	 	 	 
	Section 6. Representations and Warranties of HCT
	 	 	11	 
	 
	 	 	 	 
	Section 7. Covenants of HCT
	 	 	11	 
	 
	 	 	 	 
	(a) Covenant Not to Sue
	 	 	11	 
	(b) Confidentiality
	 	 	11	 
	(c) OpNext Japan’s and HCT’s Trademark, Trade Names, etc
	 	 	12	 
	 
	 	 	 	 
	Section 8. Representations and Warranties of OpNext Japan
	 	 	12	 
	 
	 	 	 	 
	Section 9. Covenants of OpNext Japan
	 	 	13	 
	 
	 	 	 	 
	(a) Confidentiality
	 	 	13	 
	(b) No Additional Representations
	 	 	13	 
	(c) Covenant Not to Sue
	 	 	13	 
	 
	 	 	 	 
	Section 10. Mutual Covenants
	 	 	14	 
	 
	 	 	 	 
	(a) Press Releases
	 	 	14	 
	(b) Commercially Reasonable Efforts
	 	 	14	 
	(c) Injunctive Relief
	 	 	14	 
	 
	 	 	 	 
	Section 11. Termination and Survival
	 	 	14	 
	 
	 	 	 	 
	(a) Status of HCT
	 	 	14	 
	(b) Termination for Breach or Expiration
	 	 	14	 

iii

 

	 	 	 	 	 
	Section 12. Dispute Resolution
	 	 	15	 
	 
	 	 	 	 
	Section 13. Non-Compete
	 	 	15	 
	 
	 	 	 	 
	(a) HCT As Wholly-Owned Subsidiary of Hitachi
	 	 	15	 
	(b) HCT As Subsidiary of Hitachi
	 	 	15	 
	(c) Exceptions
	 	 	16	 
	(d) Enforceability
	 	 	16	 
	(e) Injunctive Relief
	 	 	16	 
	(f) No Restriction
	 	 	17	 
	 
	 	 	 	 
	Section 14. Assignment
	 	 	17	 
	 
	 	 	 	 
	Section 15. Third-Party Beneficiaries
	 	 	17	 
	 
	 	 	 	 
	Section 16. Survival of Representations and Warranties
	 	 	17	 
	 
	 	 	 	 
	Section 17. Expenses
	 	 	17	 
	 
	 	 	 	 
	Section 18. Export Control
	 	 	17	 
	 
	 	 	 	 
	Section 19. Amendment and Waiver
	 	 	17	 
	 
	 	 	 	 
	Section 20. Notices
	 	 	17	 
	 
	 	 	 	 
	Section 21. Interpretation
	 	 	19	 
	 
	 	 	 	 
	Section 22. Counterparts
	 	 	19	 
	 
	 	 	 	 
	Section 23. Entire Agreement
	 	 	19	 
	 
	 	 	 	 
	Section 24. Schedules or Exhibits
	 	 	19	 
	 
	 	 	 	 
	Section 25. No Strict Construction
	 	 	19	 
	 
	 	 	 	 
	Section 26. Severability
	 	 	20	 
	 
	 	 	 	 
	Section 27. Governing Law
	 	 	20	 
	 
	 	 	 	 
	Section 28. Submission to Jurisdiction; Waivers
	 	 	20	 
	 
	 	 	 	 
	Section 29. Delivery by Facsimile
	 	 	21	 
	 
	 	 	 	 
	Section 30. Exhibits and Schedules
	 	 	21	 
	 
	 	 	 	 
	Section 31. Recordation
	 	 	21	 
	 
	 	 	 	 
	Section 32. Third Parties
	 	 	21	 

iv

 

INTELLECTUAL PROPERTY LICENSE AGREEMENT

     THIS INTELLECTUAL PROPERTY LICENSE AGREEMENT (the “HCT IP License Agreement”),
effective as of October 1, 2002, is entered into by and between HITACHI COMMUNICATION TECHNOLOGIES,
LTD., a corporation existing under the laws of Japan (“HCT”) and a Wholly-Owned Subsidiary
of Hitachi, Ltd., a corporation existing under the laws of Japan (“Hitachi”), and OPNEXT
JAPAN, INC., a corporation existing under the laws of Japan (“OpNext Japan”) and a
Wholly-Owned Subsidiary of OpNext, Inc., a Delaware corporation (“OpNext”).

WITNESSETH

     WHEREAS, pursuant to the Himawari I Agreements (as defined below) Hitachi sold to OpNext Japan
all of the assets necessary or reasonably required for the operation of the fiber optic component
business of Hitachi’s Telecommunication Systems Division (“TSD”) and licensed to OpNext
Japan pursuant to the OpNext Japan IP License Agreement (as defined below) the Intellectual
Property (as defined below) rights, which were necessary or reasonably required for the operation
of the Business (as defined below) and which were not transferred/assigned under the Himawari I
Agreements;

     WHEREAS, pursuant to the Corporate Separation Law under Japanese Commercial Law, Hitachi will
transfer the assets and liabilities of Hitachi’s TSD and other related divisions to its
Wholly-Owned Subsidiary, HCT, in exchange for stock of HCT as of October 1, 2002 (the “TSD
Sale”);

     WHEREAS, three (3) of the patents that Hitachi will transfer to HCT in connection with the TSD
Sale constitute HCT Transferred IP (as defined below);

     WHEREAS, as the new owner of such patents, HCT will license such patents and other
Intellectual Property described herein to OpNext Japan under the terms and conditions set forth in
this HCT IP License Agreement; and

     WHEREAS, HCT and OpNext Japan also desire to cross-license to each other Intellectual Property
related to the Business pursuant to the terms and conditions set forth in this HCT IP License
Agreement.

     NOW, THEREFORE, in consideration of the mutual covenants contained herein and other good and
valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties
to this HCT IP License Agreement hereby agree as follows:

Section 1.    Definitions. The following terms, when used herein with initial capital
letters, shall have the respective meanings set forth in this Section 1. All capitalized terms
used herein but not defined herein shall have the meanings ascribed to such terms in the OpNext
Japan IP License Agreement, Stock Contribution Agreement (as defined below) or Stockholders’
Agreement (as defined below).

     (a) “Affiliate” of any particular Person shall mean any other Person controlling,
controlled by or under common control with such particular Person, where “control”

1

 

means the
possession, directly or indirectly, of the power to direct the management and policies of a Person
whether through the ownership of voting securities, contract or otherwise.

     (b) “Assigned IP” shall have the meaning as set forth in Section 6(b) of the Stock
Contribution Agreement and which may be set forth in Exhibit A attached hereto.

     (c) “Business” shall mean OpNext Japan’s fiber optic component business of designing,
developing, manufacturing, marketing, distributing and selling Products as operated by TSD as of
January 31, 2001 and as operated by OpNext Japan between January 31, 2001 and July 31, 2001.

     (d) “Business Transfer Agreement” shall mean the Business Transfer Agreement, dated
December 6, 2000, by and between Hitachi and OpNext Japan.

     (e) “Clarity” shall mean Clarity Partners, L.P., a Delaware limited partnership.

     (f) “Commercially Reasonable Efforts” shall mean diligent and commercially reasonable
and expeditious efforts to accomplish a task or objective in a manner that is at least equal to the
efforts, quality and resources devoted by a party that such party would apply to its own high
priority task or objective under similar circumstances.

     (g) “Cure Period” shall mean the sixty (60) day period from receipt of a notice of
breach.

     (h) “Dispute Notice” shall have the meaning as set forth in Section 12 of this HCT IP
License Agreement.

     (i) “Future HCT IP” shall have the meaning as set forth in Section 4(a) of this HCT IP
License Agreement.

     (j) “Future Hitachi IP” shall have the meaning as set forth in Section 3(f) of the
OpNext Japan License Agreement.

     (k) “Himawari I Agreements” shall mean the Business Transfer Agreement, OpNext Japan
IP License Agreement, Stock Contribution Agreement and Stockholders’ Agreement.

     (l) “HTC Transferred IP” shall have the meaning set forth in Section 3(a) of this HCT
IP License Agreement.

     (m) “Initial Public Offering” shall mean the first sale in an underwritten public
offering registered under the U.S. Securities Act of shares of OpNext’s Common Stock.

     (n) “Intellectual Property” shall mean all: (i) patents, patent applications, patent
disclosures and inventions (including all extensions, reexaminations, reissues, continuations and
renewals related thereto); (ii) copyrights (registered or unregistered and all renewals thereof)
and copyrightable works and registrations and applications for registration

2

 

thereof; (iii) mask
works and registrations and applications for registration thereof; (iv) computer software, data,
databases and documentation thereof; and (v) trade secrets and other confidential information
(including ideas, formulas, compositions, inventions (whether patentable or unpatentable and
whether or not reduced to practice), know-how, manufacturing and production processes and
techniques, research and development information, drawings, specifications, designs, plans,
proposals, technical data, operating, maintenance and safety materials and drawings, test
procedures, test data, sources of materials and supplies, financial and marketing plans and
customer and supplier lists and information). Intellectual Property, as referred to in this HCT IP
License Agreement, refers to rights throughout the world, including any equivalent of any of the
foregoing in any jurisdiction or under any laws, regulations or treaties.

     (o) “Jointly-Developed IP License Agreement” shall mean the License Agreement
pertaining to Jointly-Developed Intellectual Property (as defined below) entered into between
Hitachi and HCT pursuant to the TSD Sale effective as of October 1, 2002.

     (p) “Jointly Developed Intellectual Property” shall have the meaning as set forth in
Section 1(o) of the OpNext Japan R&D Agreement and Section 1(s) of the OpNext Inc. R&D Agreement.

     (q) “Licensed IP” shall have the meaning as set forth in Section 3(a) of the OpNext
Japan License Agreement.

     (r) “Minority-Owned Affiliate” shall mean any entity that a party, directly or
indirectly, at any time, owns or controls twenty percent (20%) to fifty percent (50%) of the voting
equity shares or securities convertible into such shares.

     (s) “Non-Competition Period” shall have the meaning as set forth in Section 13(a).

     (t) “OpNext Inc. R&D Agreement” shall mean the Research and Development Agreement,
dated as of July 31, 2002, by and between Hitachi and OpNext Inc., as amended by the First
Amendment to OpNext Inc. R&D Agreement, dated October 1, 2002, between Hitachi and OpNext, and as
otherwise amended, supplemented or modified from time to time.

     (u) “OpNext Japan IP” shall have the meaning as set forth in Section 5(a) of this HCT
IP License Agreement.

     (v) “OpNext Japan IP License Agreement” shall mean the Intellectual Property License
Agreement, dated July 31, 2001, by and between Hitachi and OpNext Japan, as amended by the First
Amendment to the IP License Agreement, dated October 1, 2002 between Hitachi and OpNext Japan and
as otherwise amended, supplemented or modified from time to time.

     (w) “OpNext Japan R&D Agreement” shall mean the Research and Development Agreement,
dated as of July 31, 2001, by and between Hitachi and OpNext Japan, as amended by the First
Amendment to OpNext Japan R&D Agreement, dated October 1, 2002,

3

 

by and among Hitachi, OpNext Japan
and Opto-Device Ltd., and as otherwise amended, supplemented or modified from time to time.

     (x) “Opto-Device Limited” shall mean a corporation existing under the laws of Japan
and that is a Wholly-Owned subsidiary of OpNext.

     (y) “Person” shall mean any individual, corporation, partnership, limited liability company, business
trust, association, joint stock company, trust, unincorporated organization, joint venture, firm or
other entity or a government or any political subdivision or agency, department or instrumentality
thereof.

     (z) “Restricted Products” shall have the meaning as set forth in Section 13(a).

     (aa) “Spin-Off Date” shall mean the date of the closing of the TSD Sale which is
October 1, 2002.

     (bb) “Stock Contribution Agreement” shall mean the Stock Contribution Agreement, dated
July 31, 2001, by and between Hitachi and OpNext.

     (cc) “Stockholders’ Agreement” shall mean the Stockholders’ Agreement, dated July 31,
2001, and as amended by the First Amendment to the Stockholder’s Agreement, dated October 1, 2002,
among OpNext, Hitachi and Clarity, Clarity OpNext Holdings I, LLC, a Delaware limited liability
company and Clarity OpNext Holdings II, LLC, a Delaware limited liability company.

     (dd) “Subsidiary” shall mean, with respect to any Person, any corporation, limited
liability company, partnership, association or other business entity of which (i) if a corporation,
a majority of the total voting power of shares of stock entitled (without regard to the occurrence
of any contingency) to the vote in the election of directors, managers, or trustees thereof is at
the time owned or controlled, directly or indirectly, by that Person or one or more of the other
Subsidiaries of that Person or a combination thereof or (ii) if a limited liability company,
partnership, association or other business entity, a majority of the limited liability company,
partnership or other similar ownership interest thereof is at the time owned or controlled,
directly or indirectly, by any Person or one or more Subsidiaries of that Person or a combination
thereof. For purposes here, a Person or Persons shall be deemed to have a majority ownership
interest in a limited liability company, partnership, association or other business entity if such
Person or Persons shall be allocated a majority of limited liability company, partnership,
association or other business entity gains or losses or shall be or control the managing director
or general partner of such limited liability company, partnership, association or other business
entity.

     (ee) “TSD” shall have the meaning as set forth in the first recital.

     (ff) “TSD
Sale” shall have the meaning as set forth in the second recital.

     (gg) “Wholly-Owned Subsidiaries” shall mean, with respect to any Person, any
corporation, limited liability company, partnership, association or other business entity of which
(i) if a corporation, one hundred percent (100%) of the total voting power of shares of stock

4

 

entitled (without regard to the occurrence of any contingency) to vote in the election of
directors, managers or trustees thereof is at the time owned or controlled, directly or indirectly,
by that Person or one or more of the other Wholly-Owned Subsidiaries of that Person or a
combination thereof or (ii) if a limited liability company, partnership, association or other
business entity, all of the limited liability company, partnership or total ownership interest
thereof is at the time owned or controlled, directly or indirectly, by any Person or one or more
other Wholly-Owned Subsidiaries of that Person or a combination thereof.

Section 2.  Assigned Intellectual Property.

     (a) License. OpNext Japan shall license, and does hereby license effective as of the
Spin-Off Date, the Assigned IP to HCT and its Wholly-Owned Subsidiaries on a fully paid-up and
non-exclusive basis to use, make, have made, sell, advertise, offer to sell, lease, import, export
and supply products and services throughout the world using the Assigned IP, unless otherwise
terminated according to the provisions in this HCT IP License Agreement; provided,
however, that HCT and its Wholly-Owned Subsidiaries will not have the right to sublicense
Assigned IP to any entity, without the consent of OpNext Japan, neither consent to be unreasonably
withheld, unreasonably delayed or unreasonably conditioned.

     (b) Acknowledgment. HCT does hereby agree that the license to Assigned IP in this HCT
IP License Agreement is the only license that HCT shall have to the Assigned IP, and that any other
prior or contemporaneous license, including without limitation, the OpNext Japan IP License
Agreement to such Assigned IP shall be replaced in its entirety by this HCT IP License Agreement.

     (c) Review of Obligations.

          (i) Ten Years. The obligations set forth in this Section 2 shall expire on July 31,
2011; provided, however, that the license under Assigned IP existing as of July 31,
2011 shall continue, under reasonable terms and conditions to be agreed between the parties, until
the expiration of all of such Assigned IP.

Section 3.    HCT Transferred IP.

     (a) Definition. “HCT Transferred IP” shall mean any Licensed IP and Future Hitachi IP that is
transferred to HCT pursuant to the TSD Sale, including without limitation, the patents listed on
Exhibit B attached hereto.

     (b) License.

          (i) License Grant. HCT shall license, and does hereby license effective as of the
Spin-Off Date, the HCT Transferred IP to OpNext Japan, on a fully paid-up and non-exclusive basis
to use, make, have made, sell, advertise, offer to sell, lease, import, export and supply products
and services throughout the world using the HCT Transferred IP, unless otherwise terminated
according to the provisions in this HCT IP License Agreement.

          (ii) Termination Conditions. Such license shall not be terminated or its exploitation
enjoined, until and unless: (i) OpNext Japan has committed a material breach of

5

 

its obligations
under this HCT IP License Agreement, HCT has given written notice of such breach to OpNext Japan
and such breach remains uncured after the Cure Period, or, in the case of a breach that cannot be
cured within such Cure Period, OpNext Japan has not instituted within such Cure Period steps
necessary to remedy the default and/or thereafter has not diligently pursued the same to
completion; or (ii) OpNext Japan has committed an incurable material breach. In the event the
breach is a curable breach that cannot be cured within the Cure Period but with respect to which
OpNext Japan has instituted steps necessary to remedy the default and is thereafter diligently
pursuing such cure, both parties shall negotiate to determine whether further pursuit of such cure
is reasonable. If the parties cannot agree on a resolution in such negotiations, then this issue
shall be referred to arbitration pursuant to the arbitration procedures set forth in Exhibit
C hereto to decide whether such breach can be cured or any other alternative remedy should be
adopted. In the event the breach is an incurable breach, the parties agree that the matter shall
be referred to arbitration pursuant to the arbitration procedures set forth in Exhibit C
hereto to determine the appropriate remedy. In the event that either party submits the dispute to
arbitration, both parties shall cooperate in such binding arbitration in accordance with
Exhibit C.

     (c) Sublicense.

          (i) Subsidiaries. HCT will grant, and does hereby grant effective as of the Spin-Off
Date, to OpNext Japan the right to freely sublicense the HCT Transferred IP to OpNext Japan’s
Subsidiaries, to OpNext and OpNext’s Subsidiaries.

          (ii) Minority-Owned Affiliates. OpNext Japan shall be permitted to further sublicense
the HCT Transferred IP to its Minority-Owned Affiliates, subject to approval by HCT, not to be
unreasonably withheld, unreasonably delayed or unreasonably conditioned, and to commercially
reasonable restrictions to be imposed by HCT that will be agreed to by the parties in writing.

          (iii) Customers. OpNext Japan shall be permitted to further sublicense the HCT
Transferred IP to its customers as necessary or appropriate in connection with the completion of
OpNext Japan’s products and services, to complete the sale of products or services in the ordinary
course of business or to enable joint development of a product or system with OpNext Japan’s customers to be manufactured and sold by OpNext Japan to such customers,
provided OpNext Japan proposes the terms and conditions of such sublicense to HCT and agrees that
such sublicense shall be subject to HCT’s exercise of one (1) of the following options in HCT’s
sole discretion, with respect to the terms and conditions proposed by OpNext Japan: (i) HCT may
consent to the sublicense terms and conditions as is; (ii) HCT may propose that a revised version
of the sublicense, with reasonably modified terms and conditions be utilized; (iii) HCT may enter
into a direct license with OpNext Japan’s customer under the same terms and conditions as OpNext
Japan’s proposed sublicense; (iv) HCT may propose to enter into a direct license with OpNext
Japan’s customer under reasonably modified terms and conditions; or (v) HCT may commence
discussions with OpNext Japan to reach a resolution of HCT’s concerns with respect to such
sublicense, if HCT believes such sublicense is not in the best interest of the parties. HCT shall
have the sole discretion to determine which of the five (5) foregoing options HCT will exercise in
each case. With respect to HCT’s exercise of one (1) of the five (5) foregoing options, HCT agrees
to provide consents to and/or notify OpNext Japan of HCT’s

6

 

proposed modifications within fifteen
(15) Business Days of receipt of the sublicense terms and conditions from OpNext Japan. In the
event that HCT exercises one (1) of the five (5) foregoing options, the parties agree to negotiate
in good faith and on reasonable terms to resolve the situation within a reasonable amount of time,
which shall not exceed fifteen (15) Business Days of HCT’s provision of such a response to OpNext
Japan; provided, however, HCT shall not contact such OpNext Japan customers that
are the subject of negotiations between HCT and OpNext Japan, without the prior consent of OpNext
Japan prior to the resolution of such negotiations. If the parties cannot agree on a resolution in
such negotiations, then this issue shall be referred to arbitration pursuant to the arbitration
procedures set forth in Exhibit C hereto. In the event that either party submits the
dispute to arbitration, both parties shall cooperate in such binding arbitration in accordance with
Exhibit C.

     (d) Review of Obligations.

          (i) Ten Years. The obligations set forth in this Section 3 shall expire on July 31,
2011; provided, however, that the license under HCT Transferred IP existing as of
July 31, 2011 shall continue, under reasonable terms and conditions to be agreed between the
parties, until the expiration of all of such HCT Transferred IP.

          (ii) Breach. Notwithstanding (i) above, if either of the conditions set forth in
Section 3(b)(ii) is met, HCT may elect to be completely relieved of its obligations set forth in
this Section 3. If HCT elects to be relieved of its obligations under this Section 3, the parties
shall renegotiate in good faith and on commercially reasonable terms a new license governing the
HCT Transferred IP.

Section 4.    Future HCT IP.

     (a) Definition. “Future HCT IP” shall mean (i) any patents that are issued
based on any patent applications of HCT filed after the Spin-Off Date but prior to July 31, 2011
and (ii) pending patent applications that may be filed by HCT after the Spin-Off Date but prior to
July 31, 2011, (in either case including all extensions, reexaminations, reissues, continuations,
continuations in part, divisionals and renewals related thereto); and in each of case of (i) and (ii) that are
reasonably relevant to the Business as conducted on July 31, 2001 and as modified or expanded in
the future to the extent that any such modification or expansion relates to modifications to,
extensions of or new versions of product lines existing or planned as of July 31, 2001.

     (b) Future HCT IP License.

          (i) License Grant. HCT shall license, and does hereby license effective as of the
Spin-Off Date, the Future HCT IP to OpNext Japan, on a fully paid-up and non-exclusive basis to
use, make, have made, sell, advertise, offer to sell, lease, import, export and supply products and
services throughout the world using the Future HCT IP, unless otherwise terminated according to the
provisions in this HCT IP License Agreement.

          (ii) Termination Conditions. Such license shall not be terminated or its exploitation
enjoined, until and unless: (i) OpNext Japan has committed a material breach of its obligations
under this HCT IP License Agreement, HCT has given written notice of such

7

 

breach to OpNext Japan
and such breach remains uncured after the Cure Period, or, in the case of a breach that cannot be
cured within such Cure Period, OpNext Japan has not instituted within such Cure Period steps
necessary to remedy the default and/or thereafter has not diligently pursued the same to
completion; or (ii) OpNext Japan has committed an incurable material breach. In the event the
breach is a curable breach that cannot be cured within the Cure Period but with respect to which
OpNext Japan has instituted steps necessary to remedy the default and is thereafter diligently
pursuing such cure, both parties shall negotiate to determine whether further pursuit of such cure
is reasonable. If the parties cannot agree on a resolution in such negotiations, then this issue
shall be referred to arbitration pursuant to the arbitration procedures set forth in Exhibit
C hereto to decide whether such breach can be cured or any other alternative remedy should be
adopted. In the event the breach is an incurable breach, the parties agree that the matter shall
be referred to arbitration pursuant to the arbitration procedures set forth in Exhibit C
hereto to determine the appropriate remedy. In the event that either party submits the dispute to
arbitration, both parties shall cooperate in such binding arbitration in accordance with
Exhibit C.

     (c) Sublicense.

          (i) Subsidiaries. HCT will grant, and does hereby grant effective as of the Spin-Off
Date, to OpNext Japan the right to freely sublicense the Future HCT IP to OpNext Japan’s
Subsidiaries, to OpNext and OpNext’s Subsidiaries.

          (ii) Minority-Owned Affiliates. OpNext Japan shall be permitted to further sublicense
the Future HCT IP to its Minority-Owned Affiliates, subject to approval by HCT, not to be
unreasonably withheld, unreasonably delayed or unreasonably conditioned, and to commercially
reasonable restrictions to be imposed by HCT that will be agreed to by the parties in writing.

          (iii) Customers. OpNext Japan shall be permitted to further sublicense the Future HCT
IP to its customers as necessary or appropriate in connection with the completion of OpNext Japan’s
products and services, to complete the sale of products or services
in the ordinary course of business or to enable joint development of a product or system with
OpNext Japan’s customers to be manufactured and sold by OpNext Japan to such customers, provided
OpNext Japan proposes the terms and conditions of such sublicense to HCT and agrees that such
sublicense shall be subject to HCT’s exercise of one (1) of the following options in HCT’s sole
discretion, with respect to the terms and conditions proposed by OpNext Japan: (i) HCT may consent
to the sublicense terms and conditions as is; (ii) HCT may propose that a revised version of the
sublicense, with reasonably modified terms and conditions be utilized; (iii) HCT may enter into a
direct license with OpNext Japan’s customer under the same terms and conditions as OpNext Japan’s
proposed sublicense; (iv) HCT may propose to enter into a direct license with OpNext Japan’s
customer under reasonably modified terms and conditions; or (v) HCT may commence discussions with
OpNext Japan to reach a resolution of HCT’s concerns with respect to such sublicense, if HCT
believes such sublicense is not in the best interest of the parties. HCT shall have the sole
discretion to determine which of the five (5) foregoing options HCT will exercise in each case.
With respect to HCT’s exercise of one (1) of the five (5) foregoing options, HCT agrees to provide
consents to and/or notify OpNext Japan of HCT’s proposed modifications within fifteen
(15) Business Days of receipt of the sublicense terms and

8

 

conditions from OpNext Japan. In the event that HCT
exercises one (1) of the five (5) foregoing options, the parties agree to negotiate in good faith
and on reasonable terms to resolve the situation within a reasonable amount of time, which shall
not exceed fifteen (15) Business Days of HCT’s provision of such a response to OpNext Japan;
provided, however, HCT shall not contact such OpNext Japan customers that are the
subject of negotiations between HCT and OpNext Japan, without the prior consent of OpNext Japan
prior to the resolution of such negotiations. If the parties cannot agree on a resolution in such
negotiations, then this issue shall be referred to arbitration pursuant to the arbitration
procedures set forth in Exhibit C hereto. In the event that either party submits the
dispute to arbitration, both parties shall cooperate in such binding arbitration in accordance with
Exhibit C.

     (d) Review of Obligations.

          (i) Ten Years. The obligations set forth in this Section 4 shall expire on July 31,
2011; provided, however, that the license under Future HCT IP existing as of July
31, 2011 shall continue, under reasonable terms and conditions to be agreed between the parties,
until the expiration of all of such Future HCT IP.

          (ii) Breach. Notwithstanding (i) above, if either of the conditions set forth in
Section 4(b)(ii) is met, HCT may elect to be completely relieved of its obligations set forth in
this Section 4. If HCT elects to be relieved of its obligations under this Section 4, the parties
shall renegotiate in good faith and on commercially reasonable terms a new license governing the
Future HCT IP.

     (e) Cooperation. The parties agree to cooperate and consult with each other to
develop procedures by which OpNext Japan will keep HCT informed of any modifications or expansions
to the Business in order for HCT to identify Future HCT IP and notify OpNext Japan accordingly. If
requested by OpNext Japan, any of such Future HCT IP will be licensed to OpNext Japan under the
terms and conditions set forth in Section 4(b)(i). Any such license
pursuant to this Section 4(e) shall be subject to the termination provisions in Section
4(b)(ii), the sublicensing terms in Section 4(c), and the renegotiation terms of Section 4(d). In
the event that the parties disagree as to whether any particular Intellectual Property developed by
HCT constitutes Future HCT IP, the parties shall first attempt to resolve the dispute through good
faith and reasonable negotiations in accordance with Section 12 hereof. In the event that the
dispute cannot be resolved through such negotiations, a party shall refer the dispute to
arbitration pursuant to the arbitration procedures set forth in Exhibit C hereto. In the
event that either party submits the dispute to arbitration, both parties shall cooperate in such
binding arbitration in accordance with Exhibit C.

Section 5.    OpNext Japan Intellectual Property.

     (a) Definition. “OpNext Japan IP” shall mean patents issued to and patent
applications filed after July 31, 2001 (including all extensions, reexaminations, reissues,
continuations, continuations in part, divisionals and renewals related thereto) by OpNext Japan but
filed prior to July 31, 2011 covering products and processes of the Business, throughout the world
(but excluding Assigned IP, HCT Transferred IP and Future HCT IP).

9

 

     (b) License.

          (i) License Grant. OpNext Japan shall license, and does hereby license effective as
of the Spin-Off Date, the OpNext Japan IP to HCT and its Wholly-Owned Subsidiaries on a fully
paid-up and non-exclusive basis, to use, make, have made, sell, advertise, offer to sell, lease,
import, export and supply products and services throughout the world using the OpNext Japan IP,
unless otherwise terminated according to the provisions of this HCT IP License Agreement;
provided, however, that HCT and its Wholly-Owned Subsidiaries will not have the
right to sublicense OpNext Japan IP to any entity, without the consent of OpNext Japan and Clarity,
neither consent to be unreasonably withheld, unreasonably delayed or unreasonably conditioned. The
requirement of obtaining Clarity’s consent under this Section 5(b) shall terminate automatically
and be of no further force and effect upon the occurrence of the first to occur of (i) an Initial
Public Offering or (ii) a Sale of the Company (as defined in the Stockholders’ Agreement); provided
that the parties acknowledge and agree that Clarity shall be entitled to maintain for itself its
right to consent to sublicenses under this Section 5(b) notwithstanding such termination so long as
the Clarity Parties (as defined in the Stockholders’ Agreement) and their Affiliates own Voting
Securities (as defined in the Stockholders’ Agreement) of OpNext possessing more than ten percent
(10%) of the total voting power of all outstanding Voting Securities of OpNext.

          (ii) Termination Conditions. Such license shall not be terminated or its exploitation
enjoined, until and unless: (i) HCT has committed a material breach of its obligations under this
HCT IP License Agreement, OpNext Japan has given written notice of such breach to HCT and such
breach remains uncured after the Cure Period, or, in the case of a breach, which cannot be cured
within such Cure Period, HCT has not instituted within such Cure Period steps necessary to remedy
the default and/or thereafter has not diligently pursued the same to completion; or (ii) such a
material breach is incurable. In the event the breach is a
curable breach that cannot be cured within the Cure Period but with respect to which HCT has
instituted steps necessary to remedy the default and is thereafter diligently pursuing such cure,
both parties shall negotiate to determine whether further pursuit of such cure is reasonable. If
the parties cannot agree on a resolution in such negotiations, then this issue shall be referred to
arbitration pursuant to the arbitration procedures set forth in Exhibit C hereto to decide
whether such breach can be cured or any other alternative remedy should be adopted. In the event
the breach is an incurable breach, the parties agree that the matter shall be referred to
arbitration pursuant to the arbitration procedures set forth in Exhibit C hereto to
determine the appropriate remedy. In the event that either party submits the dispute to
arbitration, both parties shall cooperate in such binding arbitration in accordance with
Exhibit C.

          (iii) Acknowledgment. HCT does hereby agree that the license to OpNext Japan IP in
this HCT IP License Agreement is the only license that HCT shall have to the OpNext Japan IP, and
that any other prior or contemporaneous license, including without limitation the OpNext Japan IP
License Agreement to such OpNext Japan IP shall be replaced in its entirety by this HCT IP License
Agreement.

10

 

     (c) Review of Obligations.

          (i) Ten Years. The obligations set forth in this Section 5 shall expire on July 31,
2011; provided, however, that the license under OpNext Japan IP existing as of July
31, 2011 shall continue, under reasonable terms and conditions to be agreed between the parties,
until the expiration of all of such OpNext Japan IP.

          (ii) Breach. Notwithstanding (i) above, if either of the conditions set forth in
Section 5(b)(i) is met, OpNext Japan may elect to be completely relieved of its obligations set
forth in this Section 5. If OpNext Japan elects to be relieved of its obligations under this
Section 5, the parties shall renegotiate in good faith and on commercially reasonable terms a new
license governing the OpNext Japan IP.

Section 6.    Representations and Warranties of HCT. HCT represents and warrants to
OpNext Japan that HCT owns or has the right to use and sublicense the HCT Transferred IP.

Section 7.    Covenants of HCT. HCT covenants and agrees as follows:

     (a) Covenant Not to Sue. HCT herewith covenants not to sue OpNext Japan or OpNext for
infringement of any Intellectual Property related to the Business, throughout the world. HCT also
covenants not to sue any sublicensees of OpNext Japan that are authorized pursuant to the terms of
Section 3(c) and 4(c) or customers of OpNext Japan or OpNext for infringement of any Intellectual
Property related to the Business throughout the world; provided, however, covenants
not to sue customers of OpNext Japan or OpNext shall be applied in accordance with the “exhaustion
doctrine” such that it only extends to products or methods provided by OpNext Japan or OpNext
to customers and shall not extend to any portions of any systems or subsystems or any other
customer’s products or methods that incorporate such products or methods provided by OpNext Japan
or OpNext to the extent such portions are not covered by HCT Transferred IP or Future HCT IP.

     (b) Confidentiality. With respect to any information furnished to HCT pursuant to
this HCT IP License Agreement, which HCT reasonably understands to be proprietary or confidential
in nature and any confidential information relating to the Business, including Assigned IP and
OpNext Japan IP, HCT shall maintain the confidentiality of all such information in accordance with
HCT’s policies for the protection of its own nonpublic information (which policies shall provide at
least reasonable protection).

          (ii) The limitations set forth in this Section 7(b) shall not apply with respect to the
disclosure of any information: (i) to HCT’s employees, auditors, counsel, other professional
advisors, sublicensees of HCT that are authorized pursuant to Sections 2(a) and 5(b) or suppliers
of HCT or any of its sublicensees authorized under Sections 2(a) and 5(b), in its sole discretion,
determines that it is reasonably necessary for such Person to have access to such information,
provided that any such Person agrees to be bound by the provisions of this Section 7(b) to the same
extent as HCT; (ii) that has become or previously was generally available to the public other than
by reason of a breach of this Section 7(b) by HCT or has become available to HCT on a
non-confidential basis after the Spin-Off Date; (iii) as may be required or appropriate in any
report, statement or testimony submitted to any municipal, state or federal regulatory body

11

 

having
or claiming to have jurisdiction over HCT (it being understood that, to the extent practicable, HCT
shall provide OpNext Japan prompt notice to any such event and cooperate in good faith to enable
OpNext Japan to participate to protect its interest in such confidential information); (iv) as may
be required or appropriate in response to any summons or subpoena or in connection with any
litigation; and (v) in order to comply with any law, order, regulation or ruling applicable to HCT.

          (iii) Notwithstanding Section 7(b)(ii), to the extent that after the Spin-Off Date, HCT
desires to disclose to HCT’s sublicensed Subsidiaries (that are not Wholly-Owned Subsidiaries),
sublicensed Affiliates (including Minority-Owned Affiliates) and/or suppliers (i) OpNext Japan IP
and/or (ii) any information furnished to HCT pursuant to this HCT IP License Agreement that HCT
reasonably understands to be proprietary or confidential in nature and any confidential information
relating to the Business that HCT did not disclose to its sublicensed Subsidiaries (that are not
Wholly-Owned Subsidiaries), sublicensed Minority-Owned Affiliates and/or suppliers prior to the
Spin-Off Date, HCT shall notify OpNext Japan of such desire and propose the terms and conditions of
an appropriate nondisclosure agreement into which OpNext Japan and the corresponding HCT
sublicensee may enter. OpNext Japan agrees that within fifteen (15) Business Days of receipt of
such request and proposed nondisclosure agreement, OpNext Japan shall, at its sole discretion,
either: (i) enter into the proposed nondisclosure agreement and directly provide the requested
confidential information to such HCT sublicensee; (ii) propose reasonably modified terms and
conditions of the nondisclosure
agreement under which OpNext Japan will provide the requested confidential information to
HCT’s sublicensee; or (iii) commence discussions with HCT to reach a resolution of OpNext Japan’s
concerns with respect to such disclosure, if OpNext Japan believes such disclosure is not in the
best interest of the parties. In the event that OpNext Japan elects to exercise option (ii) or
(iii), the parties agree to negotiate in good faith and on reasonable terms to resolve the
situation within a reasonable amount of time, which shall not exceed fifteen (15) Business Days of
OpNext Japan’s provision of such a response. If the parties cannot agree on a resolution in such
negotiations, then this issue shall be referred to arbitration pursuant to the arbitration
procedures set forth in Exhibit C hereto. In the event that either party submits the
dispute to arbitration, both parties shall cooperate in such binding arbitration in accordance with
Exhibit C.

     (c) OpNext Japan’s and HCT’s Trademark, Trade Names, etc. If necessary, OpNext Japan
and HCT may negotiate in good faith the terms and conditions under which HCT and OpNext Japan may
use any of the trademarks, trade names, trade dress, service marks, logos and/or domain names
relating to the Business and any other means of identifying the Business or its products or
services from and after the Spin-Off Date.

Section 8.    Representations and Warranties of OpNext Japan. OpNext Japan represents
and warrants to HCT that OpNext Japan owns or has the right to use and sublicense the OpNext Japan
IP that has been filed by (to the extent there are any patent applications) or issued to, OpNext
Japan, as of the Spin-Off Date.

12

 

Section 9.    Covenants of OpNext Japan. OpNext Japan covenants as follows:

     (a) Confidentiality.

          (i) With respect to any information furnished to OpNext Japan pursuant to this HCT IP License
Agreement, which OpNext Japan reasonably understands to be proprietary or confidential in nature
and any confidential information relating to the Business, including HCT Transferred IP and Future
HCT IP, OpNext Japan shall maintain the confidentiality of all such information in accordance with
OpNext Japan’s policies for the protection of its own nonpublic information (which policies shall
provide at least reasonable protection).

          (ii) The limitations set forth in this Section 9(a) shall not apply with respect to the
disclosure of any information: (i) to OpNext Japan’s employees, auditors, counsel, other
professional advisors, sublicensees of OpNext Japan authorized pursuant to the terms of Sections
3(c) and 4(c) or suppliers, if OpNext Japan or its sublicensees authorized pursuant to the terms of
Sections 3(c) and 4(c), in its sole discretion, determines that it is reasonably necessary for such
party to have access to such information, provided that any such Person agrees to be bound by the
provisions of this Section 9(a) to the same extent as OpNext Japan; (ii) as has become or
previously was generally available to the public other than by reason of a breach of this Section
9(a) by OpNext Japan or has become available to OpNext Japan on a non-confidential basis after the
Spin-Off Date; (iii) as may be required or appropriate in any report,
statement or testimony submitted to any municipal, state or federal regulatory body having or
claiming to have jurisdiction over OpNext Japan (it being understood that, to the extent
practicable, OpNext Japan shall provide HCT prompt notice to any such event and cooperate in good
faith to enable HCT to participate to protect its interest in such confidential information); (iv)
as may be required or appropriate in response to any summons or subpoena or in connection with any
litigation; and (v) in order to comply with any law, order, regulation or ruling applicable to
OpNext Japan.

     (b) No Additional Representations. OpNext Japan acknowledges that neither HCT nor any
other Person has made any representation or warranty, express or implied, as to the accuracy or
completeness of any information regarding the HCT Transferred IP and Future HCT IP except as
expressly set forth in this HCT IP License Agreement or the Schedules and Exhibits hereto. Without
limiting the generality of the foregoing, HCT makes no representation or warranty with respect to
the HCT Transferred IP and Future HCT IP, express or implied, beyond those expressly made in
Section 6, including any implied representation or warranty as to the condition, merchantability,
suitability or fitness for a particular purpose of any of the HCT Transferred IP and Future HCT IP
and, except for the express representations and warranties of HCT contained in Section 6, OpNext
Japan takes the HCT Transferred IP and Future HCT IP on an “as is” and “where is” basis.

     (c) Covenant Not to Sue. OpNext Japan herewith covenants not to sue HCT and its
Wholly-Owned Subsidiaries for infringement of any Intellectual Property related to the Business,
throughout the world. OpNext Japan also covenants not to sue sublicensees of HCT authorized
pursuant to the terms of Sections 2(a) and 5(b) or customers of HCT for infringement of any
Intellectual Property related to the Business throughout the world; provided,
however,

13

 

covenants not to sue customers of HCT shall be applied in accordance with the
“exhaustion doctrine” such that it only extends to products or methods provided by HCT to customers
and shall not extend to any portions of any systems or subsystems or any other customer’s products
or methods that incorporate such products or methods provided by HCT, to the extent such portions
are not covered by OpNext Japan IP or Assigned IP.

Section 10.    Mutual Covenants. HCT and OpNext Japan covenant and agree as follows:

     (a) Press Releases. Each party agrees to consult with the other as to the general
nature of any news releases or public statements with respect to the transactions contemplated by
this HCT IP License Agreement, and use Commercially Reasonable Efforts not to issue any news
releases or public statements inconsistent with results of such consultations. Subject to
applicable laws or the rules of any applicable securities exchange, each party shall use
Commercially Reasonable Efforts to enable the other party to review and comment on all such news
releases prior to the release thereof.

     (b) Commercially Reasonable Efforts. Subject to the terms of this HCT IP License
Agreement, each party will use its Commercially Reasonable Efforts to satisfy all of the conditions
set forth in this HCT IP License Agreement.

     (c) Injunctive Relief. The parties acknowledge and agree that money damages would be
inadequate to remedy any breach of the confidentiality obligations in Sections 7(b) and 9(a) and
that the non-breaching party shall be entitled to obtain equitable or other remedies with respect
to any such breach, including injunctive relief.

Section 11.    Termination and Survival.

     (a) Status of HCT. Notwithstanding anything else in this Agreement (including,
without limitation, the termination provisions set forth in Section 11(b) below), if at any time
HCT ceases to be a Subsidiary of Hitachi, all the obligations set forth in this Agreement and the
Jointly Developed IP License Agreement shall terminate at such time but only with respect to
Assigned IP, Future HCT IP, OpNext Japan IP and Jointly Developed IP; provided,
however, that: (i) the obligations set forth in Sections 7(b), 9(a), 10, 11, 12, 17, 20,
27, and 28 of this HCT IP License Agreement as they relate to Assigned IP, Future HCT IP and OpNext
Japan IP, and Sections 6, 13-17, 20-22 of the Jointly Developed IP License Agreement as they relate
to Jointly Developed IP shall survive such termination; and (ii) all of the obligations of this HCT
IP License Agreement with respect to HCT Transferred IP, except for Sections 2, 4, 5, 7(a)
(as Section 7(a) relates to Future HCT IP), 9(c) and 13 of this HCT IP License Agreement, shall
survive such termination; and further provided, that the parties shall discuss in
good faith entering into new agreements regarding the same subject matter on commercially
reasonable terms.

     (b) Termination for Breach or Expiration. To the extent the terms of this HCT IP
License Agreement provide for rights, interest, duties, claims, undertakings and obligations
subsequent to the termination (other than a termination pursuant to Section 11(a)) or expiration of
this HCT IP License Agreement, such terms of this HCT IP License Agreement shall survive such
termination or expiration, including but not limited to the terms of Sections 1, 2 (to the

14

 

extent
the provision allows for post-termination or post-expiration license), 3 (to the extent the
provision allows for post-termination or post-expiration license), 4 (to the extent the provision
allows for post-termination or post-expiration license), 5 (to the extent the provision allows for
post-termination or post-expiration license), 6 (subject to the survival period to July 31, 2003),
7(b), 8 (subject to the survival period to July 31, 2003), 9(a), 10-12, 14-17, and 19-28.

Section 12.    Dispute Resolution. In the event of any dispute under this HCT IP
License Agreement, as a condition precedent to either party seeking arbitration (except for actions
seeking injunctive relief), the parties will attempt to resolve such dispute by good faith negotiations. Such
negotiations shall first involve the individuals designated by the parties as having general
responsibility for the HCT IP License Agreement. If such negotiations do not result within thirty
(30) days from written notice of either party indicating that a dispute exists (a “Dispute
Notice”) in a resolution of the dispute, OpNext Japan shall nominate one (1) corporate officer
of the rank of vice president or higher and HCT shall nominate one (1) corporate officer of the
rank of Board Director or higher, which corporate officers shall meet in person and attempt in good
faith to negotiate a resolution to the dispute. In the event such nominated individuals are unable
to resolve the dispute within forty-five (45) days of receipt by either party of a Dispute Notice,
a party shall refer the matter to arbitration (except for actions seeking injunctive relief)
pursuant to the arbitration procedures set forth in Exhibit C to this HCT IP License
Agreement. In the event that either party submits the dispute to arbitration, both parties shall
cooperate in such binding arbitration in accordance with Exhibit C hereto.

Section 13.    Non-Compete.

     (a) HCT As Wholly-Owned Subsidiary of Hitachi. During the period beginning on the
Spin-Off Date and ending at the earlier of: (i) one year after the date of an Initial Public
Offering of OpNext; (ii) such time as Hitachi and its Permitted Transferees (as defined in the
Stockholders’ Agreement) no longer hold at least a majority of the Voting Securities (as defined in
the Stockholders’ Agreement) of OpNext; (iii) termination of this IP License Agreement pursuant to
Section 11(a) (the “Non-Competition Period”), HCT, for so long as HCT is a Wholly-Owned
Subsidiary of Hitachi, shall not, and shall cause its Wholly-Owned Subsidiaries to not participate
or engage in or otherwise invest in, directly or indirectly, any area of the world, the business of
designing, developing, manufacturing (or having manufactured), marketing, distributing or selling
the following fiber optical products, in each case which are dedicated to use in or intended to be
used in telecommunications applications (the “Restricted Products”): transmitters,
receivers, transceivers, laser diode modules, photo diode modules, parallel optical
interconnectors, lasers, photodiodes, modulators, amplifier modules, optical switches and optical
wave guides, including licensing its Intellectual Property related to Restricted Products to
third-parties except (a) as part of a global cross-license or (b) any other form of agreement so
long as such agreement does not adversely affect the ongoing business of OpNext, other than on
behalf of OpNext and its subsidiaries as a sales agent or distributor.

     (b) HCT As Subsidiary of Hitachi. During the Non-Competition Period, HCT, for so long
as HCT is a Subsidiary of Hitachi but not a Wholly-Owned Subsidiary of Hitachi, shall not, and
shall cause its Wholly-Owned Subsidiaries to not, participate or engage in or otherwise invest in,
directly or indirectly, any area of the world, the business of designing,

15

 

developing, manufacturing
(or having manufactured), marketing, distributing or selling Restricted Products.

     (c) Exceptions. Nothwithstanding anything in Section 13(a) and 13(b) to the contrary,

          (i) HCT and its Affiliates shall be permitted to design, develop, manufacture (or have
manufactured), market, distribute and sell any Restricted Products that HCT or its Wholly-Owned
Subsidiaries were designing, developing, manufacturing (or having manufactured), marketing,
distributing or selling on January 1, 2001;

          (ii) The provisions of this Section 13 shall not restrict in any manner the activities of (1)
any present or future joint ventures to which HCT or any of its Wholly-Owned Subsidiaries is or may
be a party or (2) any future entities which may issue or have publicly traded securities
outstanding and which are not HCT Subsidiaries; and

          (iii) HCT and its Wholly-Owned Subsidiaries may hereafter purchase, or otherwise become
affiliated with or participate in, any entity engaged in the design, development, manufacturing (or
having manufactured), marketing, distributing and selling of any Restricted Products unless the
aggregate gross revenues of such enterprise for its most recently completed fiscal year derived
from such activities were greater than either (i) fifteen percent (15%) of the total gross revenues
of such enterprise; or (ii) $100 million (and HCT and its Wholly-Owned Subsidiaries may hereafter
acquire a controlling interest in any entity that is engaged in such activities, even if the
aggregate gross revenues of such enterprise for its most recently completed fiscal year derived
from such activities were greater than fifteen percent (15%) of the entity’s total gross revenues
and/or $100 million, so long as HCT and its Wholly-Owned Subsidiaries shall use reasonable efforts
to divest, as soon as reasonably practicable, a portion of its interest in such enterprise relating
to such activities such that the gross revenues test set forth above would not be exceeded after
giving effect to such divestiture).

     (d) Enforceability. The parties hereto recognize that the laws and public policies of
various jurisdictions may differ as to the validity and enforceability of covenants similar to
those set forth in this Section 13. HCT acknowledges that the provisions of this Section 13 are
reasonable and necessary to protect and preserve the business of OpNext Japan and that OpNext Japan
would be irreparably damaged if HCT were to breach the covenants set forth in this Section 13. It
is the intention of the parties that the provisions of this Section 13 be enforced to the fullest
extent permissible under the laws and policies of each jurisdiction in which enforcement may be
sought, and that the unenforceability (or the modification to conform to such laws or policies) of
any provisions of this Section 13 shall not render unenforceable, or impair, the remainder of the
provisions of this Section 13. Accordingly, if any provision of this Section 13 shall be
determined to be invalid or unenforceable, such invalidity or unenforceability shall be deemed to
apply only with respect to the operation of such provision in the particular jurisdiction in which
such determination is made and not with respect to any other provision or jurisdiction.

     (e) Injunctive Relief. The parties hereto acknowledge and agree that any remedy at
law for any breach of the provisions of this Section 13 would be inadequate, and HCT

16

 

hereby
consents to the granting by any court of an injunction or other equitable relief, without the
necessity of actual monetary loss being proved, in order that the breach or threatened breach of
such provisions may be effectively restrained.

     (f) No Restriction. The parties acknowledge that nothing in this Section 13 is
intended to restrict HCT or any of its Affiliates from continuing or seeking to do business with
any Person who is a customer or supplier of OpNext Japan, subject to compliance with the
noncompetition provisions of this Section 13.

Section 14.    Assignment. Except as set forth below, this HCT IP License Agreement
and any rights and obligations hereunder shall not be assignable or transferable by OpNext Japan or
HCT (including by operation of law in connection with a merger or sale of stock, or sale of
substantially all the assets, of OpNext Japan or HCT) without the prior written consent of the
other party and any purported assignment without such consent shall be void and without effect.

Section 15.    Third-Party Beneficiaries. OpNext Japan and HCT acknowledge and agree
that this HCT IP License Agreement is intended not only for the benefit of themselves, their
Subsidiaries and for purposes of Section 3(c)(ii), 4(c)(ii) and 7(b)(iii) their Minority-Owned
Affiliates but also for the benefit of OpNext and OpNext’s Subsidiaries and Minority-Owned
Affiliates.

Section 16.    Survival of Representations and Warranties. The representations and
warranties contained in this HCT IP License Agreement and in any other document delivered in
connection herewith shall terminate at the close of business on July 31, 2003.

Section 17.    Expenses. Whether or not the transactions contemplated hereby are
consummated, and except as otherwise specifically provided in this HCT IP License Agreement, all
costs and expenses incurred in connection with this HCT IP License Agreement and the transactions
contemplated hereby shall be paid by the party incurring such costs or expenses.

Section 18.    Export Control. Each party shall comply or have its Subsidiaries or
Affiliates comply with any applicable export laws and regulations and obtain any and all export
licenses and/or governmental approvals, if necessary. In the event a licensee (under Sections 2,
3, 4 and 5 above) is unable to obtain any required export license or other governmental approval,
and as a result the licensor (under Sections 2, 3, 4 and 5 above) suffers or will suffer
irreparable harm as a result of the licensee’s failure, the parties acknowledge and agree that
money damages would be inadequate and that the licensor shall be entitled to obtain injunctive or
other similar equitable remedies with respect to any such breach.

Section 19.    Amendment and Waiver. No amendment of any provision of this HCT IP License Agreement shall be valid unless the
same shall be in writing and signed by OpNext Japan and HCT. The failure of any party to enforce
any of the provisions of this HCT IP License Agreement shall in no way be construed as a waiver of
such provisions and shall not affect the right of such party thereafter to enforce each and every
provision of this HCT IP License Agreement in accordance with its terms.

Section 20.  Notices. Any notice provided for in this HCT IP License Agreement
shall be in writing and shall be either personally delivered, mailed first class mail (postage
prepaid) or sent

17

 

by reputable overnight courier service (charges prepaid) to the parties at the
address set forth below or at such address or to the attention of such other person as the
recipient party has specified by prior written notice to the sending party. Notices shall be
deemed to have been given hereunder on the date delivered when delivered personally, seven (7) days
after deposit in the U.S. mail or Japanese mail and three (3) days after deposit with a reputable
overnight courier service. The addresses for OpNext Japan and HCT are:

If to OpNext Japan:

OpNext Japan, Inc.

216 Totsuka-cho, Totsuka-ku

Yokohama-shi

244-8567, Japan

Attention: Harry L. Bosco

with a copy, which will not constitute notice to OpNext Japan, to:

Irell & Manella, LLP

1800 Avenue of the Stars, Suite 900

Los Angeles, CA 90067

Attention:   Richard L. Bernacchi, Esq.

                     Ian C. Wiener, Esq.

If to HCT:

Hitachi Communication Technologies, Ltd.

216 Totsuka-cho, Totsuka-ku,

Yokohama-shi

244-8567, Japan

Attention:   Yoshihiko Miyano

                     Corporate Officer

                     President, Carrier Network Systems Division

with a copy, which will not constitute notice to HCT, to:

Kirkland & Ellis

200 East Randolph Drive

Chicago, IL 60601

Attention:   William A. Streff, Jr., Esq.

18

 

If to Hitachi:

Kazuo Furukawa

Administrative Officer

Chief Operating Officer,

Information & Telecommunication Systems

Hitachi, Ltd.

6, Kanda-Surugadai 4-chome

Chiyoda-ku

Tokyo, 101-8010 Japan

with a copy, which will not constitute notice to Hitachi to:

Kirkland & Ellis

200 East Randolph Drive

Chicago, IL 60601

Attention:   William A. Streff, Jr., Esq.

Section 21.    Interpretation. The headings and captions contained in this HCT IP
License Agreement, in any Exhibit or Schedule hereto and in the table of contents to this HCT IP
License Agreement are for reference purposes only and do not constitute a part of this HCT IP
License Agreement. The use of the word “including” herein shall mean “including without
limitation.”

Section 22.    Counterparts. This HCT IP License Agreement may be executed in one or
more counterparts, each of which shall be an original and all of which taken together shall
constitute one and the same agreement.

Section 23.    Entire Agreement. Except as otherwise expressly set forth herein, this
HCT IP License Agreement embodies the complete agreement and understanding among the parties hereto
with respect to the subject matter hereof and supersede and preempt any prior understandings,
agreements or representations by or among the parties, written or oral, which may have related to
the subject matter hereof in any way.

Section 24.    Schedules or Exhibits. The disclosures set forth in any of the Schedules or Exhibits attached hereto that related
to any exception to a particular representation and warranty made hereunder shall be taken to
relate to each other Schedule or Exhibit setting forth an exception to a representation and
warranty made hereunder to the extent it is reasonable to expect that such disclosure relates to
such other representation and warranty. The inclusion of information in the Schedules or Exhibits
hereto shall not be construed as an admission that such information is material to the HCT
Transferred IP, the Business or HCT. In addition, matters reflected in the Schedules or Exhibits
are not necessarily limited to matters required by this HCT IP License Agreement to be reflected in
such Schedules or Exhibits. Such additional matters are set forth for informational purposes only
and do not necessarily include other matters of a similar nature.

Section 25.    No Strict Construction. Notwithstanding the fact that this HCT IP
License Agreement has been drafted or prepared by one of the parties, HCT and OpNext confirm that

19

 

they and their respective counsel have reviewed, negotiated and adopted this HCT IP License
Agreement as the joint agreement and understanding of the parties, and the language used in this
HCT IP License Agreement shall be deemed to be language chosen by the parties hereto to express
their mutual intent and no rule of construction shall be applied against any Person.

Section 26.    Severability. Whenever possible, each provision of this HCT IP License
Agreement shall be interpreted in such manner as to be effective and valid under applicable law,
but if any provision of this HCT IP License Agreement is held to be invalid, illegal or
unenforceable in any respect under any applicable law or rule in any jurisdiction, such invalidity,
illegality or unenforceability shall not affect the validity, legality or enforceability of any
other provision of this HCT IP License Agreement in such jurisdiction or affect the validity,
legality or enforceability of any provision in any other jurisdiction, but this HCT IP License
Agreement shall be reformed, construed and enforced in such jurisdiction as if such invalid,
illegal or unenforceable provision had never been contained herein.

Section 27.    Governing Law. This HCT IP License Agreement shall be governed by and
construed in accordance with the laws of Japan without giving effect to any choice-of-law or
conflict-of-law provision or rule (whether of Japan or any other jurisdiction) that would cause the
application of the laws of any jurisdiction other than Japan. Regardless of the law applied,
because this contract is in English, the terms and conditions of this contract will be interpreted
in accordance with the meaning of the words in American colloquial English.

Section 28.    Submission to Jurisdiction; Waivers. With respect to disputes not
required to be submitted to arbitration hereunder (including actions seeking injunctive relief),
each party to this HCT IP License Agreement (including any third-party beneficiaries to this HCT IP
License Agreement) hereby irrevocably and unconditionally:

          (i) submits for itself and its property in any legal action or proceeding relating to this HCT
IP License Agreement, or for recognition and enforcement of any judgment in respect thereof, to the
non-exclusive general jurisdiction of the courts of Japan situated in Tokyo, Japan;

          (ii) consents that any such action or proceeding may be brought in such courts, and waives any
objection that it may now or hereafter have to the venue of any such action or proceeding in any
such court or that such action or proceeding was brought in an inconvenient court and agrees not to
plead or claim the same;

          (iii) agrees that service of process in any such action or proceeding may be effected by
mailing a copy thereof by registered or certified mail (or any substantially similar form of mail),
postage prepaid, to such party at its address set forth herein or at such other address of which
the agent shall have been notified pursuant thereto, to the extent permitted by the laws of Japan;
and

          (iv) agrees that nothing contained herein shall affect the right to effect service of process
in any other manner permitted by law or shall limit the right to sue in any other jurisdiction.

20

 

Section 29.    Delivery by Facsimile. This HCT IP License Agreement, the agreements
referred to herein, and each other agreement or instrument entered into in connection herewith or
therewith or contemplated hereby or thereby, and any amendments hereto or thereto, to the extent
signed and delivered by means of a facsimile machine, shall be treated in all manner and respects
as an original agreement or instrument and shall be considered to have the same binding legal
effect as if it were the original signed version thereof delivered in person. At the request of
any party hereto or to any such agreement or instrument, each other party hereto or thereto shall
reexecute original forms thereof and deliver them to all other parties. No party hereto or to any
such agreement or instrument shall raise the use of a facsimile machine to deliver a signature or
the fact that any signature or agreement or instrument was transmitted or communicated through the
use of a facsimile machine as a defense to the enforceability of a contract and each such party
forever waives any such defense.

Section 30.    Exhibits and Schedules. All Exhibits and Schedules annexed hereto or
referred to herein are hereby incorporated in and made a part of this HCT IP License Agreement as
if set forth in full herein.

Section 31.    Recordation. This HCT IP License Agreement effects a license of rights
in certain Intellectual Property and may be recorded in appropriate recordal repositories to
evidence such license of rights.

Section 32.    Third Parties. Unless otherwise expressly provided, no provisions of this HCT IP License Agreement are
intended or shall be construed to confer upon or give to any Person or entity other than the
parties hereto, any rights, remedies or other benefits hereunder nor to constitute a waiver or
release of any claims or other rights against any Person or entity.

21

 

SIGNATURE PAGE TO IP LICENSE AGREEMENT

     IN WITNESS WHEREOF, the parties have caused this Agreement to be executed by their duly
authorized officers as of the date first written above.

	 	 	 	 	 
	 	OPNEXT JAPAN, INC.

 	 
	 	By:  	/s/ Tadayuki Kanno
 	 
	 	 	Tadayuki Kanno

President 	 
	 
	 	HITACHI COMMUNICATION TECHNOLOGIES, LTD.

 	 
	 	By:  	/s/ Yoshihiko Miyano
 	 
	 	 	Yoshihiko Miyano 	 
	 	 	Corporate Officer

President

Carrier Network Systems Division 	 
	 

22

 

EXHIBIT A

ASSIGNED IP

 

 

					
	 	 	 	 	 
	Patent (Registrated)
	 	No. of Items 24
	 	01.4.3

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	No. Of	 	Date of	 	No. of	 	Date of	 	No. of	 	Date of	 	No. of	 	Date of	 	 	 	 	 	 	 	 
	 	 	Application	 	Application	 	Laying-Open	 	Laying-Open	 	Publication	 	Publication	 	Registration	 	Registration	 	Name	 	Abstract	 	Country	 	o o o
	 
	1

	 	PH03-173304
	 	 	19910619	 	 	PH04-370770
	 	 	19921224	 	 	 	 	 	 	 	 	P2922024
	 	 	19990430	 	 	Peak value

detection circuit
	 	Objective: To
reduce the error
that may occur due
to temperature
variation in the
peak value
detection circuit
used for an AGC
amplifier circuit,
etc.
	 	 	 	G01R 1904
	2

	 	PH02-276252
	 	 	19901017	 	 	PH04-152307
	 	 	19920526	 	 	 	 	 	 	 	 	P2786325
	 	 	19960529	 	 	Optical

semiconductor

module
	 	Objective: To
avoid optical axis
misalignment by
soldering a holder
to the sleeve end
face and a ceramic
ferrule to the
holder using
high-frequency
induction heating
with the optical
fiber aligned to
the optically
coupling location.
	 	 	 	G02B 642
	3

	 	PH04-130423
	 	 	19920522	 	 	PH05-323159
	 	 	19931207	 	 	 	 	 	 	 	 	P2967003
	 	 	19990813	 	 	Optical
semiconductor
module and its
manufacturing
method
	 	Objective: To
facilitate optical
axis alignment
between an optical
element array and
lens array and to
extend the life of
an optical
semiconductor
module that couples
the optical element
array and optical
fiber array via the
lens array when
hermetically
sealing the module
into a package.
	 	 	 	G02B 642
	4

	 	PH04-238459
	 	 	19920907	 	 	PH06-082660
	 	 	19940325	 	 	 	 	 	 	 	 	P2892889
	 	 	19990226	 	 	Optical

semiconductor

module
	 	Objective: To
maintain the life
of an IC consisting
of
light-emitting/recei
ving elements and
circuits driving
light-emitting/recei
ving elements and
to avoid corrosion
of them.
	 	 	 	G02B 642
	5

	 	PH05-151691
	 	 	19930623	 	 	PH07-013047
	 	 	19950117	 	 	 	 	 	 	 	 	P2945246
	 	 	19990625	 	 	Optical element

module
	 	Objective: To
provide an assembly
structure that
easily aligns the
optical axis of the
lens with respect
to the optical axis
of the
semiconductor
element in an
optical element
module.
	 	EP GB

OE
	 	G02B 642
	6

	 	PH01-117462
	 	 	19890512	 	 	PH02-297511
	 	 	19901210	 	 	 	 	 	 	 	 	P2941303
	 	 	19990618	 	 	Optical front end

device
	 	Objective: To
reduce axis
misalignment by
connecting the
leader of electric
signal from a front
end element to the
output pin on the
optical parts
holder via wiring
of the printed
circuit board and
connecting the
front end element
with the printed
circuit board by
flip chip bonding.
	 	 	 	G02B 642
	7

	 	PH03-180440
	 	 	19910626	 	 	PH05-007011
	 	 	19930114	 	 	 	 	 	 	 	 	P2825999
	 	 	19980911	 	 	Light-receiving

element

mounting carrier
	 	Objective: To
ensure the
high-speed,
broadband response
characteristics
without degrading
the operability
when assembling a
light-receiving
element module.
	 	 	 	H01L 3102
	8

	 	PH02-084834
	 	 	19900402	 	 	PH03-285369
	 	 	19911216	 	 	 	 	 	 	 	 	P2641592
	 	 	19970502	 	 	Light-receiving

circuit
	 	Objective: To
obtain a good S/N
ratio and improve
the light-
receiving
sensitivity by
always detecting
the pre-amplifier
output amplitude
and providing
negative feedback
control of cathode
voltage to be
applied to APD so
that the amplitude
should not exceed a
predetermined value
and by detecting
the output
amplitude of a
gain-variable
amplifier and
providing negative
feedback control of
the gain so that
the amplitude can
always be
predetermined
value.
	 	 	 	H01L 3110
	9

	 	PH04-135342
	 	 	19920527	 	 	PH05-335617
	 	 	19931217	 	 	 	 	 	 	 	 	P2986613
	 	 	19991001	 	 	Optical

transmission module
	 	Objective: To
provide a
low-noise, compact,
optical
transmission
device.
	 	DE US
	 	H01L 3112
	10

	 	PS60-278942
	 	 	19851213	 	 	PS62-139375
	 	 	19870623	 	 	PH06-105819
	 	 	19941221	 	 	P1972035
	 	 	19950927	 	 	Semiconductor laser

module
	 	Objective: To
avoid variation in
the degree of
coupling or
possibility of a
wire break due to
thermal stress of
optical fibers and
to stabilize the
module operation,
by hermetically
sealing a
semiconductor laser
and monitor diode
and using an
electronic cooling
element to control
the temperature of
the semiconductor
laser module itself
coupled with an
optical fiber.
	 	 	 	H01S 318

1/3

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	No. Of	 	Date of	 	No. of	 	Date of	 	No. of	 	Date of	 	No. of	 	Date of	 	 	 	 	 	 	 	 
	 	 	Application	 	Application	 	Laying-Open	 	Laying-Open	 	Publication	 	Publication	 	Registration	 	Registration	 	Name	 	Abstract	 	Country	 	o o o
	 
	11

	 	PS62-165305
	 	 	19870703	 	 	PH01-010685
	 	 	19890113	 	 	PH07-003907
	 	 	19950118	 	 	P1979362
	 	 	19951017	 	 	Dual in-line

package type

semiconductor laser

module
	 	Objective: To
facilitate
high-frequency
signal input and
enable high-speed
operation in
Giga-bit order
bands with good
mountabiilty to the
printed circuit
board, by
connecting the
hermetic terminal
connected with the
semiconductor laser
to the co-axial
type high-frequency
connector secured
to the dual in-line
type package.
	 	CA DE

US
	 	H01S 318
	12

	 	PS62-318801
	 	 	19871218	 	 	PH01-199483
	 	 	19890810	 	 	PH08-017260
	 	 	19960221	 	 	P2107227
	 	 	19961106	 	 	Semiconductor laser

module with

built-in driving

circuit
	 	Objective: To
enable high-speed
modulation in
Giga-bit order
bands, reduce the
variation in
characteristics,
and prevent the
heat generated by a
driving IC from
affecting the
semiconductor
laser, by
specifying the size
of the connecting
electrode lead
between the stem
mounted with the
semiconductor laser
and the board
mounting the
driving IC.
	 	US
	 	H01S 318
	13

	 	PS63-058287
	 	 	19880314	 	 	PH01-232785
	 	 	19890918	 	 	 	 	 	 	 	 	P2574858
	 	 	19961024	 	 	Semiconductor laser

with optical

isolator
	 	Objective: To
assure the
reliability of the
optical isolator
itself and a
semiconductor laser
with the optical
isolator by
hermetically
sealing the optical
isolator in dry air
to dehumidify.
	 	 	 	H01S 318
	14

	 	PH02-102998
	 	 	19900420	 	 	PH04-003484
	 	 	19920108	 	 	 	 	 	 	 	 	P2628774
	 	 	19970418	 	 	Semiconductor laser

module with

built-in optical

isolator
	 	Objective: To
largely reduce the
return of reflected
light to the
semiconductor laser
even if the
mechanical core
axis of the optical
isolator is
parallel with the
optical axis of the
semiconductor
laser, by using an
optical glass plate
having a
cuneal-form section
on the
light-incident side
of the optical
isolator.
	 	GS

US
	 	H01S 318
	15

	 	PH09-226236
	 	 	19881003	 	 	PH10-070339
	 	 	19980310	 	 	 	 	 	 	 	 	P2911856
	 	 	19990409	 	 	Semiconductor laser

device
	 	Issue: A
semiconductor laser
device having a
wide range of
variable
wavelengths must be
provided.
	 	 	 	H01S 318
	16

	 	PS62-243734
	 	 	19870930	 	 	PH01-089619
	 	 	19890404	 	 	 	 	 	 	 	 	P2650921
	 	 	19970516	 	 	Phase-locked

oscillator
	 	Objective: To
suppress the
accumulation of
output phase
variation, by
providing a way of
measuring the time
at which the
variation of
central frequency
of the phase-locked
oscillator becomes
an integral
multiple of the
output frequency
control resolution
and a way of
detecting control
values with which
the
output frequency
becomes lower or
higher than the
input reference
clock frequency.
	 	 	 	H03L 708
	17

	 	PS61-178660
	 	 	19860731	 	 	PS63-036613
	 	 	19880217	 	 	PH08-024259
	 	 	19960308	 	 	P2120115
	 	 	19970128	 	 	Phasing device
	 	Objective: To
provide a suitable
way of maintaining
the frequency for
PLL monolithic
integration, by
providing a
trimming measure to
tune the frequency
generated by the
variable frequency
oscillator to a
predetermined
frequency when the
reference input is
lost.
	 	 	 	H03L 714
	18

	 	PS58-141040
	 	 	19830803	 	 	PS60-032457
	 	 	19850219	 	 	PH05-060287
	 	 	19930902	 	 	P1854764
	 	 	19940707	 	 	Timing extraction

circuit
	 	Objective: To
stabilize the
circuit operation,
by configuring the
input signal DC
level supplier and
reference voltage
generator of the
loop-back signal
generator into the
same circuit to
suppress a
difference between
the direct current
levels of the
positive-phase and
reverse-phase
signals to a level
less than several
m-Volts.
	 	 	 	H04L 702
	19

	 	PS61-234583
	 	 	19861003	 	 	PS63-090180
	 	 	19880421	 	 	 	 	 	 	 	 	P2656476
	 	 	19970530	 	 	Semiconductor device	 	 	 	 	 	 
	20

	 	PS61-192885
	 	 	19860820	 	 	PS63-049708
	 	 	19880302	 	 	 	 	 	 	 	 	P2531634
	 	 	19960627	 	 	Optical wavelength

multiplexer/branching

filter	 	 	 	 	 	 
	21

	 	PH02-090321
	 	 	19900406	 	 	PH03-289181
	 	 	19911219	 	 	 	 	 	 	 	 	P2941349
	 	 	19990618	 	 	Superlattice APO
	 	 	 	US	 	 

2/3

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	No. Of	 	Date of	 	No. of	 	Date of	 	No. of	 	Date of	 	No. of	 	Date of	 	 	 	 	 	 	 	 
	 	 	Application	 	Application	 	Laying-Open	 	Laying-Open	 	Publication	 	Publication	 	Registration	 	Registration	 	Name	 	Abstract	 	Country	 	o o o
	 
	22

	 	PH03-072786
	 	 	19910405	 	 	PH04-308908
	 	 	19921030	 	 	 	 	 	 	 	 	P3099398
	 	 	20000818	 	 	Constant-current

circuit
	 	Objective: To
provide a constant
current that is not
susceptible to
manufacturing
variations in the
threshold voltage
of MOS transistors.
	 	 	 	G05F 324
	23

	 	PH04-239704
	 	 	19920908	 	 	PH06-090121
	 	 	19940329	 	 	 	 	 	 	 	 	P3046152
	 	 	20000317	 	 	Amplifier
	 	Objective: To
improve the
characteristics of
the amplifier, such
as bandwidth and
input conversion
noise. by
increasing the
open- loop gain of
the amplifier.
	 	 	 	H03F 308
	24

	 	PH04-227164
	 	 	19920826	 	 	PH06-075137
	 	 	19940318	 	 	 	 	 	 	 	 	P3091327
	 	 	20000721	 	 	Optical

transmission module	 	 	 	 	 	 

3/3

 

					
	 	 	 	 	 
	 
	 	No. of Items 64
	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	No. of	 	Date of	 	No. of	 	Date of	 	No. of	 	Date of	 	Date of	 	 	 	 	 	 	 	 	 	 
	Laying- Open	 	Laying- Open	 	Publication	 	Publication	 	Registration	 	Registration	 	Request	 	Applicant	 	Name	 	Abstract	 	Country	 	o o o
	 
	H10-239359

	 	 	19980911	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Peak value detection device
	 	Issue: A peak value detection circuit must be provided which can separately
control the time needed to detect a peak value and the period of time during
which the peak value can be held without the need to change any transistor or
circuit form.
	 	 	 	G01R 1904
	H09-197158

	 	 	19970731	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical semiconductor module
	 	Issue: An optical semiconductor module must be provided which uses the
parallel transmission method with enhanced reliability.
	 	 	 	G02B 624
	H09-230165

	 	 	19970905	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Half-duplex optical communication
device and optical transmission
module
	 	Issue: As for the coupling section between an optical element and optical
fiber, half-duplex optical transmission must be achieved with a single
optical fiber.
	 	 	 	G02B 628
	H06-214140

	 	 	19940805	 	 	 	 	 	 	(allowed)
	 	 	 	 	19981012	 	 	Hitachi
	 	Parallel optical module
	 	Objective: To prevent performance degradation of optical element arrays
mounted in a package and provide a parallel optical module suitable to a
compact configuration.
	 	 	 	G02B 642
	H07-218772

	 	 	19950818	 	 	 	 	 	 	 	 	 	 	 	19990810	 	 	Hitachi
	 	Semiconductor optical module
	 	Objective: To facilitate to couple single-mode optical fibers or plane
optical waveguides and ease the accuracy of components so that a cheaper
semiconductor optical module can be provided.
	 	 	 	G02R 642
	H07-225326

	 	 	19950822	 	 	 	 	 	 	 	 	 	 	 	19990810	 	 	Hitachi
	 	Semiconductor laser module with

thermionic cooling element
	 	Objective: To prevent cavity resonance between the stem and metallic holder
and remove a resonance dip of small-signal frequency characteristics for
achieving broadband without degrading the cooling capability that is a
trade-off for high-frequency characteristics.
	 	 	 	G02B 642
	H07-168060

	 	 	19950704	 	 	 	 	 	 	 	 	 	 	 	19980709	 	 	Hitachi
	 	Mounting structure of optical
transmission module
	 	Objective: To provide a mounting structure for a highly-reliable and
easily-mountable compact optical transmission module.
	 	 	 	G02B 642
	H08-122585

	 	 	19960517	 	 	 	 	 	 	 	 	 	 	 	19990920	 	 	Hitachi
	 	Optical element module
	 	Objective: To provide an optical element module which assuredly and steadily
secures the fixing between the stem and a thermionic cooling element and
between the thermionic cooling element and the case so that it can provide
stable light-coupling for use over an extended period.
	 	 	 	G02B 642
	H08-179170

	 	 	19960712	 	 	 	 	 	 	 	 	 	 	 	19990920	 	 	Hitachi
	 	Semiconductor laser module with

thermionic cooling element
	 	Structure: Optical isolator with focusing lens is fixed on the radiating fin.
	 	 	 	G02B 642
	H09-033764

	 	 	19970207	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical transmission module
	 	Objective: To provide a highly-reliable parallel optical transmission module
which provides less variation among channels and high operability.
	 	 	 	G02B 642
	H08-190037

	 	 	19960723	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Self-centering assembly method
	 	Structure: The light axes of an optical element array and lens array are
matched by detecting a light emitted from laser light source 13 matching the
light axis of objective lens 1 of the image processing device and a light
reflected to lens array 10 and improving the vertical accuracy of the
objective lens light axis and lens array plane of the image processing
device.
	 	 	 	G02B 700
	H11-052310

	 	 	19990226	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Bias voltage control circuit

accommodating mark ratio variation
	 	This circuit is useful for Mach-Zeendar optical modulator.
	 	 	 	G02F 101
	H08-220493

	 	 	19960830	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Etch back method
	 	Objective: To provide the etch back method which can maintain thicker
insulation resin coating under the electrode pad to reduce static electricity
of elements.
	 	 	 	G02F 101
	H08-123567

	 	 	19960517	 	 	 	 	 	 	 	 	 	 	 	19990910	 	 	Hitachi
	 	Constant-voltage supply circuit
	 	Objective: To obtain a stable output voltage by making the current to a
transistor, which determines the output voltage, become less dependent on the
variation of power supply voltage and thus making the output voltage become
less dependent on the power supply voltage.
	 	US
	 	G05F 330
	H07-210272

	 	 	19950811	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Power reset circuit
	 	Objective: To solve the inconvenience to the data transmission device that
an invalid output may occur as the power supply voltage goes up or down when
powering on or restoring from a short break of the power supply voltage.
	 	 	 	G06F 124
	H11-068018

	 	 	19990309	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Mounting method of IC packages,
printed circuit boards, printed
circuit boards with IC packages,
information processing devices, and
ICs.
	 	Issue: Soldering cracks of the lead connecting section that may occur due to
thermal stress between an IC package and lead and degradation that may occur
due to heat fatigue must be avoided without damaging the high-frequency
characteristics and radiation.
	 	 	 	H01L 2350

 

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	No. of	 	Date of	 	No. of	 	Date of	 	No. of	 	Date of	 	Date of	 	 	 	 	 	 	 	 	 	 
	Laying- Open	 	Laying- Open	 	Publication	 	Publication	 	Registration	 	Registration	 	Request	 	Applicant	 	Name	 	Abstract	 	Country	 	o o o
	 
	H07-106607

	 	 	19950421	 	 	 	 	 	 	 	 	 	 	 	19990329	 	 	Hitachi
	 	Light-receiving module
	 	Objective: To reduce the number of parts and working processes to shorten
the time needed for assembling by providing wiring patterns on packages
without using sub-mounts so that a cheaper light-receiving module can be
provided.
	 	 	 	H01L 3102
	H11-168225

	 	 	19990622	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor
light-emitting/receiving element,
and devices using it.
	 	Issue: In the bar coating process for a semiconductor end-face type
emitting/receiving element, the small-area soldering on the bar surface must
be protected from being damaged by a common tool and height variations must
be
	 	 	 	H01L 310232
	H10-209538

	 	 	19980807	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical transmission circuit
	 	Issue: An optical transmission circuit must be implemented using a simple
circuit, which generates a driving current that can absorb an extensive range
of LD individual deviation and provides a stable light output against
temperature variation and distortionless waveshape.
	 	 	 	H01S 3096
	H11-126940

	 	 	19990511	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical wavelength stabilization

controller
	 	Issue: An optical wavelength stabilization controller must be provided,
which enables a highly accurate and highly stable optical output wavelength
for an extended period of time in any case regardless of the ambient
conditions.
	 	US EP

GB DE

FR IT
	 	H01S 3133
	H06-232505

	 	 	19940819	 	 	 	 	 	 	 	 	 	 	 	19981020	 	 	Hitachi
	 	Stem for optical element array
	 	Objective: To provide a stem for an optical element array that can mount
multiple light-emitting/receiving elements and also has general versatility
for shipping, storing, evaluating, and module mounting and can be reused
after the optical element is removed from it.
	 	 	 	H01S 318
	H09-232679

	 	 	19970905	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor laser module and
optical transmission system
	 	Issue: As to a semiconductor laser module for optical communication, a
semiconductor laser module with a thermionic cooling element must be provided
which reduces the heat response delay time of the thermistor and enables
high-accuracy temperature control when controlling the driving current for
the thermionic cooling element.
	 	 	 	H01S 318
	H10-326933

	 	 	19981208	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	High-frequency signal conductor for

mounting semiconductor laser module
	 	Issue: A high-frequency signal conductor for mounting a semiconductor laser
module must be provided which can convey high-frequency signals with less
loss.
	 	 	 	H01S 318
	H11-163462

	 	 	19990618	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical wavelength stabilization

controller, optical transmission

device, optical wavelength division

multiplexer
	 	Issue: An optical wavelength stabilization controller must be provided which
can compensate the wavelength drift due to an increased or decreased LD
driving current for an extended period of time to stabilize the wavelength at
a high accuracy.
	 	US EP

GB DE

FR IT
	 	H0IS 318
	H07-221388

	 	 	19950618	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor laser device
	 	Objective: To form a good reflection surface at an angle of 45 degrees from
the board surface irrespective of the kind of the semiconductor crystals and
provide a surface-emitting laser using the reflection surface.
	 	 	 	H0IS 318
	H07-335969

	 	 	19951222	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor laser element and
element and semiconductor laser
array element
	 	To lower the thresholds and improve the efficiency of semiconductor laser
element and semiconductor laser array element by using photon recycling
effect or increasing resistance in the current
	 	 	 	H01S 318
	H09-232682

	 	 	19970905	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Manufacturing method of
semiconductor optical element
	 	Issue: The mesa stripe mask and semiconductor layer must be improved and the
mesa stripe mask must be protected from coming off due to embedded growth in
the process of forming the current narrowing layer.
	 	 	 	H01S 318
	H10-209561

	 	 	19980807	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor laser device
	 	Issue: A low-threshold embedded hetero laser with a reduced leak current
must be provided.
	 	 	 	H01S 318
	H10-209583

	 	 	19980807	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor laser
	 	Issue: The capacity of a semiconductor laser must be reduced by using a
comparatively easy manufacturing method.
	 	 	 	H01S 318
	H10-242574

	 	 	19980911	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor optical element
	 	Issue: Element isolation defects must be reduced, such as lack of
semiconductor elements due to a marking that is the reference for adjustment
of element isolation or cracking in a slanting direction.
	 	 	 	H01S 318
	H10-242561

	 	 	19980911	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor laser and its
manufacturing method
	 	Issue: Stable oscillation in a single transverse mode with high optical
output, high level of optical destructivity, high reliability, and
highly-effective coupling with optical fibers must be implemented at the same
time using a ridge waveguide type semiconductor.
	 	 	 	H01S 318

 

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	No. of	 	Date of	 	No. of	 	Date of	 	No. of	 	Date of	 	Date of	 	 	 	 	 	 	 	 	 	 
	Laying- Open	 	Laying- Open	 	Publication	 	Publication	 	Registration	 	Registration	 	Request	 	Applicant	 	Name	 	Abstract	 	Country	 	o o o
	 
	H10-275957

	 	 	19981013	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical semiconductor chip carrier
	 	Objective: To obtain an easily mountable optical semiconductor chip carrier
with improved high-frequency characteristics. Solution: Optical
semiconductor chip carrier 60 consists of inductive motherboard 25 and
dielectric board 41.
	 	 	 	H01S 318
	H11-040876

	 	 	19990212	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor laser array and
semiconductor laser array module
	 	Issue: The manufacturing process yields for the semiconductor laser array
must be enhanced. Solution: The number of semiconductor lasers should be
twice the number of channels required by the parallel optical transmission
system. The clearance between semiconductor lasers should be half the
clearance between fibers in a single-mode fiber array.
	 	 	 	H01S 318
	H11-251682

	 	 	19990917	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor optical element
	 	Issue: Deterioration in the characteristics of the optical elements of
semiconductors caused by the cleavage process must be reduced. Also, the
cleavage process yields for the elements must be improved dramatically.
	 	 	 	H01S 318
	H11-191654

	 	 	19990713	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor laser array and its
manufacturing method
	 	Issue: The semiconductor laser array must have the element capacity reduced
without the element resistance being increased.
Issue: The stress that occurs in the soldering parts between
	 	 	 	H01S 318
	H11-097960

	 	 	19990409	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Automatic gain controller
	 	Issue: An automatic gain controller that has a simple circuit structure and
provides stable operation must be provided.
	 	 	 	H03G 330
	H11-027210

	 	 	19990129	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical output loss detection circuit
	 	Issue: During optical transmission of burst signals, loss of optical output
signals must be detected as soon as optical output from the light emitting
element of the optical transmitter deteriorates.
	 	 	 	H04B 1008
	H07-131424

	 	 	19950519	 	 	 	 	 	 	 	 	 	 	 	19981119	 	 	Hitachi
	 	Automatic optical-output controller
	 	Objective: To provide a circuit that performs the following in the
burst-signal transmission mode: feed current to the current source of the
light-emitting element driving circuit only during the transmission period
for burst-signal input and maintain the required amount of optical output
	 	 	 	H04B 1028
	H07-107048

	 	 	19950421	 	 	 	 	 	 	 	 	 	 	 	19980904	 	 	Hitachi
	 	Single-element type receiving circuit
	 	Objective: To reduce the current from the preamplifier to the transmission
driving circuit to prevent deterioration of optical output and amplification
of sent signals, with regard to the single-element type of receiving circuit,
which uses light-emitting elements as light-receiving elements.
	 	 	 	H04B 1028
	H09-008739

	 	 	19970110	 	 	 	 	 	 	 	 	 	 	 	19991025	 	 	Hitachi
	 	Burst light-receiving circuit
	 	Objective: To accurately regenerate optical burst pulses by setting the
optimum threshold voltage, independent of the variation in the
light-receiving level or the change of the input signal pattern. Structure:
	 	 	 	H04B 1028
	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Adder 1 adds input signals and the reference potential, and inputs the
results to comparator 6.	 	 	 	 
	H10-224308

	 	 	19980821	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical transmission module
	 	Issue: A printed circuit board must be placed in the center of the lead
terminals of the optical/electrical conversion element and electrical/optical
conversion element and must allow connection on both sides of the board so
that the lead terminals can easily be formed. Also, the lead terminals must
be shortened to reduce leakage of noise from one lead terminal to another.
	 	 	 	H04B 1028
	H10-242919

	 	 	19980911	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical transmission system
	 	Issue: An optimization method for the crosspoint of waveforms sent from the
optical transmitter must be provided so that both the minimum receiving
sensitivity in the non-transmission mode and the minimum receiving
sensitivity after transmission are simultaneously optimized for a given
transmission line.
	 	 	 	H04B 1028
	H10-303826

	 	 	19981113	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Transmission characteristic
evaluation method, optical
modulator, optical transmitter and
optical transmission system
	 	Issue: A method to design an optical transmission system must be provided,
taking into account the relationship between the extinction characteristics
and transmission characteristics of the EA modulator.
	 	 	 	H04B 1028
	H09-233133

	 	 	19970905	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Input-signal loss detection circuit
	 	Issue: A quick response for output of input-signal loss must be implemented
regardless of the reference voltage of the comparator. Solution: Resistor
R1 for determining the time constant for the clamping circuit should be
connected in parallel with clamping capacitor Cl to set the time constant to
a value less than the time constant for the peak value circuit.
	 	 	 	H04L 2502
	H11-004265

	 	 	19990106	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Amplifier, discriminator, optical
receiver and burst optical
transmission system
	 	Issue: A conventional discriminator has a problem that its output operation
range is half as small as the linear operation range of a differential
amplifier.
	 	 	 	H04L 2506

 

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	No. of	 	Date of	 	No. of	 	Date of	 	No. of	 	Date of	 	Date of	 	 	 	 	 	 	 	 	 	 
	Laying- Open	 	Laying- Open	 	Publication	 	Publication	 	Registration	 	Registration	 	Request	 	Applicant	 	Name	 	Abstract	 	Country	 	o o o
	 
	H10-041678

	 	 	19980213	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical receiver
	 	Issue: A high-speed receiver must suppress incidence of external noise and
demodulation signals into the small-signal amplifier. Also, the receiver
must prevent deterioration in the receiving characteristics by more
effectively dissipating heat generated by the circuits.
	 	 	 	H05K 900
	H11-109176

	 	 	19990423	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Device and method for assembling
optical transmission module	 	 	 	 	 	 
	H07-226531

	 	 	19950822	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Light-receiving element

manufacturing method	 	 	 	 	 	 
	H07-226415

	 	 	19950822	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Electrode and pad forming
Method	 	 	 	 	 	 
	H08-186083

	 	 	19960716	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Metallic film deposition

method	 	 	 	 	 	 

 

 

					
	 
	 	 	 	 
	Patent (Applied)
	 	No. of Items 40	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	No. of	 	Date of	 	No. of	 	Dale of	 	No. of	 	Date of	 	No. of	 	Date of	 	Date of	 	 	 	 	 	 	 	 	 	 
	 	 	Application	 	Application	 	Laying- Open	 	Laying- Open	 	Publication	 	Publication	 	Registration	 	Registration	 	Request	 	Applicant	 	Name	 	Abstract	 	Country	 	o o o
	 
	1

	 	PH11-164814
	 	 	19990611	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Board and method
for fixing optical
fiber
	 	Issue: A reliable
method that allows
optical fiber to be
precisely fixed and
strongly bonded to
the predetermined
notch of the board
without a holding
plate must be
provided.
	 	 	 	G02B 642
	2

	 	PH11-169314
	 	 	19990618	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical

transmission module
	 	Issue: The
invented optical
link must use a
shielded case to
prevent radiation
noise and external
noise, must use
existing lead pins
to have shielded
wiring, and must
not deteriorate the
efficiency of
coupling between
the optical liter
and
light-emitting/recei
ving elements.
	 	 	 	G02B 642
	3

	 	PH11-355463
	 	 	19991215	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Element for
bidirectional
optical
communication
module and its
inspection method
	 	Issue: An element
for a bidirectional
optical
communication
module that allows
earlier detection
of failure during
assembly must be
provided as well as
an inspection
method for the
element
	 	 	 	G02F 1035
	4

	 	PH11-189945
	 	 	19990705	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor

optical

transmission module
	 	Issue: A low-cost
semiconductor
optical
transmission module
that provides high
optical-coupling
efficiency for
plane-surface
mounting {which
allows optical
components to he
mounted on the same
board} must be
provided. In
addition, the
module must have
the influence of
reflected light
reduced.
	 	 	 	G06B 642
	5

	 	PH11-339302
	 	 	19991130	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Backside-input type
photodetector and
optical receiver
module using it
	 	Objective: To

focus the input

optical beam into

the photodetecto
	 	 	 	H01L 2714
	6

	 	PH11-104889
	 	 	19990413	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Radiating-fin
embedded,
surface-mounted
optical element
module and optical
transmission module
using it
	 	Objective: To
aboid thermal
connection between
the circuit board
and laser diode
module
	 	 	 	H01L 3112
	7

	 	PH11-106203
	 	 	19990414	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical transmitter
and optical
communication
system
	 	Issue: A
high-speed optical
transmitter most be
provided to
suppress the
charge/discharge
time for
non-emitted charge
accumulated in the
junction
capacitance of
light-emitting
elements.
	 	 	 	H01L 3300
	8

	 	PH11-106205
	 	 	19990414	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Bias current

superposing circuit

for light-emitting

elements
	 	Issue: On the
high-temperature
side, more bias
current must be
superposed to
suppress
light-emission
delay. On the
low-temperature
side, bias current
must be as low as
possible for a
sufficiently low
light-emitting
level during “Low”
level
	 	 	 	H01L 3300
	9

	 	PH11-199761
	 	 	19990714	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical
semiconductor
element, its
manufacturing
method, and optical
transmission module
	 	Issue: Among the
layers constituting
a hetero-crystal,
the layers whose
etching speed is
low become convex
on the mesa side,
and the layers
whose etching speed
is high become
concave. This
causes the
electrode film,
protection film,
etc. to be easily
damaged on the mesa
side.
	 	 	 	H01L 3300
	10

	 	PH10-250709
	 	 	19980904	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical
transmission socket
module and
electrically
connecting method
	 	Issue: An optical
transmission socket
module that can
easily be attached
and prevents
waveform
deterioration must
be provided.
	 	 	 	H01S 300
	11

	 	PH11-319034
	 	 	19991110	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	High-frequency
optical
semiconductor
mounted board.
	 	Issue: A
high-frequency
semiconductor-mounte
d board must be
provided to
suppress the return
loss of
high-frequency
signals.
	 	 	 	H01S 318
	12

	 	PH10-220100
	 	 	19980804	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Preamplifier
	 	Issue: A good
preamplifier that
can operate even in
low supply voltage
without lowering
the band most be
provided. Solution: A preamplifier
must use a
structure where
current source l1
is connected
between the
collector of
transistor O2 and
the power supply.
	 	 	 	H03F 308	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 		 	 	 	 

	13
 
	 	PH10-302125
	 	 	19981023	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical receiver,
phase-locked loop
circuit, voltage-
controlled
oscillator and
frequency-response
variable amplifier
	 	Issue: The setting
ranges for the
oscillation
frequency and
frequency
modulation
sensitivity of the
ring-type
voltage-controlled
oscillator (VCO) of
the phase-locked
loop (PLL) circuit
must be widened.
	 	US EP

GB DE FR
	 	H03K 303

1/3

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	No. of	 	Date of	 	No. of	 	Dale of	 	No. of	 	Date of	 	No. of	 	Date of	 	Date of	 	 	 	 	 	 	 	 	 	 
	 	 	Application	 	Application	 	Laying- Open	 	Laying- Open	 	Publication	 	Publication	 	Registration	 	Registration	 	Request	 	Applicant	 	Name	 	Abstract	 	Country	 	o o o
	 
	14

	 	PH10-286291
	 	 	19981008	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Inverter circuit
	 	Issue: An inverter
circuit that
suppresses
feedthrough current
must be provided to
reduce power
consumption and
power noise as well
as speeding up
transmission.
	 	 	 	H03K 1908
	15

	 	PH10-153584
	 	 	19980518	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical transmitter
and optical
transmission system
	 	Issue: An optical
transmitter and
optical
transmission system
that are excellent
in transmission
characteristics
must be provided by
a simple means.
Solution: Block 31
should obtain the
extinction ratio
(ER: V) of the EA
modulator, and
block 32 should
obtain the a
parameter for
applied voltage V.
Block 33 regulates
the conditions for
driving the EA
modulator.
	 	 	 	H04B 300
	16

	 	PH10-299313
	 	 	19981021	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor laser
and semiconductor
laser module
	 	Issue: For the
conventional
optical-output
control method that
controls current
for driving
semiconductor
laser, it was very
difficult to
maintain stable
optical output and
keep oscillation
wavelength and its
operation stable.
	 	 	 	H04B 1004
	17

	 	PH11-061168
	 	 	19990309	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical transmitter
and optical
transmission system
	 	Issue:
Malfunctions due to
the pattern
dependency or noise
of the optical
output
deterioration alarm
applicable to burst
transmission must
be corrected.
Solution: Input
signal 101 should
be input to
light-emitting
element driving
circuit 102. The
light-emitting
element driving
circuit should then
drive
light-emitting
element 103 to
output optical
signal 104.
	 	 	 	H04B 1008
	18

	 	PH10-198370
	 	 	19980714	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Bidirectional

optical

transmission module
	 	Issue: The
container of
light-emitting/recei
ving elements, the
connector for the
light-emitting/recei
ving elements and
hybrid IC board,
and the mechanism
for fixing the
upper and lower
cases must be
simplified to
reduce the number
of worker-hours for
assembly and the
number of
components for to
improve economy.
	 	 	 	H04B 1024
	19

	 	PH10-236791
	 	 	19980824	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical transmitter
	 	Issue: The
temperature
dependence during
the transition time
(rise/fall time) of
optical signals
must be suppressed
to provide an
optical transmitter
that keeps the
transition time
stable in a wide
temperature range.
	 	CN DE

FR GB

IT US
	 	H04B 1028
	20

	 	PH11-358531
	 	 	19991217	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Phase-frequency
synchronous circuit
and light-receiving
circuit
	 	Issue: Since the
phase-frequency
synchronous circuit
cannot select the
loop filter
constant
corresponding to
the asynchronous
status, it takes a
long time to change
from the
asynchronous to the
synchronous status.
	 	 	 	H04L 7033
	21

	 	PH10-242868
	 	 	19980828	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Light-receiving

circuit
	 	Issue: A light
receiving circuit
that automatically
switches to the
mode for low
current conduction
must be provided.
Solution: The
light-receiving
circuit must have a
circuit that
determines whether
there is optical
input, so that
power supply to the
light-receiving
circuit can
automatically
switch over.
	 	 	 	H04L 10158
	22

	 	PH10-314302
	 	 	19981105	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Light-receiving
circuit and optical
transmission system
using it
	 	Issue: A simple
light-receiving
circuit that
supports a wide
range of optical
input levels and
generates less
wavelength
distortion must be
implemented.
Solution: The
above issue must be
solved by adding a
differentiating
circuit, amplifier
and adder to
shorten the rise
and fall times of
signal waveforms.
	 	 	 	H04L 2503
	23

	 	PH10-351334
	 	 	19981210	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Light-receiving
circuit and optical
module using ___
	 	Issue: A
light-receiving
circuit must be
provided that does
not cause duty
deterioration
during reception of
burst data. Also
an optical module
that uses the
circuit must be
provided.
	 	US
	 	H04L 2506
	24

	 	PH11-336981
	 	 	19991129	 	 	 	 	 	 	 	 	 	 	 	 	 	.	 	 	 	 	Hitachi
	 	Module and method
for mounting its
electronic
components
	 	Issue: A module
must have its
electronic
components such as
an optical
semiconductor
element precisely
mounted on the
motherboard.
	 	 	 	H05K 1300
	25

	 	P2000-132850
	 	 	20000427	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical transmitter
and optical
transmission system	 	 	 	 	 	 
	26

	 	P2000-046731
	 	 	20000218	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Assembly of
Au-plated parts	 	 	 	 	 	 
	27

	 	P2000-038038
	 	 	20000209	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical
transmission from
the integrated
light source for
the semiconductor
electric-field
absorbed type of
optical modulator
	 	 	 	DE ___
FR GB
IT US	 	 

2/4

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	No. of	 	Date of	 	No. of	 	Dale of	 	No. of	 	Date of	 	No. of	 	Date of	 	Date of	 	 	 	 	 	 	 	 	 	 
	 	 	Application	 	Application	 	Laying- Open	 	Laying- Open	 	Publication	 	Publication	 	Registration	 	Registration	 	Request	 	Applicant	 	Name	 	Abstract	 	Country	 	o o o
	 
	28

	 	P2000-038039
	 	 	20000209	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	End-face incident,
waveguide type of
semiconductor
light-receiving
element, and
light-receiving
module using it	 	 	 	 	 	 
	29

	 	P2000-067149
	 	 	20000307	 	 	 	 	 	 	-
	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor
optical element and
its manufacturing
method	 	 	 	 	 	 
	30

	 	P2000-067151
	 	 	20000307	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical transmitter
and optical
transmission system
	 	 	 	US	 	 
	31

	 	P2000-090698
	 	 	20000327	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical transmitter
and optical
transmission system	 	 	 	 	 	 
	a-1

	 	P2000-200082
	 	 	20000628	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Manufacturing
method of
semiconductor
optical device,
clamp roof and
arrangement tool
	 	 	 	 	 	H01S 318
	a-2

	 	P2000-175557
	 	 	20000607	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical element
module and its
assembling method
	 	 	 	 	 	G02B 642
	a-3

	 	P2000-265152
	 	 	20000901	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical module,
optical
transmission
equipment and its
manufacturing
method
	 	 	 	 	 	G02B 642
	a-4

	 	P2000-242756
	 	 	20000804	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical transmitter
and optical
transmission system
	 	 	 	 	 	G02F 1015
	a-5

	 	P2000-374510
	 	 	20001208	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical coupling

device
	 	 	 	 	 	G02B 642
	a-6

	 	P2001-033324
	 	 	20010209	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Laser diode module

with wavelength

monitor
	 	 	 	 	 	G02B 711
	a-7

	 	P2000-334925
	 	 	20001030	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical
communication
module and optical
communication
equipment
	 	 	 	 	 	G02B 642
	a-8

	 	P2001-072934
	 	 	20010314	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Circuit stabilizing
optical wavelength,
optical transmitter
and optical
transmission system
	 	 	 	 	 	H01S 3/133
	a-9

	 	P2001-074576
	 	 	20010315	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Integrated laser
diode module with
the electric
absorbed type
modulator, and
transmission
equipment using it
	 	 	 	 	 	H01S 3/133

3/4

 

					
	 
	 	 	 	 
	Lab. Patent (Transferred)
	 	No of Items 28	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	No. of	 	Date of	 	No. of	 	Dale of	 	No. of	 	Date of	 	No. of	 	Date of	 	Date of	 	 	 	 	 	 	 	 	 	 
	No.	 	Application	 	Application	 	Laying-Open	 	Laying-Open	 	Publication	 	Publication	 	Registration	 	Registration	 	Request	 	Applicant	 	Name	 	Abstract	 	Country	 	o o o
	 
	1

	 	PH09-086420
	 	 	19970404	 	 	PH10-262368
	 	 	19981023	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical fiber
module and its
manufacturing
method
	 	Issue: Core
adjustment for
fiber block 20 and
optical circuit
block 10 mounting
pholoelectronic
element 16 must be
performed
efficiently in a
short time.
	 	 	 	G02B 642
	2

	 	PH09-184257
	 	 	19970710	 	 	PH11-030733
	 	 	19990202	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Multiple optical
ricer module, its
lens holder and
optical fiber
holder
	 	Issue: Position
and angle
displacements must
be reduced among
the package
accommodating a
semiconductor laser
array, lens holder
storing a lens
array, and optical
fiber holder
retaining the end
part of an optical
fiber array.
	 	 	 	G02B 642
	3

	 	PH09-321629
	 	 	19971121	 	 	PH11-153514
	 	 	19990608	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Manufacturing
method of modules
for optical
transmission, and
bit error rate
characteristics
validation system
	 	 	 	PCT
	 	G01M 1100
	4

	 	PH10-018540
	 	 	19980130	 	 	PH11-218646
	 	 	19990810	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical module and
its manufacturing
method
	 	Issue:
Plane-incidence
type photodiode
must be mounted
around the fiber
end on a V-fluted
silicon board
without using any
other element.
	 	 	 	G02B 642
	5

	 	PH11-058063
	 	 	19990305	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Lens optical axis
adjustment device
and optical axis
adjusting method
	 	Issue: A lens
optical axis
adjustment device
and optical axis
adjusting method
must be provided
for 2-lens optical
element module.
	 	 	 	H01L 3300
	6

	 	PH11-313334
	 	 	19991104	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Driver circuit and
optical transmitter
	 	Issue: To obtain a
driving circuit
which has desired
output signal
amplitude by using
pair transistors
and to serve
optical
transmitters using
this driving
circuit.
	 	DE EP

FR GB

US IT
	 	H04B 300
	7

	 	PH11-296781
	 	 	19991019	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical element
array module and
its manufacturing
method
	 	 	 	 	 	G02B 642
	8

	 	PH02-224373
	 	 	19900828	 	 	PH03-174792
	 	 	19910729	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	19970827	 	 	Hitachi
	 	Semiconductor laser

device
	 	Objective: To
enable
highly-efficient
continuous
oscillation even in
a high temperature
by forming a
semiconductor layer
having an energy
gap larger than
that of the
semiconductor
making up of the
semiconductor board
or light-emitting
area, as a flat
layer in the outer
section of this
light-emitting
area, in at least
part of the current
block layer formed
in the active layer
peripheral section.
	 	 	 	H01S 318
	9

	 	PH04-254359
	 	 	19920924	 	 	PH06-112561
	 	 	19940422	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	19990922	 	 	Hitachi
	 	Laser diode driving
circuit and optical
transmission device
	 	Objective: To
provide an optical
transmission device
without the need
for automatic
optical output
control for a
short-distance
optical link or
subscriber-system
optical
communication
system.
	 	DE EP

FR GB

US
	 	H01S 3096
	10

	 	PH05-092743
	 	 	19930420	 	 	PH06-310449
	 	 	19941104	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Vapor phase

diffusion method
	 	Objective: To
spread vapor phase
diffusion through a
larger area and
improve the
controllability.
	 	 	 	H01L 2122
	11

	 	PH06-070305
	 	 	19940408	 	 	PH07-283487
	 	 	19951027	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor
device and its
manufacturing
method
	 	Objective: To
directly bond
different-type
semiconductor
substrates with
different lattice
constants to each
other and reduce
the displacement
(misfitting) on the
bonding surface,
and thus obtain a
semiconductor
device that
improves the
reliability of a
device formed on
the bonding
substrate.
	 	 	 	H01S 318
	12

	 	PH07-075003
	 	 	19950331	 	 	PH08-274026
	 	 	19961018	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor
device and its
manufacturing
method
	 	Objective: To
provide an easy
method of
integrating Si and
compound
semiconductors
without loss of
crystallinity.
	 	 	 	H01L 2120
	13

	 	PH07-034918
	 	 	19950223	 	 	PH08-236845
	 	 	19960913	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor

optical integrated

element
	 	Objective: To
provide a
semiconductor
optical integrated
element that
integrates a chirp
compensator into a
semiconductor short
light pulse
generator.
	 	 	 	H01S 3103

1/3

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	No. of	 	Date of	 	No. of	 	Dale of	 	No. of	 	Date of	 	No. of	 	Date of	 	Date of	 	 	 	 	 	 	 	 	 	 
	No.	 	Application	 	Application	 	Laying-Open	 	Laying-Open	 	Publication	 	Publication	 	Registration	 	Registration	 	Request	 	Applicant	 	Name	 	Abstract	 	Country	 	o o o
	 
	14

	 	PH07-202010
	 	 	19950808	 	 	PH09-050058
	 	 	19970218	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor layer
structure, its
manufacturing
method, and
semiconductor
device using it
	 	Objective: To
provide a periodic
structure with
changing aspect
azimuth or a new
periodic structure
with changing
aspect azimuth and
lattice constant,
and their simple
manufacturing
method.
	 	 	 	G02F 137
	15

	 	PH07-281598
	 	 	19951030	 	 	PH09-127352
	 	 	19970516	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor
device and its
manufacturing
method
	 	Issue: A practical
and
high-performance
integrated element
integrating Si and
compound
semiconductor
elements and its
manufacturing
method must be
provided.
	 	 	 	G02B 613
	16

	 	PH08-114569
	 	 	19960509	 	 	PH09-298337
	 	 	19971118	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor
distribution Bragg
reflection mirror
and plane
light-emitting type
semiconductor laser
using it
	 	Issue: To provide
a semiconductor
distribution Bragg
reflection mirror
with a fewer number
of layers and
higher reflection
ratio, and provide
a plane
light-emitting type
semiconductor laser
using the
reflection mirror.
	 	 	 	H01S 318
	17

	 	PH08-292394
	 	 	19961105	 	 	PH10-135573
	 	 	19980522	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor
laser, parallel
transmission
optical transmitter
module and
transmission
systems using this
module
	 	Issue: To suppress
carrier overflow
from the valence
band of n-type
doped
multi-quantum-well
laser diodes.
	 	 	 	H01S 318
	18

	 	PH11-226183
	 	 	19990810	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor

optical device
	 	Issue: To increase
output optical
power and improve
reliability of
semiconductor
integrated optical
devices.
	 	 	 	H01S 318
	19

	 	PH11-266669
	 	 	19990921	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor laser

module
	 	Issue: To obtain
stable Faby-Perot
type laser diodes
against temperature
change and small
size optical
transmitters using
such laser diodes.
	 	 	 	H01S 318
	20

	 	PH05-141750
	 	 	19930814	 	 	PH06-334168
	 	 	19941202	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor

element
	 	Objective: To
provide an optical
semiconductor
element that can be
monolithically
integrated with an
Si electronic
element by forming
epitaxial growth of
a III-V-family
mixed-crystal
semiconductor on an
Si board.
	 	US
	 	H01L 2715
	21

	 	PH06-073437
	 	 	19940412	 	 	PH07-283488
	 	 	19951027	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Compound
semiconductor, its
manufacturing
method, and
semiconductor
device
	 	Objective: To
provide a compound
semiconductor
device having a
structure where a
compound
semiconductor
single crystal with
crystal defect
corrected is
located on a board
made of a material
different from the
compound
semiconductor.
	 	 	 	H01S 318
	22

	 	PH06-114812
	 	 	19940527	 	 	PH07 321051
	 	 	19951208	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Compound
semiconductor
device, its
manufacturing
method, and
semiconductor
device
	 	Objective: To
provide a
semiconductor
device having a
structure where a
nitrogenous
III-V-family
mixed-crystal
semiconductor is
provided without an
anli-phase boundary
on an Si board.
	 	 	 	H01L 21205
	23

	 	P560-071969
	 	 	19810409	 	 	PS60-232747
	 	 	19851119	 	 	PH05-070346
	 	 	19931004	 	 	P1869712
	 	 	19940906	 	 	 	19880404	 	 	Hitachi
	 	Decoder circuit
	 	Issue: To suppress
bit-error in the
case of high-speed
transmission by
checking 2-bit
receiving signal.
	 	 	 	H04L 2549
	24

	 	PH04-269977
	 	 	19921008	 	 	PH06-120898
	 	 	19940428	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	19981029	 	 	Hitachi
	 	Test method for

optical receivers
	 	Objective: To
provide testing
method for
evaluation of
extinction ratio of
DC-coupled optical
receiver.
	 	 	 	H04B 1008
	25

	 	PH05-252822
	 	 	19931008	 	 	PH07-106622
	 	 	19950421	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Ssemiconductor
light-receiving
device and its
manufacturing
method
	 	Objective: To
provide a
light-receiving
device structure
and its
manufacturing
method that can
provide a
highly-reliable
compact device with
uniform
characteristics.
	 	 	 	H01L 3110
	26

	 	PH08-106801
	 	 	19960426	 	 	PH09-293926
	 	 	19971111	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor
device and its
fabrication method
	 	Issue: To
fabricate 2 type
optical waveguide
in-line, which are
optically coupled
each other, on the
semiconductor
substrate.
	 	 	 	H01S 318
	27

	 	PH08-113387
	 	 	19960508	 	 	PH09-298334
	 	 	19971118	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor
device and its
fabrication method
	 	Issue: To suppress
leakage current and
obtain low
threshold current
of laser diodes
	 	 	 	H01S 318

2/3

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	No. of	 	Date of	 	No. of	 	Dale of	 	No. of	 	Date of	 	No. of	 	Date of	 	Date of	 	 	 	 	 	 	 	 	 	 
	No.	 	Application	 	Application	 	Laying-Open	 	Laying-Open	 	Publication	 	Publication	 	Registration	 	Registration	 	Request	 	Applicant	 	Name	 	Abstract	 	Country	 	o o o
	 
	28

	 	PH09-040366
	 	 	19970225	 	 	PH10-242495
	 	 	19980911	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor
plane-type light-
receiving element
and its mounting
method
	 	Issue: A
waveguide-type
light-receiving
element for surface
mounting must be
provided which
requires less work
after the chip
split process and
less margin of
mounting tolerance,
dark current. and
reliability.
	 	 	 	H01L 3110
	a-1

	 	PH07-155752
	 	 	19950622	 	 	PH09-005582
	 	 	19970110	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor
optical coupling
device and its
assembling method
	 	 	 	 	 	G02B 642
	a-2

	 	PH08-062478
	 	 	19960319	 	 	PH09-138329
	 	 	19970527	 	 	 	 	 	 	 	 	 	 	 	.	 	 	 	 	 	 	Hitachi
	 	Optical
semiconductor array
module, its
assembling method,
and external board
mounting structure
	 	Issue: An optical
semiconductor array
module and its
assembling method
are provided which
allow easy mounting
of external circuit
boards and head
radiation elements
and assume the
reliability of
internal optical
	 	 	 	G02B 642
	a-3

	 	PH09-340359
	 	 	19971210	 	 	PH11-176966
	 	 	19990702	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor

element housing

package
	 	Issue: A
semiconductor
element housing
package consisting
of plastic parts
forming
conductivity
circuit patterns
must be provided
that will drive the
semiconductor
elements at a high
speed without any
	 	 	 	H01L 2302
	a-4

	 	PH10-221313
	 	 	19980805	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical

semiconductor

device
	 	Issue: Position
adjustment for
optical coupling
must be performed
easily and quickly,
and semiconductor
elements and
optical fibers must
be optically
coupled with high
coupling
efficiently by
suppressing any	 	 	 	 
	a-5

	 	PH10-297818
	 	 	19981020	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Optical coupling

device
	 	Issue: To
facilitate stable
optical coupling
between
semiconductor
elements and
optical fibers.	 	 	 	 
	a•6

	 	PH10-262711
	 	 	19980917	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor laser
coupling device and
its external board
mounting method
	 	Issue: A low-cost
module structure
must be provided
that can perform
optical coupling
between
semiconductor laser
and fiber without
optical coupling
variations over a
broad range of
environment.	 	 	 	 
	a-7

	 	PH11-038172
	 	 	19990217	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Electronic module
and optical module,
and optical
electronic device
using them
	 	Issue: An
electronic module,
optical module and
optical electronic
device consisting
of multiple
semiconductor
elements must be
provided in a
highly-reliable
compact structure
with good radiation	 	 	 	 
	a-8

	 	PH11-244795
	 	 	19990831	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Semiconductor optical coupling device
	 	Issue: Characteristics may
be changed because
the filter groove
formed on an
optical waveguide
board causes stress
on the filter
section due to heat
stress when the
board is mounted in
a case. A case	 	 	 	 
	a-9

	 	PH10-005372
	 	 	19980114	 	 	PH11-204994
	 	 	19990730	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Hitachi
	 	Element-mounted

device	 	 	 	 	 	 

3/3

 

EXHIBIT B

LIST OF HCT TRANSFERRED IP

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	No. Of	 	Date of	 	No. of	 	Date of	 	No. of	 	No. of	 	Date of	 	Date of	 	 	 	 	 	 	 	 	 	 
	Application	 	Application	 	Laying-Open	 	Laying-Open	 	Publication	 	Registration	 	Registration	 	Request	 	Applicant	 	Name	 	Abstract	 	Country	 	o o o
	 
	PH02-337118

	 	 	19901130	 	 	PH04-207646
	 	 	19920729	 	 	 	 	 	 	 	 	 	 	 	19971127	 	 	Hitachi
	 	Network
	 	This is the
network, where a
certain and
appropriate
bandwidth of light
that fits specific
terminals is
selected and
converted to the
above fixed
bandwidth out of a
whole optical
signal through a
common interface,
to secure privacy,
reliability and
flexible
	 	Germany

EPC

France

UK

Sweden

USA
	 	H04B 1020
	PH04-042835

	 	 	19920228	 	 	PH05-244098
	 	 	19930921	 	 	 	 	allowed (20010821)
	 	 	 	 	 	 	19990219	 	 	Hitachi
	 	Optical Transport
system, Repeater,
and its management
system
	 	It is intended to
realize transport
of the management
information of the
system without
reducing the output
power of optical
amplifiers.
	 	USA
	 	H04B 1008
	PS63-226612

	 	 	19880912	 	 	PH02-076356
	 	 	19900315	 	 	 	 	P2865675
	 	 	19981218	 	 	 	19950726	 	 	Hitachi
	 	Network Control

Method
	 	This new control
method has
functions which
instructs a
required transport
quality level to
each destination or
en route terminal,
always takes the
best transport
route to secure
such quality level
based on the
traffic information
en route collected
and/o
	 	Canada

USA
	 	H04M 300

4/3

 

EXHIBIT C

ARBITRATION PROCEDURES

	a.	 	Appointment of Arbitrators. The arbitration shall be heard and determined by a panel
of three (3) persons. Each party shall have the right to designate one (1) member of the
panel. The party requesting arbitration shall communicate its request in writing, identifying
the nature of the dispute and the name of its arbitrator, to the other party (“Arbitration
Request”). The other party shall then name, in writing, its arbitrator within fifteen (15)
Business Days (as defined in the Stock Purchase Agreement) after receipt of the Arbitration
Request. Failure or refusal of the other party to name its arbitrator within the fifteen (15)
day time period shall empower the only appointed arbitrator to name the second arbitrator.
Within twenty-five (25) Business Days after the Arbitration Request, the two (2) arbitrators
shall mutually select a third impartial and neutral arbitrator to the panel. If the two (2)
arbitrators are unable to agree upon an arbitrator within forty-five (45) Business Days after
the Arbitration Request then within sixty-five (65) Business Days after the Arbitration
Request, the ICC shall appoint a third arbitrator.
	 
	b.	 	Governing Law and ICC. All disputes submitted to arbitration under this HCT IP
License Agreement shall be governed by the laws specified in the agreement that is the subject
of the dispute. The arbitration rules of the International Chamber of Commerce (“ICC”) shall
apply to any arbitration under this HCT IP License Agreement, except to the extent the
provisions of this Exhibit C vary therefrom. ICC shall administer the arbitration. Decisions
of the panel shall be made by majority vote. The panel may not award punitive damages,
injunctions, specific performance or temporary restraining orders.
	 
	c.	 	Expedited Schedule. The arbitration shall be conducted on an expedited schedule.
Unless otherwise agreed by the parties, the parties shall make their initial submissions to
the panel within seventy-five (75) Business Days after the Arbitration Request. Within one
hundred twenty (120) Business Days after the Arbitration Request, each party shall supply to
the other party all documents that such party intends to introduce or upon which such party
intends to rely in connection with such proceeding, as well as a list of any and all witnesses
whose testimony such party intends to introduce in connection with such proceeding (with a
brief summary of their area of testimony). Additional documents or witnesses may be
introduced only if a majority of the arbitrators determine that good cause has been shown.
Each party shall also have the right to submit written briefs to the arbitrators in accordance
with a timetable to be established by the arbitrators. Unless agreed by the parties
otherwise, the hearing shall commence within one hundred fifty (150) Business Days after the
Arbitration Request and shall be completed within two hundred twenty-five (225) Business Days
after the Arbitration Request.
	 
	d.	 	Discovery. The parties shall be entitled to discovery of all documents and
information reasonably necessary for a full understanding of any dispute raised in the
arbitration relating to this HCT IP License Agreement. The parties may use all methods of
discovery available under the Japanese Code of Civil Procedure and/or the United States
Federal Rules of Civil

5/3

 

	 	 	Procedure, including depositions, requests for admission and requests for production of
documents. The time periods applied to these discovery methods shall be set by the panel so
as to permit compliance with the scheduling provisions of this Exhibit C.
	 
	e.	 	Communication with Arbitrators. Each party shall communicate with the arbitrators
only in the presence of the other party or by writing delivered to the ICC for transmittal to
the arbitrators and the other party.
	 
	f.	 	Prompt Award. Unless otherwise agreed by the parties, the award shall be made
promptly by the panel (in any event, no later than thirty (30) Business Days from the closing
of the hearing). Unless otherwise agreed by the parties, the decision and award by the panel
shall be reasoned, explain the basis of the decision and be in writing. Any failure to render
the award within the foregoing time period shall not affect the validity of such award.
	 
	g.	 	Binding Decisions. The decision or award rendered or made in connection with the
arbitration shall be final and binding upon the parties thereto. The prevailing party may
present the decision or award to any court of competent jurisdiction for confirmation, and
such court shall enter forthwith an order confirming such decision or award. The arbitration
award shall allocate the expenses of the arbitrator(s) and of the arbitration, between the
parties in a manner corresponding to the extent to which one (1) party prevails over the
other.
	 
	h.	 	Location. Based upon the factors set forth below, the arbitrators shall select one
or more of the following cities for the location of the arbitration proceedings: Tokyo,
Japan; London, United Kingdom; or New York, U.S.A. The arbitrators shall take into account:
(i) the relationship between the acts and circumstances surrounding the dispute and the
arbitration location; (ii) the availability and location of witnesses; and (iii) the
accessibility and location of evidence.
	 
	i.	 	Confidentiality. All arbitration proceedings undertaken pursuant to this Exhibit C
and any awards or decisions resulting therefrom shall be deemed to be confidential between the
parties thereto. To the extent either party maintains in good faith that any documents
submitted or testimony introduced in connection with such arbitration contains confidential
information or trade secrets, the parties shall negotiate in good faith in an effort to reach
agreement regarding terms and conditions for keeping such materials and testimony
confidential. If the parties are unable to agree upon such terms, the arbitrators shall have
the right to impose appropriate restrictions to maintain the confidentiality of any
confidential information or trade secrets in connection with the arbitration.

6/3

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00117-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00117-of-00352.parquet"}]]