Document:

EX-10.11

 Exhibit 10.11 

Text marked [****] has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested for the
omitted information. 
 MASTER MANUFACTURING AGREEMENT 

This Master Manufacturing Agreement (“Agreement”) is entered into as of Jan 01, 2013 (“Effective
Date”) by and between Xtera Communications, Inc. (“Xtera”) with a place of business at 500 W. Bethany Drive, Suite 100 Allen, Texas 75013 and NSG Technology, Inc. (“NSGT”) with an office at 1705 Junction
Ct. Suite 200, San Jose, CA 95112 forms a binding contract between the parties for manufacture and supply of the Products between Xtera and NSGT. 

NOW THEREFORE, in consideration of the premises and mutual covenants, both parties agree as follows: 

 

	1.	Definitions. 

 Capitalized terms used in this Agreement shall have the meanings as set
forth below: 
 1.1 “Product” shall mean the product supplied by NSGT to Xtera as set forth in the Order accepted by NSGT.

 1.2 “Confidential Information” shall include, tangible or intangible and whether or how stored, complied or
memorialized (i) proprietary information or document controlled or owned by one party, including but not limited to formula, pattern, program, process, chart, figure, software, report, method, strategy, plan, concept, device, tool,
specification, drawing, design, model, prototype, sample, analysis code, invention, patent application and license relating to such party’s products, technology, quality control, testing, factory, procurement, production, distribution,
financial situation, research and development, personnel, legal affairs and customers, (ii) discussion, negotiation and agreements between both parties, (iii) any information in relation to NSGT’s factories, layout, equipment,
operation and facility, and (iv) the existence of this Agreement and the terms and conditions herein. 
 1.3
“Delivery Date” shall mean the date for the delivery of the Products as specified in an Order and accepted by NSGT. 

1.4 “Development” means any invention, improvement, works of authorship, know-how, techniques, innovations, technique,
process, procedure, concept, idea, implementation, design, specification, discovery, algorithm, code, documentation or formula developed, conceived of, reduced to practice, or created by or on behalf of NSGT and/or its Subcontractors in the course
of, or as a result of, performing the Services hereunder, whether alone or in conjunction with others. 
 1.5
“Subcontractor” shall mean any subcontractor used by NSGT to perform Services hereunder. 
 1.6
“Intellectual Property Rights” shall mean and include (i) copyright, Moral Rights, patent and patent applications, registered design and registered design application, trademarks, trade secrets, works of authorship (whether
copyrighted or copyrightable) and know-how including but not limited to inventions, discoveries, designs, plans, computer programs  

  
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(including source and object code), diagrams and processes; (ii) rights relating to possession, ownership and use of the forgoing items including without limitation, the right to license,
sublicense, franchise, assign, divide, pledge, mortgage, sell, offer to sell, transfer, convey, grant, import, make or have made, enforce and register such items. 

1.7 “Moral Rights” means any right to claim authorship to or to object to any distortion, mutilation, or other
modification or other derogatory action in relation to a work, whether or not prejudicial to the author’s reputation, and any similar right, existing under common or statutory law of any country, province or state in the world or under any
treaty, regardless of whether or not such right is denominated or generally referred to as a “moral right.” 
 1.8
“Order” shall mean an purchase order issued by Xtera and binding on Xtera for acceptance by NSGT for the Product to be manufactured and supplied by NSGT, which includes the Product price, quantity, delivery date and other items
related thereto pursuant to the terms and conditions hereof. 
 1.9 “Specifications” shall mean any
requirements for the manufacture and/or quality of the Product including without limitation, drawings, samples, quality requirement and technical manuals mutually agreed by the parties, which shall be used by Xtera for acceptance of the Product.

 1.10 “Services” means the development, materials procurement, manufacture, assembly, delivery, staging
testing, packaging, shipping and support services provided by NGST hereunder and any other services that may be set forth in an Order. 

1.11 “Xtera Designated Supplier” shall mean a supplier listed on a Xtera bill of materials, which supplies components
or other materials that Xtera intends NSGT to incorporate into a Product. 
 In this Agreement, any reference to the singular is
intended to encompass the plural and vice versa. 
  

	2.	Order. 

 2.1 Xtera shall specify in the Order the Products, quantity,
price, delivery date, Lead Time (subject to Section 7.2 hereof), part number and such other information as the parties may agree from time to time. Time is of the essence for the delivery of Products set forth in an Order. Xtera can
deliver to NSGT the Orders by mail, facsimile or any other electronic means as mutually agreed. 
 2.2 The Order shall not be binding on
NSGT unless it is accepted by a written confirmation to Xtera. NSGT will accept any Order that materially conforms to the pricing and lead-time terms hereof. Upon acceptance, Orders shall be binding upon NGST. Except for quantity, price, delivery
date, part number and such other information as the parties may agree from time to time, no additional or different terms or conditions proposed by Xtera in the Order shall apply unless agreed to by NSGT in writing. Orders will be deemed to be
accepted if not rejected by written confirmation by NSGT within five (5) business days after NSGT’s receipt of such Order. 

  
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 Text marked [****] has been omitted and filed separately with the Securities and Exchange Commission.
Confidential treatment has been requested for the omitted information. 
  
  

	3.	Material Procurement. 

 3.1 Purchase of Materials. Unless notified
by Xtera of cancellation or rescheduling, NSGT shall purchase the materials required to meet the demand in the accepted Order as far in advance as the component lead-time for each component necessary to manufacture the Product, or otherwise
instructed in writing by Xtera. [****] 
 3.2 Xtera’s Responsibility for E&O Inventory. After NSGT’s exercise of all
Mitigation Efforts (as defined below), Xtera shall be responsible for reimbursing NSGT the cost for all remaining materials, including but not limited to common parts, unique parts and long lead-time materials (“Parts”), purchased
by NSGT as required by the accepted Orders which are excess or obsolete inventory due to Order cancellation, rescheduling, Products’ EOL (“end of life”) or engineering change of Products, initiated by Xtera, (“E&O
Inventory”). NSGT will use all reasonable efforts and perform all necessary due diligence to mitigate Xtera’s liability to the greatest extent possible with respect to any E&O Inventory that are not actually used in the Products,
including without limitation use in subsequent Orders, resale of non-proprietary materials and/or Parts to third parties, cancellation of outstanding orders for such materials and/or Parts, the return of such materials and/or Parts back to the
original vendor, and the use of such non-proprietary material and Parts in the manufacture of other products (collectively “Mitigation Efforts”). [****] Xtera agrees to pay: 

(i) One hundred percent (100%) of the cost of all Parts in NSGT and/or Subcontractor’s possession and not returnable to the
NSGT’s vendors or reusable for other products, whether in raw form or work in process; and 
 (ii) One hundred percent (100%) of
the cost of all Parts on order and not cancelable. 
 3.3 Payment for E&O Inventory. NSGT shall provide a report, once every six
(6) months, to Xtera specifying the quantity of E&O Inventory currently on hand. Within thirty (30) days following the date on which NSGT provides such report, provided that NSGT has performed Mitigation Efforts for a period of at
least two (2) weeks or otherwise agreed to by Xtera, Xtera will issue to NSGT a purchase order and make payment within [****] after receipt of NSGT’s report for: (i) any remaining E&O Inventory at the cost as set forth in
Section 3.2 and 3.4, and (ii) provided NSGT receives Xtera’s prior written consent, under-recoveries resulting from the sale of E&O Inventory or returns to the material vendor as part of the Mitigation Efforts at
prices less than originally paid by NSGT and relating to reasonable re-stocking or return charges. Upon purchase by Xtera under this subsection, E&O Inventory will either be returned to Xtera, placed in consignment at NSGT, or scrapped, at
Xtera’s direction and expense. 
 3.4 [****] Xtera agrees: 

  
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 (a) To purchase all finished goods inventory at one hundred percent (100%) of the price for
all finished products in NSGT’s and/or Subcontractor’s possession; and 
 (b) NSGT is entitled to raise invoices for such
Products, at which point Product is withdrawn from the NSGT facility or warehouse or is deemed purchased, at which time title to the Products shall be transferred to Xtera. 
  

	4.	Material Management. 

 4.1 NSGT will comply with the following obligations
to ensure good component material management for the Products, (a) perform component level failure analysis, (b) make its best efforts to work with Xtera’s other related vendors of the Products to reduce component lead-times and
costs, and (c) implement materials management consistent with standard industry inventory management practices, including but not be limited to the use of, FIFO, minimum order quantities, and long lead-time component management. 

4.2 Xtera will be solely responsible for all costs relating to the collection and replacement of Product and Parts due to any Product or Part
design issue attributable to designs provided by Xtera and Parts supplied by an Xtera Designated Supplier. NSGT shall be solely responsible for all costs relating to the collection and replacement of Product and/or Parts due to any defect in
workmanship and shall arrange and perform all returns material authorization procedures with suppliers, including Xtera Designated Suppliers. NSGT will partner with Xtera to drive for root cause on material related issues. 

 

	5.	Manufacturing Obligations. 

 5.1 NSGT shall perform the Services for the
Products on a turnkey basis in strict compliance with the Specifications and the work instructions agreed between Xtera and NSGT for each Product. NSGT will use only ISO 9002 manufacturing sites to perform Services under this Agreement. Xtera will
consign the test equipment to support production and provide technical assistance as reasonably required for operation of such test equipment. All such Xtera provided equipment (as set out in Exhibit A, Xtera Provided Equipment) and as
modified by Xtera from time to time, upon written notice to NSGT will remain the property of Xtera and shall be returned to Xtera or its designee (as requested by Xtera) upon any termination or expiration of this Agreement. Xtera will be responsible
for the initial set up and configuration of the Xtera Provided Equipment, with NSGT’s reasonable cooperation. Except as expressly set forth herein, NSGT will provide all manufacturing technology, standard and common equipment, labor, materials
and facilities necessary to perform the Services. 
 5.2 Both parties hereby acknowledge that Subcontractors will be used by NSGT to
render Services for Phase 1 and potentially in Phase 2 of the Orders with NSGT. Except as expressly set forth herein, in no event shall NSGT be relieved of its obligations under this Agreement as a result of its use of any Subcontractors and NSGT
shall supervise the activities and performance of each Subcontractor and shall be liable with each such Subcontractor for any act or failure to act by such Subcontractor. NSGT shall require Subcontractors (i) to follow NSGT policies and
procedures, and (ii) to execute a written agreement with NSGT (the “Subcontractor Agreement”) that is no less protective of Xtera’s rights in this Agreement,  

  
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 Text marked [****] has been omitted and filed separately with the Securities and Exchange Commission.
Confidential treatment has been requested for the omitted information. 
  

including without limitation the assignment of Developments and protection of Xtera’s Confidential Information as set forth herein. NSGT shall immediately
notify Xtera in writing if the Subcontractor breaches any provision of the Subcontractor Agreement or any act or omission, which if were an act or omission of NSGT would be deemed a breach of this Agreement, and shall describe the particulars of any
such breach. Notwithstanding Xtera’ third party status and without limiting any of Xtera’ rights and remedies under this Agreement, NSGT shall vigorously enforce the provisions of the Subcontractor Agreement against Subcontractor at
NSGT’s sole cost and shall ensure compliance with the terms of this Agreement. 
 5.3 NSGT shall also provide the support Services set
forth in Exhibit C for the Products agreed by NSGT and Xtera. 
 5.4 NSGT shall notify Xtera immediately of any design bugs in
Products and/or Services in the event that such bugs shall not be fixed by NSGT within two (2) weeks after first fail test occurs (“Debugging Period”). NSGT shall use its best endeavors to provide debugging support for Xtera
during Debugging Period and, in the event that such bugs shall not be fixed within Debugging Period, NSGT shall have the right to invoice Xtera, and Xtera shall pay to NSGT for such debug-failed Products not later than [****] after receipt of
NSGT’s first notice for bugs. 
 5.5 Throughout the Term, NSGT, at its own expense, will strive for continuous quality
improvement, and to achieve the mutually agreed upon cost, quality and responsiveness targets. Throughout the Term, NSGT agrees to at least a five percent (5%) annual cost reduction in the Products. During periodic business reviews Xtera will
review NSGT’s efforts and accomplishments in meeting such targets. NSGT and Xtera agree to aggressively pursue opportunities to further reduce the price of the Products. 
  

	6.	Standards for Performance. 

 6.1 General Performance Requirements.
NSGT shall provide proper training and education to all persons performing Services, and shall ensure that such persons have sufficient experience and expertise to perform the Services in an efficient and effective manner. NSGT covenants and
warrants that NSGT will perform all Services in accordance with the standards and practices of care, skill, and diligence customarily observed by similar firms under similar circumstances at the time the Services are rendered. Xtera’s
acceptance of and/or payment for NSGT’s workmanship, materials/Parts, or Product shall not relieve NSGT of the warranty obligations herein. 

6.2 General Warranties. NSGT warrants that: 

(a) NSGT has the power and authority to enter into this Agreement; 

(b) NSGT has sufficient capacity to perform the Services and to deliver Products as specified in each applicable Order; and 

(c) Each of NSGT’s employees, Subcontractors or agents involved in the Services provided to Xtera under this Agreement have signed an
agreement with NSGT agreeing to abide by ownership and confidentiality requirements with respect to Other Developments (as defined in Section 11.2) and Xtera’s Confidential Information that are at least as protective of Xtera’s
rights as the obligations set forth in this Agreement. 

  
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 Text marked [****] has been omitted and filed separately with the Securities and Exchange Commission.
Confidential treatment has been requested for the omitted information. 
  

6.3 Product Warranties. For [****] from the date a Product is received by Xtera, NSGT warrants to Xtera that each Product provided by
NSGT to Xtera or its designee(s): 
 (a) shall be free from defects in workmanship and free from defects in materials; and 

(b) shall fully conform to all applicable Specifications and other criteria set forth in the applicable Order. 

6.4 Remedies. Xtera shall notify NSGT in writing of any defect or nonconformity in the Product resulting from defects in materials or
workmanship or NSGT’s failure to conform to the Specifications, such notice to contain a reasonable description and/or samples of the defect or nonconformity. If the Product cannot be repaired or replaced with twenty (20) day’s
receipt of the Product for NSGT to comply with the Specifications and remedy any defects, NSGT will reimburse or credit Xtera as the amount paid by Xtera for such Products and shall reimburse Xtera for all costs of cover to repair or replace any
such defective Product. Additionally, within twenty (20) days of receipt of notice of defect or nonconformity in any Product resulting from defects in workmanship or breach of any above referenced warranty, NSGT will provide a written root
cause analysis and corrective action plan. The foregoing remedies are in addition to any other remedies provided for under this Agreement. Notwithstanding the foregoing, in the event that Xtera selects a vendor of materials over NSGT’s written
objection prior to purchase of such materials, NSGT will not be responsible for defects in materials but will use its best efforts to cooperate in good faith with Xtera to pursue remedies against the vendor. 

6.5 Exclusions. For clarification, NSGT’s warranty for Product does not extend to: 

(a) any defect caused by abuse, misuse, unauthorized or faulty repairs outside of NSGT, alteration or tampering of the Product by Xtera or
Xtera’s customer, or by operation in a manner in violation of written operational instruction, as mutually determined by the parties in good faith; or 

(b) any defect caused by an error in designs provided in writing by Xtera and/or defect in consigned materials supplied by Xtera 

6.6 Process Warranty. NSGT warrants that it has all necessary right, title and license to any and all processes and/or methods
necessary to perform the Services and will pay all related royalties, fees and charges for any and all Products serviced under this Agreement. 

6.7 THE PROVISIONS OF THIS SECTION 6 SET FORTH NSGT’S SOLE LIABILITY WITH RESPECT TO THE WARRANTY SET FORTH HEREIN. EXCEPT AS SET
FORTH HEREIN, NSGT DISCLAIMS ALL WARRANTIES REGARDING THE PRODUCTS AND SERVICES PROVIDED HERETO, EITHER EXPRESS OR IMPLIED, INCLUDING WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE. 

  
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 Text marked [****] has been omitted and filed separately with the Securities and Exchange Commission.
Confidential treatment has been requested for the omitted information. 
  
  

	7.	Shipping and Delivery. 

 7.1 All Products shall be manufactured and
assembled in the United States or other locations mutually agreed by the Parties. All Delivery of the Products will be made by NSGT at a designated manufacturing facility of NSGT or its Subcontractor (“NSGT’s Manufacturing
Facility”). Delivery of Products will be FCA (Free Carrier; INCOTERMS 2000) NSGT’s facilities in San Jose California or as mutually agreed by the Parties. “Delivery”, for purpose of this article, means the delivery of
Products, which are [****], tested, packaged and crated for shipment. 
 7.2 Xtera will issue Orders to NSGT for Products no
later than 120 days (“Lead Time”) in advance of the Delivery Date set forth on such Order (“Specified Delivery Date”). NSGT will accept or reject any Order within five (5) business days of receipt of such
Order. In the event of rejection, NSGT shall specify the basis of the rejection. NSGT may only reject an order on the basis of incorrect price and /or failure to comply with Lead Time requirements. If the Order is less than 120 days of the Delivery
Date, both parties should work out a mutually acceptable Delivery Date. 
 7.3 Xtera will be responsible for shipping of products
from NSGT’s Manufacturing Facility to Xtera designated ship to locations. 
  

	8.	Payment Terms and Credit. 

 8.1 Pricing. The unit price to be paid
by Xtera for the Product shall be based on the agreed amount by both parties consistent with the pricing formula set forth in Exhibit B (Detail Costed Model) all payments hereunder will be paid in U.S. dollars unless otherwise mutually agreed
upon by the parties in writing. For each Product, NSGT will provide periodic detailed reports supporting each element of the pricing formula including without limitation to the extent applicable direct labor cost; actual cost of material (i.e. the
actual price quoted by the vendor for each component, including any related rebates or discounts or leveraged volumes) by line item, other cost adders; NSGT’s profit and any other information reasonably requested by Xtera. 

8.2 Taxes. Where the law permits, NSGT will treat Xtera as exempt from applicable state and or local sales tax for Product(s) purchased
pursuant to this Agreement. Where required by state or local law, Xtera will provide NSGT with a valid reseller’s exemption certificate for each taxing jurisdiction to which NSGT ships Product(s). 

8.3 Invoices. NSGT will submit invoice(s) periodically to Xtera upon Delivery of Product(s), provided that such Delivery is in full
compliance with the Xtera’s Order or subsequent written instructions. 
 8.4 Payment. Xtera will pay such invoices [****] of the
Products, unused parts and/or materials in accordance with the Order or subsequent written instructions from Xtera. Payments shall be made by wire-transfer, directly to the specified NSGT lock Box. 

8.5 Late payment. In the event of late payment by Xtera of any undisputed sums due, without prejudice to any other rights and/or
remedies available to NSGT, NSGT shall have the 

  
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 Text marked [****] has been omitted and filed separately with the Securities and Exchange Commission.
Confidential treatment has been requested for the omitted information. 
  
 right
to (i) hold the delivery and shipment and (ii) charge interest on the outstanding amount. (at the rate of [****] per month or where there is a maximum lower rate permissible by law, such maximum rate) from the date of invoice until
the date of full payment is fulfilled (both before and after judgment), provided that such overdue payment shall not be cured by Xtera within [****] from the due date. 

8.6 Except as provided in Section 8.5 above, all other decisions with respect to the extension, granting, suspension and/or
continuation of credit shall be within the sole and absolute discretion of NSGT and NSGT may terminate, suspend and/or withhold any such other credit extension within its sole and absolute discretion without prejudice to such other rights that it
may have whether in contract tort or otherwise. 
  

	9.	Engineering Changes. 

 9.1 Change Process; No Unauthorized Changes.
Xtera may, upon advance written notice to NSGT, submit engineering change orders (“ECO”), for changes to the Products. ECOs will include documentation of the change to effectively support an investigation of the impact of the
engineering change, NSGT will review the ECO and report to Xtera within two (2) business days of NSGT’s receipt of the ECO. If the ECO affects the manufacturing or repair costs of the Products or otherwise affects the price or delivery
schedule of the Products, NSGT will notify Xtera of such event within such two (2) days, and if Xtera desires to make such change, the parties agree to negotiate in good faith an equitable adjustment to the price of the affected Products prior
to implementation of the change. Unless such ECO is necessitated by a failure to comply with warranties set forth in Section 6, any inventory acquired by NSGT pursuant to this Agreement and an accepted Order, and rendered excess or
obsolete by an implemented Xtera ECO shall be deemed Excess Inventory pursuant to Section 3.2. 
  

	10.	Indemnity. 

 10.1 NSGT will, at NSGT’s expense, indemnify, defend and
hold harmless Xtera and any of its subsidiaries, affiliates, directors, officers, employees, agents, customers and independent contractors, from and against any and all loss, cost, liability or expense (including costs and reasonable fees of
attorneys and other professionals) arising out of or in connection with proceedings, actual or alleged claims or suits based on: (i) injury or damage to a person or property caused by any defect of Product in workmanship;
(ii) contamination of or adverse affects on the environment or any violation of law, governmental regulation or orders in connection with the Services or Products, including without limitation the manufacturing thereof, (iii) infringement
or misappropriation of any patent, copyright, trade mark right, trade secret, mask work right or other proprietary right of any third party by or arising from use of any Product or any NSGT Services and/or manufacturing process and/or (iv) any
act or omission of its Subcontractors designated by NSGT. Notwithstanding any provision to the contrary herein, NSGT will have no liability under this Agreement for: (i) any extensions, improvements or modifications made to the Product by Xtera
where the harm or infringement arose from such extension, improvement or modification; (ii) any Product manufactured or Services provided by NSGT strict in compliance with the special specifications or designs or other detailed instructions
provided or requested by Xtera; (iii) any 

  
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infringement or breach to the extent is attributable to incorporation of designs provided in writing by Xtera, and/or materials or Parts consigned, or supplied by Xtera or Xtera Designated
Supplier, into the Product; or (iv) any infringement indemnity to any claim made based on the operation or use of any Product in combination with other hardware or software not furnished by NSGT (collectively, the “Exclusion
Cause”). 
 10.2 Xtera shall defend, indemnify and hold harmless NSGT and its subsidiaries, affiliates, directors, officers,
employees, agents and independent contractors from and against any and all losses, costs, liabilities, expenses incurred from, proceedings, actual or alleged claims or suits for the Exclusion Cause set forth in Section 10.1. 

10.3 Conditions. A party’s obligation to indemnify the other under this Section 10 is conditioned upon and subject to:
(a) the indemnified party giving the indemnifying party reasonably prompt notice in writing of any such suit and permits the indemnifying party through counsel of its choice, to answer the charge of infringement and defend such claim or suit;
(b) the indemnified party provides the indemnifying party information, assistance and authority, at the indemnifying party’s expense, to enable such party to defend the suit; and (c) the indemnifying party will not be responsible for
any settlement made by indemnified party without its prior written consent. The indemnifying party agrees not to disclose or publicize the terms of any settlement of a suit against the indemnified party without first obtaining such party’s
written permission. 
  

	11.	Intellectual Property Rights. 

 11.1 NSGT shall own all right title and
interest in and to any manufacturing process or technology developed by NSGT prior to this Agreement and any Developments and related Intellectual Property Rights, which constitute improvements to such manufacturing process. NSGT hereby grants and
agrees to grant Xtera a non-exclusive, perpetual, sub-licensable, irrevocable, royalty-free, worldwide right and license to use, make, have made, sell, offer for sale, import and practice any Developments which constitute improvements to such
manufacturing process in connection with the Products or any version thereof. 
 11.2 Except development and related Intellectual
Property Rights owned by third party, Xtera shall own and continue to own all right, title and interest in and to the Products, the technology contained in such Products including without limitation any improvements thereto and technology contained
in any versions thereof (collectively “Product Technology”) and any Intellectual Property Rights in and to the Products and Product Technology. Except as set forth in Section 11.1 for Developments which constitute
improvements to NSGT’s manufacturing process and any other development and related Intellectual Property Rights owned by third party, Xtera shall also own all right title and interest in and to any and all other Developments (“Other
Developments”) and related Intellectual Property Rights. NSGT hereby irrevocably and unconditionally assigns, transfers and otherwise conveys, and agrees to assign, transfer and convey, all right, title and interest in and to such Other
Developments and any and all Intellectual Property Rights related to such Other Developments to Xtera. Such assignment, transfer and conveyance is complete and shall be deemed to occur as and when NSGT and its employees and Subcontractors perform
such Services. NSGT represents and warrants such assignment, transfer and conveyance as complete and not subject to any lien or other encumbrance on behalf of  

  
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 Text marked [****] has been omitted and filed separately with the Securities and Exchange Commission.
Confidential treatment has been requested for the omitted information. 
  
 NSGT or
any other party. NSGT shall not retain any rights in or to the Other Developments or related Intellectual Property Rights. NSGT agrees to assist Xtera, and ensure the assistance of any Subcontractors, in any reasonable manner to procure and
maintain, for Xtera’ benefit, patent, copyright, trademark and other proprietary rights protection in the Other Developments and related Intellectual Property Rights. NSGT hereby agrees, on behalf of it, and its employees, to irrevocably
transfer and assign to Xtera, and waives and agrees never to assert, any and all Moral Rights either NSGT any of 11.2 shall survive any termination of this Agreement. 

11.3 Xtera hereby grants to NSGT a non-exclusive, worldwide, fully paid-up, royalty-free license to Xtera’s Product Technology and Other
Developments solely as necessary for NSGT’s performance hereunder. NSGT hereby acknowledges that such Product Technology and Other Developments shall be deemed Confidential Information of Xtera and subject to the provisions of
Section 14. Except as set forth in this Section 11.3, NSGT shall not acquire any right or interest in or to Product Technology, Other Developments or any Intellectual Property Rights therein or thereto. 

11.4 Xtera will retain title to and beneficial ownership of any tools, dies, molds, jigs, patterns, hobs, computer equipment, electrodes,
punches, artwork, screens, tapes, templates, machinery, test equipment, fixtures, gauges, Xtera Provided Equipment, Specifications, drawings or other documents or data furnished, paid for or charged to Xtera. While in NSGT’s possession, NSGT
will hold such property in trust for Xtera and maintain and preserve such property for Xtera’s benefit for a period of five (5) years following termination of this Agreement. NSGT will clearly mark all of Xtera’s property in its
possession “Property of Xtera” (or substantially similar marking) and will not use such property for any purpose other than to perform the services under this Agreement without Xtera’s prior consent. NSGT will keep an up to date
inventory of all Xtera property in its possession and provide a copy to Xtera upon Xtera’s request. Xtera may, on forty-eight (48) hours prior notice, require that NSGT return some or all of such property and, if it does so, NSGT will
immediately deliver all such property to Xtera or, in Xtera’s discretion and expense, permit Xtera to take possession of such property wherever it is situated. If Xtera requires that NSGT return of any Xtera-owned property that is required to
manufacture and deliver a Product, NSGT will be relieved of its obligation to supply such Product to Xtera. 
  

	12.	Terms and Termination. 

 12.1 Term. This agreement will commence on
the Effective Date and will continue for a period of [****] thereafter, unless earlier terminated pursuant to this Agreement. 
 12.2
Termination for Cause. This Agreement may be terminated by a party for cause immediately upon the occurrence of and in accordance with the following: 

(a) Bankruptcy Event. Either may terminate this Agreement by delivering written notice to the other party upon the following event’s
occurrence: 
 If either party is adjudicated bankrupt, or is the subject of any proceeding relating to its liquidation or insolvency which is not
dismissed within sixty (60) days of filing (“Bankruptcy Event”). 

  
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 (b) Termination for Default. Either party may terminate this Agreement if the other party
violates any covenant, agreement, representation or warranty contained herein in any material respect or defaults or fails to perform any of its obligations or agreements here under in any material respect, which violation, default or failure is not
cured within thirty (30) days after written notice (which notice will describe the alleged breach in reasonable detail) from the non-defaulting party stating its intention to terminate this Agreement by reason thereof. 

12.3 Effect of Termination. In the event of the expiration or termination of this Agreement, 

12.3.1 In the event that this Agreement is terminated by Xtera without any cause or terminated by NSGT due to Xtera’s default or breach
hereunder, Xtera shall be responsible for costs and liabilities under Section 3 hereof based on the Order submitted by Xtera and NSGT accepted prior to the date of such expiration of termination. 

12.3.2 In the event Xtera does not exercise its cancellation rights, this Agreement expires on its terms or this Agreement is terminated by
NSGT, NSGT will complete the production of any Products of which NSGT has accepted an Order as of the effective date of such expiration or termination and deliver such completed Products to Xtera by the acknowledged Delivery Date. 

12.3.3 Xtera has the obligation to pay all undisputed outstanding invoices related to the Products already shipped and properly invoiced;
provided that Xtera shall not unreasonably dispute invoices. 
 12.3.4 A party shall not be liable to the other party because of such
party’s proper termination of this Agreement pursuant to this Section 12.3.2 or the expiration of this Agreement, for compensation reimbursement or damages for the loss of prospective profits, anticipated sales or goodwill, on
account of any expenditures, investments or commitments made by either, or for any other reason whatsoever based upon the result of such expiration or proper termination by such party. The termination of this Agreement shall not affect either
parties’ claims for breach of the Agreement arising prior to such termination. 
 Sections 5.3, 7 (Standards of Performance),
11 (Indemnity), 12 (Intellectual Property Rights), 13 (Term and Termination), 14 (Limitation of Liability), 15 (Confidentiality), 16 (Records and Audits) and 18 (Miscellaneous) shall survive
termination or expiration of this Agreement. 
  

	13.	Limitation of Liability. 

 EXCEPT AS EXPRESSLY PROVIDED HEREIN, NEITHER
PARTY WILL BE LIABLE TO THE OTHER FOR ANY INDIRECT, INCIDENTAL, SPECIAL OR CONSEQUENTIAL DAMAGES ARISING OUT OF ANY PERFORMANCE OF THIS AGREEMENT OR IN FURTHERANCE OF THE PROVISIONS OR OBJECTIVES OF THIS AGREEMENT, REGARDLESS OF WHETHER SUCH DAMAGES
ARE BASED ON TORT, CONTRACT OR ANY OTHER LEGAL THEORY, EVEN IF THE PARTY IS ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. THE ABOVE LIMITATION SHALL NOT APPLY IN THE EVENT OF A BREACH UNDER SECTION 11 OR 14 OR TO THE PARTIES’ RESPECTIVE
INDEMNIFICATION OBLIGATIONS UNDER SECTION 10. 

  
 11 

	14.	Confidentiality. 

 14.1 Confidentiality. Each party shall treat as
confidential all Confidential Information of the other party, shall not use such Confidential Information except as expressly set forth herein or otherwise authorized in writing, shall implement reasonable procedures to prohibit the disclosure,
unauthorized duplication, misuse or removal of the other party’s Confidential Information and shall not disclose such Confidential Information to any third party except as may be necessary and required in connection with the rights and
obligations of such party under this Agreement, and subject to confidentiality obligations at least as protective as those set forth herein. Without limiting the foregoing, each of the parties shall use at least the same procedures and degree of
care which it uses to prevent the disclosure of its own confidential information of like importance to prevent the disclosure of Confidential Information disclosed to it by the other party under this Agreement, but in no event less than reasonable
care. 
 14.2 Exceptions. Notwithstanding the above, neither party shall have liability to the other with regard to any Confidential
Information of the other which: 
 (a) was generally known and available at the time it was disclosed or becomes generally known and
available through no fault of the receiver; 
 (b) was known to the receiver, without restriction, at the time of disclosure as shown by
the files of the receiver in existence at the time of disclosure; 
 (c) is disclosed with the prior written approval of the disclosure;

 (d) was independently developed by the receiver without any use of the Confidential Information and by employees or other agents of the
receiver who have not been exposed to the Confidential Information, provided that the receiver can demonstrate such independent development by documented evidence prepared contemporaneously with such independent development; or 

(e) becomes known to the receiver, without restriction, from a source other than the disclosure without breach of this Agreement by the
receiver and otherwise not in violation of the discloser’s rights. 
 14.3 Authorized Disclosure. In addition, each party shall
be entitled to disclose the other party’s Confidential Information to the extent such disclosure is requested by the order or requirement of a court, administrative agency, or other governmental body; provided, that the party required to make
the disclosure shall provide prompt, advance notice thereof to enable the other party to seek a protective order or otherwise prevent such disclosure. Notwithstanding the provisions of this Agreement, each party may disclose the terms of this
Agreement (i) in connection with the requirements of an initial public offering or securities filing or as otherwise required to comply with disclosure requirements for publicly traded companies; (ii) in confidence, to accountants, banks,
and financing sources and their advisors; (iii) in confidence, in connection with the enforcement of this Agreement or rights under this Agreement. 

  
 12 

 14.4 Equitable Relief. If either party breaches any of its obligations with respect to
confidentiality, or if such a breach is likely to occur, the other party shall be entitled to equitable relief, including specific performance or an injunction, in addition to any other rights or remedies, including money damages, provided by law.

  

	15.	Records and Audits. 

 NSGT shall keep full, complete and accurate
records which support the pricing and payments hereunder and/or which relate to the performance of Services including without limitation, correspondence, vendor invoices, instructions, memoranda, receipts, specifications, vouchers, quality assurance
records, testing documentation, lot history records, test lost traceability records, warranty support records and similar data. These records shall be prepared and maintained on the basis of generally accepted accounting principles, consistently
applied, and shall be retained for a period of at least three (3) years from the termination of this Agreement. All such records shall be available to Xtera or to Xtera’s authorized representative, not more than once per year, upon request
of Xtera, within a reasonable period of time after such a request, at a reasonable location, and during normal business hours during the term of the Agreement and for a period of three (3) years after expiration of the Agreement (“Audit
Period”). During such Audit Period, Xtera or its authorized representative may also inspect any facilities at which the Services are performed to ensure compliance with the terms of this Agreement. 

 

	16.	Hazards. 

 If NSGT becomes aware of any information which reasonably
supports a conclusion that any Product may present any danger of bodily injury or property damage (“Hazard”), NSGT will promptly notify Xtera in writing setting forth in detail, the details of all information as known by NSGT.
Unless expressly prohibited by law, NSGT will give Xtera such notice prior to giving any notice to any governmental agency. NSGT will promptly provide Xtera with all relevant data and review and discuss with Xtera all information, tests, and
conclusions relating to the alleged Hazard and the basis for any contemplated recall or other remedial action. Without limiting the warranties hereunder, the parties will immediately meet and confer regarding the remedial action required and all
costs of any such remedial action including, but not limited to, the reasonable out-of-pocket costs directly related thereto, shall be paid by (i) Xtera if attributable to a design defect, or (ii) NSGT if attributable to defects in non
Xtera mandated materials or workmanship. NSGT will, upon request, provide to Xtera and/or Xtera’s designee all reasonable assistance in determining how best to deal with the Hazard, and preparing for and making any presentation before any
governmental agency which may have jurisdiction over any aspect of any Hazard. 
  

	17.	Miscellaneous. 

 17.1 Force Majeure. Neither party shall be liable
in any manner for failure or delay to perform all or part of this Agreement, directly or indirectly, due to fire, casualty, flood, war, strike, lockout, epidemic, riot, instruction or any other cause beyond the reasonable control of the parties
(collectively as “Force Majeure”); provided that the suffering party timely notifies the other party of such event and use its best efforts to mitigate the impacts thereof. However, if

  
 13 

 
such Force Majeure continues for sixty (60) days, the party may terminate this Agreement and/or any Order issued hereunder without any penalty. Labor disputes or strikes shall not be
considered Force Majeure events. 
 17.2 Compliance with Laws. Each party shall comply with all applicable laws, regulations and
rules of any governmental authority having jurisdiction and shall obtain all necessary permits, licenses and consents of governmental authorities necessary for the manufacture, sale, export, import or other performance contemplated by this
Agreement. NSGT hereby represents and warrants that no consent, approval or authorization of or designation, declaration or filing with any governmental authority is required in connection with the valid execution, delivery and performance of this
Agreement. The Parties agree that the Services, including without limitation manufacturing services, and the Products shall comply with all applicable environmental and hazardous substance laws, rules and regulations, including but not limited to
those promulgated by the United States Environmental Protection Agency and any European directives such as the Directive on Waste Electrical and Electronic Equipment (2002/96/EC) (“WEEE”) and the Directive on the Restriction of
the Use of Certain Hazardous Substances in Electrical and Electronic Equipment (“ROHS”) and shall use reasonable commercial efforts to ensure such compliance, provided that Xtera shall be liable for all related costs, expenses and
an additional service fees to NSGT determined by both parties. Notwithstanding the above, NSGT’s liability with respect to RoHS or environmental and hazardous substance laws, rules and regulations is conditioned on the understanding that
NSGT’s verification is limited to such components, parts, materials, or products that are manufactured by NSGT for use within the Product, and any non-Xtera AVL (Approved Vendor List) components purchased by NSGT and integrated into the
Product. NSGT provides no verification or warranty that Xtera AVL components, parts, materials, or products purchased by NSGT for integration into a Product are RoHS (or other related legislation) compliant, nor shall NSGT be responsible for Xtera
consigned components, parts, materials, or products. 
 17.3 Import/Export Requirements; Insurance. Xtera and NSGT will comply with
all import and export laws and regulations and maintain appropriate import and export documentation. NSGT shall maintain commercially reasonable insurance to cover costs of damage to NSGT’s facilities and products or materials contained in such
facilities. 
 17.4 Assignment. Unless otherwise expressly agreed by the other party, any purported assignment without such consent
shall be null and void; provided that such consent shall not be required for assignment to an entity participating in a merger, acquisition or sale of substantially all the stock or assets of a party. 

17.5 Governing Law; Arbitration. Any dispute arising under or in connection with this Agreement shall resolved using the dispute
resolution process set forth in this Section 17.5. The arbitration shall be conducted pursuant to the Commercial Rules of the American Arbitration Association (the “Rules”) then in effect. Notwithstanding those Rules,
the following provisions shall apply to the arbitration hereunder: 
 17.5.1 Arbitrators. The arbitration shall be conducted by a
single independent arbitrator, if the parties agree upon one, otherwise to three (3) independent arbitrators, one to be appointed by each party and a third to be chosen by the first two named before they enter upon the business of arbitration.
If the two (2) arbitrators are unable to agree upon the third arbitrator, such third arbitrator shall be appointed in accordance with the Rules. 

  
 14 

 17.5.2 Binding Nature. The award and determination of the arbitrator(s) or any two of the
three arbitrators shall be binding upon the parties and their respective heirs, executors, administrators and assigns. 
 17.5.3
Proceedings. The parties and arbitrator or arbitrators shall use reasonable, diligent efforts to complete the arbitration within sixty (60) calendar days after the appointment of the arbitrator or arbitrators under
Section 17.5.1. In rendering its or their decision the arbitrator or arbitrators shall apply the substantive law of the State of New York, without regard to its conflict of laws provisions, except that the interpretation of an
enforcement of this Section 17.5 shall be governed by the U.S. Federal Arbitration Act. Proceedings shall be conducted in New York and the fees of the arbitrator or arbitrators shall be shared equally by the parties. Nothing herein shall
prevent either party from seeking injunctive or other interim relief from a court of competent jurisdiction in order to protect such party’s intellectual property rights and/or Confidential Information. 

17.6 Waiver. The failure of either party to enforce at any time any of the provisions of this Agreement, or the failure to require at
any time performance by the other party of any of the provisions of this Agreement, shall in no way be construed to be a present or future waiver of such provisions, nor in any way affect the right of either party to enforce each and every such
provision thereafter. The express waiver by either party of any provision, condition or requirement of this Agreement shall not constitute a waiver of any future obligation to comply with such provision, condition or requirement. 

17.7 Severability. If any term, condition, or provision of this Agreement, or portion thereof, is found to be invalid, unlawful or
unenforceable to any extent, the parties shall endeavor in good faith to agree to such amendments that will preserve, as far as possible, the intentions expressed in this Agreement. Such invalid term, condition or provision will be severed from the
remaining terms, conditions and provisions, which will continue to be valid and enforceable to the fullest extent permitted by law. 
 17.8
Disaster Recovery. NSGT will maintain at all times a Disaster Recovery Plan, a copy of which has been provided to Xtera, and NGST shall inform Xtera within a reasonable period of time of any modifications thereto. 

17.9 Entire Agreement. This Agreement, and the exhibits hereto, represent and constitute the entire agreement between the parties and
supersede all prior agreements between the parties, whether written or oral. This Agreement may only be amended in writing signed by representatives of both parties. 

  
 15 

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

							
	NSG Technology Inc.	    	Xtera Communications, Inc.
				
	By:	 	 /s/ Ted Dubbs
	    	By:	  	 /s/ Paul J. Colan

		
	Name: Ted Dubbs	    	Name: Paul Colan
		
	Title: VP of Business Development	    	Title: Sr. VP & CFO
		
	Date Signed: 2-6-13	    	Date Signed: 3/19/2013

  
 16 

 EXHIBIT A 

XTERA PROVIDED EQUIPMENT 

2/13/2006  
 EQUIPMENT AT FOXCONN 

 

			
	Insertion Loss Test Station	  	Two racks
	TSC/XP/Fan Test Station	  	Two Racks with Server
	Server	  	Two Racks with TSC/XP/Fan Test Station
	APM/OAC Test Station	  	X
	Spare Backplane	  	
	Printer	  	HP 8100
	Thermal Chamber	  	
	48V Rectifier	  	
	Network Hub	  	Rack with all RJ45 cables
	Overhead infrastructure	  	Cable Management
	PC and Monitor	  	DEV PRG-2

 Text marked [****] has been omitted and filed separately with the Securities and Exchange Commission.
Confidential treatment has been requested for the omitted information. 
  

EXHIBIT B 

DETAIL COSTED MODEL 

Detail Cost Model 
 Rev D 

[****] 
  

							
	 [****] 
	  	 	[****]	  	  	
	 [****] 
	  	 	[****]	  	  	Payment Terms: [****]
	 [****] 
	  	 	[****]	  	  	
	 [****] 
	  	 	[****]	  	  	
	 [****] 
	  	 	[****]	  	  	

 Division of Tasks 
  

					
	 Site
	  	 MODULE
	  	 
	 FC
	  	LA	  	 Notes:
  

1. All PCBs, PCBAs and Electrical/Mechanical/Optical Assemblies for a given Module will be procured, assembled and tested at the respective site

 
 2. [****]
  

3. [****]
  

4. Compliance and Reliability Testing to be performed or coordinated by Foxconn.
  

5. Schedule Base on build schedule that Xtera and Foxconn both agree upon.
  

6. Xtera to issue PO to allow procurement and ramp-up activities to begin immediately
  

7. [****]
  

Additional note:
  

Xtera will need to send a Testing/Debug person to San Jose during first build to assist with learning curve.

[****]
 For fiber Splicing, we will use our enclosed PCBA area but
not a clean room.
 Any custom test equipment required is paid for or consigned by Xtera

Suggest 3rd party for compliance and reliability testing paid for by Xtera

Logistics cost (inbound/outbound) is covered by Xtera.

	 FC
	  	SBA	  
	 FC
	  	BA	  
	 FC
	  	MDM30	  
	 FC
	  	MDM8	  
	 FC
	  	Fixed XP	  
	 FC
	  	TSC	  
	 FC
	  	XP Shelf	  
	 FC
	  	Fan Module	  
	 FC
	  	DLCPM	  
	 FC
	  	CPLR	  
	 FC
	  	DIL	  
	 FC
	  	Filter	  
	 FC
	  	SBCS	  
	 FC
	  	OADM	  
	 FC
	  	DCU/MSDCU	  
	 FC
	  	OCHM	  
	 FC
	  	APM	  
	 FC
	  	OAC	  
	 FC
	  	PDU	  
	 FC
	  	FSU	  
	 FC
	  	FP	  
	 FC
	  	Rack	  
	 FC
	  	Filler Card	  
	 FC
	  	Meriton Products	  
	 FC
	  	Azea Products	  

 EXHIBIT C 

NPI SLA — SERVICE LEVEL AGREEMENT 

Rev. 06 
 NSGT 

 

					
	 Owner
	  	 Activity
	  	 Service Level Agreement

	  	  	 Date 02-10-09

			
	Supply Chain Management	  	Material Procurement	  	NSGT will pipeline the material based on the P/O from Xtera. Xtera will be 100% liable for the cost of all materials purchased by NSGT according to Xtera’s P/O. If the PPV above $200.00 per line items, NSGT buyer will ask for
Authorization from Xtera before procuring. NSG is expecting to turn around the quote in 7 – 14 working days.
			
		  	Lead time assessment	  	Will start upon completion of order placement, and no more than 5 days after receipt of BOM, AVL, and customer order. Build date can vary based on material availability and will be reported.
			
		  	Consigned materials	  	CM to receive a list of parts to be consigned to CM upon receipt of BOM and build request.
			
		  	BOM Costing	  	Will be done based on actual purchase price. MOQ will apply & will be reported.
			
		  	Initial BOM review for risk rating & component leadtime analysis and AVL discrepancy clean up	  	5 days after request from buyer (pending 90% completion of initial BOM).
			
		  	Initial coverage report	  	5 days after receipt of initial BOM. Report will be a consolidated materials report that includes all parts on the BOM, including CM, distributor, and Xtera supplied parts. Report will list BOM revision level.
			
		  	Follow-on coverage report	  	3 days after receipt of CUP/RCN/Deviation and weekly thereafter. Report should list BOM revision level and include CUPs that have been released. Report will be a consolidated materials report that includes all parts on the BOM,
including CM, distributor, and Xtera supplied parts.
			
		  	Shortage Report	  	Weekly, after receipt of initial BOM. Includes listing of all parts, inclusive of CM, Distributor, and Xtera supplied parts.

 Text marked [****] has been omitted and filed separately with the Securities and Exchange Commission.
Confidential treatment has been requested for the omitted information. 
  

					
	 Owner
	  	 Activity
	  	 Service Level Agreement

	  	  	 Date 02-10-09

			
		  	Kit Pull & Kit Audit	  	Kit pull 5 days prior to build date, or at Fab out date, whichever is closest to build date. Kit ready for audit 3 days prior to build date. Provide (weekly) Kitting report on NPI builds only.
			
		  	E&O reporting	  	Monthly.
			
		  	Disposition of Excess material	  	All excess material will be reported monthly, or as need. Disposition (scrap / hold/buy back) based on customer request. Xtera will issue a P/O to NSGT for the [****] business days after receiving the excess inventory report from
NSGT. Also Xtera may elect to keep in consigned inventory at NSGT for next build.
			
		  	Disposition of Obsolete material	  	All obsolete materials will be reported monthly, or as need. Dispositive (scrap / hold/buy back) based on customer request. Xtera will issue a P/O to NSGT for the [****] business days after receiving the obsolete inventory report
from NSGT. Xtera should be able to verbally direct a deviation but must follow up within 24 hours. ECO MCO Approval and response time
			
		  	Proto material buy down reporting	  	Published within 15 days after PILOT start date. Report is a listing of all material that requires material buy-down (e.g. PPV adjustment resulting from proto price vs. production pricing).
			
		  	Risk buy of unreleased / long lead material	  	Xtera to inform CM on any specific purchases to be made to secure materials for production.
			
		  	Facility Access	  	Xtera personnel will have free and unrestricted access to manufacturing areas related to Xtera product inside NSG facility as well as the [****] area.
			
	NPIE	  	When are deviations needed	  	Any deviations from original doc. pkg should be issued via a written deviation prior to Build Start (at least one day before the build start). Any verbal or email instructions that are made w/ the supplier for urgent changes need
to be documented via written deviation within 24 hours after informal notification/agreement was given.
			
		  	Response time to schedule changes	  	Immediate response (e.g. no later than 24 hours after notification from Xtera of change) confirming if change can be supported, or if there is a potential issue and thus further discussion is
required.

					
	 Owner
	  	 Activity
	  	 Service Level Agreement

	  	  	 Date 02-10-09

			
		  	Update H/W/C list	  	3 days after build completion. Note, H/W/C list is also known as the Post Proto Build “DFM report.” Thus, the DFM report should be updated after every build. Each DFM recommendation should be forwarded as they are found
and then to be included in the final DFM report at build completion.
			
		  	DFM review	  	3 days after receipt of CAD data. DFM report to identify and quantify ($$) areas terms for cost avoidance
			
		  	Verification of documentation package completeness	  	1 day after receipt of doc package. CM to verify that package meets the criteria of (complete documentation package)
			
	Quality Engineer	  	Yield reporting	  	3 days after build, yield reports will be ready for flying probe, ICT, 5DX, and/or Burn In (whichever tests were performed for that build) along w/pareto breakdown detailing the issues. NSGT should be able to provide reports on
build progress; yield; repair debug; SCAR (SD) and kitting, etc.
			
	Test Engineering	  	DFT review	  	3 days after received of Schematics and CAD (*.brd, *.cad, *.faz.....) files
			
		  	ICT program and fixture development	  	10 working days for the board less than 500 nets, 15 working days for the board less than 1,500 nets, 28 working days for the board less than 3,000, 25 days for the board less than 4,500 nets and 30+ working days for the board
with more than 5,000 nets after received of Schematics, BOM, CAD (*.brd, *.cad, *.faz.....). Gerber files, one loaded board for fixture build, one known good board for program debug.
			
		  	Flying probe test development	  	 1) Require test fixture
 3) Development time
and Fine tune time are based on total test step.
 0 – 1000 test step ––––– Development time – 3 hrs.
Fine tune time – 6 hrs.
 3001 – 7500 test step ––– Development time – 5 hrs. Fine tune time – 10
hrs.
 7500 – more test step ––– Development time – 8 hrs. Fine tune time – 18
hrs.

					
	 Owner
	  	 Activity
	  	 Service Level Agreement

	  	  	 Date 02-10-09

			
		  	5DX test development	  	 1) Require test fixture
 2) Board specifications
list below:
 # Panel Thickness: 16 mils (0.4 mm) (25 to 125 mils (3.2mm)

# Board edge clearance: 118 mils (3mm)
 # Maximum panel weight
(including carrier): ___ lbs (4.5Kg)
 # Maximum board size: 18.0 x 24.0 in. (457 x 609 mm)

# Minimum board size (w/o carrier): 4.0 x 5.0 in. (102 x 127 mm)

3) Development time and Fine tune time are based on total components and pin count.

0 – 1000 pins ––––– Development time – 3 hrs. Fine tune time – 6 hrs.

3001 – 7500 pins ––– Development time – 5 hrs. Fine tune time – 8 hrs.

7500 – more pins ––– Development time – __ hrs. Fine tune time – 12 hrs.

			
		  	Debug failed units	  	1) Debug (BFT) fixture; 2) Diagnostic software and specification; 3) Hardware specification with functional block diagram; 4) Updated schematic; 5) CPLD and all programming parts support; 6) Scrap after Debug 3 times (3 strikes) -
to be Paid by Xtera. Xtera must agree in writing before any unit is scrapped.
			
		  	Functional, ESS, System, Burn In, QRT Test	  	Required Test Spec. Test program. Test equipment and Daig. Code for the products.
			
		  	Data Access	  	Unrestricted access to build data and test data on Xtera products (eFOX)
			
	Program Manager	  	Confirm the Project start/ship dates	  	4 days after receipt of Final doc package
			
		  	Final Project Quotes to Xtera	  	5 days before assembly start
			
		  	Prototype P1, P2, P3 ship date	  	First-off’s in 5-days after build start
			
		  	Rework leadtime and shipment	  	To be determined on case by case basis dependent upon the magnitude of rework. Rework to start no later than 24 hours from receipt of rework instructions and material.

 Text marked [****] has been omitted and filed separately with the Securities and Exchange Commission.
Confidential treatment has been requested for the omitted information. 
  

					
	 Owner
	  	 Activity
	  	 Service Level Agreement

	  	  	 Date 02-10-09

			
		  	Feedback to Xtera	  	 measurement of Xtera’s performance to its’ deliverables:

- quality/timeliness of build plan delivery
 - communication of
build changes
 - timeliness of documentation package transfer

- completeness of documentation pkg
 - quality of the
documentation pkg
 - on time delivery of Xtera controlled and supplied material

- engineering changes during prototype builds
 - availability of
preliminary data for DFM, DFT & BOM reviews
 - Response to DFM, DFT & B OM risk analysis

- Implementation of DFM issues
 - Delivery of Xtera supplied test
equipment

			
		  	Build Planning	  	All aspects of planning need to be covered and approved by XCI before (4 weeks) the commencement of build. This includes (but not limited to): Capacity Plan, Manpower Plan, Equipment Plan, Training Plan, Facilities Plan &
Documentation Transfer. Foxconn will execute as per the mutually agreed plan unless otherwise authorized by XCI.
			
	Xtera Systems	  		  	
			
	Buyer/Planner	  	List of Xtera AVL parts	  	To be submitted with initial BOM.
			
		  	Production Forecast or P/O	  	Xtera to provide [****] build visibility and quarterly review update meeting between Xtera & Foxconn
			
		  	830 EDI Feeds (if any)	  	N/A
			
		  	Xtera supplied parts receipt	  	3 days prior to build start
			
		  	Fab receipt	  	*Gerber files available two days prior to build start * Fab available one day prior to the build

 Text marked [****] has been omitted and filed separately with the Securities and Exchange Commission.
Confidential treatment has been requested for the omitted information. 
  

					
	 Owner
	  	 Activity
	  	 Service Level Agreement

	  	  	 Date 02-10-09

			
		  	Prototype PO	  	Initial P/O with est. cost when CM starts to procure material for the upcoming builds. Finalized PO will be issued 2 days after receipt of final proto pricing or at least 1 day before the build start. Payment term: [****].
			
		  	Disposition parts on E&O report	  	Buyer to issue P/O to disposition material within [****] of receipt of E&O report from CM/Distd. Xtera will be 100% liable for all raw material (based on Xtera BOMs) procured to support Xtera’s projects.
			
		  	Proto buy down PO	  	Within [****] of receipt of excess materials report (based on Xtera BOM) from CM
			
	Buyer/Planner, SBE, NPIE	  	Provide profile boards	  	Ensure proto build plan supports requirement for 2 profile boards to CM, if profiling is required. Profile boards are paid for by Xtera and kept by the CM (we can’t use Solder board to do that)
	  	  
 Written Response to BOM reviews & AVL expansion
	  	  
 24 – 48 hours after receipt

			
	NPIE	  	Preliminary BOM transfer	  	 As soon as available. 8 weeks prior to build start.
  

	  	Preliminary CAD data transfer	  	 As soon as available. 5 Weeks prior to pre-production build start so that CM’s NPIE can provide the initial DFM report.

 

	  	Preliminary schematic transfer	  	 As soon as available. 5 weeks prior to pre-production build start so that CM’s NPIE can provide the initial DFM report

 

	  	Transmit full doc pkg	  	 Prefer 7 days prior to build start. At least 3 days before build start.

 

	  	Issue deviation, when required	  	 All BOM or build changes must be addressed via a written deviation. Deviation to be issued at least one day before the Build Start
documenting deviations from original doc pkg. (Xtera will process all changes via an ECO in Agile. If the change is after the BOM is “frozen”, Xtera will provide instructions in the ECO to implement change as a deviation.)

 

			
		  	Written response to H/W/C list	  	N/A
			
	SBE	  	Document quality feedback for built products	  	Supply written quality feedback to CM on each proto build within 7 days after receipt of products
			
	Test Engineer	  	Test plan	  	One week before the build start. Prefer one month prior to the build start.

					
	 Owner
	  	 Activity
	  	 Service Level Agreement

	  	  	 Date 02-10-09

			
	Program Manager	  	Prototype build plan	  	Minimum of 12 weeks prior to build start. Finalize the exact build date and QTY 4 weeks before build start.
			
	Program Manager	  	Feedback to NSG	  	 measurement of NSG’s performance to its’ deliverables:
  

- quality/timeliness of Proto delivery
  

- engineering support during prototype builds
  

- Material readiness for the Proto build
  

- DFM, DFT & BOM risk analysis

			
	AGREED:	  		  	
		
	 Xtera Communication Inc.

500 W. Bethany Drive, Suite 100
 Allen, Texas
75013
	  	 NSG Technology Inc.
 1705 Junction
Ct. Suite 200
 San Jose, CA 95112

			
	Signed:	  		  	Signed:
			
	Date:	  		  	Date:
			
	Name:	  		  	Name:
			
	Title:	  		  	Title:EX-10.12

 Text marked [****] has been omitted and filed separately with the Securities and Exchange Commission.
Confidential treatment has been requested for the omitted information. 
  

Exhibit 10.12 
 LICENSE
AGREEMENT 
 MICHIGAN FILES INCLUDING 1581, 1582, 1583, 1602, 1616,1617, 1868, 1869, 1870 

This License Agreement (the “Agreement”) is effective as of the 1st day of October, 2002 (the
“Effective Date”), between Xtera Communications, Inc. (“Xtera”), a corporation incorporated in the State of Delaware, with offices located at 500 W. Bethany Drive, Allen, TX 75013, and the Regents of the University of Michigan
(“Michigan”), a constitutional corporation of the State of Michigan. 
 WHEREAS, Michigan entered into a license agreement with Bandwidth
Solutions, Inc., as of April 1, 1999 (“1999 Agreement”); 
 WHEREAS, Bandwidth Solutions, Inc. has changed its name to Xtera Communications,
Inc.; 
 WHEREAS, Michigan and Xtera agree that Xtera has complied with all payment and reporting obligations of the 1999 Agreement; 

WHEREAS, Michigan and Xtera wish to terminate the 1999 Agreement and enter into a new license agreement; 

Xtera and Michigan agree as follows: 
 The 1999 Agreement is
hereby terminated. Except as may be provided herein to the contrary, all rights and obligations of the Parties under the 1999 Agreement shall cease, and the terms, provisions, representations, rights, and obligations contained in this Agreement
replace the terms, provisions, representations, rights, and obligations that survive termination of the 1999 Agreement. 
 Xtera and Michigan further agree
as follows: 
 ARTICLE 1 - DEFINITIONS 

The following terms shall have the following meanings: 
 1.1
“Affiliate(s)” means any individual, corporation, partnership, proprietorship or other entity controlled by, controlling, or under common control with Xtera through equity ownership, ability to elect directors, or by virtue of a majority
of overlapping directors, and shall include any individual, corporation, partnership, proprietorship or other entity directly or indirectly owning, owned by or under common ownership with Xtera to the extent of ten percent (10%) or more of the
voting shares, including shares owned beneficially by such party. 
 1.2 “Field of Use” means the telecommunications, data communications,
computer and data processing industries. 
 1.3 “First Commercial Sale” means the first sale of any Licensed Product or first commercial use of
any Licensed Process by Xtera, an Affiliate, a Spinout, or a Sublicensee, other than sale of a Licensed Product or use of a Licensed Process for use in trials, such as field trials or clinical trials, being conducted to obtain governmental approvals
to market Licensed Products or otherwise commercially use Licensed Processes. 

 1.4 “Licensed Product(s)” means any product or portion of a product which: 

 

	 	(a)	is covered by a valid, issued, unexpired claim contained in the Patent Rights in the country in which any such product or product part is made, used, imported, offered for sale, or sold; or 

 

	 	(b)	is manufactured by using a Licensed Process or; 

  

	 	(c)	is an article that is employed to practice a Licensed Process and has no other substantial commercial use other than use in the Licensed Process. 

1.5 “Licensed Process(es)” means any process or method that is covered by a valid, issued, unexpired claim contained in the Patent Rights. 

1.6 “Net Sublicense Revenue” means sublicense revenue received by Xtera (or an Affiliate that has been expressly granted the right to grant
sublicenses) from Sublicensees in consideration of the grant of any sublicense under Article 2.1 of this Agreement, less Third Party transactional and legal costs paid to Third Parties associated with establishing and maintaining sublicense
agreements. 
 Except in non-cash generating cross licenses, and except for damages or settlements received as a result of a suit for enforcement of the
Patent Rights, where Xtera is to receive any tangible item of value other than cash payments in consideration for a sublicense to a Third Party under this Agreement (including Xtera receiving an equity interest in a Third Party as the result of a
sublicense or an assignment of Xtera’s rights under this Agreement to a Third Party), the Parties (Xtera and Michigan) hereto shall negotiate in good faith as to the consideration that will be due to Michigan under Article 3.2, keeping in mind
Articles 1.5, 3.2, 3.3, 3.9 and 6.3. 
 Net Sublicense Revenue does not include any revenue or other consideration received by Xtera, Affiliates, or a
Spinout received as a result of Xtera, Affiliates, or a Spinout selling or otherwise disposing of Licensed Products or practicing Licensed Processes. Net Sublicense Revenues shall not include any consideration received by Xtera or an Affiliate
related to or as a result of entering into a sublicensing agreement with a Third Party, to the extent that such consideration is attributable to or consists of: 
  

	 	(i)	the purchase by such Third Party of an equity or other ownership interest in Xtera or any Affiliates of Xtera; 

  

	 	(ii)	the payment or reimbursement by such Third Party for sponsored research or development actually conducted by or on behalf of Xtera or any Affiliate; or 

 

	 	(iii)	reimbursement by such Third Party of patenting or other out-of-pocket expenses actually incurred by Xtera or an Affiliate of Xtera. 

  
 2 

 Where a transaction involves both consideration to Xtera for the grant of a sublicense to a Third Party under
Article 2.1 of this Agreement and consideration to Xtera for any other reason, Xtera will document that portion of the overall consideration can be reasonably attributed to the grant of such sublicense, and that portion (other than those items
explicitly deducted under this Article 1.6) will be considered Net Sublicense Revenue. 
 For example: 

 

	 	(1)	Assume that Xtera completes a mixed transaction in which both Xtera stock would be issued to a Third Party (3P) and a fully paid up license to one of the subject inventions would be granted to 3P.

  

	 	(2)	Assume that the combined consideration received by Licensee from 3P for the stock and license is $10,000,000.00 cash. 

  

	 	(3)	Assume that after a fair and reasonable assessment, Xtera determines that $4,000,000.00 of the combined consideration should be allocated to the stock transfer and $6,000,000.00 of the combined consideration should be
allocated to the license. 

  

	 	(4)	Xtera would then report to Michigan receipt of Net Sublicense Revenue of $6,000,000.00 (assuming none of the deductions identified in this Article 1.6 applies). 

1.7 “Patent Rights” means Michigan’s legal rights under the patent laws of the United States or relevant foreign countries that Michigan has or
that Michigan may acquire for any and all of the following: 
  

	 	(a)	the United States and foreign patents and/or patent applications listed in Appendix A attached hereto; 

  

	 	(b)	United States and foreign patents issued from the applications listed in Appendix A and from divisionals and continuations (but not continuations-in-part unless explicitly listed in Appendix A, or subject to Article
14.4 of this Agreement) of these applications; 

  

	 	(c)	claims in all foreign patent applications, and of the resulting patents, which are directed to subject matter specifically and completely described in the United States patents and/or patent applications described in
(a) or (b) above; 

  

	 	(d)	claims in all patent applications, and of the resulting patents, which are directed to subject matter specifically and completely described as of the Effective Date in the Michigan Office of Technology Transfer files
listed in Appendix A; 

  

	 	(e)	any United States or foreign patents or patent applications claiming inventions covered by Article 14.4 of this License Agreement; and 

  
 3 

	 	(f)	any reissued or reexamined patents based upon the United States patents described in (a), (b), (d), or (e) above. 

1.8 “Royalty Period(s)” means the six-month periods ending on the last days of June and December. 

1.9 “Sublicensee(s)” means any person or entity, except an Affiliate or a Spinout, sublicensed by Xtera under this Agreement. 

1.10 “Territory” means anywhere and everywhere, without limit. 

1.11 “Spinout” means an entity formed at least in part by Xtera to commercialize only a portion of the Patent Rights and transferred from Xtera to a
Third Party in a transaction in which a majority of the assets of Xtera and Affiliates controlled by Xtera are not also transferred to the Third Party. 

1.12 “Third Party” means any party other than Michigan, Xtera, an Affiliate, or a Spinout. 

ARTICLE 2 - GRANT OF LICENSE 
 2.1
Effective as of the Effective Date and continuing as Michigan may acquire any additional rights to the Patent Rights, Michigan hereby grants to Xtera an exclusive license with the exclusive right to grant sublicenses to Affiliates, Spinouts and
Sublicensees, both subject to the terms and conditions of this Agreement, in the Field of Use and the Territory to make, have made, import, use, market, offer for sale and sell Licensed Products and to practice Licensed Processes, and to use,
market, offer for sale and sell products and services implementing Licensed Processes. Xtera may, if done explicitly in writing, grant Affiliates the right to grant further sublicenses to the Patent Rights. Michigan also grants Xtera the exclusive
right to bring suit in its own name to enforce the Patent Rights against infringers in the Field of Use and to collect damages for all past infringement of the Patent Rights in the Field of Use. Michigan agrees to join as a nominal party any suit
initiated by Xtera to enforce the Patent rights if Xtera so requests, but only if Xtera reimburses Michigan for out-of-pocket expenses incurred in connection with any such assistance rendered at Xtera’s request (but not including any salaries
of Michigan’s employees). Additional rights and obligations of Xtera and Michigan with respect to enforcement of the Patent Rights through infringement suit are set out in Article 8 below. 

2.2 Xtera shall have the opportunity to review and comment for a period of thirty (30) days prior to Michigan executing a license to the Patent Rights
outside of the Field of Use. Michigan agrees to take Xtera’s comments under advisement but Michigan shall have the sole authority to enter into such license agreements. 

2.3 Michigan reserves the right to license and practice the Patent Rights for any purpose outside the Field of Use or the Territory, and the right to practice
the Patent Rights only for internal research and education purposes within the Field of Use and the Territory. 
 2.4 This Agreement shall extend until
expiration of the last to expire of the patents identified in the definition of “Patent Rights,” in Article 1.7 herein (including patents covered by Article 14.4) unless sooner terminated as provided in another specific article of this
Agreement. Xtera’s 

  
 4 

 Text marked [****] has been omitted and filed separately with the Securities and Exchange Commission.
Confidential treatment has been requested for the omitted information. 
  
 rights
in all of the Patent Rights shall survive any transfer of ownership of any of the Patent Rights and any successor in interest of any of the Patent Rights shall be bound to honor the rights granted to Xtera and its Affiliates in the Patent Rights
under this Agreement. 
 2.5 Xtera agrees that Licensed Products used, leased or sold in the United States shall be manufactured substantially in the United
States to the extent required by law and as consistent with Xtera’s reasonable business judgment. 
 2.6 Michigan further reserves the right to grant
to the U.S. Government a nonexclusive, irrevocable, royalty-free license or licenses, without the right to sublicense, to all patent, applications and resulting patents included in the Patent Rights, but only to the extent that such grant of
license(s) is or may be required by research funding agreements between Michigan and the U.S. Government relating to the Patent Rights. 

ARTICLE 3 - CONSIDERATION 
 3.1 Within
thirty days after execution of this Agreement, Xtera shall transfer to Michigan 125,000 shares of the common stock of Xtera in addition to those shares previously transferred to Michigan. Xtera shall make such transfer pursuant to, and subject to
the terms of, the Stock Transfer Agreement attached hereto as Appendix B (the “Stock Transfer Agreement”). 
 3.2 After Xtera has received
a cumulative amount of [****] in Net Sublicense Revenue, (A) Xtera shall transfer to Michigan [****] of any further Net Sublicense Revenue from sublicense agreements that grant rights in patents in which Michigan has an ownership interest
together with rights in one or more patents in which Xtera or an Affiliate has an ownership interest; and (B) Xtera shall transfer to Michigan [****] of any further Net Sublicense Revenue from sublicense agreements that grant rights to
patents in which Michigan has an ownership interest and not to any patents in which Xtera or an Affiliate has an ownership interest. 
 3.3 If Xtera takes
part in the formation of a legal entity to commercialize only a portion of the Patent Rights and Xtera transfers its interest in that entity to a Third Party without also transferring to the Third Party a majority of the assets of Xtera and
Affiliates controlled by Xtera (thereby forming a Spinout), Xtera shall transfer to Michigan by the latter of a) sixty (60) days after a sublicense to the Patent Rights or assignment of this Agreement becomes effective between Xtera and the
Spinout, and b) the Spinout is first capitalized by a Third Party investor, a [****] equity interest in such Spinout, such percentage to be calculated immediately after the time a sublicense becomes effective between Xtera and the Spinout. The
equity received by Michigan in the Spinout shall be of the same type (e.g., class of stock) received by Xtera upon formation of the legal entity that becomes the Spinout. If the Spinout is a corporation, then the Parties agree that Xtera shall make
such transfer of equity pursuant to, and subject to the terms of, an agreement substantially in the form of the Stock Transfer Agreement. If the Spinout is of another legal form, then the Parties shall negotiate in good faith as to the terms of the
transfer of equity. 
 3.4 Unless deduction is required under any law or regulation of any government entity or authority, all royalty payments to Michigan
under this Agreement shall be without deduction for 

  
 5 

 
taxes, duties, levies, and other charges imposed on Xtera by any government taxing authority with respect to the royalties payable to Michigan under this agreement. Should Xtera be required under
any law or regulation of any government entity or authority, domestic or foreign, to withhold or deduct any portion of the payments on royalties due to Michigan, then the sum payable to Michigan shall be increased by the amount necessary to yield to
Michigan an amount equal to the sum it would have received had no withholdings or deductions been made. Michigan shall cooperate reasonably with Xtera in the event Xtera elects to assert, at its own expense, Michigan’s exemption from any such
tax or deduction. 
 3.5 Michigan and Xtera agree that Xtera is not obligated to pay multiple royalties if any Licensed Product or Licensed Process sold by
a Sublicensee is covered by more than one claim of Patent Rights. 
 3.6 Royalty payments shall be paid by check to the “Regents of the University of
Michigan” in United States dollars in Ann Arbor, Michigan, sent by regular mail to the address provided in Article 13 or at such other place as Michigan may reasonably designate consistent with the laws and regulations controlling in any
country. 
 3.7 In computing royalties, Xtera shall convert any Net Sublicense Revenue it receives in foreign currency into its equivalent in United States
dollars at the exchange rate Xtera ordinarily employs in making reports to relevant regulatory and taxing authorities, consistent with fair business practices and generally accepted accounting principles. 

3.8 Royalty payments shall be made on a semi-annual basis with submission of the reports required by Article 4. All amounts due under this Agreement, shall,
if overdue, bear interest until payment at a per annum rate two percent (2%) above the prime rate in effect at the JP Morgan Chase Bank or its successor on the due date, or at the highest allowed rate if a lower rate is required by law. The
payment of such interest shall not foreclose Michigan from exercising any other rights it may have resulting from any late payment. 
 3.9 Michigan agrees
that Xtera shall have no obligation to share Net Sublicense Revenue with Michigan under Article 3.2 for sublicenses granted by Xtera in non-cash-generating cross-license agreements as addressed in Article 6.3 herein. 

ARTICLE 4 - REPORTS 
 4.1 Michigan shall
receive annual reports commensurate with its shareholder status. 
 4.2 After the first receipt of Net Sublicense Revenue, Xtera shall provide semi-annual
reports to Michigan. Within thirty (30) days after each Royalty Period closes (including the close of the Royalty Period immediately following any termination of this Agreement), Xtera shall report to Michigan for that Royalty Period: 

 

	 	(a)	total number of Licensed Products manufactured and sold by each Sublicensee; 

  

	 	(b)	total billings for Licensed Products sold by each Sublicensee; 

  

	 	(c)	names and addresses of all Sublicensees; and 

  
 6 

	 	(d)	for each sublicense or amendment thereto completed in the prior six-month period, the date of each agreement and amendment, the territory of the sublicense, the Field of Use of the sublicense, and the nature, timing and
amounts of all fees and royalties to be paid thereunder. 

 Xtera shall specify the amount of all payments due Michigan, and
provide examples of the various calculations used to arrive at those amounts, including the quantity, description (nomenclature and type designation as described in Article 4.3 below), country of manufacture and country of sale of Licensed Products.
If no payment is due, Xtera shall so report. Xtera shall direct an authorized representative to certify that reports required hereunder are correct to the best of Xtera’s knowledge and information. Failure to provide reports substantially as
required under this Article shall be a material breach of this Agreement. 
 4.3 Xtera shall keep, and shall require Sublicensees to keep, true and accurate
records containing data reasonably required for the computation and verification of payments due under this Agreement. Xtera shall, and it shall require all Sublicensees to, not more than twice per calendar year: 

 

	 	(1)	open such records for inspection upon reasonable notice during business hours by either Michigan auditor(s) or an independent certified accountant selected by Michigan, for the purpose of verifying the amount of
payments due; and 

  

	 	(2)	retain such records for six (6) years from date of origination. 

 The terms of this Article shall survive
any termination of this Agreement. Michigan is responsible for all expenses of such inspection, except that if any inspection reveals an underpayment by Xtera greater than ten percent (10%) of royalties due Michigan, then Xtera shall pay all
expenses of that inspection and the amount of the underpayment and interest to Michigan within twenty (20) days of written notice thereof. 
 4.4
Michigan and Xtera agree that for sublicense agreements granted by Xtera in non-cash- generating cross-license agreements as addressed in Article 6.3 herein, Xtera does not have to collect or report to Michigan the information required under this
Article 4, except that Xtera shall report the names and addresses of all Sublicensees, as required under 4.2(e), and the information required under 4.2(f), and a general statement as to the circumstances of the sublicense agreement, including the
objectives for the license. 
 ARTICLE 5 - DILIGENCE 

5.1 Xtera agrees to do all that is reasonably necessary to obtain and retain any governmental approvals to support its manufacture and/or sale of any Licensed
Products and/or use of any Licensed Processes for all relevant activities of Xtera and to specify in its sublicense agreements with Sublicensees that the Sublicensees do the same. 

5.2 Xtera shall use commercially reasonable efforts to bring one or more Licensed Products to market or one or more Licensed Processes to commercial use
through a thorough, vigorous and diligent program for exploiting the Patent Rights and to continue active, diligent marketing efforts for one or more Licensed Products or Licensed Processes throughout the life of this

  
 7 

 
Agreement. Nothing in this Agreement shall be interpreted as preventing Xtera from actively and diligently marketing one or more products or processes not covered by the Patent Rights during the
course of this Agreement. 
 5.3 Xtera agrees to the following diligence milestone: 

First Commercial Sale of one or more Licensed Products and/or one or more Licensed Processes within five (5) years of execution of this
License Agreement. 
 ARTICLE 6 - SUBLICENSING 

6.1 Michigan shall have the opportunity to review and comment for thirty (30) days prior to execution by Xtera of any sublicense or cross license to a
Third Party in the Field of Use. Xtera shall take Michigan’s comments under advisement but shall have the sole authority to enter into such sublicense and cross license agreements. 

6.2 Xtera shall notify Michigan in writing of every Third Party sublicense agreement and each amendment thereto within thirty (30) days after their
execution. For each Third Party sublicense agreement, Xtera will indicate the name of the Sublicensee, the territory of the sublicense, the Field of Use of the sublicense, and the nature, timing and amounts of all fees and royalties to be paid
thereunder. 
 6.3 Xtera may enter into non-cash generating cross license agreements that have as an objective providing freedom to operate for Xtera.
Michigan agrees that Xtera shall not be required to determine a cash equivalent value for these agreements. 
 6.4 Each sublicense to the Patent Rights
granted by Xtera under this Agreement shall provide for its termination upon termination of this Agreement. Each sublicense shall terminate upon termination of this Agreement unless Xtera has previously assigned its rights under the sublicense to
Michigan and Michigan has consented to at its sole discretion in writing to such assignment, but only where such consent is required by Article 15.11 of this Agreement. 

6.5 Xtera shall require that all sublicenses 
  

	 	(1)	be no broader than the terms and conditions of this Agreement; 

  

	 	(2)	contain the Sublicensee’s acknowledgment of the disclaimer of warranty and limitation on Michigan’s liability, as provided by Article 9 below; and 

 

	 	(3)	contain provisions under which the Sublicensee accepts duties at least equivalent to those accepted by the Xtera in the following Articles: 

 

	 	4.4	duty to keep records; 

  

	 	9.4	duty to avoid improper representations or responsibilities; 

  

	 	10.1	duty to defend, hold harmless, and indemnify Michigan; 

  
 8 

	 	14.5	duty to properly mark Licensed Products with patent notices; 

  

	 	14.7	duty to restrict the use of Michigan’s name; and 

  

	 	14.8	duty to control exports 

 6.6 Xtera shall, with respect to each sublicense granted, require that Xtera retains
the right to assign to Michigan its rights under the sublicense. Any such assignment is subject to the limitations of Article 15.11 herein and, to be effective, Michigan must first accept at its sole discretion such assignment in writing where such
consent is required by Article 15.11. 
 ARTICLE 7 - PATENT APPLICATIONS AND MAINTENANCE 

7.1 Xtera shall retain and pay patent counsel for the filing, prosecution, and maintenance of the Patent Rights. Xtera shall provide Michigan notice of such
patent counsel or firm and will ensure that the appropriate conflicts check has been completed. 
 7.2 Xtera shall notify Michigan of information received
by Xtera relating to the filing, prosecution, issuance, and maintenance of the patents and patent applications which form the basis of the Patent Rights including providing Michigan copies of Office Actions and Xtera’s filed responses thereto
and information relating to any lapse, revocation, surrender, invalidation or abandonment of any of the patents which form the basis for the Patent Rights, in sufficient time, where practical, for Michigan to review and act upon such information.

 7.3 Xtera shall be responsible for all fees and costs relating to the filing, prosecution, interference proceedings and maintenance of the Patent Rights
except as specifically provided below. 
 7.4 Except as provided under Article 7.2 and 7.5 below, Xtera shall have sole authority and discretion in all
decisions relating to preparing, filing, and prosecuting all patent applications. Michigan agrees to cooperate, at Xtera’s request and expense (except for salaries paid to Michigan employees) in the preparation, filing, prosecution, and
enforcement of any patent applications or patents relating to the Patent Rights. 
 7.5 Xtera may elect not to pursue or maintain a particular foreign
patent application or patent within Patent Rights, subject to the terms of this Article 7.5. If Xtera makes such an election, Xtera shall provide reasonable notice to Michigan in writing of an election under this Article 7.5. Under such
circumstances, Michigan may elect to continue the prosecution and/or maintenance of such foreign application or patent at its sole expense, provided that such foreign patent applications and issued foreign patents, thereafter shall be excluded from
the definition of Patent Rights. 
 7.6 Should Michigan license any of the Patent Rights outside of the Field of Use and receive revenue from such licenses,
Michigan will apply 50% of such revenue towards reimbursing Xtera for its documented out of pocket patent expenses for the countries in the territories licensed to others by Michigan until Michigan has reimbursed Xtera for fifty percent
(50%) of those costs. 

  
 9 

 ARTICLE 8 - ENFORCEMENT 

8.1 Michigan and Xtera agree that Xtera has the exclusive right to enforce the Patent Rights against infringement by other parties within the Territory and
the Field of Use at Xtera’s expense and through counsel of Xtera’s selection. Xtera agrees to notify Michigan in writing at least twenty (20) days before serving a complaint to enforce the Patent Rights. Michigan may, if done in
writing, waive its right to all or a portion of this twenty day notice period. The parties agree that Xtera’s right to enforce the Patent Rights includes defending any action relating to the Patent Rights for declaratory judgment of
noninfringement or invalidity of the Patent Rights initiated as a direct result of actions of Xtera or Affiliates; and prosecuting, defending or settling all infringement and declaratory judgment actions relating to the Patent Rights and initiated
as a direct result of actions of Xtera or Affiliates. Xtera shall make any such settlement only with the advice and consent of Michigan, which consent cannot be unreasonably withheld. Michigan shall provide reasonable assistance to Xtera with
respect to such actions, but only if Xtera reimburses Michigan for out-of-pocket expenses incurred in connection with any such assistance rendered at Xtera’s request (but not including any salaries of Michigan’s employees) and if Xtera
notifies Michigan in writing of its intention to file suit at least twenty days before serving the complaint or Michigan waives its right in writing to the full twenty days notice. Michigan retains the right to participate, with counsel of its own
choosing and at its own expense, in any action under this Article. Xtera shall defend, indemnify and hold harmless Michigan with respect to any counterclaims asserted by an alleged infringer, which are reasonably related to Xtera’s enforcement
of the Patent Rights under this Article 8.1, including but not limited to antitrust counterclaims relating to the Patent Rights. 
 8.2 If Xtera undertakes
to enforce and/or defend the Patent Rights by litigation in the United States, Xtera may withhold up to fifty percent (50%) of the payments otherwise thereafter due during the course of such litigation to Michigan under Article 3 under the
following terms. Xtera may apply the amounts withheld to pay up to half of Xtera’s out-of-pocket litigation expenses, including reasonable attorneys’ fees and costs, and expert witness fees and expenses, but not including salaries of
Xtera’s employees. If Xtera recovers damages in the patent litigation, or receives cash as the result of settling the litigation, the award (damages or cash settlement) shall be applied first to satisfy Xtera’s unreimbursed expenses and
legal fees for the litigation, next to reimburse Michigan for any payments under Article 3 which are past due or were withheld pursuant to this Article 8, and then to reimburse Michigan for any other unreimbursed expenses and legal fees for the
litigation (such payment not to exceed the recovery or settlement amounts Xtera actually receives). Michigan and Xtera agree that the remaining cash balance, if any, of such recovery shall be divided 90% to Xtera and 10% to Michigan. 

If Xtera undertakes to enforce and/or defend the Patent Rights by litigation in a foreign county, and recovers damages, in the patent litigation or a cash
settlement as a result of settling the patent litigation, the award (damages or cash settlement) shall be applied first to satisfy Xtera’s unreimbursed expenses and legal fees for the litigation, and next to reimburse Michigan for any payments
under Article 3 which are past due, and then to reimburse Michigan for any unreimbursed expenses and legal fees for the litigation (such payment not to exceed the recovery or settlement amounts Xtera actually receives). Michigan and Xtera agree that
the remaining cash balance, if any, of such recovery shall be paid 90% to Xtera and 10% to Michigan. 

  
 10 

 ARTICLE 9 - NO WARRANTIES; LIMITATION ON MICHIGAN’S LIABILITY 

9.1 Michigan, including its Regents, fellows, officers, employees and agents, makes no representations or warranties that the Patent Rights are or will be
held valid, or that the manufacture, importation, use, offer for sale, sale or other distribution of any Licensed Products or use of Licensed Processes will not infringe upon any patent or other rights not included in the Patent Rights and not owned
by Michigan. 
 9.2 MICHIGAN, INCLUDING ITS REGENTS, FELLOWS, OFFICERS, EMPLOYEES AND AGENTS, MAKES NO REPRESENTATIONS, EXTENDS NO WARRANTIES OF ANY
KIND, EITHER EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO THE IMPLIED WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE, AND ASSUMES NO RESPONSIBILITIES WHATEVER WITH RESPECT TO DESIGN, DEVELOPMENT, MANUFACTURE, USE, SALE OR
OTHER DISPOSITION BY XTERA, AFFILIATES, OR SUBLICENSEES OF LICENSED PRODUCTS OR LICENSED PROCESSES. 
 9.3
XTERA, ITS AFFILIATES, AND SUBLICENSEES ASSUME THE ENTIRE RISK AS TO PERFORMANCE OF LICENSED PRODUCTS AND LICENSED PROCESSES. In no event shall Michigan, including its Regents, fellows, officers, employees and agents,
be responsible or liable for any direct, indirect, special, incidental, or consequential damages or lost profits or other economic loss or damage with respect to Licensed Products or Licensed Processes, to Xtera, Sublicensees or any other individual
or entity regardless of legal theory. The above limitations on liability apply even though Michigan, its Regents, fellows, officers, employees or agents may have been advised of the possibility of such damage. 

9.4 Xtera shall not, and shall require that its Sublicensees do not, make any statements, representations or warranties whatsoever to any person or entity, or
accept any liabilities or responsibilities whatsoever from any person or entity that are inconsistent with any disclaimer or limitation included in this Article 9. 

ARTICLE 10 - INDEMNITY; INSURANCE 
 10.1
Except to the extent resulting from the gross negligence or intentional misconduct of Michigan including its Regents, fellows, officers, employees and agents, and except for counterclaims arising in a suit initiated by Michigan or claims against
Michigan arising in a suit for declaratory judgment relating to the Patent Rights and initiated as a direct result of the actions of Michigan, Xtera shall defend, indemnify and hold harmless and shall require Sublicensees to defend, indemnify and
hold harmless Michigan, its Regents, fellows, officers, employees and agents, for and against any and all claims, demands, damages, losses, and expenses of any nature (including attorneys’ fees and other litigation expenses) against Michigan,
resulting from, but not limited to, death, personal injury, illness, property damage, economic loss or products liability arising from or in connection with, any of the following: 

 

	 	(1)	Any manufacture, use, sale or other disposition by Xtera, Affiliates, Sublicensees or transferees of Licensed Products or Licensed Processes; 

  
 11 

	 	(2)	The direct or indirect use by any person of Licensed Products made, used, sold or otherwise distributed by Xtera, Affiliates, or Sublicensees; 

 

	 	(3)	The use or practice by Xtera, Affiliates, or Sublicensees of any invention or computer software related to the Patent Rights. 

10.2 Michigan is entitled to participate at its option and expense through counsel of its own selection, and may join in any legal actions related to any such
claims, demands, damages, losses and expenses under Article 10.1 above. 
 ARTICLE 11 - TERM AND TERMINATION 

11.1 Except where Xtera merges into or is acquired by another entity, if Xtera ceases to carry on its business, this Agreement shall terminate upon sixty
(60) days written notice by Michigan. 
 11.2 If Xtera fails to make any royalty payment due to Michigan, Michigan has the right to terminate this
Agreement effective on thirty (30) days’ written notice, unless Xtera makes all such payments within the thirty (30) day period. If Xtera has not made all such payments to Michigan by the time the thirty (30) day period expires,
Michigan may, at its option terminate this Agreement and the licensed rights granted herein by notice in writing to such effect. 
 11.3 Upon any material
breach or default of this Agreement by Xtera other than those occurrences listed in Articles 11.1 and 11.2 (the terms of which shall take precedence over the handling of any other material breach or default under this Article 11.3), Michigan has the
right to terminate this Agreement effective on sixty (60) days’ written notice to Xtera. Such termination shall become automatically effective upon expiration of the sixty (60) day period unless Xtera cures the material breach or
default before the period expires or Michigan withdraws its notice of termination in writing. 
 11.4 Xtera has the right to terminate this Agreement at any
time on ninety (90) days written notice to Michigan if Xtera submits a final report of the type described in Article 4.2. 
 11.5 Upon notice of intent
to terminate by either party (Michigan or Xtera), the other party may elect to immediately terminate this Agreement effective upon written notice. 
 11.6
Upon any termination of this Agreement, and except as provided herein to the contrary, all rights and obligations of the parties hereunder shall cease, except any previously accrued rights and obligations and further shall survive as follows: 

 

	 	(1)	Obligations to pay royalties and other sums accruing hereunder up to the day of such termination; 

  

	 	(2)	Michigan’s rights to inspect books and records as described in Article 4, and Xtera’s obligations to keep such records for the required time; 

 

	 	(3)	Obligations to hold harmless, defend and indemnify Michigan and its Regents, fellows, officers, employees and agents under Article 10; 

  
 12 

	 	(4)	Any cause of action or claim of Xtera or Michigan accrued or to accrue because of any breach or default by the other party hereunder; 

 

	 	(5)	The provisions of Articles 1, 9, 14, and 15; and 

  

	 	(6)	All of Xtera’s rights to the Patent Rights held by Xtera from execution of the 1999 Agreement through its termination by this Agreement shall be unaffected by the termination of the 1999 Agreement.

  

	 	(7)	All other terms, provisions, representations, rights and obligations contained in this Agreement that by their sense and context are intended to survive until performance thereof by either or both parties.

 ARTICLE 12 - REGISTRATION AND RECORDATION 

12.1 If the terms of this Agreement, or any assignment or license under this Agreement are or become such as to require that the Agreement or license or any
part thereof be registered with or reported to a national or supranational agency of any area in which Xtera, its Affiliates or Sublicensees would do business, Xtera will, at its expense, undertake such registration or report. Prompt notice and
appropriate verification of the act of registration or report or any agency ruling resulting from it will be supplied by Xtera to Michigan. 
 12.2 Xtera
shall also carry out, at its expense, any formal recordation of this Agreement or any license herein granted that the law of any country requires as a prerequisite to enforceability of the Agreement or license in the courts of any such country or
for other reasons, and shall promptly furnish to Michigan appropriately verified proof of recordation. 
 ARTICLE 13 - NOTICES 

13.1 Any notice, request, report or payment required or permitted to be given or made under this Agreement by either party is effective when mailed if sent by
certified or registered mail, return receipt requested, to the address set forth below or such other address as such party specifies by written notice given in conformity herewith. Any notice, request, report or payment not so given is not effective
until actually received by the other party. 
  

					
	To Michigan:	 		 	 The University of Michigan
 Office of
Technology Transfer
 Wolverine Tower, Room 2071
 3003 S. State
Street
 Ann Arbor, MI 48109-1280

			
		 		 	Attn: File No. 1581, 1582, 1583, 1602, 1616, 1617,1868, 1869,1870
			
	To Xtera:	 		 	 Xtera Communications
 500 W. Bethany
Drive
 Allen, TX 75013
 Attn: Chris Ryan, CFO

  
 13 

 ARTICLE 14 - OWNERSHIP OF INTELLECTUAL PROPERTY 

14.1 Michigan employees have been and might be engaged as employees or consultants to Xtera during the time of their employment with Michigan. Xtera and
Michigan hereby agree that the rights to any inventions, discoveries or computer software, whether or not patentable, which are conceived by any Michigan employee concurrently employed by or consulting for Xtera in the course of performance of
duties as an employee or consultant to Xtera or Affiliates and during the term of his or her employment with Michigan, but prior to any termination of this License Agreement, shall be governed by the following provisions: 

14.2 Where Michigan employees concurrently employed by or consulting for Xtera or Affiliates, in combination with other employees or consultants of Xtera or
Affiliates who are not concurrently employed by Michigan, constitute the group of inventors/developers, Michigan and Xtera shall be granted joint ownership of such inventions, discoveries and/or computer software, and any resulting patent rights and
copyrights shall be assigned jointly to Michigan and Xtera (or Affiliates). 
 14.3 Where Michigan employees concurrently employed by or consulting for
Xtera or Affiliates constitute part or all of the group of inventors/developers, and no Xtera or Affiliate employees or consultants who are not concurrently employed by Michigan constitute any part of the group of inventors/developers, Michigan
shall be granted sole ownership (as between Michigan and Xtera) of such inventions, discoveries and/or computer software, and any inventors who are Michigan employees shall assign their resulting patent rights and copyrights solely to Michigan. 

14.4 Where not precluded by or otherwise conflicting with Michigan’s then-existing agreements with any third parties, inventions, discoveries and/or
computer software (and patents and patent applications relating to such inventions, discoveries and/or computer software), which are included under Article 14.2 or 14.3 above, and which are also conceived, reduced to practice or developed in the
course of the performance of duties as employee or consultant to Xtera or Affiliates, shall be added to the definition of Patent Rights and therefore be included in and under the terms of this License Agreement. 

14.5 Michigan agrees that Michigan does not claim and does not have ownership of inventions, patents, patent applications (including provisional and
nonprovisional originally filed applications, continuation applications, divisional applications, continuation in part applications, foreign counterpart applications, reissued patents, and reexamined patents), or trade secrets relating to subject
matter that was conceived in whole or in part by Mohammed N. Islam after May 1, 2000, and before September 2, 2002. 
 ARTICLE
15 - MISCELLANEOUS PROVISIONS 
 15.1 This Agreement shall be construed, governed, interpreted and applied according to United States and State of
Michigan law without regard to the choice of law principles, statutes or regulations of this or any jurisdiction, except that questions affecting the construction and effect of any patent shall be determined by the law of the country in which the
patent was granted. 

  
 14 

 15.2 The parties hereby consent to the jurisdiction of the courts in the State of Michigan over any dispute
concerning this Agreement or the relationship between the parties. Should Xtera bring any claim, demand or other action against Michigan, its Regents, fellows, officers, employees or agents, arising out of this Agreement or the relationship between
the parties, Xtera agrees to bring said action only in the Michigan Court of Claims, but only to the extent that such claims, demands, or other actions meet the jurisdictional requirements of the Michigan Court of Claims. 

15.3 Michigan and Xtera agree that this Agreement including Appendices A and B to this Agreement sets forth their entire understanding concerning the subject
matter of this Agreement, and no modification of the Agreement will be effective unless both Michigan and Xtera agree to it in writing. 
 15.4 If a court
of competent jurisdiction finds any term of this Agreement invalid, illegal or unenforceable, that term will be curtailed, limited or deleted, but only to the extent necessary to remove the invalidity, illegality or unenforceability, and without in
any way affecting or impairing the remaining terms. 
 15.5 Xtera agrees to mark the Licensed Products that Xtera sells in the United States with all
applicable United States patent numbers to the extent practicable, and to specify in its Third Party sublicenses that its Sublicensees do the same. All Licensed Products shipped to other countries by Xtera or sold by Xtera in other countries shall
be marked to comply with the patent laws and practices of the countries of manufacture, use and sale. 
 15.6 No waiver by either party of any breach of
this Agreement, no matter how long continuing or how often repeated, is a waiver of any subsequent breach thereof, nor is any delay or omission on the part of either party to exercise or insist on any right, power, or privilege hereunder a waiver of
such right, power or privilege. 
 15.7 Xtera agrees to refrain from using and to require Sublicensees and Affiliates to refrain from using the name of
Michigan in publicity or advertising without the prior written approval of Michigan. Reports in scientific literature and presentations of joint research and development work are not publicity or advertising under this Article 15.7. Notwithstanding
this provision, without prior written approval of Michigan, Xtera, Affiliates, Spinouts and Sublicensees may state publicly that Licensed Products and Processes are based on technology developed at the University of Michigan and/or that the Patent
Rights were licensed from the University of Michigan. 
 15.8 Xtera agrees to comply with all applicable laws and regulations. In particular, Xtera
understands and acknowledges that the transfer of certain commodities and technical data is subject to United States laws and regulations controlling the export of such commodities and technical data, including all Export Administration Regulations
of the United States Department of Commerce. These laws and regulations prohibit or require a license for the export of certain types of technical data to certain specified countries. Xtera agrees to comply with all United

  
 15 

 
States laws and regulations controlling the export of commodities and technical data, to be solely responsible for any violation of such laws and regulations by Xtera or its Sublicensees, and to
defend, indemnify and hold harmless Michigan and its Regents, fellows, officers, employees and agents if any legal action of any nature results from the violation. Xtera agrees to comply with the Health Insurance Portability and Accountability Act,
and to defend and hold harmless Michigan and its Regents, fellows, officers, employees and agents if any legal action of any nature results from any violation thereof. 

15.9 Neither party is an agent of the other in connection with the exercise of any rights hereunder, and neither has any right or authority to assume or
create any obligation or responsibility on behalf of the other. 
 15.10 Neither party hereto shall be found to be in default of any provision of this
Agreement for any failure in performance resulting from acts or events beyond the reasonable control of such party, such as Acts of God, acts of civil or military authority, civil disturbance, war, strikes, fires, power failures, natural
catastrophes or other “force majeure” events. 
 15.11 Michigan and Xtera agree that this Agreement shall not be assignable by either Party (Xtera
or Michigan) without the prior written consent of the other Party; except, however, that Xtera shall have the right to assign this Agreement to any successor entity by merger or acquisition or to any purchaser of substantially all of Xtera’s
business or a portion of Xtera’s business to which this Agreement relates, without consent of Michigan, upon agreement by the assignee in writing to accept all of the terms and conditions of this Agreement. 

IN WITNESS WHEREOF, the parties hereto have executed this Agreement in duplicate originals by their duly authorized officers or representatives. 

 

									
	FOR XTERA	 		 	 FOR THE REGENTS OF THE
 UNIVERSITY
OF MICHIGAN

					
	By	 	 /s/ R. Christopher Ryan
	 		 	By	 	 /s/ Kenneth J. Nisbet

		 		 	(authorized representative)
			
	R. Christopher Ryan	 		 	Typed Name Kenneth J. Nisbet                    
	Chief Financial Officer, Xtera	 		 		 	
	Communications, Inc.	 		 	Title Executive Director, UM Technology Transfer            
					
	Date	 	10-1-02            	 		 	Date	 	10/3/02            

  
 16 

 APPENDIX A TO LICENSE AGREEMENT FOR MICHIGAN FILES 

1581, 1582, 1583, 1602, 1616, 1617, 1868, 1869, AND 1870 
  

													
	 BB#
	  	 Wilson#
	  	 UM File #
	  	 Serial#
	  	 Patent#
	  	 Filing date
	  	 Priority Claim

							
	 0151
	  	723	  	1583	  	60/078,692	  	N/A	  	03/20/98	  	Provisional Case
							
	 0150
	  	722	  		  	60/120,408	  	N/A	  	02/12/99	  	Provisional Case
							
	 0152
	  	724	  		  	09/272,451	  	6,374,006	  	03/19/99	  	N.P. filing of 722 PRO and 723 PRO
							
	 0149

Closed
	  	721	  		  	US99/06231	  	N/A	  	03/22/99	  	PCT of 722 PRO and of 723 PRO
							
	 0139
	  	710	  	1582	  	09/046,900	  	6,101,024	  	03/24/98	  	Original Case - No Priority Claim
							
	 0147
	  	719	  		  	09/558,300	  	6,239,903 B1	  	04/25/00	  	DIV of 710
							
	 0157
	  	730	  		  	09/694,858	  	Pending	  	10/23/00	  	DIV of 719
							
	 0148
	  	720	  	1582d2	  	09/565,776	  	6,239,902 B1	  	05/05/00	  	CON of 710
							
	 0173
	  	749	  		  	09/866,497	  	Pending	  	05/25/01	  	CON of 720
							
	 0207
	  	N/A	  		  	Unknown	  	Pending	  	07/01/02	  	CON of 749
							
	 0153
	  	725	  		  	99/06428	  	N/A	  	03/24/99	  	PCT of 710
							
	 0155
	  	727	  		  	2000538439	  	Pending	  	03/24/99	  	JP of 725
							
	 0156
	  	728	  		  	99915010.5	  	Pending	  	03/24/99	  	EP of 725
							
	 N/A
	  	N/A	  	1602	  	60/089,426	  	N/A	  	6/16/98	  	Provisional
							
	 0159
	  	732	  		  	99/13551	  	N/A	  	06/16/99	  	PCT of PRO 60/089,426
							
	 0160
	  	733	  		  	2,335,289	  	Pending	  	06/16/99	  	CA of 732
							
	 0161
	  	734	  		  	99930301.9	  	Pending	  	06/16/99	  	EP of 732
							
	 0162
	  	735	  		  	2000555336	  	Pending	  	06/16/99	  	JP of 732
							
	 0163
	  	736	  		  	09/719,591	  	Pending	  	06/16/99	  	US of 732
							
	 0138
	  	709	  	1581	  	09/110,696	  	6,052,393	  	07/07/98	  	 CIP of 708
 (708 owned by Mohammed N.
Islam and Not Assigned)

							
	 0146
	  	718	  		  	09/550,730	  	6,370,164 B1	  	04/17/00	  	DIV of 709
							
	 0179
	  	758	  		  	10/033,848	  	Pending	  	12/19/01	  	DIV of 718
							
	 0206
	  	N/A	  		  	Unknown	  	Pending	  	07/01/02	  	CON of 758
							
	 0210
	  	N/A	  		  	Unknown	  	Pending	  	07/01/02	  	CON of 758
							
	 0216
	  	N/A	  		  	Unknown	  	To Be Filed	  	To Be Filed	  	DIV of 758
							
	 0105
	  	N/A	  		  	US99/07202	  	N/A	  	03/31/99	  	PCT of 709
							
	 0115
	  	N/A	  		  	2,367,325	  	Pending	  	3/31/99	  	CA of 105
							
	 N/A
	  	N/A	  	1617	  	60/101,120	  	N/A	  	09/21/98	  	Provisional
							
	 0158
	  	731	  		  	09/400,414	  	Pending	  	09/21/99	  	NP of PRO 60/101,120
							
	 0131
	  	701	  		  	09/471,753	  	6,359,725 B1	  	12/23/99	  	CIP of 60/089,426 and of 702
							
	 0175
	  	751	  		  	10/007,643	  	Pending	  	10/30/01	  	CON of 701
							
	 0176
	  	752	  		  	10/005,472	  	Pending	  	11/06/01	  	CON of 701

  
 1 

 APPENDIX A TO LICENSE AGREEMENT FOR MICHIGAN FILES 

1581, 1582, 1583, 1602, 1616, 1617, 1868, 1869, AND 1870 
  

													
	 BB#
	  	 Wilson#
	  	 UM File #
	  	 Serial#
	  	 Patent#
	  	 Filing date
	  	 Priority Claim

							
	 0132
	  	702	  		  	09/471,747	  	6,335,820 B1	  	12/23/99	  	CIP of 60/089,426 and of 701
							
	 0133
	  	703
refiled as 716
	  		  	09/471,752	  	N/A	  	12/23/99	  	CIP of 710 and of 704
							
	 0144
	  	716	  		  	09/547,165	  	6,356,384 B1	  	04/11/00	  	CIP of 710, 703 and 704
							
	 0174
	  	750	  		  	10/003,199	  	Pending	  	10/30/01	  	CON of 716
							
	 0178
	  	754	  		  	09/990,142	  	Pending	  	11/20/01	  	CON of 716
							
	 0171
	  	747	  		  	01/12007	  	N/A	  	04/11/01	  	PCT of 716
							
	 0134
	  	704
refiled as 717
	  		  	09/470,831	  	N/A	  	12/23/99	  	CIP of 710 and of 703
							
	 0145
	  	717	  		  	09/547,169	  	Pending	  	04/11/00	  	CIP of 710, 703, and 704
							
	 0172
	  	748	  		  	01/11894	  	N/A	  	04/11/01	  	PCT of 717
							
	 0137
	  	707	  		  	60/175,786	  	N/A	  	01/12/00	  	Provisional
							
	 0164
	  	738	  		  	09/760,201	  	Pending	  	01/12/01	  	N.P. of 707
							
	 0168
	  	743	  		  	01/00943	  	N/A	  	01/12/01	  	PCT of 707
							
	 0211
	  	N/A	  		  	Unknown	  	Pending	  	08/12/02	  	CA of 743
							
	 0212
	  	N/A	  		  	Unknown	  	Pending	  	08/12/02	  	EP of 743
							
	 0166
	  	741	  	1870	  	60/182,329	  	N/A	  	02/14/00	  	Provisional
							
	 0167
	  	742	  		  	09/784,649	  	Pending	  	02/14/01	  	N.P. of 741
							
	 0170
	  	746	  		  	01/05089	  	N/A	  	02/14/01	  	PCT of 742
							
	 0141
	  	714	  	1616	  	unknown	  	N/A	  	unknown	  	Provisional
							
	 0110
	  	N/A	  		  	60/310,147	  	N/A	  	08/03/01	  	Provisional (refiling of 714)
							
	 0110- N.P.
	  	N/A	  		  	Unknown	  	Pending	  	To Be Filed	  	Priority to 0110
							
	 0200
	  	N/A	  		  	Unknown	  	Pending	  	To Be Filed	  	Priority to 0110
							
	 0203
	  	N/A	  		  	Unknown	  	Pending	  	To Be Filed	  	Priority to 0110
							
	 N/A
	  	N/A	  	1869	  	60/180,807	  	N/A	  	02/07/00	  	Provisional Filing
							
	 Ch.0113

Closed
	  	N/A	  		  	01/03851	  	N/A	  	02/06/01	  	PCT claiming priority to 60/180,807
							
	 N/A
	  	N/A	  	N/A	  	09/480,166	  	6,400,870 B1	  	1/10/00	  	N.P. Filing of Provisional Application 60/115,795

  
 2

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