Document:

exv10w2

Exhibit 10.2

SEVENTH AMENDMENT TO 2003 AMENDED AND RESTATED

CREDIT AGREEMENT (2-YEAR REVOLVING LOAN)

          This Seventh Amendment to 2003 Amended and Restated Credit Agreement (2-Year Revolving Loan)
(this “Amendment”) is entered into as of December 16, 2009 by and among NATIONAL COOPERATIVE
REFINERY ASSOCIATION, a cooperative marketing association formed under the laws of the State of
Kansas (the “Borrower”), the institutions listed on the signature pages hereof and each other
institution that may hereafter become a party to the Credit Agreement referenced below as a
Syndication Party (collectively, the “Syndication Parties,” and, individually, a “Syndication
Party”), and COBANK, ACB, a federally chartered banking organization, in its capacity as
administrative agent for the Syndication Parties (in such capacity, the “Administrative Agent”).

RECITALS

          The Borrower, the Syndication Parties and the Administrative Agent are parties to that certain
2003 Amended and Restated Credit Agreement (2-Year Revolving Loan) dated as of December 16, 2003,
as amended by a First Amendment dated as of December 15, 2005, a Second Amendment dated as of June
30, 2006, a Third Amendment dated as of December 13, 2006, a Fourth Amendment dated as of September
17, 2007, a Fifth Amendment dated as of November 7, 2007, and a Sixth Amendment dated as of
December 12, 2008 (the “Sixth Amendment”) (as further amended by this Amendment, and as the same
may be amended, restated, supplemented or otherwise modified from time to time, the “Credit
Agreement”).

          The Borrower has requested that the Syndication Parties and the Administrative Agent make
certain amendments to the Credit Agreement, and the Syndication Parties and the Administrative
Agent are willing to grant the Borrower’s requests subject to the terms and conditions of this
Amendment.

          NOW, THEREFORE, in consideration of the premises and of the mutual covenants and agreements
herein contained, the receipt and sufficiency of which are hereby acknowledged, the parties hereto
hereby agree as follows:

          Section 1. Definitions. Capitalized terms used and not otherwise defined herein shall have
the meanings given them in the Credit Agreement.

          Section 2. Amendments to the Credit Agreement. The Credit Agreement is hereby amended as
follows:

     (a) Amendment to Article 1 of the Credit Agreement (Defined Terms). Article 1
of the Credit Agreement is amended by adding or amending in their entirety, as the case may
be, the following defined terms:

     1.5 Aggregate LC Commitment: shall be $15,000,000.00, unless the same
shall be adjusted in accordance with Section 2.10.

     1.6 Aggregate 2-Year Commitment: shall be $15,000,000.00, unless the
same shall be adjusted in accordance with Section 2.10.

 

 

     1.11 Base Rate: means a rate per annum announced by the Administrative
Agent on the first Banking Day of each week, which shall be the sum of (a) the
higher of (i) 225 basis points greater than the highest of the one week or one month
LIBO Rate or (ii) the Prime Rate, and (b) 75 basis points.

     1.18 Committed Letter of Credit Fee: means a fee equal to 225 basis
points multiplied by the face amount of the Committed Letter of Credit.

     1.20 Commitment Fee Factor: means 37.5 basis points per annum.

     1.48 LIBO Rate: means the rate obtained by dividing (a)(i) with
respect to a LIBO Rate Period applicable to a LIBO Rate Loan, the rate per annum
determined by the Administrative Agent as of approximately 11:00 a.m. London time on
the date two Banking Days before the commencement of such LIBO Rate Period by
reference to the British Bankers’ Association Interest Settlement Rates for deposits
in dollars offered on the London interbank dollar market for a period corresponding
to the term of such LIBO Rate Period and in an amount comparable to the aggregate
amount of the relevant LIBO Rate Loan (as displayed in the Bloomberg Financial
Markets system or any successor thereto or any other service selected by the
Administrative Agent that has been nominated by the British Bankers’ Association as
an authorized information vendor for the purpose of displaying such rates), (ii)
with respect to a Base Rate Loan, the rate per annum determined by the
Administrative Agent as of approximately 11:00 a.m. London time on the first Banking
Day of each calendar week by reference to the British Bankers’ Association Interest
Settlement Rates for deposits in dollars offered on the London interbank dollar
market for a one-month period and in an amount comparable to the aggregate amount of
the relevant Base Rate Loan (as displayed in the Bloomberg Financial Markets system
or any successor thereto or any other service selected by the Administrative Agent
that has been nominated by the British Bankers’ Association as an authorized
information vendor for the purpose of displaying such rates), or (iii) if such rate
cannot be determined, the rate per annum equal to the rate determined by the
Administrative Agent to be a rate at which U.S. dollar deposits are offered to major
banks in the London interbank eurodollar market for funds to be made available on
the first day of such LIBO Rate Period and maturing at the end of such LIBO Rate
Period, in each case rounded upwards, if necessary, to the nearest 1/100 of 1%; by
(b) a percentage equal to 1.00 minus the applicable percentage (expressed as
a decimal) prescribed by the Board of Governors of the Federal Reserve System (or
any successor thereto) for determining the maximum reserve requirements applicable
to eurodollar fundings (currently referred to as “Eurocurrency Liabilities” in
Regulation D) or any other maximum reserve requirements applicable to a member bank
of the Federal Reserve System with respect to such eurodollar fundings.

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     1.56 Member Percentage: shall mean the following:

     For CHS — 74.429%

     For Growmark, Inc. — 18.616%

     For MFA Oil Company — 6.955%.

     1.49 LIBOR Margin: means 225 basis points per annum.

     1.82 2-Year Maturity Date: means December 16, 2010.

     1.89 Percentage: means, with respect to any Syndication Party, the
ratio of the Individual 2-Year Commitment of such Syndication Party to the Aggregate
2-Year Commitment.

     (b) Amendment to Section 2.10 of the Credit Agreement (Reduction of Aggregate
2-Year Commitment). Section 2.10 of the Credit Agreement is amended and restated in its
entirety to read as follows:

     2.10 Reduction of Aggregate 2-Year Commitment; Voluntary Increases.
Borrower may, from time to time, reduce or increase the Aggregate 2-Year Commitment
as follows:

     2.10.1 Reduction. Borrower may, by written facsimile notice to the
Administrative Agent on or before 10:00 A.M. (Eastern time) on any Banking Day, make
a one-time irrevocable reduction in the Aggregate 2-Year Commitment; provided that
(a) such reduction must be in multiples of five million dollars ($5,000,000), and
(b) Borrower must simultaneously make any principal payment necessary (along with
any applicable Funding Losses on account of such principal payment) so that (i) the
principal amount outstanding under the 2-Year Facility does not exceed the reduced
Aggregate 2-Year Commitment on the date of such reduction, and (ii) the Individual
Outstanding 2-Year Obligations owing to any Syndication Party do not exceed the
Individual 2-Year Commitment of such Syndication Party (after reduction thereof in
accordance with the following sentence). In the event the Aggregate 2-Year
Commitment is reduced as provided in the preceding sentence, the Individual 2-Year
Commitment of each Syndication Party shall be reduced in accordance with the
Percentage of such Syndication Party, as determined before giving effect to the
reduction in the Aggregate 2-Year Commitment.

     2.10.2 Request to Increase. Provided that no Event of Default has
occurred and is continuing, Borrower may from time to time, but in no event more
than two times prior to the 2-Year Maturity Date, propose to increase the Aggregate
2-Year Commitment in accordance with this Section 2.10. The aggregate principal
amount of the increase to the Aggregate 2-Year Commitment made pursuant to this
Section 2.10 (the amount of any such increase, the “Increased Facility Amount”)
shall not exceed $35,000,000, which for the avoidance of doubt shall increase the
Aggregate 2-Year Commitment to an amount not to exceed $50,000,000, and each
increase shall be at least $10,000,000. Borrower shall provide notice to the
Administrative Agent (which
shall promptly provide a copy of such notice to the Syndication Parties) of any

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requested Increased Facility Amount. Each Syndication Party shall have the right
(but not the obligation), for a period of thirty days following receipt of such
notice, to elect by notice to Borrower and the Administrative Agent to subscribe to
participate in the Increased Facility Amount to the extent of its Percentage.
Syndication Parties that fail to respond to such notice shall be deemed to have
elected not to increase their Percentages in the 2-Year Facility.

     2.10.3 Allocation of Unsubscribed Amounts. If any Syndication Party
elects not to increase its Individual 2-Year Commitment pursuant to this Section
2.10, the Administrative Agent may place such unsubscribed amount with one or more
other financial institutions selected by the Administrative Agent and mutually
agreed upon by Borrower and the Administrative Agent (each, an “Additional Lender”),
which may (but need not) be existing Syndication Parties. The sum of the portion of
the Increased Facility Amount subscribed under this Section 2.10 and the amount
placed pursuant to the preceding sentence shall not exceed the Increased Facility
Amount.

     2.10.4 Conditions Precedent. Any increase in the Aggregate 2-Year
Commitment under this Section 2.10 shall become effective upon receipt by the
Administrative Agent of:

     (a) an amendment to this Credit Agreement, duly signed by the Borrower,
the Administrative Agent, each Syndication Party whose Individual 2-Year
Commitment will be increased and each Additional Lender, which amendment
modifies the definition of “Aggregate 2-Year Commitment Amount”, sets forth
any other agreements of the Borrower, the Administrative Agent, such
Syndication Parties and each Additional Lender with respect to pricing
affecting the Increased Facility Amount, and incorporates the agreement of
each Additional Lender to become a Syndication Party under this Credit
Agreement and bound by all the terms and provisions hereof;

     (b) amendments to any other Loan Documents reasonably requested by the
Administrative Agent in relation to the Increased Facility Amount, which
amendments the Administrative Agent is hereby authorized to execute and
deliver on behalf of the Syndication Parties;

     (c) 2-Year Notes, duly executed by Borrower, as any Syndication Party
or any Additional Lender may require;

     (d) evidence of appropriate corporate authorization on the part of
Borrower with respect to the Increased Facility Amount and the execution and
delivery of the documents described in this subsection 2.10.4;

     (e) such opinions of counsel to Borrower and other assurances as the
Administrative Agent may reasonably request; and

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     (f) reimbursement of the Administrative Agent’s out-of-pocket costs and
expenses (including reasonable attorney’s fees) incurred in connection
therewith.

     (c) Amendment to Section 10.16 of the Credit Agreement (Financial Covenants).
Section 10.16 of the Credit Agreement is amended and restated in its entirety to read as
follows:

     10.16 Financial Covenants. Borrower shall maintain the following
financial covenants, measured as a consolidation of the results of Borrower and its
Subsidiaries:

     (d) Amendment to Section 10.16.2 of the Credit Agreement (Minimum Net Worth).
Section 10.16.2 of the Credit Agreement is amended and restated in its entirety to read as
follows:

     10.16.2 Minimum Net Worth. At the end of each Fiscal Quarter, Net
Worth of not less than $600,000,000.

     (e) Amendment to Section 10.16.4 of the Credit Agreement (Minimum Working
Capital). Section 10.16.4 of the Credit Agreement is amended and restated in its
entirety to read as follows:

     10.16.4 Minimum Working Capital. At all times Working Capital of not
less than $75,000,000.

     (f) Amendment to Section 11.6 of the Credit Agreement (Loans). Section 11.6 of
the Credit Agreement is amended and restated in its entirety to read as follows:

     11.6 Loans. Borrower shall not lend or advance money, credit, or
property to any Person, except (a) trade credit extended in the ordinary course of
business; (b) loans to Borrower’s wholly-owned Subsidiary Jayhawk Pipeline, L.L.C.,
provided that all such loans to Jayhawk Pipeline, L.L.C., when aggregated with all
of the Investments in Jayhawk Pipeline, L.L.C. made pursuant to, and as permitted
in, clause (i) of Section 11.8 hereof, do not exceed $75,000,000; and (c) loans to
Borrower’s partially-owned Subsidiary Kaw Pipe Line Company in an aggregate amount
not to exceed $5,000,000.

     (g) Exhibits to Credit Agreement (Compliance Certificate; Subsidiaries; Equity
Investments). The Credit Agreement is hereby amended by deleting Exhibit 1.21, Exhibit
1.76 and Exhibit 8.11 to the Credit Agreement and replacing them in their entirety with
Exhibit 1.21, Exhibit 1.76 and Exhibit 8.11 to this Amendment, respectively.

          Section 3. Section 1.4 of Sixth Amendment. Section 1.4 of the Sixth Amendment is amended and
restated in its entirety to read as follows:

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     1.4 The Base Rate shall be determined solely by reference to the Prime Rate upon the
occurrence of any of the following events:

     (a) the Administrative Agent determines (which determination shall be
conclusive) that quotations of interest rates in accordance with the definition of
LIBO Rate are not being provided in the relevant amounts or for the relevant
maturities for purposes of determining rates of interest for LIBO Rate Loans as
provided in this Credit Agreement;

     (b) any Syndication Party determines (which determination shall be conclusive)
that the relevant rates of interest referred to in the definition of LIBO Rate upon
the basis of which the rate of interest for LIBO Rate Loans for such LIBO Rate
Period is to be determined do not adequately cover the cost to the Syndication
Parties of making or maintaining such LIBO Rate Loans for such LIBO Rate Period; or

     (c) any Change in Law shall make it unlawful for any of the Syndication Parties
to (i) advance its Funding Share of any LIBO Rate Loan or (ii) maintain its share of
all or any portion of the LIBO Rate Loans.

          Section 4. Representations and Warranties. The Borrower hereby represents and warrants to the
Administrative Agent and the Syndication Parties as follows:

     (a) The Borrower has all requisite power and authority, corporate or otherwise, to
execute and deliver this Amendment and to perform its obligations under this Amendment and
the Loan Documents to which the Borrower is a party. This Amendment and the Loan Documents
to which the Borrower is a party have been duly and validly executed and delivered to the
Administrative Agent by the Borrower, and this Amendment and the Loan Documents to which the
Borrower is a party constitute the Borrower’s legal, valid and binding obligations,
enforceable in accordance with their terms.

     (b) The execution, delivery and performance by the Borrower of this Amendment and the
Loan Documents to which the Borrower is a party have been duly authorized by all necessary
corporate or other action and do not and will not (i) require any authorization, consent or
approval by any governmental department, commission, board, bureau, agency or
instrumentality, domestic or foreign, (ii) violate the Borrower’s organizational documents
or any provision of any law, rule, regulation or order presently in effect having
applicability to the Borrower, or (iii) result in a breach of, or constitute a default
under, any indenture or agreement to which the Borrower is a party or by which the Borrower
or its properties may be bound or affected.

     (c) All of the representations and warranties contained in Article 8 of the Credit
Agreement are correct on and as of the date hereof as though made on and as of
such date, except to the extent that such representations and warranties relate solely
to an earlier date.

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          Section 5. Effectiveness. This Amendment shall be effective only if the Administrative Agent
has received, on or before the date of this Amendment (or such later date as the Administrative
Agent may agree in writing), each of the following, each in form and substance acceptable to the
Administrative Agent in its sole discretion:

     (a) this Amendment, duly executed by the Borrower, the Administrative Agent and the
Syndication Parties;

     (b) payment of an amendment fee of $15,000 in immediately available funds, to be
allocated by the Administrative Agent pro rata among the Syndication Parties; and

     (c) payment of an administration fee of $5,000 in immediately available funds, payable
to and for the account of the Administrative Agent.

          Section 6. References. All references in the Credit Agreement to “this Agreement” shall be
deemed to refer to the Credit Agreement as amended hereby, and any and all references in any other
Loan Document to the Credit Agreement shall be deemed to refer to the Credit Agreement as amended
hereby.

          Section 7. No Waiver. The execution of this Amendment and any documents related hereto shall
not be deemed to be a waiver of any Potential Default or any Event of Default under the Credit
Agreement or any breach, default or event of default under any other Loan Document or other
document held by the Administrative Agent or any Syndication Party, whether or not known to the
Administrative Agent or any Syndication Party and whether or not existing on the date of this
Amendment.

          Section 8. Release of Administrative Agent and Syndication Parties. The Borrower hereby
absolutely and unconditionally releases and forever discharges the Administrative Agent and the
Syndication Parties, and any and all participants, parent corporations, subsidiary corporations,
affiliated corporations, insurers, indemnitors, successors and assigns thereof, together with all
of the present and former directors, officers, agents and employees of any of the foregoing, from
any and all known claims, demands or causes of action of any kind, nature or description, whether
arising at law or in equity or upon contract or tort or under any state or federal law or
otherwise, which the Borrower has had, now has or may claim to have against any such Person for or
by reason of any act, omission, matter, cause or thing whatsoever arising from the beginning of
time to and including the date of this Amendment, whether such claims, demands and causes of action
are matured or unmatured.

          Section 9. Costs and Expenses. The Borrower hereby reaffirms its agreement under Section 15.1
of the Credit Agreement to pay or reimburse the Administrative Agent and the Syndication Parties on
demand for all costs and expenses incurred by the Administrative Agent and the Syndication Parties
in their employment of counsel. Without limiting the generality of the foregoing, the Borrower
specifically agrees to pay all fees and disbursements of counsel to the Administrative Agent for
the services performed by such counsel
in connection with the preparation of this Amendment and the documents and instruments
incidental hereto.

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          Section 10. Miscellaneous. Except as expressly set forth herein, all terms of the Credit
Agreement and the other Loan Documents remain in full force and effect. This Amendment may be
executed in any number of counterparts, each of which when so executed and delivered shall be
deemed to be an original and all of which counterparts, taken together, shall constitute but one
and the same instrument. This Amendment shall be governed by the internal laws of the State of
Colorado.

Signature page follows

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     IN WITNESS WHEREOF, the undersigned have executed this Amendment as of the day and year
first above written.

	 	 	 	 	 
	 	NATIONAL COOPERATIVE REFINERY ASSOCIATION, as Borrower

 	 
	 	By:  	/s/ John G. Buehrle
 	 
	 	 	Name:  	John G. Buehrle 	 
	 	 	Title:  	CFO 	 
	 
	 	COBANK, ACB, as Administrative Agent and 

as a Syndication Party

 	 
	 	By:  	/s/ Michael Tousignant
 	 
	 	 	Name:  	Michael Tousignant 	 
	 	 	Title:  	Vice President 	 
	 
	 	U.S. AGBANK, FCB, as a Syndication Party

 	 
	 	By:  	/s/ Travis W. Ball
 	 
	 	 	Name:  	Travis W. Ball 	 
	 	 	Title:  	Vice President 	 
	 

Signature Page to Seventh Amendment to 2003 Amended and Restated

Credit Agreement (2-Year Revolving Loan)

 

 

Exhibit 1.21 to Amendment

EXHIBIT 1.21

TO 2003 AMENDED AND RESTATED CREDIT AGREEMENT

COMPLIANCE CERTIFICATE

National Cooperative Refinery Association

CoBank, ACB

5500 South Quebec Street

Greenwood Village, Colorado 801 11

ATTN: Administrative Agent, National Cooperative Refinery Association Loan

Gentlemen:

     As required by Subsections 10.2.1 and 10.2.2 of that certain 2003 Amended and Restated Credit
Agreement dated as of December 16, 2003 (as amended, restated, supplemented or otherwise modified
from time to time, the “Credit Agreement”), by and among National Cooperative Refinery Association
(the “Company”), the “Syndication Parties” as defined therein and CoBank, ACB, in its capacity as
administrative agent for the Syndication Parties, a review of the activities of the Company for the
[Fiscal Quarter] [Fiscal Year] ending                     , 200___ (the “Fiscal Period”) has been made
under my supervision with a view to determine whether the Company has kept, observed, performed and
fulfilled all of its obligations under the Credit Agreement and all other agreements and
undertakings contemplated thereby. To the best of my knowledge, and based upon such review, I
certify, in my capacity as [Chief Financial Officer] OR [corporate treasurer] of the Company, that
no event has occurred which constitutes, or which with the passage of time or service of notice, or
both, would constitute, an Event of Default or a Potential Default as defined in the Credit
Agreement.

     I further certify that (a) to the best of my knowledge the amounts set forth on the attachment
accurately present amounts required to be calculated in accordance with the financial covenants
contained in the Credit Agreement as of the last day of the Fiscal Period (unless expressly
specified herein); and (b) also attached as Schedule A are detailed calculations showing how such
amounts were determined. All capitalized terms used but not defined herein have the meanings given
in the Credit Agreement.

	 	 	 	 	 	 	 
	 	 	Very truly yours,	 	 
	 
	 	 	 	 	 	 
	 	 	National Cooperative Refinery Association	 	 
	 
	 	 	 	 	 	 
	 

	 	By:	 	 	 	 
	 

	 	Name:
	 	 

	 	 
	 

	 	Title:
	 	 

Chief Financial Officer/Treasurer
	 	 

 

 

Capitalized terms used herein shall have the definitions set forth in the Credit Agreement.

SUBSECTION 10.16.1: DEBT TO EBITDA RATIO

	 	 	 
	Test:

	 	Measured over the immediately preceding four (4) Fiscal Quarters: (a) Debt
divided by (b) EBITDA.
	 
	 	 
	Target:

	 	Not in excess of 3.00 to 1.00 at any time.
	 
	 	 
	 

	 	Debt to EBITDA Ratio (Actual)

As of Fiscal Quarter ended                     :                           

SUBSECTION 10.16.2: MINIMUM NET WORTH

	 	 	 
	Test:

	 	Measured at the end of each Fiscal Quarter, Net Worth.
	 
	 	 
	Target:

	 	Not less than $600,000,000.
	 
	 	 
	 

	 	Net Worth

As of Fiscal Quarter ended                     :       $                    

SUBSECTION 10.16.3: INTEREST COVERAGE RATIO

	 	 	 
	Test:

	 	Measured over the immediately preceding four (4) Fiscal Quarters: (a) EBIT divided by
(b) Interest Expense.
	 
	 	 
	Target:

	 	Not less than 4.00 to 1.00 as of the last day of each Fiscal Quarter.
	 
	 	 
	 

	 	Interest Coverage Ratio (actual)

As of Fiscal Quarter ended                     :                           

SUBSECTION 10.16.4: MINIMUM WORKING CAPITAL

	 	 	 
	Test:

	 	Current assets minus current liabilities.
	 
	 	 
	Target:

	 	Not less than $75,000,000 as of the last day of each Fiscal Quarter for each Fiscal Year
	 
	 	 
	 

	 	Current assets minus current liabilities (Actual)

As of Fiscal Quarter ended                     :       $                    

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SCHEDULE A

DETAILED CALCULATIONS

DEBT TO EBITDA (000’s)

Debt (current measurement period)

Current Portion Long Term Debt

Capital Leases

364-Day Facility

Other

          Total Debt

EBITDA (rolling 4 quarters)

Net Income

Interest Expense

Federal and State Income Taxes

Extraordinary Losses

Depreciation

Amortization

Less:

Extraordinary Gains

Non-cash Patronage Income

          Total EBITDA

                    Debt to EBITDA Ratio

                    Maximum Ratio Permitted 3.00 to 1.00

MINIMUM NET WORTH (000’s)

Total Assets

Less Total Liabilities

          Net Worth

INTEREST COVERAGE RATIO (000’s)

EBIT (rolling 4 quarters)

Net Income

Interest Expense

Federal and State Income Taxes

Extraordinary Losses

Less:

Extraordinary Gains

Non-cash Patronage Income

          Total EBIT

Interest Expense (rolling 4 quarters)

                    EBIT to Interest

                    Minimum Ratio Permitted 4.00 to 1.00

WORKING CAPITAL

Current Assets

Less Current Liabilities

          Working Capital

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Exhibit 1.76 to Amendment

EXHIBIT 1.76

TO 2003 AMENDED AND RESTATED CREDIT AGREEMENT

SUBSIDIARIES

	 	 	 	 	 
	Kaw Pipe Line Company
	 	 	66.667	%
	Osage Pipeline Company, LLC
	 	 	50.00	%
	Jayhawk Pipeline, L.L.C.
	 	 	100	%
	McPherson Agricultural Products, LLC
	 	 	100	%

Ex. 1.76

 

 

Exhibit 8.11 to Amendment

EXHIBIT 8.11

TO 2003 AMENDED AND RESTATED CREDIT AGREEMENT

EQUITY INVESTMENTS

	 	 	 	 	 	 	 
	Subsidiary	 	Investment
	1.	 	Jayhawk Pipeline, L.L.C.
	 	$	35,453,202	 
	2.	 	Kaw Pipe Line Company
	 	$	1,863,117	 
	3.	 	Osage Pipeline Company, LLC
	 	$	4,072,685	 
	4.	 	McPherson Agricultural Products, LLC
	 	$	(4,230,554	)

Ex. 8.11exv10w1

Exhibit 10.1

CONFIDENTIAL TREATMENT HAS BEEN
REQUESTED AS TO CERTAIN PORTIONS OF THIS EXHIBIT, WHICH PORTIONS HAVE BEEN OMITTED AND REPLACED WITH [****] AND FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

 

CREDIT AGREEMENT

by and among

FINISAR CORPORATION

and

OPTIUM CORPORATION

as Borrowers,

THE LENDERS THAT ARE SIGNATORIES HERETO

as the Lenders,

and

WELLS FARGO FOOTHILL, LLC

as the Agent

Dated as of October 2, 2009

 

 

 

 

CONFIDENTIAL
TREATMENT REQUESTED

TABLE OF CONTENTS

	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Page	 
	 
	 	 	 	 	 	 	 	 
	1.	 	DEFINITIONS AND CONSTRUCTION	 	 	1	 
	 
	 	1.l	 	Definitions	 	 	1	 
	 
	 	1.2	 	Accounting Terms	 	 	1	 
	 
	 	1 3	 	Code	 	 	1	 
	 
	 	1 4	 	Construction	 	 	1	 
	 
	 	1.5	 	Schedules and Exhibits	 	 	2	 
	2.	 	LOAN AND TERMS OF PAYMENT	 	 	2	 
	 
	 	2.1	 	Revolver Advances	 	 	2	 
	 
	 	2.2	 	[RESERVED]	 	 	 	 
	 
	 	2.3	 	Borrowing Procedures and Settlements	 	 	3	 
	 
	 	2.4	 	Payments; Reductions of Revolver Commitments; Prepayments	 	 	7	 
	 
	 	2.5	 	Overadvances	 	 	11	 
	 
	 	2.6	 	Interest Rates and Letter of Credit Fee: Rates, Payments and Calculations	 	 	11	 
	 
	 	2.7	 	Crediting Payments	 	 	12	 
	 
	 	2.8	 	Designated Account	 	 	13	 
	 
	 	2.9	 	Maintenance of Loan Account; Statements of Obligations	 	 	13	 
	 
	 	2.10	 	Fees	 	 	13	 
	 
	 	2.11	 	Letters of Credit	 	 	13	 
	 
	 	2.12	 	LIBOR Option	 	 	16	 
	 
	 	2.13	 	Capital Requirements	 	 	18	 
	3.	 	CONDITIONS; TERM OF AGREEMENT	 	 	19	 
	 
	 	3.1	 	Conditions Precedent to the Initial Extension of Credit	 	 	19	 
	 
	 	3.2	 	Conditions Precedent to all Extensions of Credit	 	 	19	 
	 
	 	3.3	 	Term	 	 	19	 
	 
	 	3.4	 	Effect of Termination	 	 	19	 
	 
	 	3.5	 	Early Termination by Borrowers	 	 	19	 
	4.	 	REPRESENTATIONS AND WARRANTIES	 	 	19	 
	 
	 	4.1	 	Due Organization and Qualification; Subsidiaries	 	 	20	 
	 
	 	4.2	 	Due Authorization; No Conflict	 	 	20	 
	 
	 	4.3	 	Governmental Consents	 	 	21	 
	 
	 	4.4	 	Binding Obligations; Perfected Liens	 	 	21	 
	 
	 	4.5	 	Title to Assets; No Encumbrances	 	 	21	 
	 
	 	4.6	 	Jurisdiction of Organization; Location of Chief Executive Office; Organizational Identification Number; Commercial Tort Claims	 	 	21	 

 

 

CONFIDENTIAL
TREATMENT REQUESTED

TABLE OF CONTENTS 

(continued)

	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Page	 
	 
	 	 	 	 	 	 	 	 
	 
	 	4.7	 	Litigation	 	 	21	 
	 
	 	4.8	 	Compliance with Laws	 	 	22	 
	 
	 	4.9	 	No Material Adverse Change	 	 	22	 
	 
	 	4.10	 	Fraudulent Transfer	 	 	22	 
	 
	 	4.11	 	Employee Benefits	 	 	22	 
	 
	 	4.12	 	Environmental Condition	 	 	22	 
	 
	 	4.13	 	Intellectual Property	 	 	23	 
	 
	 	4.14	 	Leases	 	 	23	 
	 
	 	4.15	 	Deposit Accounts and Securities Accounts	 	 	23	 
	 
	 	4.16	 	Complete Disclosure	 	 	23	 
	 
	 	4.17	 	Material Contracts	 	 	23	 
	 
	 	4.18	 	Patriot Act	 	 	23	 
	 
	 	4.19	 	Indebtedness	 	 	24	 
	 
	 	4.20	 	Payment of Taxes	 	 	24	 
	 
	 	4.21	 	Margin Stock	 	 	24	 
	 
	 	4.22	 	Governmental Regulation	 	 	24	 
	 
	 	4.23	 	OFAC	 	 	24	 
	 
	 	4.24	 	Employee and Labor Matters	 	 	24	 
	 
	 	4.25	 	Eligible Accounts, Eligible Investment Grade Accounts, Eligible Credit Insured Accounts	 	 	25	 
	 
	 	4.26	 	Eligible Inventory	 	 	26	 
	 
	 	4.27	 	Eligible Inventory	 	 	26	 
	 
	 	4.28	 	Locations of Inventory and Equipment	 	 	26	 
	 
	 	4.29	 	Inventory Records	 	 	26	 
	 
	 	4.30	 	The Indentures	 	 	27	 
	5.	 	AFFIRMATIVE COVENANTS	 	 	26	 
	 
	 	5.1	 	Financial Statements, Reports, Certificates	 	 	26	 
	 
	 	5.2	 	Collateral Reporting	 	 	26	 
	 
	 	5.3	 	Existence	 	 	26	 
	 
	 	5.4	 	Maintenance of Properties	 	 	26	 
	 
	 	5.5	 	Taxes	 	 	27	 
	 
	 	5.6	 	Insurance	 	 	27	 
	 
	 	5.7	 	Inspection	 	 	27	 
	 
	 	5.8	 	Compliance with Laws	 	 	27	 

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(continued)

	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Page	 
	 
	 	 	 	 	 	 	 	 
	 
	 	5.9	 	Environmental	 	 	27	 
	 
	 	5.10	 	Disclosure Updates	 	 	28	 
	 
	 	5.11	 	Formation of Subsidiaries	 	 	28	 
	 
	 	5.12	 	Further Assurances	 	 	29	 
	 
	 	5.13	 	Lender Meetings	 	 	29	 
	 
	 	5.14	 	Material Contracts	 	 	29	 
	 
	 	5.15	 	Location of Inventory and Equipment	 	 	29	 
	 
	 	5.16	 	Assignable Material Contracts	 	 	29	 
	6.	 	NEGATIVE COVENANTS	 	 	30	 
	 
	 	6.1	 	Indebtedness	 	 	30	 
	 
	 	6.2	 	Liens	 	 	30	 
	 
	 	6.3	 	Restrictions on Fundamental Changes	 	 	30	 
	 
	 	6.4	 	Disposal of Assets	 	 	30	 
	 
	 	6.5	 	Change Name	 	 	30	 
	 
	 	6.6	 	Nature of Business	 	 	31	 
	 
	 	6.7	 	Prepayments and Amendments	 	 	31	 
	 
	 	6.8	 	Change of Control	 	 	31	 
	 
	 	6.9	 	Distributions	 	 	32	 
	 
	 	6.10	 	Accounting Methods	 	 	32	 
	 
	 	6.11	 	Investments	 	 	32	 
	 
	 	6.12	 	Transactions with Affiliates	 	 	32	 
	 
	 	6.13	 	Use of Proceeds	 	 	33	 
	 
	 	6.14	 	Consignments	 	 	33	 
	 
	 	6.15	 	Inventory and Equipment with Bailees	 	 	33	 
	7.	 	FINANCIAL COVENANTS	 	 	33	 
	8.	 	EVENTS OF DEFAULT	 	 	35	 
	9.	 	RIGHTS AND REMEDIES	 	 	36	 
	 
	 	9.1	 	Rights and Remedies	 	 	36	 
	 
	 	9.2	 	Remedies Cumulative	 	 	37	 
	10.	 	WAIVERS; INDEMNIFICATION	 	 	37	 
	 
	 	10.1	 	Demand; Protest; etc	 	 	37	 
	 
	 	10.2	 	The Lender Group’s Liability for Collateral	 	 	37	 
	 
	 	10.3	 	Indemnification	 	 	37	 

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(continued)

	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Page	 
	 
	 	 	 	 	 	 	 	 
	11.	 	NOTICES	 	 	38	 
	12.	 	CHOICE OF LAW AND VENUE; JURY TRIAL WAIVER	 	 	38	 
	13.	 	ASSIGNMENTS AND PARTICIPATIONS; SUCCESSORS	 	 	39	 
	 
	 	13.1	 	Assignments and Participations	 	 	39	 
	 
	 	13.2	 	Successors	 	 	42	 
	14.	 	AMENDMENTS; WAIVERS	 	 	42	 
	 
	 	14.1	 	Amendments and Waivers	 	 	42	 
	 
	 	14.2	 	Replacement of Holdout Lender	 	 	43	 
	 
	 	14.3	 	No Waivers; Cumulative Remedies	 	 	44	 
	15.	 	AGENT; THE LENDER GROUP	 	 	44	 
	 
	 	15.1	 	Appointment and Authorization of Agent	 	 	44	 
	 
	 	15.2	 	Delegation of Duties	 	 	45	 
	 
	 	15.3	 	Liability of Agent	 	 	45	 
	 
	 	15.4	 	Reliance by Agent	 	 	45	 
	 
	 	15.5	 	Notice of Default or Event of Default	 	 	45	 
	 
	 	15.6	 	Credit Decision	 	 	46	 
	 
	 	15.7	 	Costs and Expenses; Indemnification	 	 	46	 
	 
	 	15.8	 	Agent in Individual Capacity	 	 	46	 
	 
	 	15.9	 	Successor Agent	 	 	47	 
	 
	 	15.10	 	Lender in Individual Capacity	 	 	47	 
	 
	 	15.11	 	Collateral Matters	 	 	47	 
	 
	 	15.12	 	Restrictions on Actions by Lenders; Sharing of Payments	 	 	48	 
	 
	 	15.13	 	Agency for Perfection	 	 	48	 
	 
	 	15.14	 	Payments by Agent to the Lenders	 	 	49	 
	 
	 	15.15	 	Concerning the Collateral and Related Loan Documents	 	 	49	 
	 
	 	15.16	 	Audits and Examination Reports; Confidentiality; Disclaimers
by Lenders; Other Reports and Information	 	 	49	 
	 
	 	15.17	 	Several Obligations; No Liability	 	 	50	 
	16.	 	WITHHOLDING TAXES	 	 	50	 
	17.	 	GENERAL PROVISIONS	 	 	52	 
	 
	 	17 1	 	Effectiveness	 	 	52	 
	 
	 	17.2	 	Section Headings	 	 	52	 
	 
	 	17.3	 	Interpretation	 	 	52	 
	 
	 	17.4	 	Severability of Provisions	 	 	52	 

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(continued)

	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Page	 
	 
	 	 	 	 	 	 	 	 
	 
	 	17.5	 	Bank Product Providers	 	 	53	 
	 
	 	17.6	 	Debtor-Creditor Relationship	 	 	53	 
	 
	 	17.7	 	Counterparts; Electronic Execution	 	 	53	 
	 
	 	17.8	 	Revival and Reinstatement of Obligations	 	 	53	 
	 
	 	17.9	 	Confidentiality	 	 	53	 
	 
	 	17.10	 	Lender Group Expenses	 	 	54	 
	 
	 	17.11	 	USA PATRIOT Act	 	 	54	 
	 
	 	17.12	 	Integration	 	 	54	 
	 
	 	17.13	 	Parent as Agent for Borrowers	 	 	54	 
	 
	 	17.14	 	Designated Senior Indebtedness	 	 	54	 

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	 	 	 	 	Page
	 
	 	 	 	 
	EXHIBITS AND SCHEDULES

	 
	 	 	 	 
	Exhibit A-1

	 	Form of Assignment and Acceptance
	 	 
	Exhibit B-l

	 	Form of Borrowing Base Certificate	 	 
	Exhibit C-L

	 	Form of Compliance Certificate	 	 
	Exhibit L-l

	 	Form of LIBOR Notice	 	 
	Exhibit P-l

	 	Permitted Convertible Note Debt Terms and Conditions	 	 
	 
	 	 	 	 
	Schedule A-l

	 	Agent’s Account	 	 
	Schedule A-2

	 	Authorized Persons	 	 
	Schedule C-l

	 	Revolver Commitments	 	 
	Schedule D-l

	 	Designated Account	 	 
	Schedule E-l

	 	Eligible Inventory and Eligible Equipment Locations	 	 
	Schedule E-2

	 	Eligible Investment Grade Account Debtors	 	 
	Schedule E-3

	 	Eligible Specified Account Debtors	 	 
	Schedule P-l

	 	Permitted Investments	 	 
	Schedule P-2

	 	Permitted Liens	 	 
	Schedule R-l

	 	Real Property Collateral	 	 
	Schedule 1.1

	 	Definitions	 	 
	Schedule 3.1

	 	Conditions Precedent	 	 
	Schedule 4.1 (a)

	 	Due Organization and Qualification; Subsidiaries	 	 
	Schedule 4.1(b)

	 	Capitalization of Parent	 	 
	Schedule 4.1(c)

	 	Capitalization of Parent’s Subsidiaries	 	 
	Schedule 4.6(a)

	 	States of Organization	 	 
	Schedule 4.6(b)

	 	Chief Executive Offices	 	 
	Schedule 4.6(c)

	 	Organizational Identification Numbers	 	 
	Schedule 4.6(d)

	 	Commercial Tort Claims	 	 
	Schedule 4.7

	 	Litigation	 	 
	Schedule 4.8

	 	Compliance with Laws	 	 
	Schedule 4.11

	 	Employee Benefits	 	 
	Schedule 4.13

	 	Intellectual Property	 	 
	Schedule 4.15

	 	Deposit Accounts and Securities Accounts	 	 
	Schedule 4.17

	 	Material Contracts	 	 
	Schedule 4.19

	 	Permitted Indebtedness	 	 
	Schedule 4.24

	 	Employee and Labor Matters	 	 
	Schedule 4.28

	 	Locations of Inventory and Equipment	 	 
	Schedule 5.1

	 	Financial Statements, Reports, Certificates	 	 
	Schedule 5.2

	 	Collateral Reporting	 	 
	Schedule 6.6

	 	Nature of Business	 	 

 

 

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CREDIT AGREEMENT

          THIS CREDIT AGREEMENT (this “Agreement”), is entered into as of October 2, 2009, by
and among the lenders identified on the signature pages hereof (such lenders, together with their
respective successors and permitted assigns, are referred to hereinafter each individually as a
“Lender” and collectively as the “Lenders”), WELLS FARGO FOOTHILL, LLC, a Delaware
limited liability company, as agent for the Lenders (in such capacity, together with its
successors and assigns in such capacity, “Agent”). FINISAR CORPORATION, a Delaware
corporation (“Parent”), and OPTIUM CORPORATION, a Delaware corporation, (“Optium” and
Parent are referred to hereinafter each individually as a “Borrower”, and individually and
collectively, jointly and severally, as the “Borrowers”).

          The parties agree as follows:

1. DEFINITIONS AND CONSTRUCTION.

     1.1 Definitions. Capitalized terms used in this Agreement shall have the meanings
specified therefor on Schedule 1.1.

     1.2 Accounting Terms. All accounting terms not specifically defined herein shall be
construed in accordance with GAAP; provided, however, that if Parent notifies Agent
that Parent requests an amendment to any provision hereof to eliminate the effect of any Accounting
Change occurring after the Closing Date or in the application thereof on the operation of such
provision (or if Agent notifies Administrative Borrower that the Required Lenders request an
amendment to any provision hereof for such purpose), regardless of whether any such notice is given
before or after such Accounting Change or in the application thereof, then Agent and Borrowers
agree that they will negotiate in good faith amendments to the provisions of this Agreement that
are directly affected by such Accounting Change with the intent of having the respective positions
of the Lenders and Borrowers after such Accounting Change conform as nearly as possible to their
respective positions as of the date of this Agreement and, until any such amendments have been
agreed upon, the provisions in this Agreement shall be calculated as if no such Accounting Change
had occurred. When used herein, the term “financial statements” shall include the notes and
schedules thereto. Whenever the term “Parent” is used in respect of a financial covenant or a
related definition, it shall be understood to mean Parent and its Subsidiaries on a consolidated
basis, unless the context clearly requires otherwise.

     1.3 Code. Any terms used in this Agreement that are defined in the Code shall be
construed and defined as set forth in the Code unless otherwise defined herein; provided,
however, that to the extent that the Code is used to define any term herein and such term
is defined differently in different Articles of the Code, the definition of such term contained in
Article 9 of the Code shall govern.

     1.4 Construction. Unless the context of this Agreement or any other Loan Document
clearly requires otherwise, references to the plural include the singular, references to the
singular include the plural, the terms “includes” and “including” are not limiting, and the term
“or” has, except where otherwise indicated, the inclusive meaning represented by the phrase
“and/or.” The words “hereof,” “herein,” “hereby,” “hereunder,” and similar terms in this Agreement
or any other Loan Document refer to this Agreement or such other Loan Document, as the case may be,
as a whole and not to any particular provision of this Agreement or such other Loan Document, as
the case may be. Section, subsection, clause, schedule, and exhibit references herein are to this
Agreement unless otherwise specified. Any reference in this Agreement or in any other Loan Document
to any agreement, instrument, or document shall include all alterations, amendments, changes,
extensions, modifications, renewals, replacements, substitutions, joinders, and supplements,
thereto and thereof, as applicable (subject to any restrictions on such alterations, amendments,
changes, extensions, modifications, renewals, replacements, substitutions, joinders, and
supplements set forth herein). The words “asset” and “property” shall be construed to have the
same meaning and effect and to refer to any and all

 

 

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tangible and intangible assets and properties, including cash, securities, accounts, and contract
rights. Any reference herein or in any other Loan Document to the satisfaction, repayment, or
payment in full of the Obligations shall mean the repayment in full in cash (or, in the case of
Letters of Credit or Bank Products, providing Letter of Credit Collateralization or Bank Product
Collateralization, as applicable) of all Obligations other than unasserted contingent
indemnification Obligations and other than any Bank Product Obligations that, at such time, are
allowed by the applicable Bank Product Provider to remain outstanding and that are not required by
the provisions of this Agreement to be repaid or cash collateralized. Any reference herein to any
Person shall be construed to include such Person’s successors and assigns. Any requirement of a
writing contained herein or in any other Loan Document shall be satisfied by the transmission of a
Record.

     1.5 Schedules and Exhibits. All of the schedules and exhibits attached to this
Agreement shall be deemed incorporated herein by reference.

2. LOAN AND TERMS OF PAYMENT.

     2.1 Revolver Advances.

          (a) Subject to the terms and conditions of this Agreement, and during the term of this
Agreement, each Lender with a Revolver Commitment agrees (severally, not jointly or jointly and
severally) to make advances (“Advances”) to Borrowers in an amount at any one time
outstanding not to exceed such Lender’s Pro Rata Share of an amount equal to the lesser of (i) the
Maximum Revolver Amount less the Letter of Credit Usage at such time, and (ii) the Borrowing Base
at such time less the Letter of Credit Usage at such time.

          (b) Amounts borrowed pursuant to this Section 2.1 may be repaid and, subject to the
terms and conditions of this Agreement, reborrowed at any time during the term of this Agreement.
The outstanding principal amount of the Advances, together with interest accrued thereon, shall be
due and payable on the Maturity Date or, if earlier, on the date on which they are declared due and
payable pursuant to the terms of this Agreement.

          (c) Anything to the contrary in this Section 2.1 notwithstanding, Agent shall have the
right to establish reserves against the Borrowing Base in such amounts, and with respect to such
matters, as Agent in its Permitted Discretion shall deem necessary or appropriate, including
reserves with respect to (i) sums that Parent or its Subsidiaries are required to pay under any
Section of this Agreement or any other Loan Document (such as taxes, assessments, insurance
premiums, or, in the case of leased assets, rents or other amounts payable under such leases) and
has failed to pay, and (ii) amounts owing by Parent or its Non-CFC Subsidiaries to any Person to
the extent secured by a Lien on, or trust over, any of the Collateral (other than a Permitted
Lien), which Lien or trust, in the Permitted Discretion of Agent likely would have a priority
superior to Agent’s Liens (such as Liens or trusts in favor of landlords, warehousemen, carriers,
mechanics, materialmen, laborers, or suppliers, or Liens or trusts for ad valorem, excise, sales,
or other taxes where given priority under applicable law) in and to such item of the Collateral.

     2.2 [Reservedl

     2.3 Borrowing Procedures and Settlements.

          (a) Procedure for Borrowing. Each Borrowing shall be made by a written request by an
Authorized Person delivered to Agent. Unless Swing Lender is not obligated to make a Swing Loan
pursuant to Section 2.3(b) below, such notice must be received by Agent no later than 10:00
a.m. (California time) on the Business Day that is the requested Funding Date specifying (i) the
amount of such Borrowing, and (ii) the requested Funding Date, which shall be a Business Day;
provided, however, that if Swing Lender is not obligated to make a Swing Loan as to
a requested Borrowing, such notice must be received by Agent no later than 10:00 a.m. (California
time) on the Business Day prior to the date that is the requested Funding Date. At

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Agent’s election, in lieu of delivering the above-described written request, any Authorized Person
may give Agent telephonic notice of such request by the required time. In such circumstances,
Borrowers agree that any such telephonic notice will be confirmed in writing within 24 hours of
the giving of such telephonic notice, but the failure to provide such written confirmation shall
not affect the validity of the request.

          (b) Making of Swing Loans. In the case of a request for an Advance and so long as either (i)
the aggregate amount of Swing Loans made since the last Settlement Date, minus the amount of
Collections or payments applied to Swing Loans since the last Settlement Date, plus the amount of
the requested Advance does not exceed $10,000,000, or (ii) Swing Lender, in its sole discretion,
shall agree to make a Swing Loan notwithstanding the foregoing limitation, Swing Lender shall make
an Advance in the amount of such Borrowing (any such Advance made solely by Swing Lender pursuant
to this Section 2.3(b) being referred to as a “Swing Loan” and such Advances being
referred to collectively as “Swing Loans”) available to Borrowers on the Funding Date
applicable thereto by transferring immediately available funds to the Designated Account. Each
Swing Loan shall be deemed to be an Advance hereunder and shall be subject to all the terms and
conditions (including Section 3) applicable to other Advances, except that all payments on any
Swing Loan shall be payable to Swing Lender solely for its own account. Subject to the provisions
of Section 2.3(d)(ii), Swing Lender shall not make and shall not be obligated to make any
Swing Loan if Swing Lender has actual knowledge that (i) one or more of the applicable conditions
precedent set forth in Section 3 will not be satisfied on the requested Funding Date for
the applicable Borrowing, or (ii) the requested Borrowing would exceed the Availability on such
Funding Date. Swing Lender shall not otherwise be required to determine whether the applicable
conditions precedent set forth in Section 3 have been satisfied on the Funding Date
applicable thereto prior to making any Swing Loan. The Swing Loans shall be secured by Agent’s
Liens, constitute Obligations hereunder, and bear interest at the rate applicable from time to time
to Advances that are Base Rate Loans.

          (c) Making of Loans.

               (i) In the event that Swing Lender is not obligated to make a Swing Loan, then
promptly after receipt of a request for a Borrowing pursuant to Section 2.3(a). Agent
shall notify the Lenders, not later than 1:00 p.m. (California time) on the Business Day
immediately preceding the Funding Date applicable thereto, by telecopy, telephone, or other
similar form of transmission, of the requested Borrowing. Each Lender shall make the amount of
such Lender’s Pro Rata Share of the requested Borrowing available to Agent in immediately
available funds, to Agent’s Account, not later than 10:00 a.m. (California time) on the Funding
Date applicable thereto. After Agent’s receipt of the proceeds of such Advances, Agent shall make
the proceeds thereof available to Administrative Borrower on the applicable Funding Date by
transferring immediately available funds equal to such proceeds received by Agent to the
Designated Account; provided, however, that, subject to the provisions of
Section 2.3(d)(ii), Agent shall not request any Lender to make, and no Lender shall have
the obligation to make, any Advance if (1) one or more of the applicable conditions precedent set
forth in Section 3 will not be satisfied on the requested Funding Date for the applicable
Borrowing unless such condition has been waived, or (2) the requested Borrowing would exceed the
Availability on such Funding Date.

               (ii) Unless Agent receives notice from a Lender prior to 9:00 a.m. (California
time) on the date of a Borrowing, that such Lender will not make available as and when required
hereunder to Agent for the account of Borrowers the amount of that Lender’s Pro Rata Share of the
Borrowing, Agent may assume that each Lender has made or will make such amount available to Agent
in immediately available funds on the Funding Date and Agent may (but shall not be so required),
in reliance upon such assumption, make available to Borrowers on such date a corresponding amount.
If any Lender shall not have made its full amount available to Agent in immediately available
funds and if Agent in such circumstances has made available to Borrowers such amount, that Lender
shall on the Business Day following such Funding Date make such amount available to Agent,
together with interest at the Defaulting Lender Rate for each day during such period. A notice
submitted by Agent to any Lender with respect to amounts owing under this Section 2.3(c)(ii)
shall be conclusive, absent manifest error. If such amount is so made available, such payment
to Agent shall

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constitute such Lender’s Advance on the date of Borrowing for all purposes of this Agreement. If
such amount is not made available to Agent on the Business Day following the Funding Date, Agent
will notify Administrative Borrower of such failure to fund and, upon demand by Agent, Borrowers
shall pay such amount to Agent for Agent’s account, together with interest thereon for each day
elapsed since the date of such Borrowing, at a rate per annum equal to the interest rate
applicable at the time to the Advances composing such Borrowing. If such Advance repaid is a LIBOR
Rate Loan, Borrowers shall not be obligated to pay any Funding Losses with respect to such repaid
Advance. The failure of any Lender to make any Advance on any Funding Date shall not relieve any
other Lender of any obligation hereunder to make an Advance on such Funding Date, but no Lender
shall be responsible for the failure of any other Lender to make the Advance to be made by such
other Lender on any Funding Date.

               (iii) Agent shall not be obligated to transfer to a Defaulting Lender any payments
made by Borrowers to Agent for the Defaulting Lender’s benefit (or any Collections or proceeds of
Collateral that would otherwise be remitted hereunder to the Defaulting Lender), and, in the
absence of such transfer to the Defaulting Lender, Agent shall transfer any such payments (A)
first, to Swing Lender to the extent of any Swing Loans that were made by Swing Lender and that
were required to be, but were not, repaid by the Defaulting Lender, (B) second, to the Issuing
Lender, to the extent of the portion of a Letter of Credit Disbursement that was required to be,
but was not, repaid by the Defaulting Lender, (C) third, to each non-Defaulting Lender ratably in
accordance with its Revolver Commitment (but, in each case, only to the extent that such Defaulting
Lender’s portion of an Advance (or other funding obligation) was funded by such other
non-Defaulting Lender), and (D) to a suspense account maintained by Agent, the proceeds of which
shall be retained and may be made available to be re-advanced to Borrowers as if such Defaulting
Lender had made its portion of Advances (or other funding obligations) to Borrowers. Subject to the
foregoing, Agent may hold and, in its Permitted Discretion, re-lend to Borrowers for the account of
such Defaulting Lender the amount of all such payments received and retained by Agent for the
account of such Defaulting Lender. Solely for the purposes of voting or consenting to matters with
respect to the Loan Documents, such Defaulting Lender shall be deemed not to be a “Lender” and such
Lender’s Revolver Commitment shall be deemed to be zero. This Section shall remain effective with
respect to such Lender until (x) the Obligations under this Agreement shall have been declared or
shall have become immediately due and payable, (y) the non-Defaulting Lenders, Agent, and
Administrative Borrower shall have waived such Defaulting Lender’s default in writing, or (z) the
Defaulting Lender makes its Pro Rata Share of the applicable Advance and pays to Agent all amounts
owing by Defaulting Lender in respect thereof. The operation of this Section shall not be construed
to increase or otherwise affect the Revolver Commitment of any Lender, to relieve or excuse the
performance by such Defaulting Lender or any other Lender of its duties and obligations hereunder,
or to relieve or excuse the performance by Borrowers of their duties and obligations hereunder to
Agent or to the Lenders other than such Defaulting Lender. Any such failure to fund by any
Defaulting Lender shall constitute a material breach by such Defaulting Lender of this Agreement
and shall entitle Administrative Borrower at its option, upon written notice to Agent, to arrange
for a substitute Lender to assume the Revolver Commitment of such Defaulting Lender, such
substitute Lender to be reasonably acceptable to Agent. In connection with the arrangement of such
a substitute Lender, the Defaulting Lender shall have no right to refuse to be replaced hereunder,
and agrees to execute and deliver a completed form of Assignment and Acceptance in favor of the
substitute Lender (and agrees that it shall be deemed to have executed and delivered such document
if it fails to do so) subject only to being repaid its share of the outstanding Obligations (other
than Bank Product Obligations, but including an assumption of its Pro Rata Share of the Letters of
Credit) without any premium or penalty of any kind whatsoever; provided, however,
that any such assumption of the Revolver Commitment of such Defaulting Lender shall not be deemed
to constitute a waiver of any of the Lender Groups’ or Borrowers’ rights or remedies against any
such Defaulting Lender arising out of or in relation to such failure to fund.

          (d) Protective Advances and Optional Overadvances.

               (i) Any contrary provision of this Agreement notwithstanding, Agent hereby is
authorized by Borrowers and the Lenders, from time to time in Agent’s sole discretion, (A) after
the occurrence and during the continuance of a Default or an Event of Default, or (B) at any time
that any of the

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other applicable conditions precedent set forth in Section 3 are not satisfied, to make
Advances to, or for the benefit of, Borrowers on behalf of the Lenders that Agent, in its Permitted
Discretion, deems necessary or desirable (1) to preserve or protect the Collateral, or any portion
thereof, or (2) to enhance the likelihood of repayment of the Obligations (other than the Bank
Product Obligations) (any of the Advances described in this Section 2.3(d)(i) shall be
referred to as “Protective Advances”).

               (ii) Any contrary provision of this Agreement notwithstanding, the Lenders
hereby authorize Agent or Swing Lender, as applicable, and either Agent or Swing Lender, as
applicable, may, but is not obligated to, knowingly and intentionally, continue to make Advances
(including Swing Loans) to Borrowers notwithstanding that an Overadvance exists or thereby would be
created, so long as (A) after giving effect to such Advances, the outstanding Revolver Usage does
not exceed the Borrowing Base by more than $10,000,000, and (B) after giving effect to such
Advances, the outstanding Revolver Usage (except for and excluding amounts charged to the Loan
Account for interest, fees, or Lender Group Expenses) does not exceed the Maximum Revolver Amount.
In the event Agent obtains actual knowledge that the Revolver Usage exceeds the amounts permitted
by the immediately foregoing provisions, regardless of the amount of, or reason for, such excess,
Agent shall notify the Lenders as soon as practicable (and prior to making any (or any additional)
intentional Overadvances (except for and excluding amounts charged to the Loan Account for
interest, fees, or Lender Group Expenses) unless Agent determines that prior notice would result in
imminent harm to the Collateral or its value), and the Lenders with Revolver Commitments thereupon
shall, together with Agent, jointly determine the terms of arrangements that shall be implemented
with Borrowers intended to reduce, within a reasonable time, the outstanding principal amount of
the Advances to Borrowers to an amount permitted by the preceding sentence. In such circumstances,
if any Lender with a Revolver Commitment objects to the proposed terms of reduction or repayment of
any Overadvance, the terms of reduction or repayment thereof shall be implemented according to the
determination of the Required Lenders. In any event: (x) if any unintentional Overadvance remains
outstanding for more than 30 days, unless otherwise agreed to by the Required Lenders, Borrowers
shall immediately repay the Advances in an amount sufficient to eliminate all such unintentional
Overadvances, and (y) after the date all such Overadvances have been eliminated, there must be at
least five consecutive days before intentional Overadvances are made. The foregoing provisions are
meant for the benefit of the Lenders and Agent and are not meant for the benefit of Borrowers,
which shall continue to be bound by the provisions of Section 2.5. Each Lender with a
Revolver Commitment shall be obligated to settle with Agent as provided in Section 2.3(e)
for the amount of such Lender’s Pro Rata Share of any unintentional Overadvances by Agent reported
to such Lender, any intentional Overadvances made as permitted under this Section
2.3(d)(ii), and any Overadvances resulting from the charging to the Loan Account of interest,
fees, or Lender Group Expenses.

               (iii) Each Protective Advance and each Overadvance shall be deemed to be an
Advance hereunder, except that no Protective Advance or Overadvance shall be eligible to be a
LIBOR Rate Loan and, prior to Settlement therefor, all payments on the Protective Advances shall
be payable to Agent solely for its own account. The Protective Advances and Overadvances shall be
repayable on demand, secured by Agent’s Liens, constitute Obligations hereunder, and bear interest
at the rate applicable from time to time to Advances that are Base Rate Loans. The ability of
Agent to make Protective Advances is separate and distinct from its ability to make Overadvances
and its ability to make Overadvances is separate and distinct from its ability to make Protective
Advances. For the avoidance of doubt, the limitations on Agent’s ability to make Protective
Advances do not apply to Overadvances and the limitations on Agent’s ability to make Overadvances
do not apply to Protective Advances. The provisions of this Section 2.3(d) are for the
exclusive benefit of Agent, Swing Lender, and the Lenders and are not intended to benefit
Borrowers in any way.

          (e) Settlement. It is agreed that each Lender’s funded portion of the Advances is intended by
the Lenders to equal, at all times, such Lender’s Pro Rata Share of the outstanding Advances. Such
agreement notwithstanding, Agent, Swing Lender, and the other Lenders agree (which agreement shall
not be for the benefit of any Borrower) that in order to facilitate the administration of this
Agreement and the other Loan Documents, settlement among the Lenders as to the Advances, the Swing
Loans, and the Protective Advances shall take place on a periodic basis in accordance with the
following provisions:

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               (i) Agent shall request settlement (“Settlement”) with the Lenders on a weekly
basis, or on a more frequent basis if so determined by Agent (1) on behalf of Swing Lender, with
respect to the outstanding Swing Loans, (2) for itself, with respect to the outstanding Protective
Advances, and (3) with respect to Borrowers’ or their Subsidiaries’ Collections or payments
received, as to each by notifying the Lenders by telecopy, telephone, or other similar form of
transmission, of such requested Settlement, no later than 2:00 p.m. (California time) on the
Business Day immediately prior to the date of such requested Settlement (the date of such requested
Settlement being the “Settlement Date”). Such notice of a Settlement Date shall include a
summary statement of the amount of outstanding Advances, Swing Loans, and Protective Advances for
the period since the prior Settlement Date. Subject to the terms and conditions contained herein
(including Section 2.3(c)(iii)): (y) if a Lender’s balance of the Advances (including Swing
Loans and Protective Advances) exceeds such Lender’s Pro Rata Share of the Advances (including
Swing Loans and Protective Advances) as of a Settlement Date, then Agent shall, by no later than
12:00 p.m. (California time) on the Settlement Date, transfer in immediately available funds to a
Deposit Account of such Lender (as such Lender may designate), an amount such that each such Lender
shall, upon receipt of such amount, have as of the Settlement Date, its Pro Rata Share of the
Advances (including Swing Loans and Protective Advances), and (z) if a Lender’s balance of the
Advances (including Swing Loans and Protective Advances) is less than such Lender’s Pro Rata Share
of the Advances (including Swing Loans and Protective Advances) as of a Settlement Date, such
Lender shall no later than 12:00 p.m. (California time) on the Settlement Date transfer in
immediately available funds to Agent’s Account, an amount such that each such Lender shall, upon
transfer of such amount, have as of the Settlement Date, its Pro Rata Share of the Advances
(including Swing Loans and Protective Advances). Such amounts made available to Agent under clause
(z) of the immediately preceding sentence shall be applied against the amounts of the applicable
Swing Loans or Protective Advances and, together with the portion of such Swing Loans or Protective
Advances representing Swing Lender’s Pro Rata Share thereof, shall constitute Advances of such
Lenders. If any such amount is not made available to Agent by any Lender on the Settlement Date
applicable thereto to the extent required by the terms hereof, Agent shall be entitled to recover
for its account such amount on demand from such Lender together with interest thereon at the
Defaulting Lender Rate.

               (ii) In determining whether a Lender’s balance of the Advances, Swing Loans,
and Protective Advances is less than, equal to, or greater than such Lender’s Pro Rata Share of the
Advances, Swing Loans, and Protective Advances as of a Settlement Date, Agent shall, as part of the
relevant Settlement, apply to such balance the portion of payments actually received in good funds
by Agent with respect to principal, interest and fees payable by Borrowers and allocable to the
Lenders hereunder, and proceeds of Collateral.

               (iii) Between Settlement Dates, Agent, to the extent Protective Advances or
Swing Loans are outstanding, may pay over to Agent or Swing Lender, as applicable, any Collections
or payments received by Agent, that in accordance with the terms of this Agreement would be applied
to the reduction of the Advances, for application to the Protective Advances or Swing Loans.
Between Settlement Dates, Agent, to the extent no Protective Advances or Swing Loans are
outstanding, may pay over to Swing Lender any Collections or payments received by Agent, that in
accordance with the terms of this Agreement would be applied to the reduction of the Advances, for
application to Swing Lender’s Pro Rata Share of the Advances. If, as of any Settlement Date,
Collections or payments of Parent or its Subsidiaries received since the then immediately preceding
Settlement Date have been applied to Swing Lender’s Pro Rata Share of the Advances other than to
Swing Loans, as provided for in the previous sentence, Swing Lender shall pay to Agent for the
accounts of the Lenders, and Agent shall pay to the Lenders, to be applied to the outstanding
Advances of such Lenders, an amount such that each Lender shall, upon receipt of such amount, have,
as of such Settlement Date, its Pro Rata Share of the Advances. During the period between
Settlement Dates, Swing Lender with respect to Swing Loans, Agent with respect to Protective
Advances, and each Lender (subject to the effect of agreements between Agent and individual
Lenders) with respect to the Advances other than Swing Loans and Protective Advances, shall be
entitled to interest at the applicable rate or rates payable under this Agreement on the daily
amount of funds employed by Swing Lender, Agent, or the Lenders, as applicable.

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          (f) Notation. Agent, as a non-fiduciary agent for Borrowers, shall maintain a register
showing the principal amount of the Advances, owing to each Lender, including the Swing Loans owing
to Swing Lender, and Protective Advances owing to Agent, and the interests therein of each Lender,
from time to time and such register shall, absent manifest error, conclusively be presumed to be
correct and accurate.

          (g) Lenders’ Failure to Perform. All Advances (other than Swing Loans and Protective
Advances) shall be made by the Lenders contemporaneously and in accordance with their Pro Rata
Shares. It is understood that (i) no Lender shall be responsible for any failure by any other
Lender to perform its obligation to make any Advance (or other extension of credit) hereunder, nor
shall any Revolver Commitment of any Lender be increased or decreased as a result of any failure by
any other Lender to perform its obligations hereunder, and (ii) no failure by any Lender to perform
its obligations hereunder shall excuse any other Lender from its obligations hereunder.

     2.4 Payments; Reductions of Revolver Commitments; Prepayments.

          (a) Payments by Borrowers.

               (i) Except as otherwise expressly provided herein, all payments by Borrowers
shall be made to Agent’s Account for the account of the Lender Group and shall be made in
immediately available funds, no later than 11:00 a.m. (California time) on the date specified
herein. Any payment received by Agent later than 11:00 a.m. (California time) shall be deemed to
have been received on the following Business Day and any applicable interest or fee shall continue
to accrue until such following Business Day.

               (ii) Unless Agent receives notice from Administrative Borrower prior to the date
on which any payment is due to the Lenders that Borrowers will not make such payment in full as
and when required, Agent may assume that Borrowers have made (or will make) such payment in full
to Agent on such date in immediately available funds and Agent may (but shall not be so required),
in reliance upon such assumption, distribute to each Lender on such due date an amount equal to
the amount then due such Lender. If and to the extent Borrowers do not make such payment in full
to Agent on the date when due, each Lender severally shall repay to Agent on demand such amount
distributed to such Lender, together with interest thereon at the Defaulting Lender Rate for each
day from the date such amount is distributed to such Lender until the date repaid.

          (b) Apportionment and Application.

               (i) So long as no Application Event has occurred and is continuing and except
as otherwise provided with respect to Defaulting Lenders, all principal and interest payments shall
be apportioned ratably among the Lenders (according to the unpaid principal balance of the
Obligations to which such payments relate held by each Lender) and all payments of fees and
expenses (other than fees or expenses that are for Agent’s separate account) shall be apportioned
ratably among the Lenders having a Pro Rata Share of the Revolver Commitment or Obligation to which
a particular fee or expense relates. All payments to be made hereunder by Borrowers shall be
remitted to Agent and all (subject to Section 2.4 (b)(iv), Section 2.4(d)(ii), and
Section 2.4(e)) such payments, and all proceeds of Collateral received by Agent, shall be
applied, so long as no Application Event has occurred and is continuing, to reduce the balance of
the Advances outstanding and, thereafter, to Borrowers (to be wired to the Designated Account) or
such other Person entitled thereto under applicable law.

               (ii) At any time that an Application Event has occurred and is continuing and
except as otherwise provided with respect to Defaulting Lenders, all payments remitted to Agent
and all proceeds of Collateral received by Agent shall be applied as follows:

                    (A) first, to pay any Lender Group Expenses (including cost or expense
reimbursements) or indemnities then due to Agent under the Loan Documents, until paid in full,

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                    (B) second, to pay any fees or premiums then due to Agent under the Loan Documents
until paid in full,

                    (C) third, to pay interest due in respect of all Protective Advances until paid in
full,

                    (D) fourth, to pay the principal of all Protective Advances until paid in full,

                    (E) fifth, ratably to pay any Lender Group Expenses
(including cost or expense reimbursements) or indemnities then due to any of the Lenders under the Loan Documents,
until paid in full,

                    (F) sixth, ratably to pay any fees or premiums then due to any of the Lenders under
the Loan Documents until paid in full,

                    (G) seventh, ratably to pay interest due in respect of the Advances (other than
Protective Advances) and the Swing Loans until paid in full,

                    (H) eighth, ratably (i) to pay the principal of all Swing Loans until paid
in full, (ii) to pay the principal of all Advances until paid in full, (iii) to Agent, to be held
by Agent, for the benefit of Issuing Lender (and for the ratable benefit of each of the Lenders
that have an obligation to pay to Agent, for the account of the Issuing Lender, a share of each
Letter of Credit Disbursement), as cash collateral in an amount up to 105% of the Letter of Credit
Usage (which cash collateral shall be applied to the reimbursement of any Letter of Credit
Disbursement as and when such disbursement occurs and, if a Letter of Credit expires undrawn, the
cash collateral held by Agent in respect of such Letter of Credit shall be reapplied pursuant to
this Section 2.4(b)(ii), beginning with tier (A) hereof), and (iv) ratably, to the Bank
Product Providers on account of all amounts then due and payable in respect of Bank Product
Obligations, with any balance to be paid to Agent, to be held by Agent, for the ratable benefit of
the Bank Product Providers, as cash collateral in an amount up to the amount the Bank Product
Providers reasonably determine to be the credit exposure of Parent and its Subsidiaries in respect
of Bank Product Obligations (which cash collateral shall be applied, ratably, to the payment or
reimbursement of any amounts due and payable with respect to such Bank Product Obligations as and
when such amounts first become due and payable and, if any such Bank Product Obligation is paid or
otherwise satisfied in full, the cash collateral held by Agent in respect of such Bank Product
Obligation shall be reapplied pursuant to this Section 2.4(b)(ii), beginning with tier (A)
hereof),

                    (I) ninth, to pay any other Obligations, and

                    (J) tenth, to Borrowers (to be wired to the Designated Account) or such other
Person entitled thereto under applicable law.

               (iii) Agent promptly shall distribute to each Lender, pursuant to the applicable
wire instructions received from each Lender in writing, such funds as it may be entitled to
receive, subject to a Settlement delay as provided in Section 2.3(e).

               (iv) In each instance, so long as no Application Event has occurred and is
continuing, Section 2.4(b)(i) shall not apply to any payment made by Borrowers to Agent
and specified by Borrowers to be for the payment of specific Obligations then due and payable (or
prepayable) under any provision of this Agreement or any other Loan Document.

               (v) For purposes of Section 2.4(b)(ii), “paid in full” means payment in cash of
all amounts owing under the Loan Documents, including loan fees, service fees, professional fees,
interest (and specifically including interest accrued after the commencement of any Insolvency
Proceeding), default interest,

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interest on interest, and expense reimbursements, whether or not any of the foregoing would be or
is allowed or disallowed in whole or in part in any Insolvency Proceeding.

               (vi) In the event of a direct conflict between the priority provisions of this
Section 2.4 and any other provision contained in any other Loan Document, it is the
intention of the parties hereto that such provisions be read together and construed, to the
fullest extent possible, to be in concert with each other. In the event of any actual,
irreconcilable conflict that cannot be resolved as aforesaid, the terms and provisions of this
Section 2.4 shall control and govern.

          (c) Reduction of Revolver Commitments. The Revolver Commitments shall terminate on the
Maturity Date. Borrowers may reduce the Revolver Commitments to an amount not less than the
greater of (i) $50,000,000 and (ii) the sum of (A) the Revolver Usage as of such date, plus (B) the
principal amount of all Advances not yet made as to which a request has been given by
Administrative Borrower under Section 2.3(a), plus (C) the amount of all Letters of Credit
not yet issued as to which a request has been given by Administrative Borrower pursuant to
Section 2.11(a). Each such reduction shall be in an amount which is not less than
$5,000,000, shall be made by providing not less than 10 Business Days prior written notice to Agent
and shall be irrevocable. Once reduced, the Revolver Commitments may not be increased. Each such
reduction of the Revolver Commitments shall reduce the Revolver Commitments of each
Lender proportionately in accordance with its Pro Rata Share thereof.

          (d) Optional Prepayments. Borrowers may prepay the principal of any Advance at any time in
whole or in part.

          (e) Mandatory Prepayments. If, at any time, (A) the Revolver Usage on such date exceeds (B)
the Borrowing Base (such excess being referred to as the “Borrowing Base Excess”), then
Borrowers shall promptly, but in any event, within 1 Business Day prepay the Obligations in
accordance with Section 2.4(f)(i) in an aggregate amount equal to the Borrowing Base
Excess.

          (f) Application of Payments. Each prepayment pursuant to Section 2.4(e) shall, (A) so
long as no Application Event shall have occurred and be continuing, be applied, first, to the
outstanding principal amount of the Advances until paid in full, and second, to cash collateralize
the Letters of Credit in an amount equal to 105% of the then extant Letter of Credit Usage, and (B)
if an Application Event shall have occurred and be continuing, be applied in the manner set forth
in Section 2.4(b)(ii).

          (g) Application of Payments Between LIBOR and Base Rate Loans. If one or more LIBOR Rate Loans
are outstanding, along with Base Rate Loans, all payments from Borrowers applied to the Advances
pursuant to Section 2.4(a) or Section 2.4(f), shall be applied first to the principal amount of the
Base Rate Loans outstanding, and then to the principal amount of the LIBOR Rate Loans, and if there
is more than one (1) LIBOR Rate Loan outstanding, the payments shall be applied to the LIBOR Rate
Loans in the order of the occurrence of the last day of the Interest Periods for such Advances.

     2.5 Overadvances. If, at any time or for any reason, the amount of Obligations owed
by Borrowers to the Lender Group pursuant to Section 2.1 or Section 2.11 is greater
than any of the limitations set forth in Section 2.1 or Section 2.11, as applicable
(an “Overadvance”), Borrowers shall promptly, but in any event, within 1 Business Day of
the initial occurrence of an Overadvance pay to Agent, in cash, the amount of such excess, which
amount shall be used by Agent to reduce the Obligations in accordance with the priorities set forth
in Section 2.4(b). Borrowers promise to pay the Obligations (including principal, interest,
fees, costs, and expenses) in Dollars in full on the Maturity Date or, if earlier, on the date on
which the Obligations are declared due and payable pursuant to the terms of this Agreement.

     2.6 Interest Rates and Letter of Credit Fee: Rates, Payments, and Calculations.

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          (a) Interest Rates. Except as provided in Section 2.6(c), all Obligations (except
for undrawn Letters of Credit and except for Bank Product Obligations) that have been charged to
the Loan Account pursuant to the terms hereof shall bear interest on the Daily Balance thereof as
follows:

               (i) if the relevant Obligation is a LIBOR Rate Loan, at a per annum rate equal to the
LIBOR Rate plus the LIBOR Rate Margin, and

               (ii) otherwise, at a per annum rate equal to the Base Rate plus the Base Rate Margin.

          (b) Letter of Credit Fee. Borrowers shall pay Agent (for the ratable benefit of the Lenders
with a Revolver Commitment, subject to any agreements between Agent and individual Lenders), a
Letter of Credit fee (in addition to the charges, commissions, fees, and costs set forth in
Section 2.11(e)) which shall accrue at a per annum rate equal to the LIBOR Rate Margin
times the Daily Balance of the undrawn amount of all outstanding Letters of Credit.

          (c) Default Rate. Upon the occurrence and during the continuation of an Event of Default and
at the election of the Required Lenders,

               (i) all Obligations (except for undrawn Letters of Credit and except for Bank
Product Obligations) that have been charged to the Loan Account pursuant to the terms hereof shall
bear interest on the Daily Balance thereof at a per annum rate equal to 2 percentage points above
the per annum rate otherwise applicable hereunder, and

               (ii) the Letter of Credit fee provided for in Section 2.6(b) shall be increased to
2 percentage points above the per annum rate otherwise applicable hereunder.

          (d) Payment. Except to the extent provided to the contrary in Section 2.10 or
Section 2.12(a), interest, Letter of Credit fees, all other fees payable hereunder or under
any of the other Loan Documents, and all costs, expenses, and Lender Group Expenses payable
hereunder or under any of the other Loan Documents shall be due and payable, in arrears, on the
first day of each month at any time that Obligations or Revolver Commitments are outstanding.
Borrowers hereby authorize Agent, from time to time without prior notice to Borrowers, to charge
all interest, Letter of Credit fees, and all other fees payable hereunder or under any of the other
Loan Documents (in each case, as and when due and payable), all costs, expenses, and Lender Group
Expenses payable hereunder or under any of the other Loan Documents (in each case, as and when
incurred), all charges, commissions, fees, and costs provided for in Section 2.11(e) (as
and when accrued or incurred), all fees and costs provided for in Section 2.10 (as and when
accrued or incurred), and all other payments as and when due and payable under any Loan Document
(including any amounts due and payable to the Bank Product Providers in respect of Bank Products)
to the Loan Account, which amounts thereafter shall constitute Advances hereunder and shall accrue
interest at the rate then applicable to Advances that are Base Rate Loans. Any interest, fees,
costs, expenses, Lender Group Expenses, or other amounts payable hereunder or under any other Loan
Document not paid when due shall be compounded by being charged to the Loan Account and shall
thereafter constitute Advances hereunder and shall accrue interest at the rate then applicable to
Advances that are Base Rate Loans (unless and until converted into LIBOR Rate Loans in accordance
with the terms of this Agreement).

          (e) Computation. All interest and fees chargeable under the Loan Documents shall be computed
on the basis of a 360 day year, in each case, for the actual number of days elapsed in the period
during which the interest or fees accrue. In the event the Base Rate is changed from time to time
hereafter, the rates of interest hereunder based upon the Base Rate automatically and immediately
shall be increased or decreased by an amount equal to such change in the Base Rate.

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          (f) Intent to Limit Charges to Maximum Lawful Rate. In no event shall the interest rate or
rates payable under this Agreement, plus any other amounts paid in connection herewith, exceed the
highest rate permissible under any law that a court of competent jurisdiction shall, in a final
determination, deem applicable. Borrowers and the Lender Group, in executing and delivering this
Agreement, intend legally to agree upon the rate or rates of interest and manner of payment stated
within it; provided, however, that, anything contained herein to the contrary
notwithstanding, if said rate or rates of interest or manner of payment exceeds the maximum
allowable under applicable law, then, ipso facto, as of the date of this Agreement, Borrowers are
and shall be liable only for the payment of such maximum as allowed by law, and payment received
from Borrowers in excess of such legal maximum, whenever received, shall be applied to reduce the
principal balance of the Obligations to the extent of such excess.

     2.7 Crediting Payments. The receipt of any payment item by Agent shall not be
considered a payment on account unless such payment item is a wire transfer of immediately
available federal funds made to Agent’s Account or unless and until such payment item is honored
when presented for payment. Should any payment item not be honored when presented for payment,
then Borrowers shall be deemed not to have made such payment and interest shall be calculated
accordingly. Anything to the contrary contained herein notwithstanding, any payment item shall be
deemed received by Agent only if it is received into Agent’s Account on a Business Day on or before
11:00 a.m. (California time). If any payment item is received into Agent’s Account on a
non-Business Day or after 11:00 a.m. (California time) on a Business Day, it shall be deemed to
have been received by Agent as of the opening of business on the immediately following Business
Day.

     2.8 Designated Account. Agent is authorized to make the Advances, and Issuing Lender
is authorized to issue the Letters of Credit, under this Agreement based upon telephonic or other
instructions received from anyone purporting to be an Authorized Person or, without instructions,
if pursuant to Section 2.6(d). Administrative Borrower agrees to establish and maintain the
Designated Account with the Designated Account Bank for the purpose of receiving the proceeds of
the Advances requested by Borrowers and made by Agent or the Lenders hereunder. Unless otherwise
agreed by Agent and Borrowers, any Advance or Swing Loan requested by Borrowers and made by Agent
or the Lenders hereunder shall be made to the Designated Account.

     2.9 Maintenance of Loan Account; Statements of Obligations. Agent shall maintain an
account on its books in the name of Borrowers (the “Loan Account”) on which Borrowers will
be charged with all Advances (including Protective Advances and Swing Loans) made by Agent, Swing
Lender, or the Lenders to Borrowers or for Borrowers’ account, the Letters of Credit issued or made
by Issuing Lender for Borrowers’ account, and with all other payment Obligations hereunder or under
the other Loan Documents (except for Bank Product Obligations), including, accrued interest, fees
and expenses, and Lender Group Expenses. In accordance with Section 2.7, the Loan Account
will be credited with all payments received by Agent from Borrowers or for Borrowers’ account.
Agent shall render monthly statements regarding the Loan Account to Administrative Borrower,
including principal, interest, fees, and including an itemization of all charges and expenses
constituting Lender Group Expenses owing, and such statements, absent manifest error, shall be
conclusively presumed to be correct and accurate and constitute an account stated between Borrowers
and the Lender Group unless, within 30 days after receipt thereof by Administrative Borrower,
Administrative Borrower shall deliver to Agent written objection thereto describing the error or
errors contained in any such statements.

     2.10 Fees. Borrowers shall pay to Agent,

          (a) for the account of Agent, as and when due and payable under the terms of the Fee Letter,
the fees set forth in the Fee Letter; and

          (b) for the ratable account of those Lenders with Revolver Commitments, on the first day of
each month from and after the Closing Date up to the first day of the month prior to the Payoff
Date and on

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the Payoff Date, an unused line fee in an amount equal to the Unused Line Margin times the result
of (i) the Maximum Revolver Amount, less (ii) the average Daily Balance of the Revolver Usage
during the immediately preceding month (or portion thereof).

     2.11 Letters of Credit.

          (a) Subject to the terms and conditions of this Agreement, upon the request of Administrative
Borrower made in accordance herewith, the Issuing Lender agrees to issue, or to cause an Underlying
Issuer, as Issuing Lender’s agent, to issue, a requested Letter of Credit. If Issuing Lender, at
its option, elects to cause an Underlying Issuer to issue a requested Letter of Credit, then
Issuing Lender agrees that it will obligate itself to reimburse such Underlying Issuer (which may
include, among, other means, by becoming an applicant with respect to such Letter of Credit or
entering into undertakings which provide for reimbursements of such Underlying Issuer with respect
to such Letter of Credit; each such obligation or undertaking, irrespective of whether in writing,
a “Reimbursement Undertaking”) with respect to Letters of Credit issued by such Underlying
Issuer. By submitting a request to Issuing Lender for the issuance of a Letter of Credit,
Administrative Borrower shall be deemed to have requested that Issuing Lender issue or that an
Underlying Issuer issue the requested Letter of Credit and to have requested Issuing Lender to
issue a Reimbursement Undertaking with respect to such requested Letter of Credit if it is to be
issued by an Underlying Issuer (it being expressly acknowledged and agreed by Borrowers that
Administrative Borrower is and shall be deemed to be an applicant (within the meaning of Section
5-102(a)(2) of the Code) with respect to each Underlying Letter of Credit). Each request for the
issuance of a Letter of Credit, or the amendment, renewal, or extension of any outstanding Letter
of Credit, shall be made in writing by an Authorized Person and delivered to the Issuing Lender via
hand delivery, telefacsimile, or other electronic method of transmission reasonably in advance of
the requested date of issuance, amendment, renewal, or extension. Each such request shall be in
form and substance reasonably satisfactory to the Issuing Lender and shall specify (i) the amount
of such Letter of Credit, (ii) the date of issuance, amendment, renewal, or extension of such
Letter of Credit, (iii) the expiration date of such Letter of Credit, (iv) the name and address of
the beneficiary of the Letter of Credit, and (v) such other information (including, in the case of
an amendment, renewal, or extension, identification of the Letter of Credit to be so amended,
renewed, or extended) as shall be necessary to prepare, amend, renew, or extend such Letter of
Credit. Anything contained herein to the contrary notwithstanding, the Issuing Lender may, but
shall not be obligated to, issue or cause the issuance of a Letter of Credit or to issue a
Reimbursement Undertaking in respect of an Underlying Letter of Credit, in either case, that
supports the obligations of Parent or its Subsidiaries in respect of (1) a lease of real property,
or (2) an employment contract. Borrowers agree that this Agreement (along with the terms of the
applicable application) will govern each Letter of Credit and its issuance. The Issuing Lender
shall have no obligation to issue a Letter of Credit or a Reimbursement Undertaking in respect of
an Underlying Letter of Credit, in either case, if any of the following would result after giving
effect to the requested issuance:

               (i) the Letter of Credit Usage would exceed the Borrowing Base less the outstanding
amount of Advances, or

               (ii) the Letter of Credit Usage would exceed $10,000,000, or

               (iii) the Letter of Credit Usage would exceed the Maximum Revolver Amount less the
outstanding amount of Advances.

          Each Letter of Credit shall be in form and substance reasonably acceptable to the Issuing
Lender, including the requirement that the amounts payable thereunder must be payable in Dollars.
If Issuing Lender makes a payment under a Letter of Credit or an Underlying Issuer makes a payment
under an Underlying Letter of Credit, Borrowers shall pay to Agent an amount equal to the
applicable Letter of Credit Disbursement on the date such Letter of Credit Disbursement is made
and, in the absence of such payment, the amount of the Letter of Credit Disbursement immediately
and automatically shall be deemed to be an Advance hereunder and, initially, shall bear interest
at the rate then applicable to Advances that are Base Rate Loans. If

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TREATMENT REQUESTED

a Letter of Credit Disbursement is deemed to be an Advance hereunder, Borrowers’ obligation to pay
the amount of such Letter of Credit Disbursement to Issuing Lender shall be discharged and
replaced by the resulting Advance. Promptly following receipt by Agent of any payment from
Borrowers pursuant to this paragraph, Agent shall distribute such payment to the Issuing Lender
or, to the extent that Lenders have made payments pursuant to Section 2.11(b) to reimburse
the Issuing Lender, then to such Lenders and the Issuing Lender as their interests may appear.

          (b) Promptly following receipt of a notice of a Letter of Credit Disbursement pursuant to
Section 2.11(a), each Lender with a Revolver Commitment agrees to fund its Pro Rata
Share of any Advance deemed made pursuant to Section 2.11(a) on the same terms and conditions as if
Borrowers had requested the amount thereof as an Advance and Agent shall promptly pay to Issuing Lender the amounts so
received by it from the Lenders. By the issuance of a Letter of Credit or a Reimbursement Undertaking (or an
amendment to a Letter of Credit or a Reimbursement Undertaking increasing the amount thereof) and without
any further action on the part of the Issuing Lender or the Lenders with Revolver Commitments, the Issuing
Lender shall be deemed to have granted to each Lender with a Revolver Commitment, and each Lender with a
Revolver Commitment shall be deemed to have purchased, a participation in each Letter of Credit issued
by Issuing Lender and each Reimbursement Undertaking, in an amount equal to its Pro Rata Share of such
Letter of Credit or Reimbursement Undertaking, and each such Lender agrees to pay to Agent, for the
account of the Issuing Lender, such Lender’s Pro Rata Share of any Letter of Credit Disbursement made by
Issuing Lender or an Underlying Issuer under the applicable Letter of Credit. In consideration and in
furtherance of the foregoing, each Lender with a Revolver Commitment hereby absolutely and unconditionally agrees
to pay to Agent, for the account of the Issuing Lender, such Lender’s Pro Rata Share of each Letter of
Credit Disbursement made by Issuing Lender or an Underlying Issuer and not reimbursed by Borrowers on
the date due as provided in Section 2.11(a), or of any reimbursement payment required to be
refunded to Borrowers for any reason. Each Lender with a Revolver Commitment acknowledges and agrees that its obligation
to deliver to Agent, for the account of the Issuing Lender, an amount equal to its respective Pro Rata
Share of each Letter of Credit Disbursement pursuant to this Section 2.11(b) shall be absolute and
unconditional and such
remittance shall be made notwithstanding the occurrence or continuation of an Event of Default
or Default or the failure to satisfy any condition set forth in Section 3. If any such Lender fails
to make available to Agent
the amount of such Lender’s Pro Rata Share of a Letter of Credit Disbursement as provided in
this Section, such Lender shall be deemed to be a Defaulting Lender and Agent (for the account of the
Issuing Lender) shall be entitled to recover such amount on demand from such Lender together with interest thereon
at the Defaulting Lender Rate until paid in full.

          (c) Each Borrower hereby agrees to indemnify, save, defend, and hold the Lender Group
and each Underlying Issuer harmless from any loss, cost, expense, or liability, and reasonable
attorneys fees incurred by Issuing Lender, any other member of the Lender Group, or any Underlying Issuer
arising out of or in connection with any Reimbursement Undertaking or any Letter of Credit; provided,
however, that Borrowers shall not be obligated hereunder to indemnify for any loss, cost, expense, or
liability to the extent that a court of competent jurisdiction finally determines that such loss, cost, expense, or
liability resulted from the gross negligence or willful misconduct of the Issuing Lender, any other member of the
Lender Group, or any Underlying Issuer. Each Borrower agrees to be bound by the Underlying Issuer’s
regulations and interpretations of any Letter of Credit or by Issuing Lender’s interpretations of any
Reimbursement Undertaking even though this interpretation may be different from such Borrower’s own, and
each Borrower understands and agrees that none of the Issuing Lender, the Lender Group, or any Underlying
Issuer shall be liable for any error, negligence, or mistake, whether of omission or commission, in following
Borrowers’ instructions or those contained in the Letter of Credit or any modifications, amendments, or
supplements thereto. Each Borrower understands that the Reimbursement Undertakings may require Issuing
Lender to indemnify the Underlying Issuer for certain costs or liabilities arising out of claims by
Borrowers against such Underlying Issuer. Each Borrower hereby agrees to indemnify, save, defend, and hold Issuing
Lender and the other members of the Lender Group harmless with respect to any loss, cost, expense (including
reasonable attorneys fees), or liability incurred by them as a result of the Issuing Lender’s
indemnification of an Underlying Issuer; provided, however, that no Borrower shall be obligated
hereunder to indemnify for any

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TREATMENT REQUESTED

such loss, cost, expense, or liability to the extent that it is caused by the gross negligence or
willful misconduct of the Issuing Lender or any other member of the Lender Group. Each Borrower
hereby acknowledges and agrees that none of the Issuing Lender, any other member of the Lender
Group, or any Underlying Issuer shall be responsible for delays, errors, or omissions resulting
from the malfunction of equipment in connection with any Letter of Credit.

          (d) Each Borrower hereby authorizes and directs any Underlying Issuer to deliver to the
Issuing Lender all instruments, documents, and other writings and property received by such
Underlying Issuer pursuant to such Underlying Letter of Credit and to accept and rely upon the Issuing Lender’s
instructions with respect to all matters arising in connection with such Underlying Letter of Credit and the
related application.

          (e) Any and all issuance charges, usage charges, commissions, fees, and costs incurred
by the Issuing Lender relating to Underlying Letters of Credit shall be Lender Group Expenses
for purposes of this Agreement and shall be reimbursable promptly, but in any event, within 1 Business Day by
Borrowers to Agent for the account of the Issuing Lender; it being acknowledged and agreed by Borrowers
that, as of the Closing Date, the usage charge imposed by the Underlying Issuer is .825% per annum times the
undrawn amount of each Underlying Letter of Credit, that such usage charge may be changed from time to
time, and that the Underlying Issuer also imposes a schedule of charges for amendments, extensions,
drawings, and renewals.

          (f) If by reason of (i) any change after the Closing Date in any applicable law, treaty,
rule, or regulation or any change in the interpretation or application thereof by any
Governmental Authority, or (ii) compliance by the Issuing Lender, any other member of
the Lender Group, or Underlying Issuer with any direction, request, or requirement
(irrespective of whether having the force of law) of any Governmental Authority or
monetary authority including, Regulation D of the Federal Reserve Board as from
time to time in effect (and any successor thereto):

               (i) any reserve, deposit, or similar requirement is or shall be imposed or modified in
respect of any Letter of Credit issued or caused to be issued hereunder or hereby, or

               (ii) there shall be imposed on the Issuing Lender, any other member of the
Lender Group, or Underlying Issuer any other condition regarding any Letter of Credit or
Reimbursement Undertaking,

and the result of the foregoing is to increase, directly or indirectly, the cost to the Issuing
Lender, any other member of the Lender Group, or an Underlying Issuer of issuing, making,
guaranteeing, or maintaining any Reimbursement Undertaking or Letter of Credit or to reduce the
amount receivable in respect thereof, then, and in any such case, Agent may, at any time within a
reasonable period after the additional cost is incurred or the amount received is reduced, notify
Administrative Borrower, and Borrowers shall pay within 30 days after demand therefor, such
amounts as Agent may specify to be necessary to compensate the Issuing Lender, any other member of
the Lender Group, or an Underlying Issuer for such additional cost or reduced receipt, together
with interest on such amount from the date of such demand until payment in full thereof at the
rate then applicable to Base Rate Loans hereunder; provided, however, that
Borrowers shall not be required to provide any compensation pursuant to this Section 2.11(f)
for any such amounts incurred more than 180 days prior to the date on which the demand
for payment of such amounts is first made to Borrowers; provided further, however,
that if an event or circumstance giving rise to such amounts is retroactive, then the 180-day
period referred to above shall be extended to include the period of retroactive effect thereof.
The determination by Agent of any amount due pursuant to this Section 2.11(f), as set
forth in a certificate setting forth the calculation thereof in reasonable detail, shall, in the
absence of manifest or demonstrable error, be final and conclusive and binding on all of the
parties hereto.

     2.12 LIBOR Option.

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          (a) Interest and Interest Payment Dates. In lieu of having interest charged at the rate
based upon the Base Rate, Borrowers shall have the option, subject to Section 2.12(b)
below (the “LIBOR Option”) to have interest on all or a portion of the Advances
be charged (whether at the time when made (unless otherwise provided herein), upon conversion
from a Base Rate Loan to a LIBOR Rate Loan, or upon continuation of a LIBOR Rate Loan as a LIBOR
Rate Loan) at a rate of interest based upon the LIBOR Rate. Interest on LIBOR Rate Loans shall be
payable on the earliest of (i) the last day of the Interest Period applicable thereto; (ii) the
date on which all or any portion of the Obligations are accelerated pursuant to the
terms hereof, or (iii) the date on which this Agreement is terminated pursuant to the terms
hereof. On the last day of each applicable Interest Period, unless Administrative Borrower
properly has exercised the LIBOR Option with respect thereto, the interest rate applicable
to such LIBOR Rate Loan automatically shall convert to the rate of interest then applicable
to Base Rate Loans of the same type hereunder. At any time that an Event of Default has
occurred and is continuing Borrowers no longer shall have the option to request that
Advances bear interest at a rate based upon the LIBOR Rate.

          (b) LIBOR Election.

               (i) Administrative Borrower may, at any time and from time to time, so long as
no Event of Default has occurred and is continuing, elect to exercise the LIBOR Option by
notifying Agent prior to 11:00 a.m. (California time) at least 3 Business Days prior to the
commencement of the proposed Interest Period (the “LIBOR Deadline”). Notice of
Administrative Borrower’s election of the LIBOR Option for a permitted portion of the Advances and
an Interest Period pursuant to this Section shall be made by delivery to Agent of a LIBOR Notice
received by Agent before the LIBOR Deadline, or by telephonic notice received by Agent before the
LIBOR Deadline (to be confirmed by delivery to Agent of a LIBOR Notice received by Agent prior to
5:00 p.m. (California time) on the same day). Promptly upon its receipt of each such LIBOR Notice,
Agent shall provide a copy thereof to each of the affected Lenders.

               (ii) Each LIBOR Notice shall be irrevocable and binding on Borrowers. In
connection with each LIBOR Rate Loan, each Borrower shall indemnify, defend, and hold Agent and
the Lenders harmless against any loss, cost, or expense actually incurred by Agent or any Lender
as a result of (A) the payment of any principal of any LIBOR Rate Loan other than on the last day
of an Interest Period applicable thereto (including as a result of an Event of Default), (B) the
conversion of any LIBOR Rate Loan other than on the last day of the Interest Period applicable
thereto, or (C) the failure to borrow, convert, continue or prepay any LIBOR Rate Loan on the date
specified in any LIBOR Notice delivered pursuant hereto (such losses, costs, or expenses,
“Funding Losses”). A certificate of Agent or a Lender delivered to Administrative Borrower
setting forth in reasonable detail any amount or amounts that Agent or such Lender is entitled to
receive pursuant to this Section 2.12 shall be conclusive absent manifest error. Borrowers
shall pay such amount to Agent or the Lender, as applicable, within 30 days of the date of its
receipt of such certificate. If a payment of a LIBOR Rate Loan on a day other than the last day of
the applicable Interest Period would result in a Funding Loss, Agent may, in its sole discretion
at the request of Administrative Borrower, hold the amount of such payment as cash collateral in
support of the Obligations until the last day of such Interest Period and apply such amounts to
the payment of the applicable LIBOR Rate Loan on such last day, it being agreed that Agent has no
obligation to so defer the application of payments to any LIBOR Rate Loan and that, in the event
that Agent does not defer such application, Borrowers shall be obligated to pay any resulting
Funding Losses.

               (iii) Borrowers shall have not more than 5 LIBOR Rate Loans in effect at any
given time. Borrowers only may exercise the LIBOR Option for proposed LIBOR Rate Loans of at
least $1,000,000.

          (c) Conversion. Borrowers may convert LIBOR Rate Loans to Base Rate Loans at any
time; provided, however, that in the event that LIBOR Rate Loans are converted
or prepaid on any date that is not the last day of the Interest Period applicable thereto,
including as a result of any automatic prepayment through the required application by Agent
of proceeds of Parent’s and its Non-CFC Subsidiaries’ Collections

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TREATMENT REQUESTED

in accordance with Section 2.4(b) or for any other reason, including early termination of
the term of this Agreement or acceleration of all or any portion of the Obligations pursuant to the
terms hereof, each Borrower shall indemnify, defend, and hold Agent and the Lenders and their
Participants harmless against any and all Funding Losses in accordance with Section 2.12(b)(ii).

          (d) Special Provisions Applicable to LIBOR Rate.

               (i) The LIBOR Rate may be adjusted by Agent with respect to any Lender on a
prospective basis to take into account any additional or increased costs to such Lender of
maintaining or obtaining any eurodollar deposits or increased costs, in each case, due to changes
in applicable law occurring subsequent to the commencement of the then applicable Interest Period,
including changes in tax laws (except changes of general applicability in corporate income tax
laws) and changes in the reserve requirements imposed by the Board of Governors of the Federal
Reserve System (or any successor), excluding the Reserve Percentage, which additional or increased
costs would increase the cost of funding or maintaining loans bearing interest at the LIBOR Rate.
In any such event, the affected Lender shall give Administrative Borrower and Agent notice of such
a determination and adjustment and Agent promptly shall transmit the notice to each other Lender
and, upon its receipt of the notice from the affected Lender, Administrative Borrower may, by
notice to such affected Lender (y) require such Lender to furnish to Administrative Borrower a
statement setting forth the basis for adjusting such LIBOR Rate and the method for determining the
amount of such adjustment, or (z) repay the LIBOR Rate Loans with respect to which such adjustment
is made (together with any amounts due under Section 2.12(b)(ii)).

               (ii) In the event that any change in market conditions or any law, regulation,
treaty, or directive, or any change therein or in the interpretation or application thereof, shall
at any time after the date hereof, in the reasonable opinion of any Lender, make it unlawful or
impractical for such Lender to fund or maintain LIBOR Rate Loans or to continue such funding or
maintaining, or to determine or charge interest rates at the LIBOR Rate, such Lender shall give
notice of such changed circumstances to Agent and Administrative Borrower and Agent promptly shall
transmit the notice to each other Lender and (y) in the case of any LIBOR Rate Loans of such
Lender that are outstanding, the date specified in such Lender’s notice shall be deemed to be the
last day of the Interest Period of such LIBOR Rate Loans, and interest upon the LIBOR Rate Loans
of such Lender thereafter shall accrue interest at the rate then applicable to Base Rate Loans,
and (z) Borrowers shall not be entitled to elect the LIBOR Option until such Lender determines
that it would no longer be unlawful or impractical to do so.

          (e) No Requirement of Matched Funding. Anything to the contrary contained herein
notwithstanding, neither Agent, nor any Lender, nor any of their Participants, is required
actually to acquire eurodollar deposits to fund or otherwise match fund any Obligation as to which interest
accrues at the LIBOR Rate.

     2.13 Capital Requirements.

          (a) If, after the date hereof, any Lender determines that (i) the adoption of or change in
any law, rule, regulation or guideline regarding capital requirements for banks or bank holding
companies, or any change in the interpretation or application thereof by any Governmental
Authority charged with the administration thereof, or (ii) compliance by such Lender or its parent
bank holding company with any guideline, request or directive of any such entity regarding capital
adequacy (whether or not having the force of law), has the effect of reducing the return on such
Lender’s or such holding company’s capital as a consequence of such Lender’s Revolver Commitments
hereunder to a level below that which such Lender or such holding company could have achieved but
for such adoption, change, or compliance (taking into consideration such Lender’s or such holding
company’s then existing policies with respect to capital adequacy and assuming the full
utilization of such entity’s capital) by any amount deemed by such Lender to be material, then
such Lender may notify Administrative Borrower and Agent thereof. Following receipt of such
notice, Borrowers agree to pay such Lender on demand the amount of such reduction of return of
capital as and when

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TREATMENT REQUESTED

such reduction is determined, payable within 30 days after presentation by such Lender of a
statement in the amount and setting forth in reasonable detail such Lender’s calculation thereof
and the assumptions upon which such calculation was based (which statement shall be deemed true and
correct absent manifest error). In determining such amount, such Lender may use any reasonable
averaging and attribution methods. Failure or delay on the part of any Lender to demand
compensation pursuant to this Section shall not constitute a waiver of such Lender’s right to
demand such compensation; provided that Borrowers shall not be required to compensate a
Lender pursuant to this Section for any reductions in return incurred more than 180 days prior to
the date that such Lender notifies Administrative Borrower of such law, rule, regulation or
guideline giving rise to such reductions and of such Lender’s intention to claim compensation
therefor; provided further that if such claim arises by reason of the adoption of or change
in any law, rule, regulation or guideline that is retroactive, then the 180-day period referred to
above shall be extended to include the period of retroactive effect thereof.

          (b) If any Lender requests reimbursement for additional or increased costs referred to in
Section 2.12(d)(i) or amounts under Section 2.13 (a) (any such Lender, an
“Affected Lender”), then such Affected Lender shall use reasonable efforts to promptly
designate a different one of its lending offices or to assign its rights and obligations hereunder
to another of its offices or branches, if (i) in the reasonable judgment of such Affected Lender,
such designation or assignment would eliminate or reduce amounts payable pursuant to Section
2.12(d)(i) or Section 2.13(a), as applicable, and (ii) in the reasonable judgment of
such Affected Lender, such designation or assignment would not subject it to any material
unreimbursed cost or expense and would not otherwise be materially disadvantageous to it.
Borrowers agree to pay all reasonable out-of-pocket costs and expenses incurred by such Affected
Lender in connection with any such designation or assignment. If, after such reasonable efforts,
such Affected Lender does not so designate a different one of its lending offices or assign its
rights to another of its offices or branches so as to eliminate Borrowers’ obligation to pay any
future amounts to such Affected Lender pursuant to Section 2.12(d)(i) or Section
2.13(a), as applicable, then Borrowers (without prejudice to any amounts then due to such
Affected Lender under Section 2.12(d)(i) or Section 2.13(a), as applicable) may,
unless prior to the effective date of any such assignment the Affected Lender withdraws its
request for such additional amounts under Section 2.12(d)(i) or Section 2.13(a),
as applicable, may seek a substitute Lender reasonably acceptable to Agent to purchase the
Obligations owed to such Affected Lender and such Affected Lender’s Revolver Commitments hereunder
(a “Replacement Lender”), and if such Replacement Lender agrees to such purchase, such
Affected Lender shall assign to the Replacement Lender its Obligations and Revolver Commitments,
pursuant to an Assignment and Acceptance Agreement, and upon such purchase by the Replacement
Lender, such Replacement Lender shall be deemed to be a “Lender” for purposes of this Agreement
and such Affected Lender shall cease to be a “Lender” for purposes of this Agreement.

     2.14 Joint and Several Liability of Borrowers.

          (a) Each Borrower is accepting joint and several liability hereunder and under the other
Loan Documents in consideration of the financial accommodations to be provided by the Lender
Group under this Agreement, for the mutual benefit, directly and indirectly, of each Borrower and in
consideration of the undertakings of the other Borrowers to accept joint and several liability for the Obligations.

          (b) Each Borrower, jointly and severally, hereby irrevocably and unconditionally
accepts, not merely as a surety but also as a co-debtor, joint and several liability with the
other Borrowers, with respect to the payment and performance of all of the Obligations
(including any Obligations arising under this Section 2.14). it being the intention
of the parties hereto that all the Obligations shall be the joint and several
obligations of each Borrower without preferences or distinction among them.

          (c) If and to the extent that any Borrower shall fail to make any payment with respect to
any of the Obligations as and when due or to perform any of the Obligations in accordance with
the terms thereof, then in each such event the other Borrowers will make such payment with respect to,
or perform, such Obligation.

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          (d) The Obligations of each Borrower under the provisions of this Section 2.14
constitute the absolute and unconditional, full recourse Obligations of each Borrower
enforceable against each
Borrower to the full extent of its properties and assets, irrespective of the validity,
regularity or enforceability of this Agreement or any other circumstances whatsoever.

          (e) Except as otherwise expressly provided in this Agreement, each Borrower hereby
waives notice of acceptance of its joint and several liability, notice of any Advances or
Letters of Credit issued under or pursuant to this Agreement, notice of the occurrence of any Default, Event of
Default, or of any demand for any payment under this Agreement, notice of any action at any time taken or omitted
by Agent or Lenders under or in respect of any of the Obligations, any requirement of diligence or to
mitigate damages and, generally, to the extent permitted by applicable law, all demands,
notices and other formalities of every kind in connection with this Agreement (except as
otherwise provided in this Agreement). Each Borrower hereby assents to, and waives notice
of, any extension or postponement of the time for the payment of
any of the Obligations, the acceptance of any payment of any of the Obligations, the acceptance of any
partial payment thereon, any waiver, consent or other action or acquiescence by Agent or Lenders at any time
or times in respect of any default by any Borrower in the performance or satisfaction of any term,
covenant, condition or provision of this Agreement, any and all other indulgences whatsoever by Agent or Lenders in
respect of any of the Obligations, and the taking, addition, substitution or release, in whole or in part, at
any time or times, of any security for any of the Obligations or the addition, substitution or release, in whole or
in part, of any Borrower. Without limiting the generality of the foregoing, each Borrower assents to any other
action or delay in acting or failure to act on the part of any Agent or Lender with respect to the failure by
any Borrower to comply with any of its respective Obligations, including, without limitation, any failure
strictly or diligently to assert any right or to pursue any remedy or to comply fully with applicable laws or
regulations thereunder, which might, but for the provisions of this Section 2.14 afford grounds for
terminating, discharging or relieving any Borrower, in whole or in part, from any of its Obligations under this
Section 2.14, it being the intention of each Borrower that, so long as any of the Obligations hereunder remain
unsatisfied, the Obligations of each Borrower under this Section 2.14 shall not be discharged except by
performance and then only to the extent of such performance. The Obligations of each Borrower under this
Section 2.14 shall not be diminished or rendered unenforceable by any winding up, reorganization, arrangement,
liquidation, reconstruction or similar proceeding with respect to any Borrower or any Agent or Lender.

          (f) Each Borrower represents and warrants to Agent and Lenders that such Borrower is
currently informed of the financial condition of Borrowers and of all other circumstances
which a diligent inquiry would reveal and which bear upon the risk of nonpayment of the Obligations. Each
Borrower further represents and warrants to Agent and Lenders that such Borrower has read and understands the
terms and conditions of the Loan Documents. Each Borrower hereby covenants that such Borrower will
continue to keep informed of Borrowers’ financial condition, the financial condition of other guarantors, if
any, and of all other circumstances which bear upon the risk of nonpayment or nonperformance of the Obligations.

          (g) Each Borrower waives all rights and defenses arising out of an election of remedies
by Agent or any Lender, even though that election of remedies, such as a nonjudicial
foreclosure with respect to security for a guaranteed obligation, has destroyed Agent’s
or such Lender’s rights of subrogation and reimbursement against such Borrower by the
operation of Section 580(d) of the California Code of Civil Procedure or otherwise:

          (h) Each Borrower waives all rights and defenses that such Borrower may have because
the Obligations are secured by Real Property. This means, among other things:

               (i) Agent and Lenders may collect from such Borrower without first foreclosing on any
real or personal property Collateral pledged by Borrowers.

               (ii) If Agent or any Lender forecloses on any Real Property Collateral pledged by
Borrowers:

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TREATMENT REQUESTED

                    (A) The amount of the Obligations may be reduced only by the price for
which that collateral is sold at the foreclosure sale, even if the collateral is worth more
than the sale price.

                    (B) Agent and Lenders may collect from such Borrower even if Agent
or Lenders, by foreclosing on the Real Property Collateral, has destroyed any right such Borrower
may have to collect from the other Borrowers.

This is an unconditional and irrevocable waiver of any rights and defenses such Borrower may have
because the Obligations are secured by Real Property. These rights and defenses include, but are
not limited to, any rights or defenses based upon Section 580a, 580b, 580d or 726 of the
California Code of Civil Procedure.

          (i) The provisions of this Section 2.14 are made for the benefit of Agent, Lenders
and their respective successors and assigns, and may be enforced by it or them from time to time
against any or all Borrowers as often as occasion therefor may arise and without requirement on
the part of Agent, Lender, successor or assign first to marshal any of its or their claims or to
exercise any of its or their rights against any Borrower or to exhaust any remedies available to
it or them against any Borrower or to resort to any other source or means of obtaining payment of
any of the Obligations hereunder or to elect any other remedy. The provisions of this Section
2.14 shall remain in effect until all of the Obligations shall have been paid in full or
otherwise fully satisfied. If at any time, any payment, or any part thereof, made in respect of
any of the Obligations, is rescinded or must otherwise be restored or returned by Agent or any
Lender upon the insolvency, bankruptcy or reorganization of any Borrower, or otherwise, the
provisions of this Section 2.14 will forthwith be reinstated in effect, as though such
payment had not been made.

          (j) Until the Obligations have been paid in full and all of the Revolver Commitments
terminated, each Borrower hereby agrees that it will not enforce any of its rights of contribution
or subrogation against any other Borrower with respect to any liability incurred by it hereunder
or under any of the other Loan Documents, any payments made by it to Agent or Lenders with respect
to any of the Obligations or any collateral security therefor until such time as all of the
Obligations have been paid in full in cash. Any claim which any Borrower may have against any
other Borrower with respect to any payments to any Agent or Lender hereunder or under any other
Loan Documents are hereby expressly made subordinate and junior in right of payment, without
limitation as to any increases in the Obligations arising hereunder or thereunder, to the prior
payment in full in cash of the Obligations and, in the event of any insolvency, bankruptcy,
receivership, liquidation, reorganization or other similar proceeding under the laws of any
jurisdiction relating to any Borrower, its debts or its assets, whether voluntary or involuntary,
all such Obligations shall be paid in full in cash before any payment or distribution of any
character, whether in cash, securities or other property, shall be made to any other Borrower
therefor.

          (k) Each Borrower hereby agrees that, after the occurrence and during the continuance of any
Default or Event of Default, the payment of any amounts due with respect to the indebtedness owing
by any Borrower to any other Borrower is hereby subordinated to the prior payment in full in cash
of the Obligations. Each Borrower hereby agrees that after the occurrence and during the
continuance of any Default or Event of Default, such Borrower will not demand, sue for or otherwise
attempt to collect any indebtedness of any other Borrower owing to such Borrower until the
Obligations shall have been paid in full in cash. If, notwithstanding the foregoing sentence, such
Borrower shall collect, enforce or receive any amounts in respect of such indebtedness, such
amounts shall be collected, enforced and received by such Borrower as trustee for Agent, and such
Borrower shall deliver any such amounts to Agent for application to the Obligations in accordance
with Section 2.4(b).

3. CONDITIONS; TERM OF AGREEMENT.

     3.1 Conditions Precedent to the Initial Extension of Credit. The obligation of each
Lender to make its initial extension of credit provided for hereunder, is subject to the
fulfillment, to the satisfaction of Agent and each Lender of each of the conditions precedent set
forth on Schedule 3.1 (the making of such

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initial extension of credit by a Lender being conclusively deemed to be its satisfaction or waiver
of the conditions precedent).

     3.2 Conditions Precedent to all Extensions of Credit. The obligation of the Lender
Group (or any member thereof) to make any Advances hereunder (or to extend any other credit hereunder)
at any time shall be subject to the following conditions precedent:

          (a) the representations and warranties of Parent or its Subsidiaries contained in this
Agreement or in the other Loan Documents shall be true and correct in all material respects
(except that such materiality qualifier shall not be applicable to any representations and warranties that
already are qualified or
modified by materiality in the text thereof) on and as of the date of such extension of
credit, as though made on
and as of such date (except to the extent that such representations and warranties relate
solely to an earlier date); and

          (b) no
Default or Event of Default shall have occurred and be continuing on the date of
such extension of credit, nor shall either result from the making thereof.

     3.3 Maturity. This Agreement shall continue in full force and effect for a term
ending on October 2, 2013 (the “Maturity Date”); provided that if on or prior to August
12, 2010, a 2010 Event has not
occurred, then the Maturity Date shall be August 12, 2010. The foregoing notwithstanding, the
Lender Group, upon the election of the Required Lenders, shall have the right to terminate its obligations
under this Agreement immediately and without notice upon the occurrence and during the continuation of an
Event of Default.

     3.4 Effect of Maturity. On the Maturity Date, all commitments of the Lender Group to
provide additional credit hereunder shall automatically be terminated and all Obligations (including
contingent reimbursement obligations of Borrowers with respect to outstanding Letters of Credit and
including all Bank
Product Obligations) immediately shall become due and payable without notice or demand (and,
as a part of such Obligations becoming due and payable, Borrowers shall immediately and automatically be
obligated to provide (a) Letter of Credit Collateralization, and (b) Bank Product Collateralization). No
termination of the obligations of the Lender Group (other than payment in full of the Obligations and termination
of the Revolver Commitments) shall relieve or discharge any Loan Party of its duties, Obligations, or
covenants hereunder or under any other Loan Document and Agent’s Liens in the Collateral shall continue to secure the
Obligations and shall remain in effect until all Obligations have been paid in full and the Revolver
Commitments have been terminated. When all of the Obligations have been paid in full and the Lender Group’s
obligations to provide additional credit under the Loan Documents have been terminated irrevocably, Agent
will, at Borrowers’ sole expense, execute and deliver any termination statements, lien releases,
discharges of security interests, and other similar discharge or release documents (and, if applicable, in recordable
form) as are reasonably necessary to release, as of record, Agent’s Liens and all notices of security
interests and liens previously filed by Agent with respect to the Obligations.

     3.5 Early Termination by Borrowers. Borrowers have the option, at any time upon 10
Business Days prior written notice to Agent, to terminate this Agreement and terminate the
Revolver Commitments hereunder by paying to Agent the Obligations (including (a) providing Letter of
Credit Collateralization with respect to the then existing Letter of Credit Usage, and (b) providing
Bank Product Collateralization with respect to the then existing Bank Products), in full.

4. REPRESENTATIONS AND WARRANTIES.

          In order to induce the Lender Group to enter into this Agreement, each Borrower makes the
following representations and warranties to the Lender Group which shall be true, correct, and
complete, in all material respects (except that such materiality qualifier shall not be applicable
to any representations and warranties that already are qualified or modified by materiality in the
text thereof), as of the Closing Date, and

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shall be true, correct, and complete, in all material respects (except that such materiality
qualifier shall not be applicable to any representations and warranties that already are qualified
or modified by materiality in the text thereof), as of the date of the making of each Advance (or
other extension of credit) made thereafter, as though made on and as of the date of such Advance
(or other extension of credit) (except to the extent that such representations and warranties
relate solely to an earlier date) and such representations and warranties shall survive the
execution and delivery of this Agreement:

     4.1 Due Organization and Qualification; Subsidiaries.

          (a) Except as set forth on Schedule 4.1(a), each Loan Party (i) is duly organized and
existing and in good standing under the laws of the jurisdiction of its organization, (ii) is
qualified to do business in any state where the failure to be so qualified could reasonably be expected to
result in a Material
Adverse Change, and (iii) has all requisite power and authority to own and operate its
properties, to carry on its
business as now conducted and as proposed to be conducted, to enter into the Loan Documents to
which it is a party and to carry out the transactions contemplated thereby.

          (b) Set forth on Schedule 4.1(b) is a complete and accurate description of the
authorized capital Stock of each Borrower, by class, and, as of the Closing Date, a description of the
number of shares of each such class that are issued and outstanding. Other than as described on Schedule 4.1(b),
there are no subscriptions, options, warrants, or calls relating to any shares of any Borrower’s capital
Stock, including any right of conversion or exchange under any outstanding security or other instrument. No
Borrower is subject to any obligation (contingent or otherwise) to repurchase or otherwise acquire or retire any
shares of its capital Stock or any security convertible into or exchangeable for any of its capital Stock.

          (c) Set forth on Schedule 4.1(c) (as such Schedule may be updated from time to time to
reflect changes resulting from transactions permitted under this Agreement), is a complete and
accurate list of the Loan Parties’ direct and indirect Subsidiaries, showing: (i) the number of shares of each
class of common and preferred Stock authorized for each of such Subsidiaries, and (ii) the number and the
percentage of the outstanding shares of each such class owned directly or indirectly by Parent. All of the
outstanding capital Stock of each such Subsidiary has been validly issued and is fully paid and non-assessable.

          (d) Except as set forth on Schedule 4.1 (c) (as such Schedule may be updated from time
to time to reflect changes resulting from transactions permitted under this Agreement), there
are no subscriptions, options, warrants, or calls relating to any shares of Parent’s Subsidiaries’
capital Stock, including any right of conversion or exchange under any outstanding security or other
instrument. Neither Parent nor any of its Subsidiaries is subject to any obligation (contingent or otherwise) to
repurchase or otherwise acquire or retire any shares of Parent’s Subsidiaries’ capital Stock or any security
convertible into or exchangeable for any such capital Stock.

     4.2 Due Authorization; No Conflict.

          (a) As to each Loan Party, the execution, delivery, and performance by such Loan Party
of the Loan Documents to which it is a party have been duly authorized by all necessary action
on the part of such Loan Party.

          (b) As to each Loan Party, the execution, delivery, and performance by such Loan Party
of the Loan Documents to which it is a party do not and will not (i) violate any material
provision of federal, state, or local law or regulation applicable to any Loan Party or its Subsidiaries, the
Governing Documents of any Loan Party or its Subsidiaries, or any order, judgment, or decree of any court or other
Governmental Authority binding on any Loan Party or its Subsidiaries, (ii) conflict with, result in a
breach of, or constitute (with due notice or lapse of time or both) a default under any Material Contract of any Loan
Party or its Subsidiaries except to the extent that any such conflict, breach or default could not
individually or in the aggregate reasonably be expected to have a Material Adverse Change, (iii) result in or require
the creation or

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imposition of any Lien of any nature whatsoever upon any assets of any Loan Party, other than
Permitted Liens, or (iv) require any approval of any Loan Party’s interest holders or any approval
or consent of any Person under any Material Contract of any Loan Party, other than consents or
approvals that have been obtained and that are still in force and effect and except, in the case
of Material Contracts, for consents or approvals, the failure to obtain could not individually or
in the aggregate reasonably be expected to cause a Material Adverse Change.

     4.3 Governmental Consents. The execution, delivery, and performance by each Loan Party
of the Loan Documents to which such Loan Party is a party and the consummation of the
transactions contemplated by the Loan Documents do not and will not require any registration with, consent,
or approval of, or notice to, or other action with or by, any Governmental Authority, other than
registrations, consents, approvals, notices, or other actions that have been obtained and that are still in force and
effect and except for filings and recordings with respect to the Collateral to be made, or otherwise delivered to
Agent for filing or recordation, as of the Closing Date, and except for actions with or by Governmental
Authorities the failure to take which could not reasonably be expected to result in a Material Adverse Change.

     4.4  Binding Obligations; Perfected Liens.

          (a) Each Loan Document has been duly executed and delivered by each Loan Party that
is a party thereto and is the legally valid and binding obligation of such Loan Party,
enforceable against such
Loan Party in accordance with its respective terms, except as enforcement may be limited by
equitable principles or by bankruptcy, insolvency, reorganization, moratorium, or similar laws relating
to or limiting creditors’ rights generally.

          (b) Agent’s Liens are validly created, perfected (other than (i) in respect of motor
vehicles that are subject to a certificate of title and as to which Agent has not caused its
Lien to be noted on the
applicable certificate of title, and (ii) any Deposit Accounts and Securities Accounts not
subject to a Control
Agreement as permitted by Section 6.11, and subject only to the filing of financing
statements, the recordation
of the Copyright Security Agreement, and the recordation of the Mortgages, in each case, in
the appropriate filing offices), and first priority Liens, subject only to Permitted Liens.

     4.5 Title to Assets; No Encumbrances. Each of the Loan Parties and its Subsidiaries
has (i) good, sufficient and legal title to (in the case of fee interests in Real Property), (ii)
valid leasehold interests in
(in the case of leasehold interests in real or personal property), and (iii) good and
marketable title to (in the
case of all other personal property), all of their respective assets reflected in their most
recent financial
statements delivered pursuant to Section 5.1, in each case except for assets disposed
of since the date of such
financial statements to the extent permitted hereby. All of such assets are free and clear of
Liens except for Permitted Liens.

     4.6 Jurisdiction of Organization; Location of Chief Executive Office;
Organizational Identification Number; Commercial Tort Claims.

          (a) The name of (within the meaning of Section 9-503 of the Code) and jurisdiction of
organization of each Loan Party and each of its Subsidiaries is set forth on Schedule
4.6(a) (as such Schedule
may be updated from time to time to reflect changes resulting from transactions permitted
under this Agreement).

          (b) The chief executive office of each Loan Party and each of its Subsidiaries is located
at the address indicated on Schedule 4.6(b) (as such Schedule may be updated from time
to time to reflect changes resulting from transactions permitted under this Agreement).

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          (c) Each Loan Party’s and each of its Subsidiaries’ tax identification numbers and
organizational identification numbers, if any, are identified on Schedule 4.6(c) (as
such Schedule may be updated from time to time to reflect changes resulting from transactions permitted under this
Agreement).

          (d) As of the Closing Date, no Loan Party and no Subsidiary of a Loan Party holds any
commercial tort claims, except as set forth on
Schedule 4.6(d).

     4.7 Litigation.

          (a) There are no actions, suits, or proceedings pending or, to the knowledge of each
Borrower, after due inquiry, threatened in writing against a Loan Party or any of its
Subsidiaries that either individually or in the aggregate could reasonably be expected
to result in a Material Adverse Change.

          (b) Schedule 4.7(b) sets forth a complete and accurate description, with respect to
each of the actions, suits, or proceedings with asserted liabilities in excess of, or that could
reasonably be expected to result in liabilities in excess of, $500,000, that, as of the Closing
Date, is pending or, to the knowledge of
each Borrower, after due inquiry, threatened against a Loan Party or any of its Subsidiaries,
of (i) the parties to such actions, suits, or proceedings, (ii) the nature of the dispute that is the subject of
such actions, suits, or proceedings, (iii) the status, as of the Closing Date, with respect to such actions, suits, or
proceedings, and (iv) whether any liability of the Loan Parties’ and their Subsidiaries in connection with such
actions, suits, or proceedings is covered by insurance.

     4.8
Compliance with Laws. Except as set forth on Schedule 4.8, no Loan Party nor any of its
Subsidiaries (a) is in violation of any applicable laws, rules, regulations, executive orders, or
codes (including Environmental Laws) that, individually or in the aggregate, could reasonably be
expected to result in a Material Adverse Change, or (b) is subject to or in default with respect
to any final judgments, writs, injunctions, decrees, rules or regulations of any court or any
federal, state, municipal or other governmental department, commission, board, bureau, agency or
instrumentality, domestic or foreign, that, individually or in the aggregate, could reasonably be
expected to result in a Material Adverse Change.

     4.9 No Material Adverse Change. All historical financial statements relating to the
Loan Parties and their Subsidiaries that have been delivered by Borrowers to Agent have been
prepared in accordance with GAAP (except, in the case of unaudited financial statements, for the lack of
footnotes and being subject to year-end audit adjustments) and present fairly in all material respects, the
Loan Parties’ and their Subsidiaries’ consolidated financial condition as of the date thereof and results of
operations for the period then ended. Since April 30, 2009, no event, circumstance, or change has occurred that
has or could reasonably be expected to result in a Material Adverse Change with respect to the Loan Parties and their
Subsidiaries.

     4.10 Fraudulent Transfer.

          (a) Each Loan Party is Solvent.

          (b) No transfer of property is being made by any Loan Party and no obligation is being
incurred by any Loan Party in connection with the transactions contemplated by this Agreement
or the other Loan Documents with the intent to hinder, delay, or defraud either present or future creditors
of such Loan Party.

     4.11 Employee Benefits. Except as set forh on Schedule 4.11, no Loan Party,
none of their Subsidiaries, nor any of their ERISA Affiliates maintains or contributes to any Benefit Plan.

     4.12 Environmental Condition. (a) To each Borrower’s knowledge, no Loan Party’s nor any of
its Subsidiaries’ properties or assets has ever been used by a Loan Party, its Subsidiaries,
or by previous

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owners or operators in the disposal of, or to produce, store, handle, treat, release, or transport,
any Hazardous Materials, where such disposal, production, storage, handling, treatment, release or
transport was in violation, in any material respect, of any applicable Environmental Law, (b) to
each Borrower’s knowledge, after due inquiry, no Loan Party’s nor any of its Subsidiaries’
properties or assets has ever been designated or identified in any manner pursuant to any
environmental protection statute as a Hazardous Materials disposal site, (c) no Loan Party nor any
of its Subsidiaries has received notice that a Lien arising under any Environmental Law has
attached to any revenues or to any Real Property owned or operated by a Loan Party or its
Subsidiaries, and (d) no Loan Party nor any of its Subsidiaries nor any of their respective
facilities or operations is subject to any outstanding written order, consent decree, or settlement
agreement with any Person relating to any Environmental Law or Environmental Liability that,
individually or in the aggregate, could reasonably be expected to result in a Material Adverse
Change.

     4.13 Intellectual Property. Each Loan Party and its Subsidiaries own, or hold
licenses in, all trademarks, trade names, copyrights, patents, and licenses that are necessary to the conduct
of its business as currently conducted, and attached hereto as Schedule 4.13 (as updated each fiscal
quarter of Parent) is a true, correct, and complete listing of all trademarks, trade names, copyrights, patents, and
material licenses as to which Parent or one of its Subsidiaries is the owner or is an exclusive licensee;
provided, however, that Administrative Borrower may amend Schedule 4.13 to add additional intellectual
property so long as such amendment occurs by written notice to Agent at the time that Parent provides its Compliance
Certificate for each fiscal quarter pursuant to Section 5.1.

     4.14 Leases. Each Loan Party and its Subsidiaries enjoy peaceful and undisturbed
possession under all leases material to their business and to which they are parties or under which they
are operating, and, subject to Permitted Protests, all of such material leases are valid and subsisting and no
material default by the applicable Loan Party or its Subsidiaries exists under any of them.

     4.15 Deposit Accounts and Securities Accounts. Set forth on Schedule 4.15 (as updated
pursuant to the provisions of the Security Agreement from time to time) is a listing of all of
the Loan Parties’ and their Subsidiaries’ Deposit Accounts and Securities Accounts, including, with respect to
each bank or securities intermediary (a) the name and address of such Person, and (b) the account numbers
of the Deposit Accounts or Securities Accounts maintained with such Person.

     4.16 Complete Disclosure. All factual information taken as a whole (other than
forward-looking information and projections and information of a general economic nature and general
information about Borrowers’ industry) furnished by or on behalf of a Loan Party or its Subsidiaries in writing
to Agent or any Lender (including all information contained in the Schedules hereto or in the other Loan
Documents) for purposes of or in connection with this Agreement or the other Loan Documents, and all other
such factual information taken as a whole (other than forward-looking information and projections and
information of a general economic nature and general information about Borrowers’ industry) hereafter furnished
by or on behalf of a Loan Party or its Subsidiaries in writing to Agent or any Lender will be, true and
accurate, in all material respects, on the date as of which such information is dated or certified and not
incomplete by omitting to state any fact necessary to make such information (taken as a whole) not misleading in any
material respect at such time in light of the circumstances under which such information was provided. The
Projections delivered to Agent on September 1, 2009 represent, and as of the date on which any other
Projections are delivered to Agent, such additional Projections represent, Borrowers’ good faith estimate, on
the date such Projections are delivered, of the Loan Parties’ and their Subsidiaries’ future performance for
the periods covered thereby based upon assumptions believed by Borrowers to be reasonable at the time of
the delivery thereof to Agent (it being understood that such Projections are subject to uncertainties and
contingencies, many of which are beyond the control of the Loan Parties and their Subsidiaries, that no assurances
can be given that such Projections will be realized, and that actual results may differ in a material manner
from such Projections).

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     4.17 Material Contracts. Set forth on Schedule 4.17 (as such Schedule may be
updated from time to time in accordance herewith) is a reasonably detailed description of the Material
Contracts of each Loan Party and its Subsidiaries as of the most recent date on which Borrowers provided its
Compliance Certificate pursuant to Section 5.1; provided, however, that
Administrative Borrower may amend Schedule
4.17 to add additional Material Contracts so long as such amendment occurs by written notice
to Agent on the date that Parent provides its Compliance Certificate. Except for matters which, either
individually or in the
aggregate, could not reasonably be expected to result in a Material Adverse Change, each
Material Contract (other than those that have expired at the end of their normal terms or in accordance with the
termination provisions therein) (a) is in full force and effect and is binding upon and enforceable
against the applicable Loan Party or its Subsidiary and, to each Borrower’s knowledge, after due inquiry, each other
Person that is a party thereto in accordance with its terms, (b) has not been otherwise amended or modified
(other than amendments or modifications permitted by Section 6.7(b)), and (c) is not in default
due to the action or inaction of the applicable Loan Party or its Non-CFC Subsidiary.

     4.18 Patriot Act. To the extent applicable, each Loan Party is in compliance, in all
material respects, with the (a) Trading with the Enemy Act, as amended, and each of the foreign assets
control regulations of the United States Treasury Department (31 CFR, Subtitle B, Chapter V, as
amended) and any other enabling legislation or executive order relating thereto, and (b) Uniting and
Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA Patriot Act of
2001) (the “Patriot Act”). No part of the proceeds of the loans made hereunder will be used by
any Loan Party or any of their Affiliates, directly or indirectly, for any payments to any governmental official or
employee, political party, official of a political party, candidate for political office, or anyone else acting in
an official capacity, in order to obtain, retain or direct business or obtain any improper advantage, in violation of
the United States Foreign Corrupt Practices Act of 1977, as amended.

     4.19 Indebtedness. Set forth on Schedule 4.19 is a true and complete list of
all Indebtedness of each Loan Party and each of its Subsidiaries outstanding immediately prior to the Closing Date
that is to remain outstanding immediately after giving effect to the closing hereunder on the Closing
Date and such Schedule accurately sets forth the aggregate principal amount of such Indebtedness as of the
Closing Date.

     4.20 Payment of Taxes. Except as otherwise permitted under Section 5.5, all
tax returns and reports of each Loan Party and its Subsidiaries required to be filed by any of them have been
timely filed, and all taxes shown on such tax returns to be due and payable and all assessments, fees and other
governmental charges upon a Loan Party and its Subsidiaries and upon their respective assets, income,
businesses and franchises that are due and payable have been paid when due and payable. Each Loan Party and
each of its Subsidiaries have made adequate provision in accordance with GAAP for all taxes not yet due
and payable. No Borrower knows of any proposed tax assessment against a Loan Party or any of its
Subsidiaries that is not being actively contested by such Loan Party or such Subsidiary diligently, in good faith, and
by appropriate proceedings; provided such reserves or other appropriate provisions, if any, as shall
be required in conformity with GAAP shall have been made or provided therefor.

     4.21 Margin Stock. No Loan Party nor any of its Subsidiaries is engaged principally,
or as one of its important activities, in the business of extending credit for the purpose of purchasing or
carrying any Margin Stock. No part of the proceeds of the loans made to Borrowers will be used to purchase
or carry any such Margin Stock or to extend credit to others for the purpose of purchasing or carrying any
such Margin Stock or for any purpose that violates the provisions of Regulation T, U or X of the Board of
Governors of the United States Federal Reserve.

     4.22 Governmental Regulation. No Loan Party nor any of its Subsidiaries is subject to
regulation under the Federal Power Act or the Investment Company Act of 1940 or under any
other federal or state statute or regulation which may limit its ability to incur Indebtedness or which may
otherwise render all or any portion of the Obligations unenforceable. No Loan Party nor any of its Subsidiaries is
a “registered investment company” or a company “controlled” by a “registered investment company” or a
“principal

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underwriter” of a “registered investment company” as such terms are defined in the Investment
Company Act of 1940.

     4.23 OFAC. No Loan Party nor any of its Subsidiaries is in violation of any of the
country or list based economic and trade sanctions administered and enforced by OFAC. No Loan Party nor any
of its Subsidiaries (a) is a Sanctioned Person or a Sanctioned Entity, (b) has its assets located in
Sanctioned Entities, or (c) derives revenues from investments in, or transactions with Sanctioned Persons or
Sanctioned Entities. The proceeds of any Advance will not be used to fund any operations in, finance any
investments or activities in, or make any payments to, a Sanctioned Person or a Sanctioned Entity.

     4.24 Employee and Labor Matters. There is (i) no unfair labor practice complaint
pending or, to the knowledge of Borrowers, threatened against Parent or its Subsidiaries before any
Governmental Authority and no grievance or arbitration proceeding pending or threatened against Parent or its
Subsidiaries which arises out of or under any collective bargaining agreement and that could reasonably be expected to
result in a material liability, (ii) no strike, labor dispute, slowdown, stoppage or similar action or
grievance pending or threatened in writing against Parent or its Subsidiaries that could reasonably be expected to
result in a material liability, or (iii) except as set forth on Schedule 4.24, to the knowledge of any
Borrower, after due inquiry, no union representation question existing with respect to the employees of Parent or its
Subsidiaries and no union organizing activity taking place with respect to any of the employees of Parent or its
Subsidiaries. None of Parent or its Subsidiaries has incurred any liability or obligation under the Worker
Adjustment and Retraining Notification Act or similar state law, which remains unpaid or unsatisfied. The hours worked
and payments made to employees of Parent or its Subsidiaries have not been in violation of the Fair Labor
Standards Act or any other applicable legal requirements, except to the extent such violations could not,
individually or in the aggregate, reasonably be expected to result in a Material Adverse Change. All material
payments due from Parent or its Subsidiaries on account of wages and employee health and welfare insurance and
other benefits have been paid or accrued as a liability on the books of Parent, except where the failure to
do so could not, individually or in the aggregate, reasonably be expected to result in a Material Adverse
Change.

     4.25 Eligible Accounts, Eligible Investment Grade Foreign Accounts and Eligible Credit
Insured Accounts. As to each Account that is identified by Administrative Borrower as
an Eligible Account,
an Eligible Investment Grade Account or an Eligible Credit Insured Account in a Borrowing Base
Certificate submitted to Agent, such Account is (a) a bona fide existing payment obligation of the
applicable Account Debtor created by the sale and delivery of Inventory or the rendition of services to such
Account Debtor in the ordinary course of Borrowers’ business, (b) owed to a Borrower without any known defenses,
disputes, offsets, counterclaims, or rights of return or cancellation, and (c) not excluded as ineligible by
virtue of one or more of the excluding criteria (other than Agent-discretionary criteria) set forth in the definition
of Eligible Accounts, Eligible Investment Grade Accounts or Eligible Credit Insured Accounts, as applicable.

     4.26 Eligible Inventory. As to each item of Inventory that is identified by Administrative
Borrower as Eligible Inventory in a Borrowing Base Certificate submitted to Agent, such
Inventory is (a) of good and merchantable quality, free from known defects, and (b) not excluded as ineligible by
virtue of one or more of the excluding criteria (other than Agent-discretionary criteria) set forth in the
definition of Eligible Inventory.

     4.27 Eligible Equipment. As to each item of Equipment that is identified by
Administrative Borrower as Eligible Equipment in a Borrowing Base Certificate submitted to Agent, such
Equipment is (a) of good and merchantable quality, free from known defects, and (b) not excluded as ineligible by
virtue of one or more of the excluding criteria (other than Agent-discretionary criteria) set forth in the
definition of Eligible Equipment.

     4.28 Locations of Inventory and Equipment. The Inventory and Equipment (other than
vehicles or Equipment out for repair) of the Loan Parties and their Subsidiaries are not stored with a
bailee,

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warehouseman, or similar party and are located only at, or in-transit between or to, the locations
identified on Schedule 4.28 (as such Schedule may be updated pursuant to Section
5.15).

     4.29 Inventory Records. Each Loan Party keeps correct and accurate records itemizing
and describing the type, quality, and quantity of its and its Subsidiaries’ Inventory and the book
value thereof.

     4.30 The Indentures. Neither the execution or performance of the Loan Documents nor
the incurrence of any Obligations by Parent or any of its Subsidiaries violates any of the 2003
Indenture, the 2006 Indenture or the Subordinated Notes. The Revolver Commitments and Obligations constitute
“Designated Senior Indebtedness” under each Indenture. Agent may condition Borrowings, Letters of Credit
and other credit accommodations under the Loan Documents from time to time upon Agent’s receipt of
evidence that the Revolver Commitments and Obligations continue to constitute “Designated Senior Indebtedness”
at such time.

5. AFFIRMATIVE COVENANTS.

          Each Borrower covenants and agrees that, until termination of all of the Revolver Commitments
and payment in full of the Obligations, the Loan Parties shall and shall cause each of their
Subsidiaries to comply with each of the following:

     5.1 Financial Statements, Reports, Certificates. Deliver to Agent, with copies to each
Lender,
each of the financial statements, reports, and other items set forth on Schedule 5.1
no later than the times specified therein. In addition, each Borrower agrees that no Subsidiary of a Loan Party will
have a fiscal year different from that of Parent. In addition, Parent agrees to maintain a system of accounting
that enables Parent to produce financial statements in accordance with GAAP. Each Loan Party shall also (a) keep
a reporting system that shows all additions, sales, claims, returns, and allowances with respect to its
and its Subsidiaries’ sales, and (b) maintain its billing systems/practices consistent with those disclosed by
Borrowers to Agent prior to the Closing Date and shall only make material modifications thereto with notice to,
and with the consent of, Agent (such consent not to be unreasonably withheld, delayed or conditioned).

     5.2 Collateral Reporting. Provide Agent (and if so requested by Agent, with copies
for each Lender) with each of the reports set forth on Schedule 5.2 at the times specified
therein. In addition, Borrowers agree to use commercially reasonable efforts in cooperation with
Agent to facilitate and implement a system of electronic collateral reporting in order to provide
electronic reporting of each of the items set forth on such Schedule.

     5.3 Existence. Except as otherwise permitted under Section 6.3 or
Section 6.4, at all times maintain and preserve in full force and effect its existence (including being in good standing
in its jurisdiction of organization) and all rights and franchises, licenses and permits material to its business;
provided, however, that no Loan Party or any of its Subsidiaries shall be required to preserve any such right or
franchise, licenses or permits if such Person’s board of directors (or similar governing body) shall determine
that the preservation thereof is no longer desirable in the conduct of the business of such Person, and that the
loss thereof is not disadvantageous in any material respect to such Person or to the Lenders.

     5.4 Maintenance of Properties. Maintain and preserve all of its assets that are
necessary or useful in the proper conduct of its business in good working order and condition, ordinary
wear, tear, and casualty excepted and Permitted Dispositions excepted, and comply with the material provisions
of all material leases to which it is a party as lessee, so as to prevent the loss or forfeiture thereof,
unless such provisions are the subject of a Permitted Protest.

     5.5 Taxes. Cause all assessments and taxes imposed, levied, or assessed against any
Loan Party or its Subsidiaries, or any of their respective assets or in respect of any of its income,
businesses, or franchises to be paid in full, before delinquency or before the expiration of any extension period,
except to the extent that the validity of such assessment or tax shall be the subject of a Permitted Protest and so long
as, in the case of

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TREATMENT REQUESTED

an assessment or tax that has or may become a Lien against any of the Collateral, such contest
proceedings conclusively operate to stay the sale of any portion of the Collateral to satisfy such
assessment or tax. Parent will and will cause each of its Subsidiaries to make timely payment or
deposit of all tax payments and withholding taxes required of it and them by applicable laws,
including those laws concerning F.I.C.A., F.U.T.A., state disability, and local, state, and
federal income taxes, and will, upon request, furnish Agent with proof reasonably satisfactory to
Agent indicating that Parent and its Subsidiaries have made such payments or deposits.

     5.6 Insurance. At Borrowers’ expense, maintain insurance respecting each of the Loan
Parties’ and their Subsidiaries’ assets wherever located, covering loss or damage by fire, theft,
explosion, and all other
hazards and risks as ordinarily are insured against by other Persons engaged in the same or
similar businesses. Borrowers also shall maintain (with respect to each of the Loan Parties and their
Subsidiaries) business interruption, general liability, product liability insurance, director’s and officer’s
liability insurance, fiduciary
liability insurance, and employment practices liability insurance, as well as insurance
against larceny, embezzlement, and criminal misappropriation. All such policies of insurance shall be with
responsible and reputable insurance companies acceptable to Agent and in such amounts as is carried generally
in accordance with sound business practice by companies in similar businesses similarly situated and located
and in any event in amount, adequacy and scope reasonably satisfactory to Agent. All property insurance
policies covering the Collateral are to be made payable to Agent for the benefit of Agent and the
Lenders, as their interests may appear, in case of loss, pursuant to a standard loss payable endorsement with a
standard non contributory “lender” or “secured party” clause and are to contain such other provisions as
Agent may reasonably require to fully protect the Lenders’ interest in the Collateral and to any
payments to be made under such policies. All certificates of property and general liability insurance are to be
delivered to Agent, with the loss payable (but only in respect of Collateral) and additional insured endorsements in favor
of Agent and shall provide for not less than 30 days (10 days in the case of non-payment) prior written notice to
Agent of the exercise of any right of cancellation. If any Borrower fails to maintain such insurance, Agent
may arrange for such insurance, but at Borrowers’ expense and without any responsibility on Agent’s part for
obtaining the insurance, the solvency of the insurance companies, the adequacy of the coverage, or the
collection of claims. Administrative Borrower shall give Agent prompt notice of any loss exceeding $500,000 covered
by its casualty or business interruption insurance. Upon the occurrence and during the continuance
of an Event of Default, Agent shall have the sole right to file claims under any property and casualty
insurance policies in respect of the Collateral, to receive, receipt and give acquittance for any payments that may
be payable thereunder, and to execute any and all endorsements, receipts, releases, assignments,
reassignments or other documents that may be necessary to effect the collection, compromise or settlement of any
claims under any such insurance policies.

     5.7 Inspection. Permit Agent and each of its duly authorized representatives or
agents to visit any of its properties and inspect any of its assets or books and records, to conduct
appraisals and valuations, to
examine and make copies of its books and records, and to discuss its affairs, finances, and
accounts with, and to be advised as to the same by, its officers and employees at such reasonable times and
intervals as Agent may designate and, so long as no Default or Event of Default exists, with reasonable prior notice
to Administrative Borrower.

     5.8 Compliance with Laws. Comply with the requirements of all applicable laws, rules,
regulations, and orders of any Governmental Authority (including, without limitation, all laws
restricting or governing the export of Inventory from the United States), other than laws, rules,
regulations, and orders the non-compliance with which, individually or in the aggregate, could
not reasonably be expected to result in a Material Adverse Change.

     5.9 Environmental.

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          (a) Keep any property either owned or operated by Parent or its Subsidiaries free of any
Environmental Liens or post bonds or other financial assurances sufficient to satisfy the
obligations or liability evidenced by such Environmental Liens,

          (b) Comply, in all material respects, with Environmental Laws and provide to Agent
documentation of such compliance which Agent reasonably requests,

          (c) Promptly notify Agent of any release of which any Borrower has knowledge of a Hazardous
Material in any reportable quantity from or onto property owned or operated by Parent or its
Subsidiaries and take any Remedial Actions required to abate said release or otherwise to come into
compliance, in all material respects, with applicable Environmental Law, and

          (d) Promptly, but in any event within 5 Business Days of its receipt thereof, provide Agent
with written notice of any of the following: (i) notice that an Environmental Lien has been filed
against any of the real or personal property of Parent or its Subsidiaries, (ii) commencement of
any Environmental Action or written notice that an Environmental Action will be filed against
Parent or its Subsidiaries, and (iii) written notice of a violation, citation, or other
administrative order from a Governmental Authority, which could reasonably be expected to result in
a Material Adverse Change.

     5.10 Disclosure Updates. Promptly and in no event later than 5 Business Days after
obtaining knowledge thereof, notify Agent if any written information, exhibit, or report furnished
to the Lender Group contained, at the time it was furnished, any untrue statement of a material
fact or omitted to state any material fact necessary to make the statements contained therein not
misleading in light of the circumstances in which made. The foregoing to the contrary
notwithstanding, any notification pursuant to the foregoing provision will not cure or remedy the
effect of the prior untrue statement of a material fact or omission of any material fact nor shall
any such notification have the effect of amending or modifying this Agreement or any of the
Schedules hereto.

     5.11 Formation of Subsidiaries. At the time that any Loan Party forms any direct or
indirect Subsidiary or acquires any direct or indirect Subsidiary after the Closing Date, such Loan
Party shall (a) within 10 days of such formation or acquisition (or such later date as permitted by
Agent in its sole discretion) cause any such new Subsidiary to provide to Agent a joinder to the
Guaranty and the Security Agreement, together with such other security documents (including
mortgages with respect to any Real Property owned in fee of such new Subsidiary, as well as
appropriate financing statements (and with respect to all property subject to a mortgage, fixture
filings), all in form and substance reasonably satisfactory to Agent (including being sufficient to
grant Agent a first priority Lien (subject to Permitted Liens) in and to the assets of such newly
formed or acquired Subsidiary); provided that the Guaranty, the Security Agreement, and
such other security documents shall not be required to be provided to Agent with respect to any
Subsidiary of Parent that is a CFC if providing such documents would result in adverse tax
consequences or the costs to the Loan Parties of providing such Guaranty, executing any security
documents or perfecting the security interests created thereby are unreasonably excessive (as
determined by Agent in consultation with Administrative Borrower) in relation to the benefits of
Agent and the Lenders of the security or guarantee afforded thereby, (b) within 10 days of such
formation or acquisition (or such later date as permitted by Agent in its sole discretion) provide
to Agent a pledge agreement (or an addendum to the Security Agreement) and appropriate certificates
and powers or financing statements, pledging all of the direct or beneficial ownership interest in
such new Subsidiary reasonably satisfactory to Agent; provided that only 65% of the total
outstanding voting Stock of any first tier Subsidiary of Parent that is a CFC (and none of the
Stock of any Subsidiary of such CFC) shall be required to be pledged if pledging a greater amount
would result in adverse tax consequences or the costs to the Loan Parties of providing such pledge
or perfecting the security interests created thereby are unreasonably excessive (as determined by
Agent in consultation with Administrative Borrower) in relation to the benefits of Agent and the
Lenders of the security or guarantee afforded thereby (which pledge, if reasonably requested by
Agent, shall be governed by the laws of the jurisdiction of such Subsidiary), and (c) within 10
days of such formation or acquisition (or such later date as permitted by Agent in its sole
discretion) provide to Agent all other

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documentation, including one or more opinions of counsel reasonably satisfactory to Agent, which
in its opinion is appropriate with respect to the execution and delivery of the applicable
documentation referred to above (including policies of title insurance or other documentation with
respect to all Real Property owned in fee and subject to a mortgage). Any document, agreement, or
instrument executed or issued pursuant to this Section 5.11 shall be a Loan Document.

     5.12 Further Assurances. At any time upon the reasonable request of Agent, execute or
deliver to Agent any and all financing statements, fixture filings, security agreements, pledges,
assignments, endorsements of certificates of title, mortgages, deeds of trust, opinions of counsel,
and all other documents (collectively, the “Additional Documents”) that Agent may
reasonably request in form and substance reasonably satisfactory to Agent, to create, perfect, and
continue perfected or to better perfect Agent’s Liens in all of the assets of Parent and its
Subsidiaries (whether now owned or hereafter arising or acquired, tangible or intangible, real or
personal), to create and perfect Liens in favor of Agent in any Real Property acquired by Parent or
its Subsidiaries after the Closing Date, and in order to fully consummate all of the transactions
contemplated hereby and under the other Loan Documents; provided that the foregoing shall
not apply to any Subsidiary of Parent that is a CFC if providing such documents would result in
adverse tax consequences or the costs to the Loan Parties of providing such documents are
unreasonably excessive (as determined by Agent in consultation with Administrative Borrower) in
relation to the benefits of Agent and the Lenders of the benefits afforded thereby. To the
maximum extent permitted by applicable law, each Borrower authorizes Agent to execute any such
Additional Documents in the applicable Loan Party’s or its Subsidiary’s name, as applicable, and
authorizes Agent to file such executed Additional Documents in any appropriate filing office. In
furtherance and not in limitation of the foregoing, each Loan Party shall take such actions as
Agent may reasonably request from time to time to ensure that the Obligations are guarantied by the
Guarantors and are secured by substantially all of the assets of Parent and its Subsidiaries and
all of the outstanding capital Stock of Parent’s Subsidiaries (subject to exceptions and
limitations contained in the Loan Documents with respect to CFCs).

     5.13 Lender Meetings. Within 90 days after the close of each fiscal year of Parent, at
the request of Agent or of the Required Lenders and upon reasonable prior notice, hold a meeting
(at a mutually agreeable location and time or, at the option of Agent, by conference call) with all
Lenders who choose to attend such meeting at which meeting shall be reviewed the financial results
of the previous fiscal year and the financial condition of Parent and its Subsidiaries and the
projections presented for the current fiscal year of Parent.

     5.14 Material Contracts. Contemporaneously with the delivery of each Compliance
Certificate pursuant to Section 5.1, provide Agent with copies of (a) each Material
Contract entered into since the delivery of the previous Compliance Certificate, and (b) each
material amendment or modification of any Material Contract entered into since the delivery of the
previous Compliance Certificate.

     5.15 Location of Inventory and Equipment. Keep each Loan Parties’ and its
Subsidiaries’ Inventory and Equipment (other than vehicles and Equipment out for repair) only at
the locations identified on Schedule 4.28 and their chief executive offices only at the
locations identified on Schedule 4.6(b); provided, however, that
Administrative Borrower may amend Schedule 4.28 or Schedule 4.6(b) so long as such
amendment occurs by written notice to Agent not less than 10 days prior to the date on which such
Inventory or Equipment is moved to such new location or such chief executive office is relocated
and so long as such new location is within the continental United States, and so long as, at the
time of such written notification, Administrative Borrower uses commercially reasonable efforts
to provide Agent a Collateral Access Agreement with respect thereto.

     5.16 Assignable Material Contracts. Use commercially reasonable efforts to ensure
that any Material Contract entered into after the Closing Date by Parent or one of its Non-CFC
Subsidiaries that generates or, by its terms, will generate revenue, permits the assignment of such
agreement (and all rights of Parent or such Non-CFC Subsidiary, as applicable, thereunder) to
Parent’s or such Non-CFC Subsidiary’s lenders or an agent for any lenders (and any transferees of
such lenders or such agent, as applicable).

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6. NEGATIVE COVENANTS.

          Each Borrower covenants and agrees that, until termination of all of the Revolver Commitments
and payment in full of the Obligations, the Loan Parties will not and will not permit any of their
Subsidiaries to do any of the following:

     6.1 Indebtedness. Create, incur, assume, suffer to exist, guarantee, or otherwise
become or remain, directly or indirectly, liable with respect to any Indebtedness, except for
Permitted Indebtedness.

     6.2 Liens. Create, incur, assume, or suffer to exist, directly or indirectly, any
Lien on or with respect to any of its assets, of any kind, whether now owned or hereafter acquired,
or any income or profits therefrom, except for Permitted Liens.

     6.3 Restrictions on Fundamental Changes.

          (a) Enter into any merger, consolidation, reorganization, or recapitalization, or reclassify
its Stock, except for (i) any merger between Loan Parties, provided that to the extent the
merger involves a Borrower, a Borrower must be the surviving entity of any such merger, (ii) any
merger between Loan Parties and Subsidiaries of Parent that are not Loan Parties so long as such
Loan Party is the surviving entity of any such merger, and (iii) any merger between Subsidiaries of
Parent that are not Loan Parties,

          (b) Liquidate, wind up, or dissolve itself (or suffer any liquidation or dissolution), except
for (i) the liquidation or dissolution of non-operating Subsidiaries of Parent with nominal assets
and nominal liabilities, (ii) the liquidation or dissolution of a Loan Party (other than any
Borrower) or any of its wholly-owned Subsidiaries so long as all of the assets (including any
interest in any Stock) of such liquidating or dissolving Loan Party or Subsidiary are transferred
to a Loan Party that is not liquidating or dissolving, or (iii) the liquidation or dissolution of a
Subsidiary of Parent that is not a Loan Party (other than any such Subsidiary the Stock of which
(or any portion thereof) is subject to a Lien in favor of Agent) so long as all of the assets of
such liquidating or dissolving Subsidiary are transferred to a Subsidiary of Parent that is not
liquidating or dissolving, or

          (c) Suspend or go out of a substantial portion of its or their business, except as permitted
pursuant to clauses (a) or (b) above or in connection with the transactions permitted pursuant to
Section 6.4.

     6.4 Disposal of Assets. Other than Permitted Dispositions, Permitted
Investments, or transactions expressly permitted by
Sections 6.3 and 6.11,
convey, sell, lease, license, assign, transfer, or otherwise dispose of (or enter into an agreement
to convey, sell, lease, license, assign, transfer, or otherwise dispose of) any of Parent’s or its
Subsidiaries assets.

     6.5 Change Name. Change Parent’s or any of its Subsidiaries’ name,
organizational identification number, state of organization or organizational identity;
provided, however, that Parent or any of its Subsidiaries may change their names
upon at least 10 days prior written notice to Agent of such change.

     6.6 Nature of Business. Make any change in the nature of its or their business as
described in Schedule 6.6 or acquire any properties or assets that are not reasonably
related to the conduct of such business activities; provided, however, that the
foregoing shall not prevent Parent and its Subsidiaries from engaging in any business that is
reasonably related or ancillary to its or their business.

     6.7 Prepayments and Amendments.

          (a) Except in connection with Refinancing Indebtedness permitted by
Section 6.1,

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TREATMENT REQUESTED

               (i) optionally prepay, redeem, defease, purchase, or otherwise acquire any Indebtedness
of Parent or its Subsidiaries, other than (A) the Obligations in accordance with this Agreement,
(B) Permitted Intercompany Advances and (C) Permitted Notes Redemptions,

               (ii) make any payment on account of Indebtedness that has been contractually subordinated in
right of payment if such payment is not permitted at such time under the subordination terms and
conditions, or

          (b) Directly or indirectly, amend, modify, or change any of the terms or provisions of

               (i) any agreement, instrument, document, indenture, or other writing evidencing or concerning
Permitted Indebtedness other than (A) the Obligations in accordance with this Agreement, (B)
Permitted Intercompany Advances, and (C) Indebtedness permitted under clauses (c), (f), (h)
and (i) of the definition of Permitted Indebtedness,

               (ii) any Material Contract except to the extent that such amendment,
modification, or change could not, individually or in the aggregate, reasonably be expected to be
materially adverse to the interests of the Lenders, or

               (iii) the Governing Documents of any Loan Party or any of its Subsidiaries if the
effect thereof, either individually or in the aggregate, could reasonably be expected to be
materially adverse to the interests of the Lenders.

     6.8 Change of Control. Cause, permit, or suffer, directly or indirectly, any Change
of Control.

     6.9 Distributions. Make any distribution or declare or pay any dividends (in cash or
other property, other than common Stock) on, or purchase, acquire, redeem, or retire any of
Parent’s or any other Borrower’s Stock, of any class, whether now or hereafter outstanding;
provided, however, that, so long as it is permitted by law:

               (a) so long as no Default or Event of Default shall have occurred and be continuing
or would result therefrom, Parent may make distributions to former employees, officers, or
directors (or any spouses, ex-spouses, or estates of any of the foregoing) on account of
redemptions of Stock of Parent held by such Persons, provided, however, that the
aggregate amount of such distributions made by Parent to such Persons during any fiscal year of
Parent does not exceed $500,000 per year; and Parent may make distributions to former employees,
officers, or directors (or any spouses, ex-spouses, or estates of any of the foregoing), solely in
the form of forgiveness of Indebtedness of such Persons owing to Parent or a Borrower on account of
repurchases of the Stock of Parent or a Borrower held by such Persons; provided that such
Indebtedness was incurred by such Persons solely to acquire Stock of Parent or such Borrower; and

               (b) Parent’s Subsidiaries may make distributions to Parent for the sole purpose of
allowing Parent to, and Parent shall use the proceeds thereof solely to (i) pay federal and state
income taxes and franchise taxes solely arising out of the consolidated operations of Parent and
its Subsidiaries, after taking into account all available credits and deductions (provided that
neither a Borrower nor any of its Subsidiaries shall make any distribution to Parent in any amount
greater than the share of such taxes arising out of such Borrower’s consolidated net income), and
(ii) so long as no Event of Default shall have occurred and be continuing or would result
therefrom, pay other reasonable administrative and maintenance expenses arising solely out of the
consolidated operations (including maintenance of existence) of Parent and its Subsidiaries.

     6.10 Accounting Methods. Modify or change its fiscal year or its method of accounting
(other than as may be required to conform to GAAP).

     6.11 Investments; Controlled Investments.

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          (a) Except for Permitted Investments, directly or indirectly, make or acquire any Investment
or incur any liabilities (including contingent obligations) for or in connection with any
Investment.

          (b) Other than (i) an aggregate amount of not more than $10,000 at any one time, in the case
of Parent and its Subsidiaries (other than those Subsidiaries that are CFCs), (ii) amounts
deposited into Deposit Accounts specially and exclusively used for payroll, payroll taxes and other
employee wage and benefit payments to or for Parent’s or its Subsidiaries’ employees, and (iii) in
the case of Subsidiaries of Parent that are CFCs, an aggregate amount of not more than: (A)
$10,000,000 in any five (5) consecutive day period, and (B) $25,000,000 at any one time (in each
case, calculated at current exchange rates); make, acquire, or permit to exist Permitted
Investments consisting of cash, Cash Equivalents, or amounts credited to Deposit Accounts or
Securities Accounts unless Parent or its Subsidiary, as applicable, and the applicable bank or
securities intermediary have entered into Control Agreements with Agent governing such
Permitted Investments in order to perfect (and further establish) Agent’s Liens in such Permitted
Investments. Except as provided in Section 6.11(b)(i), (ii), and (iii), Parent
shall not and shall not permit its Non-CFC Subsidiaries to establish or maintain any Deposit
Account or Securities Account unless Agent shall have received a Control Agreement in respect of
such Deposit Account or Securities Account.

     6.12 Transactions with Affiliates. Directly or indirectly enter into or permit to
exist any transaction with any Affiliate of Parent or any of its Subsidiaries except for:

          (a) transactions (other than the payment of management, consulting, monitoring, or advisory
fees) between Parent or its Subsidiaries, on the one hand, and any Affiliate of Parent or its
Subsidiaries, on the other hand, so long as such transactions (i) are fully disclosed to Agent
prior to the consummation thereof, if they involve one or more payments by Parent or its
Subsidiaries in excess of $500,000 for any single transaction or series of related transactions,
and (ii) are no less favorable, taken as a whole, to Parent or its Subsidiaries, as applicable,
than would be obtained in an arm’s length transaction with a non-Affiliate,

          (b) so long as it has been approved by Parent’s or its applicable Subsidiary’s board of
directors (or comparable governing body) in accordance with applicable law, any indemnity provided
for the benefit of directors (or comparable managers) of Parent or its applicable Subsidiary,

          (c) so long as it has been approved by Parent’s or its applicable Subsidiary’s board of
directors (or comparable governing body) in accordance with applicable law, the payment of
reasonable compensation, severance, or employee benefit arrangements to employees, officers, and
outside directors of Parent and its Subsidiaries in the ordinary course of business and consistent
with industry practice,

          (d) transactions permitted by Section 6.3 or Section 6.9, or any Permitted
Intercompany Advance, and

          (e) purchases of Inventory by the Loan Parties from Non-Loan Parties in the ordinary course of
business so long as such transactions are no less favorable, taken as a whole, to the Loan Parties
than would be obtained in an arm’s length transaction with a non-Affiliate.

     6.13 Use of Proceeds. Use the proceeds of the Advances for any purpose other than
(a) on the Closing Date, (i) to repay, in full, the outstanding principal, accrued interest, and
accrued fees and expenses owing under or in connection with the Existing Credit Facility, and (ii)
to pay transactional fees, costs, and expenses incurred in connection with this Agreement, the
other Loan Documents, and the transactions contemplated hereby and thereby, and (b) thereafter,
consistent with the terms and conditions hereof, for its lawful and permitted purposes.

     6.14 Consignments. Consign any of its or their Inventory or sell any of its or their
Inventory on bill and hold, sale or return, sale on approval, or other conditional terms of sale;
provided, however, that Parent

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and its Subsidiaries may consign their Inventory with customers so long as the aggregate value
of all such Inventory (valued at the higher of cost or market) consigned at any one time does
not exceed $25,000,000.

     6.15 Inventory and Equipment with Bailees. Store the Inventory or Equipment of any
Loan Party at any time now or hereafter with a bailee, warehouseman, or similar party, other
than Inventory with an aggregate book value of less than $100,000 at any one time.

7. FINANCIAL COVENANTS.

          Each Borrower covenants and agrees that, until termination of all of the Revolver
Commitments and payment in full of the Obligations, Borrowers will comply with each of the
following financial covenants:

          (a) Excess Liquidity. Have Excess Liquidity plus Qualified Cash in an aggregate amount of
least Ten Million Dollars ($10,000,000) at all times.

          (b) Fixed Charge Coverage Ratio. Have a Fixed Charge Coverage Ratio, measured at the end of
each fiscal quarter of Parent on a trailing 4 fiscal quarter basis, of at least the required
amount set forth in the following table for the applicable period set forth opposite thereto:

	 	 	 
	Applicable Ratio	 	Applicable Period
	 	 	 
	1.0:1.0
	 	For the 4 fiscal quarter period ending November 1, 2009
	 	 	 
	1.0:1.0
	 	For the 4 fiscal quarter period ending January 31, 2010
	 	 	 
	1.1:1.0
	 	For the 4 fiscal quarter period ending April 30, 2010,

and for the 4 fiscal quarter period ending at the end of

each fiscal quarter thereafter

          (c) Capital Expenditures. Make Capital Expenditures in any fiscal year in an amount
less than or equal to, but not greater than, the amount set forth in the following table for the
applicable period:

	 	 	 	 	 
	Fiscal year ending on or about April 30, 2010
	 	$	26,500,000	 
	 
	 	 	 	 
	Fiscal year ending on or about April 30, 2011
	 	$	28,750,000	 
	 
	 	 	 	 
	Fiscal year ending on or about April 30, 2012 and each fiscal
year ending thereafter
	 	$	30,000,000	 

8. EVENTS OF DEFAULT.

          Any one or more of the following events shall constitute an event of default (each, an
“Event of Default”) under this Agreement:

     8.1 If Borrowers fail to pay when due and payable, or when declared due and payable,
(a) all or any portion of the Obligations consisting of interest, fees, or charges due the Lender
Group, reimbursement of

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Lender Group Expenses, or other amounts (other than any portion thereof constituting principal)
constituting Obligations (including any portion thereof that accrues after the commencement of an
Insolvency Proceeding, regardless of whether allowed or allowable in whole or in part as a claim
in any such Insolvency Proceeding), and such failure continues for a period of 3 Business Days, or
(b) all or any portion of the principal of the Obligations;

     8.2 If any Loan Party or any of its Subsidiaries:

          (a) fails to perform or observe any covenant or other agreement contained in any of (i)
Sections 5.1, 5.2, 5.3 (solely if a Borrower is not in good standing in its
jurisdiction of organization), 5.6, 5.7 (solely if a Borrower refuses to allow Agent or its
representatives or agents to visit such Borrower’s properties, inspect its assets or books or
records, examine and make copies of its books and records, or discuss such Borrower’s affairs,
finances, and accounts with officers and employees of such Borrower), 5.10, 5.11,
5.13, or 5.14 of this Agreement, (ii) Sections 6.1 through 6.15 of this
Agreement, (iii) Section 7 of this Agreement, or (iv) Section 6 of the Security Agreement;

          (b) fails to perform or observe any covenant or other agreement contained in any of
Sections 5.3 (other than if a Borrower is not in good standing in its jurisdiction of
organization), 5.4, 5.5, 5.8, 5.12, and 5.15 of this Agreement and such
failure continues for a period of 10 days after the earlier of (i) the date on which such failure
shall first become known to any officer of any Borrower or (ii) the date on which written notice
thereof is given to Administrative Borrower by Agent; or

          (c) fails to perform or observe any covenant or other agreement contained in this Agreement,
or in any of the other Loan Documents, in each case, other than any such covenant or agreement that
is the subject of another provision of this Section 8 (in which event such other provision
of this Section 8 shall govern), and such failure continues for a period of 30 days after
the earlier of (i) the date on which such failure shall first become known to any officer of any
Borrower or (ii) the date on which written notice thereof is given to Administrative Borrower by
Agent;

     8.3 If one or more judgments, orders, or awards for the payment of money involving an
aggregate amount of $500,000, or more (except to the extent fully covered (other than to the extent
of customary deductibles) by insurance pursuant to which the insurer has not denied coverage) is
entered or filed against a Loan Party or any of its Non-CFC Subsidiaries, or with respect to any of
their respective assets, and either (a) there is a period of 30 consecutive days at any time after
the entry of any such judgment, order, or award during which (1) the same is not discharged,
satisfied, vacated, or bonded pending appeal, or (2) a stay of enforcement thereof is not in
effect, or (b) enforcement proceedings are commenced upon such judgment, order, or award;

     8.4 If an Insolvency Proceeding is commenced by a Loan Party or any of its Subsidiaries;

     8.5 If an Insolvency Proceeding is commenced against a Loan Party or any of its Subsidiaries
and any of the following events occur: (a) such Loan Party or such Subsidiary consents to the
institution of such Insolvency Proceeding against it, (b) the petition commencing the Insolvency
Proceeding is not timely controverted, (c) the petition commencing the Insolvency Proceeding is not
dismissed within 60 calendar days of the date of the filing thereof, (d) an interim trustee is
appointed to take possession of all or any substantial portion of the properties or assets of, or
to operate all or any substantial portion of the business of, such Loan Party or its Subsidiary, or
(e) an order for relief shall have been issued or entered therein;

     8.6 If a Loan Party or any of its Subsidiaries is enjoined, restrained, or in any way
prevented by court order from continuing to conduct all or any material part of the business
affairs of Parent and its Subsidiaries, taken as a whole;

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     8.7 If there is a default in one or more agreements to which a Loan Party or any of its
Subsidiaries is a party with one or more third Persons relative to a Loan Party’s or any of its
Subsidiaries’ Indebtedness involving: (a) an aggregate amount of $2,500,000 or more, and such
default results in a right by such third Person, irrespective of whether exercised, to accelerate
the maturity of such Loan Party’s or its Subsidiary’s obligations thereunder, or (b) an aggregate
amount of $500,000 or more, and such default (i) occurs at the final maturity of the obligations
thereunder, (ii) results in the actual acceleration by such Person or Persons of the maturity of
such Loan Party’s obligations thereunder, or (iii) is not cured or waived within thirty (30) days
of its occurrence;

     8.8 If any warranty, representation, certificate, statement, or Record made herein or in any
other Loan Document or delivered in writing to Agent or any Lender in connection with this
Agreement or any other Loan Document proves to be untrue in any material respect (except that such
materiality qualifier shall not be applicable to any representations and warranties that already
are qualified or modified by materiality in the text thereof) as of the date of issuance or making
or deemed making thereof;

     8.9 If the obligation of any Guarantor under the Guaranty is limited or terminated by
operation of law or by such Guarantor (other than in accordance with the terms of this Agreement or
the Guaranty);

     8.10 If the Security Agreement or any other Loan Document that purports to create a Lien,
shall, for any reason, fail or cease to create a valid and perfected and, except to the extent
permitted by the terms hereof or thereof, first priority Lien on the Collateral covered thereby,
except as a result of a disposition of the applicable Collateral in a transaction permitted under
this Agreement; or

     8.11 The validity or enforceability of any Loan Document shall at any time for any reason
(other than solely as the result of an action or failure to act on the part of Agent or the
Lenders) be declared to be null and void by a court of competent jurisdiction, or a proceeding
shall be commenced by a Loan Party or its Subsidiaries, or by any Governmental Authority having
jurisdiction over a Loan Party or its Subsidiaries, seeking to establish the invalidity or
unenforceability thereof, or a Loan Party or its Subsidiaries shall deny that such Loan Party or
its Subsidiaries has any liability or obligation purported to be created under any Loan Document.

     8.12 If a “fundamental change”, as described in Exhibit P-l, or as otherwise defined
in any documents evidencing the Permitted Convertible Note Debt, occurs.

9. RIGHTS AND REMEDIES.

     9.1 Rights and Remedies. Upon the occurrence and during the continuation of an Event
of Default, Agent may, and, at the instruction of the Required Lenders, shall, in each case by
written notice to Administrative Borrower and in addition to any other rights or remedies provided
for hereunder or under any other Loan Document or by applicable law, do any one or more of the
following on behalf of the Lender Group:

          (a) declare the Obligations, whether evidenced by this Agreement or by any of the other Loan
Documents immediately due and payable, whereupon the same shall become and be immediately due and
payable, without presentment, demand, protest, or further notice or other requirements of any kind,
all of which are hereby expressly waived by each Borrower; and

          (b) declare the Revolver Commitments terminated, whereupon the Revolver Commitments shall
immediately be terminated together with any obligation of any Lender hereunder to
make Advances and the obligation of the Issuing Lender to issue Letters of Credit.

The foregoing to the contrary notwithstanding, upon the occurrence of any Event of Default
described in Section 8.4 or Section 8.5, in addition to the remedies set forth
above, without any notice to any Borrower or

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any other Person or any act by the Lender Group, the Revolver Commitments shall automatically
terminate and the Obligations then outstanding, together with all accrued and unpaid interest
thereon and all fees and all other amounts due under this Agreement and the other Loan Documents,
shall automatically and immediately become due and payable, without presentment, demand, protest,
or notice of any kind, all of which are expressly waived by each Borrower.

     9.2 Remedies Cumulative. The rights and remedies of the Lender Group under this
Agreement, the other Loan Documents, and all other agreements shall be cumulative. The Lender
Group shall have all other rights and remedies not inconsistent herewith as provided under the
Code, by law, or in equity. No exercise by the Lender Group of one right or remedy shall be deemed
an election, and no waiver by the Lender Group of any Event of Default shall be deemed a
continuing waiver. No delay by the Lender Group shall constitute a waiver, election, or
acquiescence by it.

10. WAIVERS; INDEMNIFICATION.

     10.1 Demand; Protest; etc. Each Borrower waives demand, protest, notice of protest,
notice of default or dishonor, notice of payment and nonpayment, nonpayment at maturity, release,
compromise, settlement, extension, or renewal of documents, instruments, chattel paper, and
guarantees at any time held by the Lender Group on which any Borrower may in any way be liable.

     10.2 The Lender Group’s Liability for Collateral. Each Borrower hereby agrees that:
(a) so long as Agent complies with its obligations, if any, under the Code, the Lender Group shall
not in any way or manner be liable or responsible for: (i) the safekeeping of the Collateral, (ii)
any loss or damage thereto occurring or arising in any manner or fashion from any cause, (iii) any
diminution in the value thereof, or (iv) any act or default of any carrier, warehouseman, bailee,
forwarding agency, or other Person, and (b) all risk of loss, damage, or destruction of the
Collateral shall be borne by Borrowers.

     10.3 Indemnification. Each Borrower shall pay, indemnify, defend, and hold the
Agent-Related Persons, the Lender-Related Persons, and each Participant (each, an “Indemnified
Person”) harmless (to the fullest extent permitted by law) from and against any and all claims,
demands, suits, actions, investigations, proceedings, liabilities, fines, costs, penalties, and
damages, and all reasonable fees and disbursements of attorneys, experts, or consultants and all
other costs and expenses actually incurred in connection therewith or in connection with the
enforcement of this indemnification (as and when they are incurred and irrespective of whether suit
is brought), at any time asserted against, imposed upon, or incurred by any of them (a) in
connection with or as a result of or related to the execution and delivery (provided that Borrowers
shall not be liable for costs and expenses (including attorneys fees) of any Lender (other than
WFF) incurred in advising, structuring, drafting, reviewing, administering or syndicating
the Loan Documents), enforcement, performance, or administration (including any
restructuring or workout with respect hereto) of this Agreement, any of the other Loan Documents,
or the transactions contemplated hereby or thereby or the monitoring of Parent’s and its
Subsidiaries’ compliance with the terms of the Loan Documents (provided, however,
that the indemnification in this clause (a) shall not extend to (i) disputes solely between or
among the Lenders or (ii) disputes solely between or among the Lenders and their respective
Affiliates; it being understood and agreed that the indemnification in this clause (a) shall extend
to disputes between or among Agent on the one hand, and one or more Lenders, or one or more of
their Affiliates, on the other hand), (b) with respect to any investigation, litigation, or
proceeding related to this Agreement, any other Loan Document, or the use of the proceeds of the
credit provided hereunder (irrespective of whether any Indemnified Person is a party thereto), or
any act, omission, event, or circumstance in any manner related thereto, and (c) in connection with
or arising out of any presence or release of Hazardous Materials at, on, under, to or from any
assets or properties owned, leased or operated by Parent or any of its Subsidiaries or any
Environmental Actions, Environmental Liabilities or Remedial Actions related in any way to any such
assets or properties of Parent or any of its Subsidiaries (each and all of the foregoing, the
“Indemnified Liabilities‘”). The foregoing to the contrary notwithstanding, no Borrower
shall have any obligation to any Indemnified Person under this Section 10.3 with respect to
any Indemnified Liability to the extent that a court of competent jurisdiction finally determines

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to have resulted from the gross negligence or willful misconduct of such Indemnified Person or its
officers, directors, employees, attorneys, or agents. This provision shall survive the termination
of this Agreement and the repayment of the Obligations. If any Indemnified Person makes any
payment to any other Indemnified Person with respect to an Indemnified Liability as to which
Borrowers were required to indemnify the Indemnified Person receiving such payment, the
Indemnified Person making such payment is entitled to be indemnified and reimbursed by Borrowers
with respect thereto. WITHOUT LIMITATION, THE FOREGOING INDEMNITY SHALL APPLY TO EACH INDEMNIFIED
PERSON WITH RESPECT TO INDEMNIFIED LIABILITIES WHICH IN WHOLE OR IN PART ARE CAUSED BY OR ARISE
OUT OF ANY NEGLIGENT ACT OR OMISSION OF SUCH INDEMNIFIED PERSON OR OF ANY OTHER PERSON.

11. NOTICES.

          Unless otherwise provided in this Agreement, all notices or demands relating to this Agreement
or any other Loan Document shall be in writing and (except for financial statements and other
informational documents which may be sent by first-class mail, postage prepaid) shall be personally
delivered or sent by registered or certified mail (postage prepaid, return receipt requested),
overnight courier, electronic mail (at such email addresses as a party may designate in accordance
herewith), or telefacsimile. In the case of notices or demands to Borrowers in care of
Administrative Borrower or Agent, as the case may be, they shall be sent to the respective address
set forth below:

	 	 	 	 	 
	 

	 	If to Administrative
	 	FINISAR CORPORATION
	 

	 	Borrower:	 	 
	 

	 	 	 	1389 Moffett Park Drive
	 

	 	 	 	Sunnyvale, CA 94089
	 

	 	 	 	Attn: Stephen Workman, CFO
	 

	 	 	 	Fax No. (408) 541-6138
	 
	 	 	 	 
	 

	 	with copies to:
	 	DLA PIPER LLP (US)
	 

	 	 	 	2000 University Avenue
	 

	 	 	 	East Palo Alto, CA 94303
	 

	 	 	 	Attn: Dennis Sullivan, Esq.
	 

	 	 	 	Fax No.: (650) 687-1200
	 
	 	 	 	 
	 

	 	If to Agent:
	 	WELLS FARGO FOOTHILL, LLC
	 

	 	 	 	2450 Colorado Avenue
	 

	 	 	 	Suite 3000 West
	 

	 	 	 	Santa Monica, California 90404
	 

	 	 	 	Attn: Business Finance Division Manager
	 

	 	 	 	Fax No.: (310) 453-7413
	 
	 	 	 	 
	 

	 	with copies to:
	 	DEWEY & LEBOEUF LLP
	 

	 	 	 	333 South Grand Ave.
	 

	 	 	 	Los Angeles, CA 90071
	 

	 	 	 	Attn: Marshall Stoddard, Esq.
	 

	 	 	 	Fax No.: (213) 621-6100

          Any party hereto may change the address at which they are to receive notices hereunder, by
notice in writing in the foregoing manner given to the other party. All notices or demands sent in
accordance with this Section 11, shall be deemed received on the earlier of the date of
actual receipt or 3 Business Days after the deposit thereof in the mail; provided, that
(a) notices sent by overnight courier service shall be deemed to have been given when received,
(b) notices by facsimile shall be deemed to have been given when

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sent (except that, if not given during normal business hours for the recipient, shall be deemed to
have been given at the opening of business on the next Business Day for the recipient) and (c)
notices by electronic mail shall be deemed received upon the sender’s receipt of an acknowledgment
from the intended recipient (such as by the “return receipt requested” function, as available,
return email or other written acknowledgment).

12. CHOICE OF LAW AND VENUE; JURY TRIAL WAIVER; JUDICIAL REFERENCE.

          (a) THE VALIDITY OF THIS AGREEMENT AND THE OTHER LOAN DOCUMENTS (UNLESS
EXPRESSLY PROVIDED TO THE CONTRARY IN ANOTHER LOAN DOCUMENT IN RESPECT OF SUCH OTHER LOAN
DOCUMENT), THE CONSTRUCTION, INTERPRETATION, AND ENFORCEMENT HEREOF AND THEREOF, AND THE RIGHTS OF
THE PARTIES HERETO AND THERETO WITH RESPECT TO ALL MATTERS ARISING HEREUNDER OR THEREUNDER
OR RELATED HERETO OR THERETO SHALL BE DETERMINED UNDER, GOVERNED BY, AND CONSTRUED IN
ACCORDANCE WITH THE LAWS OF THE STATE OF CALIFORNIA.

          (b) THE PARTIES AGREE THAT ALL ACTIONS OR PROCEEDINGS ARISING IN CONNECTION WITH
THIS AGREEMENT AND THE OTHER LOAN DOCUMENTS SHALL BE TRIED AND LITIGATED ONLY IN THE STATE AND, TO
THE EXTENT PERMITTED BY APPLICABLE LAW, FEDERAL COURTS LOCATED IN THE COUNTY OF LOS ANGELES, STATE
OF CALIFORNIA; PROVIDED, HOWEVER, THAT ANY SUIT SEEKING ENFORCEMENT AGAINST ANY COLLATERAL
OR OTHER PROPERTY MAY BE BROUGHT, AT AGENT’S OPTION, IN THE COURTS OF ANY JURISDICTION WHERE AGENT ELECTS TO BRING SUCH ACTION OR WHERE SUCH COLLATERAL OR
OTHER PROPERTY MAY BE FOUND. EACH BORROWER AND EACH MEMBER OF THE LENDER GROUP WAIVE, TO THE EXTENT
PERMITTED UNDER APPLICABLE LAW, ANY RIGHT EACH MAY HAVE TO ASSERT THE DOCTRINE OF FORUM NON CONVENIENS OR TO OBJECT TO VENUE TO THE EXTENT ANY PROCEEDING IS BROUGHT IN ACCORDANCE WITH
THIS SECTION 12(b).

          (c) TO THE MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW, EACH BORROWER AND EACH MEMBER OF THE
LENDER GROUP HEREBY WAIVE THEIR RESPECTIVE RIGHTS TO A JURY TRIAL OF ANY CLAIM OR CAUSE OF ACTION
BASED UPON OR ARISING OUT OF ANY OF THE LOAN DOCUMENTS OR ANY OF THE TRANSACTIONS
CONTEMPLATED THEREIN, INCLUDING CONTRACT CLAIMS, TORT CLAIMS, BREACH OF DUTY CLAIMS, AND
ALL OTHER COMMON LAW OR STATUTORY CLAIMS. EACH BORROWER AND EACH MEMBER OF THE LENDER GROUP
REPRESENT THAT EACH HAS REVIEWED THIS WAIVER AND EACH KNOWINGLY AND VOLUNTARILY WAIVES ITS JURY
TRIAL RIGHTS FOLLOWING CONSULTATION WITH LEGAL COUNSEL. IN THE EVENT OF LITIGATION, A COPY OF THIS
AGREEMENT MAY BE FILED AS A WRITTEN CONSENT TO A TRIAL BY THE COURT.

          (d) IF ANY ACTION OR PROCEEDING IS FILED IN A COURT OF THE STATE OF CALIFORNIA BY OR AGAINST
ANY PARTY HERETO IN CONNECTION WITH ANY OF THE TRANSACTIONS CONTEMPLATED BY THIS AGREEMENT OR ANY
DOCUMENT RELATED HERETO AND EACH PARTY HERETO OR THERETO DOES NOT SUBSEQUENTLY WAIVE IN AN
EFFECTIVE MANNER UNDER CALIFORNIA LAW ITS RIGHT TO A TRIAL BY JURY, (a) THE COURT SHALL, AND
IS HEREBY DIRECTED TO, MAKE A GENERAL REFERENCE PURSUANT TO CALIFORNIA CODE OF CIVIL PROCEDURE
SECTION 638 TO A REFEREE OR REFEREES TO HEAR AND DETERMINE ALL OF THE ISSUES IN SUCH ACTION OR
PROCEEDING (WHETHER OF FACT OR OF LAW) AND TO REPORT A STATEMENT OF DECISION, PROVIDED THAT
ANY SUCH ISSUES PERTAINING TO A “PROVISIONAL REMEDY” AS DEFINED IN CALIFORNIA CODE OF CIVIL
PROCEDURE SECTION 1281.8 SHALL BE HEARD AND DETERMINED BY THE COURT, AND (b) BORROWERS SHALL BE

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SOLELY RESPONSIBLE TO PAY ALL FEES AND EXPENSES OF ANY REFEREE APPOINTED IN SUCH ACTION OR
PROCEEDING.

13. ASSIGNMENTS AND PARTICIPATIONS; SUCCESSORS.

     13.1 Assignments and Participations.

          (a) With the prior written consent of Agent, which consent of Agent shall not be unreasonably
withheld, delayed or conditioned, and shall not be required in connection with an assignment to a
Person that is a Lender or an Affiliate (other than individuals) of a Lender, any Lender may assign
and delegate to one or more assignees (each, an “Assignee”; provided, however, that
no Loan Party or Affiliate of a Loan Party shall be permitted to become an Assignee) all or any
portion of the Obligations, the Revolver Commitments and the other rights and obligations of such
Lender hereunder and under the other Loan Documents, in a minimum amount (unless waived by Agent)
of $5,000,000 (except such minimum amount shall not apply to (x) an assignment or delegation by any
Lender to any other Lender or an Affiliate of any Lender or (y) a group of new Lenders, each of
which is an Affiliate of each other or a Related Fund of such new Lender to the extent that the
aggregate amount to be assigned to all such new Lenders is at least $5,000,000); provided,
however, that Borrowers and Agent may continue to deal solely and directly with such Lender
in connection with the interest so assigned to an Assignee until (i) written notice of such
assignment, together with payment instructions, addresses, and related information with respect to
the Assignee, have been given to Administrative Borrower and Agent by such Lender and the Assignee,
(ii) such Lender and its Assignee have delivered to Administrative Borrower and Agent an Assignment
and Acceptance and Agent has notified the assigning Lender of its receipt thereof in accordance
with Section 13.1(b), and (iii) unless waived by Agent, the assigning Lender or Assignee
has paid to Agent for Agent’s separate account a processing fee in the amount of $3,500.

          (b) From and after the date that Agent notifies the assigning Lender (with a copy to
Administrative Borrower) that it has received an executed Assignment and Acceptance and, if
applicable, payment of the required processing fee, (i) the Assignee thereunder shall be a party
hereto and, to the extent that rights and obligations hereunder have been assigned to it pursuant
to such Assignment and Acceptance, shall have the rights and obligations of a Lender under the Loan
Documents, and (ii) the assigning Lender shall, to the extent that rights and obligations hereunder
and under the other Loan Documents have been assigned by it pursuant to such Assignment and
Acceptance, relinquish its rights (except with respect to Section 10.3) and be released
from any future obligations under this Agreement (and in the case of an Assignment and Acceptance
covering all or the remaining portion of an assigning Lender’s rights and obligations under this
Agreement and the other Loan Documents, such Lender shall cease to be a party hereto and thereto);
provided, however, that nothing contained herein shall release any assigning Lender
from obligations that survive the termination of this Agreement, including such assigning Lender’s
obligations under Section 15 and Section 17.9(a).

          (c) By executing and delivering an Assignment and Acceptance, the assigning Lender thereunder
and the Assignee thereunder confirm to and agree with each other and the other parties hereto as
follows: (i) other than as provided in such Assignment and Acceptance, such assigning Lender makes
no representation or warranty and assumes no responsibility with respect to any statements,
warranties or representations made in or in connection with this Agreement or the
execution, legality, validity, enforceability, genuineness, sufficiency or value of this
Agreement or any other Loan Document furnished pursuant hereto, (ii) such assigning Lender makes no
representation or warranty and assumes no responsibility with respect to the financial condition of
any Borrower or the performance or observance by any Borrower of any of its obligations under this
Agreement or any other Loan Document furnished pursuant hereto, (iii) such Assignee confirms that
it has received a copy of this Agreement, together with such other documents and information as it
has deemed appropriate to make its own credit analysis and decision to enter into such Assignment
and Acceptance, (iv) such Assignee will, independently and without reliance upon Agent, such
assigning Lender or any other Lender, and based on such documents and information as it shall deem

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appropriate at the time, continue to make its own credit decisions in taking or not taking action
under this Agreement, (v) such Assignee appoints and authorizes Agent to take such actions and to
exercise such powers under this Agreement and the other Loan Documents as are delegated to Agent,
by the terms hereof and thereof, together with such powers as are reasonably incidental thereto,
and (vi) such Assignee agrees that it will perform all of the obligations which by the terms of
this Agreement are required to be performed by it as a Lender.

          (d) Immediately upon Agent’s receipt of the required processing fee, if applicable, and
delivery of notice to the assigning Lender pursuant to Section 13.1(b), this Agreement
shall be deemed to be amended to the extent, but only to the extent, necessary to reflect the
addition of the Assignee and the resulting adjustment of the Revolver Commitments arising
therefrom. The Revolver Commitment allocated to each Assignee shall reduce such Revolver
Commitments of the assigning Lender pro tanto.

          (e) Any Lender may at any time sell to one or more commercial banks, financial institutions,
or other Persons (a “Participant”) participating interests in all or any portion of its
Obligations, its Revolver Commitment, and the other rights and interests of that Lender (the
“Originating Lender”) hereunder and under the other Loan Documents; provided,
however, that (i) the Originating Lender shall remain a “Lender” for all purposes of this
Agreement and the other Loan Documents and the Participant receiving the participating interest in
the Obligations, the Revolver Commitments, and the other rights and interests of the Originating
Lender hereunder shall not constitute a “Lender” hereunder or under the other Loan Documents and
the Originating Lender’s obligations under this Agreement shall remain unchanged, (ii) the
Originating Lender shall remain solely responsible for the performance of such obligations, (iii)
Borrowers, Agent, and the Lenders shall continue to deal solely and directly with the Originating
Lender in connection with the Originating Lender’s rights and obligations under this Agreement and
the other Loan Documents, (iv) no Lender shall transfer or grant any participating interest under
which the Participant has the right to approve any amendment to, or any consent or waiver with
respect to, this Agreement or any other Loan Document, except to the extent such amendment to, or
consent or waiver with respect to this Agreement or of any other Loan Document would (A) extend the
final maturity date of the Obligations hereunder in which such Participant is participating, (B)
reduce the interest rate applicable to the Obligations hereunder in which such Participant is
participating, (C) release all or substantially all of the Collateral or guaranties (except to the
extent expressly provided herein or in any of the Loan Documents) supporting the Obligations
hereunder in which such Participant is participating, (D) postpone the payment of, or reduce the
amount of, the interest or fees payable to such Participant through such Lender (other than a
waiver of default interest), or (E) change the amount or due dates of scheduled principal
repayments or prepayments or premiums, and (v) all amounts payable by Borrowers hereunder shall be
determined as if such Lender had not sold such participation, except that, if amounts outstanding
under this Agreement are due and unpaid, or shall have been declared or shall have become due and
payable upon the occurrence of an Event of Default, each Participant shall be deemed to have the
right of set off in respect of its participating interest in amounts owing under this Agreement to
the same extent as if the amount of its participating interest were owing directly to it as a
Lender under this Agreement. The rights of any Participant only shall be derivative through the
Originating Lender with whom such Participant participates and no Participant shall have any rights
under this Agreement or the other Loan Documents or any direct rights as to the other Lenders,
Agent, Borrowers, the Collections of Parent or its Subsidiaries, the Collateral, or otherwise in
respect of the Obligations. No Participant shall have the right to participate directly in the
making of decisions by the Lenders among themselves.

          (f) In connection with any such assignment or participation or proposed assignment or
participation or any grant of a security interest in, or pledge of, its rights under and interest
in this Agreement, a Lender may, subject to the provisions of Section 17.9, disclose all
documents and information which it now or hereafter may have relating to Parent and its
Subsidiaries and their respective businesses.

          (g) Any other provision in this Agreement notwithstanding, any Lender may at any time create a
security interest in, or pledge, all or any portion of its rights under and interest in this
Agreement in favor of any Federal Reserve Bank in accordance with Regulation A of the Federal
Reserve Bank or U.S.

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Treasury Regulation 31 CFR §203.24, and such Federal Reserve Bank may enforce such pledge or
security interest in any manner permitted under applicable law.

     13.2 Successors. This Agreement shall bind and inure to the benefit of the respective
successors and assigns of each of the parties; provided, however, that Borrowers
may not assign this Agreement or any rights or duties hereunder without the Lenders’ prior written
consent and any prohibited assignment shall be absolutely void ab initio. No consent to assignment
by the Lenders shall release any Borrower from its Obligations. A Lender may assign this Agreement
and the other Loan Documents and its rights and duties hereunder and thereunder pursuant to
Section 13.1 and, except as expressly required pursuant to Section 13.1, no
consent or approval by any Borrower is required in connection with any such assignment.

14. AMENDMENTS; WAIVERS.

     14.1 Amendments and Waivers.

          (a) No amendment, waiver or other modification of any provision of this Agreement or any
other Loan Document (other than Bank Product Agreements or the Fee Letter), and no consent with
respect to any departure by any Borrower therefrom, shall be effective unless the same shall be in
writing and signed by the Required Lenders (or by Agent at the written request of the Required
Lenders) and the Loan Parties that are party thereto and then any such waiver or consent shall be
effective, but only in the specific instance and for the specific purpose for which given;
provided, however, that no such waiver, amendment, or consent shall, unless in
writing and signed by all of the Lenders directly affected thereby and the Loan Parties that are
party thereto, do any of the following:

               (i) increase the amount of or extend the expiration date of the Revolver Commitment of
any Lender,

               (ii) postpone or delay any date fixed by this Agreement or any other Loan
Document for any payment of principal, interest, fees, or other amounts due hereunder or under any
other Loan Document,

               (iii) reduce the principal of, or the rate of interest on, any loan or other extension
of credit hereunder, or reduce any fees or other amounts payable hereunder or under any other Loan
Document (except (y) in connection with the waiver of applicability of Section 2.6(c)
(which waiver shall be effective with the written consent of the Required Lenders), and (z) that
any amendment or modification of defined terms used in the financial covenants in this Agreement
shall not constitute a reduction in the rate of interest or a reduction of fees for purposes of
this clause (iii)),

               (iv) amend or modify this Section or any provision of this Agreement providing for consent
or other action by all Lenders,

               (v) other than as permitted by Section 15.11, release Agent’s Lien in and to any
of the Collateral,

               (vi) change the definition of “Required Lenders” or “Pro Rata
Share”,

               (vii) contractually subordinate any of Agent’s Liens,

               (viii) other than in connection with a merger, liquidation, dissolution or sale of
such Person expressly permitted by the terms hereof or the other Loan Documents, release any
Borrower or any Guarantor from any obligation for the payment of money or consent to the
assignment or transfer by any Borrower or any Guarantor of any of its rights or duties under this
Agreement or the other Loan Documents,

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               (ix) amend any of the provisions of Section 2.4(b)(i) or (ii) or Section 2.4(e) or (f),

               (x) amend Section 13.1(a) to permit a Loan Party or an Affiliate of a Loan Party
to be permitted to become an Assignee, or

               (xi) change the definition of Borrowing Base or any of the defined terms
(including the definitions of Eligible Accounts, Eligible Investment Grade Account, Eligible
Credit Insured Account, Eligible Equipment and Eligible Inventory) that are used in such
definition to the extent that any such change results in more credit being made available to
Borrowers based upon the Borrowing Base, but not otherwise, or the definitions of Maximum Revolver
Amount,

          (b) No amendment, waiver, modification, or consent shall amend, modify, or waive (i) the
definition of, or any of the terms or provisions of, the Fee Letter, without the written consent of
Agent and Borrowers (and shall not require the written consent of any of the Lenders), and (ii) any
provision of Section 15 pertaining to Agent, or any other rights or duties of Agent under this
Agreement or the other Loan Documents, without the written consent of Agent, Borrowers, and the
Required Lenders,

          (c) No amendment, waiver, modification, or consent shall amend, modify, or waive any provision
of this Agreement or the other Loan Documents pertaining to Issuing Lender, or any other rights or
duties of Issuing Lender under this Agreement or the other Loan Documents, without the written
consent of Issuing Lender, Agent, Borrowers, and the Required Lenders,

          (d) No amendment, waiver, modification, or consent shall amend, modify, or waive any provision
of this Agreement or the other Loan Documents pertaining to Swing Lender, or any other rights or
duties of Swing Lender under this Agreement or the other Loan Documents, without the written
consent of Swing Lender, Agent, Borrowers, and the Required Lenders, and

          (e) Anything in this Section 14.1 to the contrary notwithstanding, any amendment,
modification, waiver, consent, termination, or release of, or with respect to, any provision of
this Agreement or any other Loan Document that relates only to the relationship of the Lender Group
among themselves, and that does not affect the rights or obligations of any Loan Party, shall not
require consent by or the agreement of any Loan Party.

     14.2 Replacement of Certain Lenders.

          (a) If (i) any action to be taken by the Lender Group or Agent hereunder requires the
unanimous consent, authorization, or agreement of any Lender directly adversely affected thereby
and if such action has received the consent, authorization, or agreement of the Required Lenders
but not such greater number of the Lenders as may be required by Section 14.1 or (ii) any
Lender makes a claim for compensation under Section 16, then Borrowers or Agent, upon at
least 5 Business Days prior irrevocable notice, may permanently replace any Lender (a “Holdout
Lender”) that failed to give its consent, authorization, or agreement or made a claim for
compensation (a “Tax Lender”) with one or more Replacement Lenders, and the Holdout Lender
or Tax Lender, as applicable, shall have no right to refuse to be replaced hereunder. Such notice
to replace the Holdout Lender or Tax Lender, as applicable, shall specify an effective date for
such replacement, which date shall not be later than 15 Business Days after the date such notice is
given.

          (b) Prior to the effective date of such replacement, the Holdout Lender and each Replacement
Lender shall execute and deliver an Assignment and Acceptance, subject only to the Holdout Lender
being repaid its share of the outstanding Obligations (including an assumption of its Pro Rata
Share of the Letters of Credit) without any premium or penalty of any kind whatsoever. If the
Holdout Lender shall refuse or fail to execute and deliver any such Assignment and Acceptance prior
to the effective date of such replacement, the Holdout Lender shall be deemed to have executed and
delivered such Assignment and

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Acceptance. The replacement of any Holdout Lender shall be made in accordance with the terms of
Section 13.1. Until such time as the Replacement Lenders shall have acquired all of the
Obligations, the Revolver Commitments, and the other rights and obligations of the Holdout Lender
hereunder and under the other Loan Documents, the Holdout Lender shall remain obligated to make the
Holdout Lender’s Pro Rata Share of Advances and to purchase a participation in each Letter of
Credit, in an amount equal to its Pro Rata Share of such Letters of Credit.

     14.3 No Waivers; Cumulative Remedies. No failure by Agent or any Lender to exercise
any right, remedy, or option under this Agreement or any other Loan Document, or delay by Agent or
any Lender in exercising the same, will operate as a waiver thereof. No waiver by Agent or any
Lender will be effective unless it is in writing, and then only to the extent specifically stated.
No waiver by Agent or any Lender on any occasion shall affect or diminish Agent’s and each
Lender’s rights thereafter to require strict performance by each Borrower of any provision of this
Agreement. Agent’s and each Lender’s rights under this Agreement and the other Loan Documents will
be cumulative and not exclusive of any other right or remedy that Agent or any Lender may have.

15. AGENT; THE LENDER GROUP.

     15.1 Appointment and Authorization of Agent. Each Lender hereby designates and
appoints WFF as its agent under this Agreement and the other Loan Documents and each Lender hereby
irrevocably authorizes Agent to execute and deliver each of the other Loan Documents on its behalf
and to take such other action on its behalf under the provisions of this Agreement and each other
Loan Document and to exercise such powers and perform such duties as are expressly delegated to
Agent by the terms of this Agreement or any other Loan Document, together with such powers as are
reasonably incidental thereto. Agent agrees to act as agent for and on behalf of the Lenders (and
the Bank Product Providers) on the conditions contained in this Section 15. Any provision
to the contrary contained elsewhere in this Agreement or in any other Loan Document
notwithstanding, Agent shall not have any duties or responsibilities, except those expressly set
forth herein or in the other Loan Documents, nor shall Agent have or be deemed to have any
fiduciary relationship with any Lender (or Bank Product Provider), and no implied covenants,
functions, responsibilities, duties, obligations or liabilities shall be read into this Agreement
or any other Loan Document or otherwise exist against Agent. Without limiting the generality of the
foregoing, the use of the term “agent” in this Agreement or the other Loan Documents with reference
to Agent is not intended to connote any fiduciary or other implied (or express) obligations arising
under agency doctrine of any applicable law. Instead, such term is used merely as a matter of
market custom, and is intended to create or reflect only a representative relationship between
independent contracting parties. Each Lender hereby further authorizes (and by its acceptance of
the benefits of the Loan Documents, each Bank Product Provider shall be deemed to authorize) Agent
to act as the secured party under each of the Loan Documents that create a Lien on any item of
Collateral. Except as expressly otherwise provided in this Agreement, Agent shall have and may use
its sole discretion with respect to exercising or refraining from exercising any discretionary
rights or taking or refraining from taking any actions that Agent expressly is entitled to take or
assert under or pursuant to this Agreement and the other Loan Documents. Without limiting the
generality of the foregoing, or of any other provision of the Loan Documents that provides rights
or powers to Agent, Lenders agree that Agent shall have the right to exercise the following powers
as long as this Agreement remains in effect: (a) maintain, in accordance with its customary
business practices, ledgers and records reflecting the status of the Obligations, the Collateral,
the Collections of Parent and its Non-CFC Subsidiaries, and related matters, (b) execute or file
any and all financing or similar statements or notices, amendments, renewals, supplements,
documents, instruments, proofs of claim, notices and other written agreements with respect to the
Loan Documents, (c) make Advances, for itself or on behalf of Lenders, as provided in the Loan
Documents, (d) exclusively receive, apply, and distribute the Collections of Parent and its
Subsidiaries as provided in the Loan Documents, (e) open and maintain such bank accounts and cash
management arrangements as Agent deems necessary and appropriate in accordance with the Loan
Documents for the foregoing purposes with respect to the Collateral and the Collections of Parent
and its Non-CFC Subsidiaries, (f) perform, exercise, and enforce any and all other rights and
remedies of the Lender Group with respect to Parent or its Non-CFC Subsidiaries, the Obligations,
the Collateral, the Collections of Parent

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and its Non-CFC Subsidiaries, or otherwise related to any of same as provided in the Loan
Documents, and (g) incur and pay such Lender Group Expenses as Agent may deem necessary or
appropriate for the performance and fulfillment of its functions and powers pursuant to the Loan
Documents.

     15.2 Delegation of Duties. Agent may execute any of its duties under this Agreement or
any other Loan Document by or through agents, employees or attorneys in fact and shall be entitled
to advice of counsel concerning all matters pertaining to such duties. Agent shall not be
responsible for the negligence or misconduct of any agent or attorney in fact that it selects as
long as such selection was made without gross negligence or willful misconduct.

     15.3 Liability of Agent. None of the Agent-Related Persons shall (a) be liable for
any action taken or omitted to be taken by any of them under or in connection with this Agreement
or any other Loan Document or the transactions contemplated hereby (except for its own gross
negligence or willful misconduct), or (b) be responsible in any manner to any of the Lenders (or
Bank Product Providers) for any recital, statement, representation or warranty made by Parent or
any of its Subsidiaries or Affiliates, or any officer or director thereof, contained in this
Agreement or in any other Loan Document, or in any certificate, report, statement or other document
referred to or provided for in, or received by Agent under or in connection with, this Agreement or
any other Loan Document, or the validity, effectiveness, genuineness, enforceability or sufficiency
of this Agreement or any other Loan Document, or for any failure of Parent or its Subsidiaries or
any other party to any Loan Document to perform its obligations hereunder or thereunder. No
Agent-Related Person shall be under any obligation to any Lenders (or Bank Product Providers) to
ascertain or to inquire as to the observance or performance of any of the agreements contained in,
or conditions of, this Agreement or any other Loan Document, or to inspect the books and records or
properties of Parent or its Subsidiaries.

     15.4 Reliance by Agent. Agent shall be entitled to rely, and shall be fully protected
in relying, upon any writing, resolution, notice, consent, certificate, affidavit, letter,
telegram, telefacsimile or other electronic method of transmission, telex or telephone message,
statement or other document or conversation believed by it to be genuine and correct and to have
been signed, sent, or made by the proper Person or Persons, and upon advice and statements of legal
counsel (including counsel to Borrowers or counsel to any Lender), independent accountants and
other experts selected by Agent. Agent shall be fully justified in failing or refusing to take any
action under this Agreement or any other Loan Document unless Agent shall first receive such advice
or concurrence of the Lenders as it deems appropriate and until such instructions are received,
Agent shall act, or refrain from acting, as it deems advisable. If Agent so requests, it shall
first be indemnified to its reasonable satisfaction by the Lenders (and, if it so elects, the Bank
Product Providers) against any and all liability and expense that may be incurred by it by reason
of taking or continuing to take any such action. Agent shall in all cases be fully protected in
acting, or in refraining from acting, under this Agreement or any other Loan Document in accordance
with a request or consent of the requisite Lenders and such request and any action taken or failure
to act pursuant thereto shall be binding upon all of the Lenders (and Bank Product Providers).

     15.5 Notice of Default or Event of Default. Agent shall not be deemed to have
knowledge or notice of the occurrence of any Default or Event of Default, except with respect to
defaults in the payment of principal, interest, fees, and expenses required to be paid to Agent for
the account of the Lenders and, except with respect to Events of Default of which Agent has actual
knowledge, unless Agent shall have received written notice from a Lender or Administrative Borrower
referring to this Agreement, describing such Default or Event of Default, and stating that such
notice is a “notice of default.” Agent promptly will notify the Lenders of its receipt of any
such notice or of any Event of Default of which Agent has actual knowledge. If any Lender obtains
actual knowledge of any Event of Default, such Lender promptly shall notify the other Lenders and
Agent of such Event of Default. Each Lender shall be solely responsible for giving any notices to
its Participants, if any. Subject to Section 15.4, Agent shall take such action with
respect to such Default or Event of Default as may be requested by the Required Lenders in
accordance with Section 9; provided, however, that unless and until Agent
has received any such request, Agent may (but shall not be obligated to)

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take such action, or refrain from taking such action, with respect to such Default or Event of
Default as it shall deem advisable.

     15.6 Credit Decision. Each Lender (and Bank Product Provider) acknowledges that none
of the Agent-Related Persons has made any representation or warranty to it, and that no act by
Agent hereinafter taken, including any review of the affairs of Parent and its Subsidiaries or
Affiliates, shall be deemed to constitute any representation or warranty by any Agent-Related
Person to any Lender (or Bank Product Provider). Each Lender represents (and by its acceptance of
the benefits of the Loan Documents, each Bank Product Provider shall be deemed to represent) to
Agent that it has, independently and without reliance upon any Agent-Related Person and based on
such due diligence, documents and information as it has deemed appropriate, made its own appraisal
of and investigation into the business, prospects, operations, property, financial and other
condition and creditworthiness of Borrowers or any other Person party to a Loan Document, and all
applicable bank regulatory laws relating to the transactions contemplated hereby, and made its own
decision to enter into this Agreement and to extend credit to Borrowers. Each Lender also
represents (and by its acceptance of the benefits of the Loan Documents, each Bank Product Provider
shall be deemed to represent) that it will, independently and without reliance upon any
Agent-Related Person and based on such documents and information as it shall deem appropriate at
the time, continue to make its own credit analysis, appraisals and decisions in taking or not
taking action under this Agreement and the other Loan Documents, and to make such investigations as
it deems necessary to inform itself as to the business, prospects, operations, property, financial
and other condition and creditworthiness of Borrowers or any other Person party to a Loan Document.
Except for notices, reports, and other documents expressly herein required to be furnished to the
Lenders by Agent, Agent shall not have any duty or responsibility to provide any Lender (or Bank
Product Provider) with any credit or other information concerning the business, prospects,
operations, property, financial and other condition or creditworthiness of Borrowers or any other
Person party to a Loan Document that may come into the possession of any of the Agent-Related
Persons. Each Lender acknowledges (and by its acceptance of the benefits of the Loan Documents,
each Bank Product Provider shall be deemed to acknowledge) that Agent does not have any duty or
responsibility, either initially or on a continuing basis (except to the extent, if any, that is
expressly specified herein) to provide such Lender (or Bank Product Provider) with any credit or
other information with respect to any Borrower, its Affiliates or any of their respective business,
legal, financial or other affairs, and irrespective of whether such information came into Agent’s
or its Affiliates’ or representatives’ possession before or after the date on which such Lender
became a party to this Agreement (or such Bank Product Provider entered into a Bank Product
Agreement).

     15.7 Costs and Expenses; Indemnification. Agent may incur and pay Lender Group
Expenses to the extent Agent reasonably deems necessary or appropriate for the performance and
fulfillment of its functions, powers, and obligations pursuant to the Loan Documents, including
court costs, attorneys fees and expenses, fees and expenses of financial accountants, advisors,
consultants, and appraisers, costs of collection by outside collection agencies, auctioneer fees
and expenses, and costs of security guards or insurance premiums paid to maintain the Collateral,
whether or not Borrowers are obligated to reimburse Agent or Lenders for such expenses pursuant to
this Agreement or otherwise. Agent is authorized and directed to deduct and retain sufficient
amounts from the Collections of Parent and its Subsidiaries received by Agent to reimburse Agent
for such out-of-pocket costs and expenses prior to the distribution of any amounts to Lenders (or
Bank Product Providers). In the event Agent is not reimbursed for such costs and expenses by Parent
or its Subsidiaries, each Lender hereby agrees that it is and shall be obligated to pay to Agent
such Lender’s Pro Rata Share thereof. Whether or not the transactions contemplated hereby are
consummated, the Lenders shall indemnify upon demand the Agent-Related Persons (to the extent not
reimbursed by or on behalf of Borrowers and without limiting the obligation of Borrowers to do so),
according to their Pro Rata Shares, from and against any and all Indemnified Liabilities;
provided, however, that no Lender shall be liable for the payment to any
Agent-Related Person of any portion of such Indemnified Liabilities resulting solely from such
Person’s gross negligence or willful misconduct nor shall any Lender be liable for the obligations
of any Defaulting Lender in failing to make an Advance or other extension of credit hereunder.
Without limitation of the foregoing, each Lender shall reimburse Agent upon demand for such
Lender’s Pro Rata Share of any costs or out of pocket expenses (including attorneys, accountants,
advisors, and consultants fees and expenses) incurred

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by Agent in connection with the preparation, execution, delivery, administration, modification,
amendment, or enforcement (whether through negotiations, legal proceedings or otherwise) of, or
legal advice in respect of rights or responsibilities under, this Agreement, any other Loan
Document, or any document contemplated by or referred to herein, to the extent that Agent is not
reimbursed for such expenses by or on behalf of Borrowers. The undertaking in this Section shall
survive the payment of all Obligations hereunder and the resignation or replacement of Agent.

     15.8 Agent in Individual Capacity. WFF and its Affiliates may make loans to, issue
letters of credit for the account of, accept deposits from, provide Bank Products to, acquire
equity interests in, and generally engage in any kind of banking, trust, financial advisory,
underwriting, or other business with Parent and its Subsidiaries and Affiliates and any other
Person party to any Loan Document as though WFF were not Agent hereunder, and, in each case,
without notice to or consent of the other members of the Lender Group. The other members of the
Lender Group acknowledge (and by its acceptance of the benefits of the Loan Documents, each Bank
Product Provider shall be deemed to acknowledge) that, pursuant to such activities, WFF or its
Affiliates may receive information regarding Parent or its Affiliates or any other Person party to
any Loan Documents that is subject to confidentiality obligations in favor of Parent or such other
Person and that prohibit the disclosure of such information to the Lenders (or Bank Product
Providers), and the Lenders acknowledge (and by its acceptance of the benefits of the Loan
Documents, each Bank Product Provider shall be deemed to acknowledge) that, in such circumstances
(and in the absence of a waiver of such confidentiality obligations, which waiver Agent will use
its reasonable best efforts to obtain), Agent shall not be under any obligation to provide such
information to them. The terms “Lender” and “Lenders” include WFF in its individual capacity.

     15.9 Successor Agent. Agent may resign as Agent upon 30 days prior written notice to
the Lenders (unless such notice is waived by the Required Lenders) and Administrative Borrower
(unless such notice is waived by Administrative Borrower) and without any notice to the Bank
Product Providers. If Agent resigns under this Agreement, the Required Lenders shall be entitled,
with (so long as no Event of Default has occurred and is continuing) the consent of Administrative
Borrower (such consent not to be unreasonably withheld, delayed, or conditioned), appoint a
successor Agent for the Lenders (and the Bank Product Providers). If, at the time that Agent’s
resignation is effective, it is acting as the Issuing Lender or the Swing Lender, such resignation
shall also operate to effectuate its resignation as the Issuing Lender or the Swing Lender, as
applicable, and it shall automatically be relieved of any further obligation to issue Letters of
Credit, to cause the Underlying Issuer to issue Letters of Credit, or to make Swing Loans. If no
successor Agent is appointed prior to the effective date of the resignation of Agent, Agent may
appoint, after consulting with the Lenders and Administrative Borrower, a successor Agent. If
Agent has materially breached or failed to perform any material provision of this Agreement or of
applicable law, the Required Lenders may agree in writing to remove and replace Agent with a
successor Agent from among the Lenders with (so long as no Event of Default has occurred and is
continuing) the consent of Administrative Borrower (such consent not to be unreasonably withheld,
delayed, or conditioned). In any such event, upon the acceptance of its appointment as successor
Agent hereunder, such successor Agent shall succeed to all the rights, powers, and duties of the
retiring Agent and the term “Agent” shall mean such successor Agent and the retiring Agent’s
appointment, powers, and duties as Agent shall be terminated. After any retiring Agent’s
resignation hereunder as Agent, the provisions of this Section 15 shall inure to its
benefit as to any actions taken or omitted to be taken by it while it was Agent under this
Agreement. If no successor Agent has accepted appointment as Agent by the date which is 30 days
following a retiring Agent’s notice of resignation, the retiring Agent’s resignation shall
nevertheless thereupon become effective and the Lenders shall perform all of the duties of Agent
hereunder until such time, if any, as the Lenders appoint a successor Agent as provided for above.

     15.10 Lender in Individual Capacity. Any Lender and its respective Affiliates may
make loans to, issue letters of credit for the account of, accept deposits from, provide Bank
Products to, acquire equity interests in and generally engage in any kind of banking, trust,
financial advisory, underwriting, or other business with Parent and its Subsidiaries and Affiliates
and any other Person party to any Loan Documents as though such Lender were not a Lender hereunder
without notice to or consent of the other members of the

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Lender Group (or the Bank Product Providers). The other members of the Lender Group acknowledge
(and by its acceptance of the benefits of the Loan Documents, each Bank Product Provider shall be
deemed to acknowledge) that, pursuant to such activities, such Lender and its respective
Affiliates may receive information regarding Parent or its Affiliates or any other Person party to
any Loan Documents that is subject to confidentiality obligations in favor of Parent or such other
Person and that prohibit the disclosure of such information to the Lenders, and the Lenders
acknowledge (and by its acceptance of the benefits of the Loan Documents, each Bank Product
Provider shall be deemed to acknowledge) that, in such circumstances (and in the absence of a
waiver of such confidentiality obligations, which waiver such Lender will use its reasonable best
efforts to obtain), such Lender shall not be under any obligation to provide such information to
them.

     15.11 Collateral Matters.

          (a) The Lenders hereby irrevocably authorize (and by its acceptance of the benefits of the
Loan Documents, each Bank Product Provider shall be deemed to authorize) Agent to release any Lien
on any Collateral (i) upon the termination of the Revolver Commitments and payment and satisfaction
in full by Borrowers of all Obligations, (ii) constituting property being sold or disposed of if a
release is required or desirable in connection therewith and if Administrative Borrower certifies
to Agent that the sale or disposition is permitted under Section 6.4 (and Agent may rely
conclusively on any such certificate, without further inquiry), (iii) constituting property in
which Parent or its Subsidiaries owned no interest at the time Agent’s Lien was granted nor at any
time thereafter, or (iv) constituting property leased to Parent or its Subsidiaries under a lease
that has expired or is terminated in a transaction permitted under this Agreement. The Lenders
hereby irrevocably authorize (and by its acceptance of the benefits of the Loan Documents, each
Bank Product Provider shall be deemed to authorize) Agent, based upon the instruction of the
Required Lenders, to credit bid and purchase (either directly or through one or more acquisition
vehicles) all or any portion of the Collateral at any sale thereof conducted by Agent under the
provisions of the Code, including pursuant to Sections 9-610 or 9-620 of the Code, at any sale
thereof conducted under the provisions of the Bankruptcy Code, including Section 363 of the
Bankruptcy Code, or at any sale or foreclosure conducted by Agent (whether by judicial action or
otherwise) in accordance with applicable law. Except as provided above, Agent will not execute and
deliver a release of any Lien on any Collateral without the prior written authorization of (y) if
the release is of all or substantially all of the Collateral, all of the Lenders (without requiring
the authorization of the Bank Product Providers), or (z) otherwise, the Required Lenders (without
requiring the authorization of the Bank Product Providers). Upon request by Agent or Administrative
Borrower at any time, the Lenders will (and is so requested, the Bank Product Providers will)
confirm in writing Agent’s authority to release any such Liens on particular types or items of
Collateral pursuant to this Section 15.11; provided, however, that (1)
Agent shall not be required to execute any document necessary to evidence such release on terms
that, in Agent’s opinion, would expose Agent to liability or create any obligation or entail any
consequence other than the release of such Lien without recourse, representation, or warranty, and
(2) such release shall not in any manner discharge, affect, or impair the Obligations or any Liens
(other than those expressly being released) upon (or obligations of Borrowers in respect of) all
interests retained by Borrowers, including, the proceeds of any sale, all of which shall continue
to constitute part of the Collateral. The Lenders further hereby irrevocably authorize (and by
its acceptance of the benefits of the Loan Documents, each Bank Product Provider shall be deemed to
authorize) Agent, at its option and in its sole discretion, to subordinate any Lien granted to or
held by Agent under any Loan Document to the holder of any Permitted Lien on such property if such
Permitted Lien secures Permitted Purchase Money Indebtedness.

          (b) Agent shall have no obligation whatsoever to any of the Lenders (or the Bank Product
Providers) to assure that the Collateral exists or is owned by Parent or its Subsidiaries or is
cared for, protected, or insured or has been encumbered, or that Agent’s Liens have been properly
or sufficiently or lawfully created, perfected, protected, or enforced or are entitled to any
particular priority, or to exercise at all or in any particular manner or under any duty of care,
disclosure or fidelity, or to continue exercising, any of the rights, authorities and powers
granted or available to Agent pursuant to any of the Loan Documents, it being understood and agreed
that in respect of the Collateral, or any act, omission, or event related thereto, subject to the
terms and conditions contained herein, Agent may act in any manner it may deem appropriate, in

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its sole discretion given Agent’s own interest in the Collateral in its capacity as one of the
Lenders and that Agent shall have no other duty or liability whatsoever to any Lender (or Bank
Product Provider) as to any of the foregoing, except as otherwise provided herein.

     15.12 Restrictions on Actions by Lenders; Sharing of Payments.

          (a) Each of the Lenders agrees that it shall not, without the express written consent of
Agent, and that it shall, to the extent it is lawfully entitled to do so, upon the written request
of Agent, set off against the Obligations, any amounts owing by such Lender to Parent or its
Non-CFC Subsidiaries or any deposit accounts of Parent or its Non-CFC Subsidiaries now or hereafter
maintained with such Lender. Each of the Lenders further agrees that it shall not, unless
specifically requested to do so in writing by Agent, take or cause to be taken any action,
including, the commencement of any legal or equitable proceedings to enforce any Loan Document
against any Borrower or any Guarantor or to foreclose any Lien on, or otherwise enforce any
security interest in, any of the Collateral.

          (b) If, at any time or times any Lender shall receive (i) by payment, foreclosure, setoff, or
otherwise, any proceeds of Collateral or any payments with respect to the Obligations, except for
any such proceeds or payments received by such Lender from Agent pursuant to the terms of this
Agreement, or (ii) payments from Agent in excess of such Lender’s Pro Rata Share of all such
distributions by Agent, such Lender promptly shall (A) turn the same over to Agent, in kind, and
with such endorsements as may be required to negotiate the same to Agent, or in immediately
available funds, as applicable, for the account of all of the Lenders and for application to the
Obligations in accordance with the applicable provisions of this Agreement, or (B) purchase,
without recourse or warranty, an undivided interest and participation in the Obligations owed to
the other Lenders so that such excess payment received shall be applied ratably as among the
Lenders in accordance with their Pro Rata Shares; provided, however, that to the
extent that such excess payment received by the purchasing party is thereafter recovered from it,
those purchases of participations shall be rescinded in whole or in part, as applicable, and the
applicable portion of the purchase price paid therefor shall be returned to such purchasing party,
but without interest except to the extent that such purchasing party is required to pay interest in
connection with the recovery of the excess payment.

     15.13 Agency for Perfection. Agent hereby appoints each other Lender (and each Bank
Product Provider) as its agent (and each Lender hereby accepts (and by its acceptance of the
benefits of the Loan Documents, each Bank Product Provider shall be deemed to accept) such
appointment) for the purpose of perfecting Agent’s Liens in assets which, in accordance with
Article 8 or Article 9, as applicable, of the Code can be perfected by possession or control.
Should any Lender obtain possession or control of any such Collateral, such Lender shall notify
Agent thereof, and, promptly upon Agent’s request therefor shall deliver possession or control of
such Collateral to Agent or in accordance with Agent’s instructions.

     15.14 Payments by Agent to the Lenders. All payments to be made by Agent to the
Lenders (or Bank Product Providers) shall be made by bank wire transfer of immediately available
funds pursuant to such wire transfer instructions as each party may designate for itself by written
notice to Agent. Concurrently with each such payment, Agent shall identify whether such payment (or
any portion thereof) represents principal, premium, fees, or interest of the Obligations.

     15.15 Concerning the Collateral and Related Loan Documents. Each member of the
Lender Group authorizes and directs Agent to enter into this Agreement and the other Loan
Documents. Each member of the Lender Group agrees (and by its acceptance of the benefits of the
Loan Documents, each Bank Product Provider shall be deemed to agree) that any action taken by Agent
in accordance with the terms of this Agreement or the other Loan Documents relating to the
Collateral and the exercise by Agent of its powers set forth therein or herein, together with such
other powers that are reasonably incidental thereto, shall be binding upon all of the Lenders (and
such Bank Product Provider).

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     15.16 Audits and Examination Reports: Confidentiality; Disclaimers by Lenders; Other
Reports and Information. By becoming a party to this Agreement, each Lender:

          (a) is deemed to have requested that Agent furnish such Lender, promptly after it becomes
available, a copy of each field audit or examination report respecting Parent or its Subsidiaries
(each a “Report” and collectively, “Reports”) prepared by or at the request of
Agent, and Agent shall so furnish each Lender with such Reports,

          (b) expressly agrees and acknowledges that Agent does not (i) make any representation or
warranty as to the accuracy of any Report, and (ii) shall not be liable for any information
contained in any Report,

          (c) expressly agrees and acknowledges that the Reports are not comprehensive audits or
examinations, that Agent or other party performing any audit or examination will inspect only
specific information regarding Parent and its Subsidiaries and will rely significantly upon
Parent’s and its Subsidiaries’ books and records, as well as on representations of Borrowers’
personnel,

          (d) agrees to keep all Reports and other material, non-public information regarding Parent and
its Subsidiaries and their operations, assets, and existing and contemplated business plans in a
confidential manner in accordance with Section 17.9, and

          (e) without limiting the generality of any other indemnification provision contained in this
Agreement, agrees: (i) to hold Agent and any other Lender preparing a Report harmless from any
action the indemnifying Lender may take or fail to take or any conclusion the indemnifying Lender
may reach or draw from any Report in connection with any loans or other credit accommodations that
the indemnifying Lender has made or may make to Borrowers, or the indemnifying Lender’s
participation in, or the indemnifying Lender’s purchase of, a loan or loans of Borrowers, and (ii)
to pay and protect, and indemnify, defend and hold Agent, and any such other Lender preparing a
Report harmless from and against, the claims, actions, proceedings, damages, costs, expenses, and
other amounts (including, attorneys fees and costs) incurred by Agent and any such other Lender
preparing a Report as the direct or indirect result of any third parties who might obtain all or
part of any Report through the indemnifying Lender.

In addition to the foregoing: (x) any Lender may from time to time request of Agent in writing that
Agent provide to such Lender a copy of any report or document provided by Parent or its
Subsidiaries to Agent that has not been contemporaneously provided by Parent or such Subsidiary to
such Lender, and, upon receipt of such request, Agent promptly shall provide a copy of same to such
Lender, (y) to the extent that Agent is entitled, under any provision of the Loan Documents, to
request additional reports or information from Parent or its Subsidiaries, any Lender may, from
time to time, reasonably request Agent to exercise such right as specified in such Lender’s notice
to Agent, whereupon Agent promptly shall request of Administrative Borrower the additional reports
or information reasonably specified by such Lender, and, upon receipt thereof from Administrative
Borrower, Agent promptly shall provide a copy of same to such Lender, and (z) any time that Agent
renders to Administrative Borrower a statement regarding the Loan Account, Agent shall send a copy
of such statement to each Lender.

     15.17 Several Obligations; No Liability. Notwithstanding that certain of the Loan
Documents now or hereafter may have been or will be executed only by or in favor of Agent in its
capacity as such, and not by or in favor of the Lenders, any and all obligations on the part of
Agent (if any) to make any credit available hereunder shall constitute the several (and not joint)
obligations of the respective Lenders on a ratable basis, according to their respective Revolver
Commitments, to make an amount of such credit not to exceed, in principal amount, at any one
time outstanding, the amount of their respective Revolver Commitments. Nothing contained herein
shall confer upon any Lender any interest in, or subject any Lender to any liability for, or in
respect of, the business, assets, profits, losses, or liabilities of any other Lender. Each Lender
shall be solely responsible for notifying its Participants of any matters relating to the Loan
Documents

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to the extent any such notice may be required, and no Lender shall have any obligation, duty, or
liability to any Participant of any other Lender. Except as provided in Section 15.7, no
member of the Lender Group shall have any liability for the acts of any other member of the Lender
Group. No Lender shall be responsible to any Borrower or any other Person for any failure by any
other Lender (or Bank Product Provider) to fulfill its obligations to make credit available
hereunder, nor to advance for such Lender (or Bank Product Provider) or on its behalf, nor to take
any other action on behalf of such Lender (or Bank Product Provider) hereunder or in connection
with the financing contemplated herein.

16. WITHHOLDING TAXES.

          (a) All payments made by any Borrower hereunder or under any note or other Loan Document will
be made without setoff, counterclaim, or other defense. In addition, all such payments will be made
free and clear of, and without deduction or withholding for, any present or future Taxes, and in
the event any deduction or withholding of Taxes is required, each Borrower shall comply with the
next sentence of this Section 16(a). If any Taxes are so levied or imposed, each Borrower
agrees to pay the full amount of such Taxes and such additional amounts as may be necessary so that
every payment of all amounts due under this Agreement, any note, or Loan Document, including any
amount paid pursuant to this Section 16(a) after withholding or deduction for or on account
of any Taxes, will not be less than the amount provided for herein; provided, however, that no
Borrower shall be required to increase any such amounts if the increase in such amount payable
results from Agent’s or such Lender’s own willful misconduct or gross negligence (as finally
determined by a court of competent jurisdiction). Each Borrower will furnish to Agent as promptly
as possible after the date the payment of any Tax is due pursuant to applicable law, certified
copies of tax receipts evidencing such payment by any Borrower.

          (b) Each Borrower agrees to pay any present or future stamp, value added or documentary taxes
or any other excise or property taxes, charges, or similar levies that arise from any payment made
hereunder or from the execution, delivery, performance, recordation, or filing of, or otherwise
with respect to this Agreement or any other Loan Document.

          (c) If a Lender or Participant is entitled to claim an exemption or reduction from United
States withholding tax, such Lender or Participant agrees with and in favor of Agent, to deliver to
Agent (or, in the case of a Participant, to the Lender granting the participation only) one of the
following before receiving its first payment under this Agreement:

               (i) if such Lender or Participant is entitled to claim an exemption from United
States withholding tax pursuant to the portfolio interest exception, (A) a statement of the Lender
or Participant, signed under penalty of perjury, that it is not a (I) a “bank” as described in
Section 881(c)(3)(A) of the IRC, (II) a 10% shareholder of any Borrower (within the meaning of
Section 871(h)(3)(B) of the IRC), or (III) a controlled foreign corporation related to any
Borrower within the meaning of Section 864(d)(4) of the IRC, and (B) a properly completed and
executed IRS Form W-8BEN or Form W-8IMY (with proper attachments);

               (ii) if such Lender or Participant is entitled to claim an exemption from, or a
reduction of, withholding tax under a United States tax treaty, a properly completed and executed
copy of IRS Form W-8BEN;

               (iii) if such Lender or Participant is entitled to claim that interest paid under this
Agreement is exempt from United States withholding tax because it is effectively connected with a
United States trade or business of such Lender, a properly completed and executed copy of IRS Form
W-8ECI;

               (iv) if such Lender or Participant is entitled to claim that interest paid under this
Agreement is exempt from United States withholding tax because such Lender or Participant serves
as an intermediary, a properly completed and executed copy of IRS Form W-8IMY (with proper
attachments); or

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               (v) a properly completed and executed copy of any other form or forms,
including IRS Form W-9, as may be required under the IRC or other laws of the United States as a
condition to exemption from, or reduction of, United States withholding or backup withholding tax.

Each Lender or Participant shall provide new forms (or successor forms) upon the expiration or
obsolescence of any previously delivered forms and to promptly notify Agent (or, in the case of a
Participant, to the Lender granting the participation only) of any change in circumstances which
would modify or render invalid any claimed exemption or reduction.

          (d) If a Lender or Participant claims an exemption from withholding tax in a jurisdiction
other than the United States, such Lender or such Participant agrees with and in favor of Agent, to
deliver to Agent (or, in the case of a Participant, to the Lender granting the participation only)
any such form or forms, as may be required under the laws of such jurisdiction as a condition to
exemption from, or reduction of, foreign withholding or backup withholding tax before receiving its
first payment under this Agreement, but only if such Lender or such Participant is legally able to
deliver such forms, provided, however, that nothing in this Section 16(d) shall
require a Lender or Participant to disclose any information that it deems to be confidential
(including without limitation, its tax returns). Each Lender and each Participant shall provide
new forms (or successor forms) upon the expiration or obsolescence of any previously delivered
forms and to promptly notify Agent (or, in the case of a Participant, to the Lender granting the
participation only) of any change in circumstances which would modify or render invalid any claimed
exemption or reduction.

          (e) If a Lender or Participant claims exemption from, or reduction of, withholding tax and
such Lender or Participant sells, assigns, grants a participation in, or otherwise transfers all or
part of the Obligations of Borrowers to such Lender or Participant, such Lender or Participant
agrees to notify Agent (or, in the case of a sale of a participation interest, to the Lender
granting the participation only) of the percentage amount in which it is no longer the beneficial
owner of Obligations of Borrowers to such Lender or Participant. To the extent of such percentage
amount, Agent will treat such Lender’s or such Participant’s documentation provided pursuant to
Section 16(c) or 16(d) as no longer valid. With respect to such percentage amount,
such Participant or Assignee may provide new documentation, pursuant to Section 16(c) or
16(d), if applicable. Each Borrower agrees that each Participant shall be entitled to the
benefits of this Section 16 with respect to its participation in any portion of the
Revolver Commitments and the Obligations so long as such Participant complies with the obligations
set forth in this Section 16 with respect thereto.

          (f) If a Lender or a Participant is entitled to a reduction in the applicable withholding tax,
Agent (or, in the case of a Participant, to the Lender granting the participation) may withhold
from any interest payment to such Lender or such Participant an amount equivalent to the applicable
withholding tax after taking into account such reduction. If the forms or other documentation
required by Section 16(c) or 16(d) are not delivered to Agent (or, in the case of a
Participant, to the Lender granting the participation), then Agent (or, in the case of a
Participant, to the Lender granting the participation) may withhold from any interest payment to
such Lender or such Participant not providing such forms or other documentation an amount
equivalent to the applicable withholding tax.

          (g) If the IRS or any other Governmental Authority of the United States or other jurisdiction
asserts a claim that Agent (or, in the case of a Participant, to the Lender granting the
participation) did not properly withhold tax from amounts paid to or for the account of any Lender
or any Participant due to a failure on the part of the Lender or any Participant (because the
appropriate form was not delivered, was not properly executed, or because such Lender failed to
notify Agent (or such Participant failed to notify the Lender granting the participation) of a
change in circumstances which rendered the exemption from, or reduction of, withholding tax
ineffective, or for any other reason) such Lender shall indemnify and hold Agent harmless (or, in
the case of a Participant, such Participant shall indemnify and hold the Lender granting the
participation harmless) for all amounts paid, directly or indirectly, by Agent (or, in the case of
a Participant, to the Lender granting the participation), as tax or otherwise, including penalties
and interest, and including any taxes imposed by any jurisdiction on the amounts payable to Agent
(or, in the case of a Participant, to the

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Lender granting the participation only) under this Section 16, together with all costs and
expenses (including attorneys fees and expenses). The obligation of the Lenders and the
Participants under this subsection shall survive the payment of all Obligations and the
resignation or replacement of Agent.

          (h) If Agent or a Lender determines, in its sole discretion, that it has received a refund of
any Taxes as to which it has been indemnified by any Borrower or with respect to which any
Borrower has paid additional amounts pursuant to this Section 16, so long as no Default or Event
of Default has occurred and is continuing, it shall pay over such refund to such Borrower (but
only to the extent of payments made, or additional amounts paid, by such Borrower under this
Section 16 with respect to Taxes giving rise to such a refund), net of all out-of-pocket expenses
of Agent or such Lender and without interest (other than any interest paid by the relevant
Governmental Authority with respect to such a refund); provided, that Borrowers, upon the request
of Agent or such Lender, agrees to repay the amount paid over to any Borrower (plus any penalties,
interest or other charges, imposed by the relevant Governmental Authority, other than such
penalties, interest or other charges imposed as a result of the willful misconduct or gross
negligence of Agent hereunder) to Agent or such Lender in the event Agent or such Lender is
required to repay such refund to such Governmental Authority. Notwithstanding anything in this
Agreement to the contrary, this Section 16 shall not be construed to require Agent or any Lender
to make available its tax returns (or any other information which it deems confidential) to any
Borrower or any other Person.

17. GENERAL PROVISIONS.

     17.1 Effectiveness. This Agreement shall be binding and deemed effective when
executed by each Borrower, Agent, and each Lender whose signature is provided for on the signature
pages hereof.

     17.2 Section Headings. Headings and numbers have been set forth herein for
convenience only. Unless the contrary is compelled by the context, everything contained in each
Section applies equally to this entire Agreement.

     17.3 Interpretation. Neither this Agreement nor any uncertainty or ambiguity herein
shall be construed against the Lender Group or any Borrower, whether under any rule of construction
or otherwise. On the contrary, this Agreement has been reviewed by all parties and shall be
construed and interpreted according to the ordinary meaning of the words used so as to accomplish
fairly the purposes and intentions of all parties hereto.

     17.4 Severability of Provisions. Each provision of this Agreement shall be severable
from every other provision of this Agreement for the purpose of determining the legal
enforceability of any specific provision.

     17.5 Bank Product Providers. Each Bank Product Provider shall be deemed a third
party beneficiary hereof and of the provisions of the other Loan Documents for purposes of any
reference in a Loan Document to the parties for whom Agent is acting. Agent hereby agrees to act as
agent for such Bank Product Providers and, by virtue of providing a Bank Product, each Bank Product
Provider shall be automatically deemed to have appointed Agent as its agent; it being understood
and agreed that the rights and benefits of each Bank Product Provider under the Loan Documents
consist exclusively of such Bank Product Provider’s being a beneficiary of the Liens and security
interests (and, if applicable, guarantees) granted to Agent and the right to share in payments and
collections out of the Collateral as more fully set forth herein. In connection with any such
distribution of payments and collections, Agent shall be entitled to assume no amounts are owing to
any Bank Product Provider unless such Bank Product Provider has provided written notification to
Agent of the amount that is owing to it and such notification is received by Agent a reasonable
period of time prior to the making of such distribution.

     17.6 Debtor-Creditor Relationship. The relationship between the Lenders and Agent, on
the one hand, and the Loan Parties, on the other hand, is solely that of creditor and debtor. No
member of the Lender

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Group has (or shall be deemed to have) any fiduciary relationship or duty to any Loan Party
arising out of or in connection with the Loan Documents or the transactions contemplated thereby,
and there is no agency or joint venture relationship between the members of the Lender Group, on
the one hand, and the Loan Parties, on the other hand, by virtue of any Loan Document or any
transaction contemplated therein.

     17.7 Counterparts; Electronic Execution. This Agreement may be executed in any number
of counterparts and by different parties on separate counterparts, each of which, when executed and
delivered, shall be deemed to be an original, and all of which, when taken together, shall
constitute but one and the same Agreement. Delivery of an executed counterpart of this Agreement by
telefacsimile or other electronic method of transmission shall be equally as effective as delivery
of an original executed counterpart of this Agreement. Any party delivering an executed counterpart
of this Agreement by telefacsimile or other electronic method of transmission also shall deliver an
original executed counterpart of this Agreement but the failure to deliver an original executed
counterpart shall not affect the validity, enforceability, and binding effect of this Agreement.
The foregoing shall apply to each other Loan Document mutatis mutandis.

     17.8 Revival and Reinstatement of Obligations. If the incurrence or payment of the
Obligations by any Borrower or Guarantor or the transfer to the Lender Group of any property should
for any reason subsequently be asserted, or declared, to be void or voidable under any state or
federal law relating to creditors’ rights, including provisions of the Bankruptcy Code relating to
fraudulent conveyances, preferences, or other voidable or recoverable payments of money or
transfers of property (each, a “Voidable Transfer”), and if the Lender Group is required to
repay or restore, in whole or in part, any such Voidable Transfer, or elects to do so upon the
reasonable advice of its counsel, then, as to any such Voidable Transfer, or the amount thereof
that the Lender Group is required or elects to repay or restore, and as to all reasonable costs,
expenses, and attorneys fees of the Lender Group related thereto, the liability of Borrowers or
Guarantors automatically shall be revived, reinstated, and restored and shall exist as though such
Voidable Transfer had never been made.

     17.9 Confidentiality.

          (a) Agent and Lenders each individually (and not jointly or jointly and severally) agree that
material, non-public information regarding Parent and its Subsidiaries, their operations, assets,
and existing and contemplated business plans (“Confidential Information”) shall be treated
by Agent and the Lenders in a confidential manner, and shall not be disclosed by Agent and the
Lenders to Persons who are not parties to this Agreement, except: (i) to attorneys for and other
advisors, accountants, auditors, and consultants to any member of the Lender Group (“Lender
Group Representatives”), (ii) to Subsidiaries and Affiliates of any member of the Lender Group
(including the Bank Product Providers), provided that any such Subsidiary or Affiliate shall have
agreed to receive such information hereunder subject to the terms of this Section 17.9,
(iii) as may be required by regulatory authorities so long as such authorities are informed of the
confidential nature of such information, (iv) as may be required by statute, decision, or judicial
or administrative order, rule, or regulation; provided that (x) prior to any disclosure under this
clause (iv), the disclosing party agrees to provide Administrative Borrower with prior notice
thereof, to the extent that it is practicable to do so and to the extent that the disclosing party
is permitted to provide such prior notice to Administrative Borrower pursuant to the terms of the
applicable statute, decision, or judicial or administrative order, rule, or regulation and (y) any
disclosure under this clause (iv) shall be limited to the portion of the Confidential Information
as may be required by such statute, decision, or judicial or administrative order, rule, or
regulation, (v) as may be agreed to in advance by any Borrower or as requested or required by any
Governmental Authority pursuant to any subpoena or other legal process, provided, that, (x) prior
to any disclosure under this clause (v) the disclosing party agrees to provide Administrative
Borrower with prior notice thereof so as to allow Administrative Borrower the opportunity to
obtain a protective order or similar court protection, to the extent that it is practicable to do
so and to the extent that the disclosing party is permitted to provide such prior notice to
Administrative Borrower pursuant to the terms of the subpoena or other legal process and (y) any
disclosure under this clause (v) shall be limited to the portion of the Confidential Information
as may be required by such governmental authority pursuant to such subpoena or other legal
process, (vi) as to any such information that is or becomes generally available to the public
(other than as a result of prohibited disclosure by Agent or the

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Lenders or the Lender Group Representatives), (vii) in connection with any assignment,
participation or pledge of any Lender’s interest under this Agreement, provided that any such
assignee, participant, or pledgee shall have agreed in writing to receive such information
hereunder subject to the terms of this Section, (viii) in connection with any litigation or other
adversary proceeding involving parties hereto which such litigation or adversary proceeding
involves claims related to the rights or duties of such parties under this Agreement or the other
Loan Documents; provided, that, prior to any disclosure to any Person (other than any Loan Party,
Agent, any Lender, any of their respective Affiliates, or their respective counsel) under this
clause (viii) with respect to litigation involving any Person (other than Borrowers, Agent, any
Lender, any of their respective Affiliates, or their respective counsel), the disclosing party
agrees to provide Administrative Borrower with prior notice thereof so as to allow Administrative
Borrower the opportunity to obtain a protective order or similar court protection, and (ix) in
connection with, and to the extent reasonably necessary for, the exercise of any secured creditor
remedy under this Agreement or under any other Loan Document.

          (b) Anything in this Agreement to the contrary notwithstanding, Agent may provide information
concerning the terms and conditions of this Agreement and the other Loan Documents to loan
syndication and pricing reporting services.

     17.10 Lender Group Expenses. Borrowers agree to pay any and all Lender Group
Expenses promptly after demand therefor by Agent and agree that their obligations contained in this
Section 17.10 shall survive payment or satisfaction in full of all other Obligations.

     17.11 USA PATRIOT Act. Each Lender that is subject to the requirements of the Patriot
Act hereby notifies Borrowers that pursuant to the requirements of the Act, it is required to
obtain, verify and record information that identifies Borrowers, which information includes the
name and address of Borrowers and other information that will allow such Lender to identify
Borrowers in accordance with the Patriot Act.

     17.12 Integration. This Agreement, together with the other Loan Documents, reflects
the entire understanding of the parties with respect to the transactions contemplated hereby and
shall not be contradicted or qualified by any other agreement, oral or written, before the date
hereof.

     17.13 Parent as Agent for Borrowers. Each Borrower hereby irrevocably appoints Parent
as the borrowing agent and attorney-in-fact for all Borrowers (the “Administrative
Borrower”) which appointment shall remain in full force and effect unless and until Agent shall
have received prior written notice signed by each Borrower that such appointment has been revoked
and that another Borrower has been appointed Administrative Borrower. Each Borrower hereby
irrevocably appoints and authorizes the Administrative Borrower (i) to provide Agent with all
notices with respect to Advances and Letters of Credit obtained for the benefit of any Borrower and
all other notices and instructions under this Agreement and (ii) to take such action as the
Administrative Borrower deems appropriate on its behalf to obtain Advances and Letters of Credit
and to exercise such other powers as are reasonably incidental thereto to carry out the purposes of
this Agreement. It is understood that the handling of the Loan Account and Collateral of Borrowers
in a combined fashion, as more fully set forth herein, is done solely as an accommodation to
Borrowers in order to utilize the collective borrowing powers of Borrowers in the most efficient
and economical manner and at their request, and that Lender Group shall not incur liability to any
Borrower as a result hereof. Each Borrower expects to derive benefit, directly or indirectly,
from the handling of the Loan Account and the Collateral in a combined fashion since the successful
operation of each Borrower is dependent on the continued successful performance of the integrated
group. To induce the Lender Group to do so, and in consideration thereof, each Borrower hereby
jointly and severally agrees to indemnify each member of the Lender Group and hold each member of
the Lender Group harmless against any and all liability, expense, loss or claim of damage or
injury, made against the Lender Group by any Borrower or by any third party whosoever, arising from
or incurred by reason of (a) the handling of the Loan Account and Collateral of Borrowers as herein
provided, (b) the Lender Group’s relying on any instructions of the Administrative Borrower, or (c)
any other action taken by the Lender Group hereunder or under the other Loan Documents, except that
Borrowers will have no liability to the relevant Agent-Related Person or Lender-Related Person
under this Section 17.13 with respect to any liability that has

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been finally determined by a court of competent jurisdiction to have resulted solely from the gross
negligence or willful misconduct of such Agent-Related Person or Lender-Related Person, as the case
may be.

     17.14
Designated Senior Indebtedness. (a) The Revolver Commitments and the Obligations
shall be “Designated Senior Indebtedness” (as defined in the 2003 Indenture) for purposes of the
2003 Indenture and the Subordinated Notes issued pursuant to the 2003 Indenture; and

          (b) The Revolver Commitments and the Obligations shall be “Designated Senior Indebtedness” (as
defined in the 2006 Indenture) for purposes of the 2006 Indenture and the Subordinated Notes issued
pursuant to the 2006 Indenture.

[Signature pages to follow.]

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     IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed and delivered
as of the date first above written.

	 	 	 	 	 
	BORROWERS: 	 FINISAR CORPORATION,

a Delaware corporation

 	 
	 	By:  	/s/ S. K. Workman
 	 
	 	 	Name:  	S. K. WORKMAN 	 
	 	 	Title:  	CFO 	 
	 

[Signature page to Credit Agreement]

S-1

 

CONFIDENTIAL
TREATMENT REQUESTED

	 	 	 	 	 
	 	OPTIUM CORPORATION,

a Delaware corporation

 	 
	 	By:  	/s/ S. K. Workman
 	 
	 	 	Name:  	S. K. WORKMAN 	 
	 	 	Title:  	CFO 	 
	 

[Signature page to Credit Agreement]

S-2

 

CONFIDENTIAL
TREATMENT REQUESTED

	 	 	 	 	 
	AGENT:  	WELLS FARGO FOOTHILL, LLC,

a Delaware limited liability company,

as Agent and as a Lender

 	 
	 	By:  	/s/ David R. Klages
 	 
	 	 	Name:  	David R. Klages      	 
	 	 	Title:  	Vice President 	 
	 

[Signature page to Credit Agreement]

S-3

 

CONFIDENTIAL TREATMENT REQUESTED

EXHIBIT A-1

FORM OF ASSIGNMENT AND ACCEPTANCE AGREEMENT

     This ASSIGNMENT AND ACCEPTANCE AGREEMENT (“Assignment Agreement”) is
entered into as of                                          between                      (“Assignor”) and
                                         (“Assignee”). Reference is made to the Agreement described in Annex I hereto
(the “Credit Agreement”). Capitalized terms used herein and not otherwise defined shall have
the meanings ascribed to them in the Credit Agreement.

     1. In accordance with the terms and conditions of Section 13 of the Credit Agreement,
the Assignor hereby sells and assigns to the Assignee, and the Assignee hereby purchases and
assumes from the Assignor, that interest in and to the Assignor’s rights and obligations under the
Loan Documents as of the date hereof with respect to the Obligations owing to the Assignor, and
Assignor’s portion of the Commitments, all to the extent specified on Annex I.

     2. The Assignor (a) represents and warrants that (i) it is the legal and beneficial owner of
the interest being assigned by it hereunder and that such interest is free and clear of any adverse
claim and (ii) it has full power and authority, and has taken all action necessary, to execute and
deliver this Assignment Agreement and to consummate the transactions contemplated hereby; (b) makes
no representation or warranty and assumes no responsibility with respect to (i) any statements,
representations or warranties made in or in connection with the Loan Documents, or (ii) the
execution, legality, validity, enforceability, genuineness, sufficiency or value of the Loan
Documents or any other instrument or document furnished pursuant thereto; (c) makes no
representation or warranty and assumes no responsibility with respect to the financial condition of
any Borrower or any Guarantor or the performance or observance by any Borrower or any Guarantor of
any of their respective obligations under the Loan Documents or any other instrument or document
furnished pursuant thereto; and (d) represents and warrants that the amount set forth as the
Purchase Price on Annex I represents the amount owed by Borrowers to Assignor with respect
to Assignor’s share of the Advances assigned hereunder, as reflected on Assignor’s books and
records.

     3. The Assignee (a) confirms that it has received copies of the Credit Agreement and the other
Loan Documents, together with copies of the financial statements referred to therein and such other
documents and information as it has deemed appropriate to make its own credit analysis and decision
to enter into this Assignment Agreement; (b) agrees that it will, independently and without
reliance upon Agent, Assignor, or any other Lender, based upon such documents and information as it
shall deem appropriate at the time, continue to make its own credit decisions in taking or not
taking any action under the Loan Documents; (c) confirms that it is not a Loan Party or an
Affiliate of a Loan Party; (d) appoints and authorizes the Agent to take such action as agent on
its behalf and to exercise such powers under the Loan Documents as are delegated to Agent by the
terms thereof, together with such powers as are reasonably incidental thereto; (e) agrees that it
will perform in accordance with their terms all of the obligations which by the terms of the Loan
Documents are required to be performed by it as a Lender; and (f) if such Assignee is a Foreign
Lender, attaches the forms prescribed by the Internal Revenue Service of the United States
certifying as to the Assignee’s status for purposes of determining exemption from United States
withholding taxes with respect to all payments to be made to the Assignee under the Credit
Agreement or such other documents as are necessary to indicate that all such payments are subject
to such rates at a rate reduced by an applicable tax treaty.

     4. Following the execution of this Assignment Agreement by the Assignor and Assignee, the
Assignor will deliver this Assignment Agreement to the Agent for recording by the Agent. The
effective date of this Assignment Agreement (the “Settlement Date”) shall be the latest to
occur of (a) the date of the execution and delivery hereof by the Assignor and the Assignee, (b)
the receipt by Agent for its sole and

 

 

CONFIDENTIAL TREATMENT REQUESTED

separate account a processing fee in the amount of $3,500 (if required by the Credit Agreement),
(c) the receipt of any required consent of the Agent, and (d) the date specified in Annex
I.

     5. As of the Settlement Date (a) the Assignee shall be a party to the Credit Agreement and, to
the extent of the interest assigned pursuant to this Assignment Agreement, have the rights and
obligations of a Lender thereunder and under the other Loan Documents, and (b) the Assignor shall,
to the extent of the interest assigned pursuant to this Assignment Agreement, relinquish its rights
and be released from its obligations under the Credit Agreement and the other Loan Documents,
provided, however, that nothing contained herein shall release any assigning Lender
from obligations that survive the termination of this Assignment Agreement, including such
assigning Lender’s obligations under Article 15 and Section 17.9(a) of the Credit
Agreement.

     6. Upon the Settlement Date, Assignee shall pay to Assignor the Purchase Price (as set forth
in Annex I). From and after the Settlement Date, Agent shall make all payments that are due
and payable to the holder of the interest assigned hereunder (including payments of principal,
interest, fees and other amounts) to Assignor for amounts which have accrued up to but excluding
the Settlement Date and to Assignee for amounts which have accrued from and after the Settlement
Date. On the Settlement Date, Assignor shall pay to Assignee an amount equal to the portion of
any interest, fee, or any other charge that was paid to Assignor prior to the Settlement Date on
account of the interest assigned hereunder and that are due and payable to Assignee with respect
thereto, to the extent that such interest, fee or other charge relates to the period of time from
and after the Settlement Date.

     7. This Assignment Agreement may be executed in counterparts and by the parties hereto in
separate counterparts, each of which when so executed and delivered shall be an original, but all
of which shall together constitute one and the same instrument. This Assignment Agreement may be
executed and delivered by telecopier or other facsimile transmission all with the same force and
effect as if the same were a fully executed and delivered original manual counterpart.

     8. THIS ASSIGNMENT AGREEMENT SHALL BE GOVERNED BY, AND CONSTRUED AND ENFORCED
IN ACCORDANCE WITH, THE LAWS OF THE STATE OF CALIFORNIA.

 

 

CONFIDENTIAL TREATMENT REQUESTED

     IN WITNESS WHEREOF, the parties hereto have caused this Assignment Agreement and Annex
I hereto to be executed by their respective officers, as of the first date written above.

	 	 	 	 	 
	 	[NAME OF ASSIGNOR]

as Assignor

 	 
	 	By  	 	 
	 	 	Name: 	 	 
	 	 	Title:  	 	 
	 
	 	[NAME OF ASSIGNEE]

as Assignee

 	 
	 	By  	 	 
	 	 	Name:  	 	 
	 	 	Title:  	 	 
	 

[ACCEPTED THIS                      DAY OF

                                        

	 	 	 	 	 
	WELLS FARGO FOOTHILL, LLC,

a Delaware limited liability company, as Agent

 	 	 
	By  	 	 	 
	 	Name:  	 	 	 
	 	Title:  	 	 	 
	 

 

 

CONFIDENTIAL TREATMENT REQUESTED

ANNEX FOR ASSIGNMENT AND ACCEPTANCE

ANNEX I

	 	 	 	 	 	 	 
	1.	 	Borrowers: Finisar Corporation, a Delaware corporation, and Optium Corporation, a
Delaware corporation (collectively, “Borrowers”)
	 	 	 
	 	 	 	 
	2.	 	Name and Date of Credit Agreement:
	 	 	 	 
	 	 	 
	 	 	 	 
	 	 	Credit Agreement, dated as of October 2, 2009, by and
among Borrowers, the
lenders from time to time party thereto, and Agent

	 	 	 
	 	 	 	 
	3.	 	Date of Assignment Agreement:
	 	 	               	 
	 	 	 
	 	 	 	 
	 	 	 
	 	 	 	 
	4.	 	Amounts:
	 	 	 	 
	 	 	 
	 	 	 	 
	 	 	a.     Assigned Amount of Revolver Commitment
	 	$	          	 
	 	 	 
	 	 	 	 
	 	 	 
	 	 	 	 
	 	 	b.     Assigned Amount of Advances
	 	$	          	 
	 	 	 
	 	 	 	 
	 	 	 
	 	 	 	 
	5.	 	Settlement Date:
	 	 	          	 
	 	 	 
	 	 	 	 
	 	 	 
	 	 	 	 
	6.	 	Purchase Price
	 	$	          	 
	 	 	 
	 	 	 	 
	 	 	 
	 	 	 	 
	7.	 	Notice and Payment Instructions, etc.
	 	 	 	 

	 	 	 	 	 	 	 
	 

	 	Assignee:
	 	Assignor:
	 	 
	 
	 	 	 	 	 	 
	 

	 	 
	 	 	 	 
	 
	 	 	 	 	 	 
	 

	 	 
	 	 	 	 
	 
	 	 	 	 	 	 
	 

	 	 
	 	 	 	 

 

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	8.	 	Agreed and Accepted:	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 	 	[ASSIGNOR]	 	[ASSIGNEE]	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	By:
	 	 	 	By:	 	 	 	 
	 

	 	 	 	 
	 	 	 	 	 	 
	 

	 	 	Title: 	 	 	 	Title: 	 	 	 
	 

	 	 	 	 
	 	 	 	 	 	 
	 

	 	 	 	 	 
	Accepted:

WELLS FARGO FOOTHILL, LLC,

a Delaware limited liability company, as Agent

 	 	 
	By  	 	 	 
	 	Name:  	 	 	 
	 	Title:  	 	 	 
	 

 

 

CONFIDENTIAL TREATMENT REQUESTED

 

 

CONFIDENTIAL TREATMENT REQUESTED

EXHIBIT C-l 

FORM OF COMPLIANCE CERTIFICATE

[on Borrowers’ letterhead]

			
	To:	 	Wells Fargo Foothill, LLC

2450 Colorado Avenue, Suite 3000 West

Santa Monica, California 90404

Attn: Business Finance Division Manager

	 	 	 	Re: Compliance Certificate dated _________

Ladies and Gentlemen:

          Reference is made to that certain CREDIT AGREEMENT (as amended, restated, modified, renewed
or extended from time to time, the “Credit Agreement”) dated as of October 2, 2009, by
and among the lenders identified on the signature pages thereof (such lenders, together with their
respective successors and permitted assigns, are referred to hereinafter each individually as a
“Lender” and collectively as the “Lenders”), Wells Fargo Foothill, LLC, a Delaware
limited liability company, as the arranger and administrative agent for the Lenders (in such
capacity, together with its successors and assigns, “Agent”), Finisar Corporation, a
Delaware corporation, as parent (“Parent”), and Optium Corporation, a Delaware corporation
(“Optium” and Parent are referred to hereinafter each individually as a
“Borrower”, and individually and collectively, jointly and severally, as the
“Borrowers”). Capitalized terms used in this Compliance Certificate have the meanings set
forth in the Credit Agreement unless specifically defined herein.

          Pursuant to Schedule 5.1 of the Credit Agreement, the undersigned officer of Parent
hereby certifies that:

          1. The financial information of Parent and its Subsidiaries furnished in Schedule 1
attached hereto, has been prepared in accordance with GAAP (except for year-end adjustments and
the lack of footnotes), and fairly presents in all material respects the financial condition of
Parent and its Subsidiaries.

          2. Such officer has reviewed the terms of the Credit Agreement and has made, or caused to be
made under his/her supervision, a review in reasonable detail of the transactions and condition of
Parent and its Subsidiaries during the accounting period covered by the financial statements
delivered pursuant to Schedule 5.1 of the Credit Agreement.

          3. Such review has not disclosed the existence on and as of the date hereof, and the
undersigned does not have knowledge of the existence as of the date hereof, of any event or
condition that constitutes a Default or Event of Default, except for such conditions or events
listed on Schedule 2 attached hereto, specifying the nature and period of existence thereof
and what action Parent and its Subsidiaries have taken, are taking, or propose to take with respect
thereto.

          4. The representations and warranties of Parent and its Subsidiaries set forth in the Credit
Agreement and the other Loan Documents are true and correct in all material respects (except that
such materiality qualifier shall not be applicable to any representations and warranties that
already are qualified or modified by materiality in the text thereof) on and as of the date hereof
(except to the extent they relate to a

 

 

CONFIDENTIAL TREATMENT REQUESTED

specified date, in which case this shall be true and correct as of such specified date), except as
set forth on Schedule 3 attached hereto.

          5. Parent and its Subsidiaries are in compliance with the applicable covenants contained
in Section 7 of the Credit Agreement as demonstrated on Schedule 4 hereof.

 

 

CONFIDENTIAL TREATMENT REQUESTED

          IN WITNESS WHEREOF, this Compliance Certificate is executed by the undersigned this ______ day
of _________, ______.

	 	 	 	 	 
	 	FINISAR CORPORATION,

a Delaware corporation

 	 
	 	By:  	
 	 
	 	 	Name:  	 	 
	 	 	Title:  	 	 

 

 

CONFIDENTIAL TREATMENT REQUESTED

SCHEDULE 1

Financial Information

 

 

CONFIDENTIAL TREATMENT REQUESTED

SCHEDULE 2

Default or Event of Default

 

 

CONFIDENTIAL TREATMENT REQUESTED

SCHEDULE 3

Representations and Warranties

 

 

CONFIDENTIAL TREATMENT REQUESTED

SCHEDULE 4 

Financial Covenants

	1.	 	Excess Liquidity.

          Borrowers’ Excess Liquidity and Qualified Cash [was/was not] in an aggregate amount greater
than or equal to the amount set forth in Section 7(a) of the Credit Agreement at all times for the
period since delivery of the last Compliance Certificate.

	2.	 	Fixed Charge Coverage Ratio.

          Parent’s and its Subsidiaries’ Fixed Charge Coverage Ratio (as demonstrated on Annex A),
measured on a quarter-end basis, for the 12 month period ending ______, ______ is ___:1.0, which [is/is not]
greater than or equal to the amount set forth in Section 7(b) of the Credit Agreement for the
corresponding period.

	3.	 	Capital Expenditures.

          Parent’s and its Subsidiaries’ Capital Expenditures (as demonstrated on Annex B) from the
beginning of Parent’s most recent Fiscal Year to the date hereof is ______, which [is/is not] greater
than or equal to the amount set forth in Section 7(c) of the Credit Agreement for the corresponding period.

 

 

CONFIDENTIAL TREATMENT REQUESTED

Annex A

Fixed Charge Coverage Ratio Calculation

	 	 	 	 	 	 	 	 	 	 	 
	A.	 	EBITDA for the twelve month period ending ______
(determined for Parent for such period
on a consolidated basis in accordance with GAAP)	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	1.	 	 	net earnings (or loss) (but excluding any tax

refunds, tax credits, or other tax benefits),
	 	$_______________
	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	2.	 	 	minus: extraordinary gains (including,
without limitation, gains from the sale of
equipment and the repurchase of bonds)
	 	$_______________	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	3.	 	 	minus: interest income
	 	$_______________	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	4.	 	 	minus: any non-cash decrease in the cost
of goods sold attributed to the reversal of
an inventory obsolescence and slow
moving reserve expensed in a prior
period, consistent with historical
processes for determining such non-cash
charges
	 	$_______________	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	5.	 	 	minus: the EBITDA inventory disposal

amount
	 	$_______________	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	6.	 	 	minus: any reductions in the impaired rent

reserve	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	7.	 	 	plus: non-cash extraordinary losses

(including cash impairment related to
minority investments)
	 	$_______________	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	8.	 	 	plus: non-cash stock compensation expense
	 	$_______________	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	9.	 	 	plus: Interest Expense
	 	$_______________	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	10.	 	 	plus: income taxes
	 	$_______________	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	11.	 	 	plus: depreciation and amortization expense
	 	$_______________	 	 

 

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	12.	 	 	plus: any non-cash increase in Cost of
Goods Sold attributed to the implementation
of an inventory obsolescence and slow
moving reserve (cannot exceed 50% of
EBITDA prior to giving effect to this
clause)
	 	$_______________
	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	13.	 	 	Item A.1. minus (to the extent increasing or
otherwise included in determining
consolidated net earnings (or loss) of
Parent for such period) the sum of Items A.2
through A.6 plus (to the extent reducing or
otherwise included in determining
consolidated net earnings (or loss) of
Parent for such period, without duplication)
the sum of Items A. 7 through A. 12.1

	 	 	 	$_______________
	 
	 	 	 	 	 	 	 	 	 	 
	B.	 	unfinanced Capital Expenditures (determined for
Parent for such period on a consolidated basis in
accordance with GAAP) — Item I on Annex B	 	 	 	$_______________
	 
	 	 	 	 	 	 	 	 	 	 
	C.	 	Fixed Charges (determined for Parent for such
period on a consolidated basis in accordance with
GAAP)	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	1.	 	 	Interest Expense accrued (exclusive of
interest paid in kind, amortization of
financing fees, and other non-cash interest
expense)
	 	$_______________	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	2.	 	 	principal payments in respect of
Indebtedness (other than the Advances) that
are required to be paid in cash
	 	$_______________	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	3.	 	 	all federal, state, provincial and local
income taxes, franchise taxes in lieu of
income taxes and other similar taxes
accured
	 	$_______________	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	4.	 	 	Sum of Items C.1. through C.3.2
	 	 	 	$_______________
	 
	 	 	 	 	 	 	 	 	 	 
	Fixed Charge Coverage Ratio (Ratio of Item A minus Item B to Item C)	 	 	 	______: 1.00

 

			
	1	 	Provided, however, (a) EBITDA for Parent and its subsidiaries (i) fiscal
quarter ended February 1, 2009 shall be deemed to be $9,149,000, (ii) fiscal quarter
ended April 30, 2009 shall be deemed to be $7,592,000, and (iii) fiscal quarter
ending August 2, 2009 shall deemed to be $10,020,000.
	 
	2	 	Provided however, (a) fixed charges for (i) Parent’s fiscal quarter ended
February 1, 2009 shall be deemed to be $3,473,000, (ii) Parent’s fiscal quarter ended
April 30, 2009 shall be deemed to be $3,018,000, and (iii) Parent’s fiscal quarter
ending August 2, 2009 shall deemed to be $2,872,000.

 

 

CONFIDENTIAL TREATMENT REQUESTED

Annex B

Capital Expenditures Calculation

	 	 	 	 	 	 	 
	D.

	 	The aggregate of all expenditures by Parent and
its Subsidiaries during the twelve month period
ending on _________ that are capital
expenditures as
determined in accordance with GAAP, whether such
expenditures are paid in cash or
financed3
	 	$_______________	 	 
	 
	 	 	 	 	 	 
	I.

	 	Capital Expenditures for Purposes of Fixed Charge
Coverage Ratio (Item B)
	 	 	 	$_______________
	 
	 	 	 	 	 	 
	II.

	 	Maximum Allowable Capital Expenditures for
Purposes of Section 7(c) of the Credit Agreement
(Item D, measured at fiscal year end only)
	 	 	 	$_______________

 

			
	3	 	Provided, however, (a) Capital Expenditures for Parent and its
subsidiaries (i) fiscal quarter ended February 1, 2009 shall be deemed to be
$5,121,000, (ii) fiscal quarter ended April 30, 2009 shall be deemed to be
$3,265,000, and (iii) fiscal quarter ending August 2, 2009 shall deemed to be
$3,149,000.

 

 

CONFIDENTIAL TREATMENT REQUESTED

EXHIBIT L-1

FORM OF LIBOR NOTICE

Wells Fargo Foothill, LLC, as Agent

under the below referenced Credit Agreement

2450 Colorado Avenue, Suite 3000 West

Santa Monica, California 90404

Ladies and Gentlemen:

          Reference hereby is made to that certain Credit Agreement, dated as of October 2, 2009 (as
amended, restated, modified, renewed or extended from time to time, the “Credit
Agreement”), among the lenders identified on the signature pages thereof (such lenders,
together with their respective successors and permitted assigns, are referred to hereinafter each
individually as a “Lender” and collectively as the “Lenders”), Wells Fargo
Foothill, LLC, a Delaware limited liability company, as the arranger and administrative agent for
the Lenders (in such capacity, together with its successors and assigns, “Agent”), Finisar
Corporation, a Delaware corporation, as parent (“Parent”), and Optium Corporation, a
Delaware corporation (“Optium” and Parent are referred to hereinafter each individually as
a “Borrower”, and individually and collectively, jointly and severally, as the
“Borrowers”). Capitalized terms used herein and not otherwise defined herein shall have
the meanings ascribed to them in the Credit Agreement.

          This LIBOR Notice represents Administrative Borrower’s request to elect the LIBOR
Option with respect to outstanding Advances in the amount of $                     (the “LIBOR Rate Advance”) [, and is a written
confirmation of the telephonic notice of such election given to Agent].

          The LIBOR Rate Advance will have an Interest Period of 1, 2, or 3 months commencing on                     .

          This LIBOR Notice further confirms each Borrower’s acceptance, for purposes of determining the
rate of interest based on the LIBOR Rate under the Credit Agreement, of the LIBOR Rate as
determined pursuant to the Credit Agreement.

          Administrative Borrower represents and warrants that (i) as of the date hereof, each
representation or warranty contained in or pursuant to any Loan Document or any agreement,
instrument, certificate, document or other writing furnished at any time under or in connection
with any Loan Document, and as of the effective date of any advance, continuation or conversion
requested above, is true and correct in all material respects (except to the extent any
representation or warranty expressly related to an earlier date and except that such materiality
qualifier shall not be applicable to any representations and warranties that are already qualified
or modified by materiality in the text thereof), (ii) each of the covenants and agreements
contained in any Loan Document have been

 

 

CONFIDENTIAL TREATMENT REQUESTED

Wells Fargo Foothill, LLC, as Agent

Page 2

performed (to the extent required to be performed on or before the date hereof or each such
effective date), and (iii) no Default or Event of Default has occurred and is continuing on the
date hereof, nor will any thereof occur after giving effect to the request above.

	 	 	 	 	 
	 	 	 
	 	Dated:  	 	 

	 	 	 	 	 
	 	FINISAR CORPORATION,

a Delaware corporation, as Administrative Borrower

 	 
	 	By:  	 	 
	 	 	Name:  	 	 
	 	 	Title:  	 	 

	 	 	 	 	 
	Acknowledged by:

WELLS FARGO FOOTHILL, LLC,

a Delaware limited liability company, as Agent

 	 	 
	By:  	 	 	 
	 	Name:  	 	 	 
	 	Title:  	 	 	 

 

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule A-1

Agent’s Account

          An account at a bank designated by Agent from time to time as the account into which each
Borrower shall make all payments to Agent for the benefit of the Lender Group and into which the
Lender Group shall make all payments to Agent under this Agreement and the other Loan Documents;
unless and until Agent notifies Administrative Borrower and the Lender Group to the contrary,
Agent’s Account shall be that certain deposit account bearing
account number [****] and
maintained by Agent with Wells Fargo Bank, N.A., San Francisco, CA, ABA #121-000-248.

 

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule A-2

Authorized Persons

	 	 	 
	Jerry S. Rawls

	 	 
	Eitan Gertel
	 	 
	Stephen K. Workman
	 	 
	John Drury
	 	 

 

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule C-1

Commitments

	 	 	 	 	 
	Lender	 	Revolver Commitment
	Wells Fargo Foothill, LLC
	 	$	70,000,000	 
	 
	All Lenders
	 	$	70,000,000	 

 

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule D-1

Designated Account

Wells Fargo Bank #[****]

 

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule E-1

Eligible Inventory and Eligible Equipment Locations

	 	 	 
	36 Jonspin Rd.

Wilmington, MA 01887

	 	 
	200 Precision Road

Horsham, PA 19044
	 	 
	1389 Moffett Park Drive

Sunnyvale, CA 94089-1134
	 	 
	600 Millenium Drive

Allen, TX 75013
	 	 
	41762 Christy St

Fremont, CA 94538
	 	 

 

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule E-2

Eligible Investment Grade Account Debtors

	 	 	 
	Avnet Asia Pte Ltd

	 	 
	Avnet Asia Pte Ltd Taiwan
	 	 
	Avnet Europe Comm VA
	 	 
	Avnet Technology Hong Kong
	 	 
	Cisco Systems International
	 	 
	Dell (Xiamen) Co Ltd
	 	 
	Dell Asia Pacific Sdn
	 	 
	Dell Global BV — Singapore
	 	 
	Dell India Private Limited
	 	 
	EMC International SARL
	 	 
	Ericsson AB
	 	 
	Ericsson AS
	 	 
	Ericsson Inc.
	 	 
	Ericsson Limited
	 	 
	Ericsson Ltd
	 	 
	Ericsson Telecommunication
	 	 
	Fujitsu Network Communication
	 	 
	Fujitsu Siemens Computers
	 	 
	Fujitsu Technology Solutions
	 	 
	Hewlett Packard Asia Pacific
	 	 
	Hewlett Packard Caribe SV
	 	 
	Hewlett Packard Centre
	 	 
	Hewlett Packard International
	 	 
	Hewlett Packard Singapore
	 	 
	Hitachi Global Storage
	 	 
	Hitachi High Technologies
	 	 
	Hon Hai Precision
	 	 
	Honeywell Ltd
	 	 
	IBM International Holding
	 	 
	IBM Singapore Pte Ltd
	 	 
	Intel Products Sdn BH
	 	 
	Motorola Technology Sdn
	 	 
	Nokia Corp.
	 	 

 

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule E-3

Eligible Specified Account Debtors

	 	 	 
	Flextronics (Suzhou) Tech

	 	 
	Flextronics Int. Cork. B.V.
	 	 
	Flextronics International
	 	 
	Flextronics International Latin America
	 	 
	Flextronics International Poland
	 	 
	Flextronics Israel Ltd.
	 	 
	Flextronics Manufacturing
	 	 
	Flextronics Technology
	 	 
	Celestica Corporation
	 	 
	Celestica AG
	 	 
	Celestica Hong Kong Ltd.
	 	 
	Celestica Monterrey
	 	 
	Celestica Thailand LTD
	 	 
	Celestica Valencia, S.A.
	 	 

 

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule P-1

Permitted Investments

     Finisar has made the following investments in the following companies:

	 	 	 	 	 	 	 
	Company	 	Investment Amount	 	Nature of Investment
	PicoSecond Pulse Labs

	 	 	5,000,000.00	 	 	Equity investment
	 
	 	 	 	 	 	 
	Micron Optics, Inc.

	 	 	1,500,000.00	 	 	Equity investment
	 
	 	 	 	 	 	 
	CyOptics

	 	 	5,788,603.99	 	 	Equity investment
	 
	 	 	 	 	 	 
	NISTICA

	 	 	2,000,000.00	 	 	Equity investment
	Total:

	 	 	14,288,603.99	 	 	 

 

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule P-2

Permitted Liens

Finisar Corporation

Filing Office: Delaware Secretary of State

	 	 	 	 	 
	Secured Creditor	 	Filing Date	 	Collateral
	Citicorp Vendor Finance, Inc.**

	 	October 12, 2004
	 	Two Konica 7145 digital copiers w/drawer base/finisher/memory/hard drive/controller/pskit/memory
upgrade/hard disk drive/fax kit/exit tray
	 
	 	 	 	 
	NEC Financial Services, Inc.**

	 	April 8, 2005
	 	Two NEC NEAX2000 IPS DM Telephone Systems
	 
	 	 	 	 
	Silicon Valley Bank*

	 	May 24, 2005
	 	Gives notice that Finisar
Corporation (“Finisar”)cannot
assign, mortgage, pledge, lease,
suffer any attachment, grant a
security interest in or encumber
any of its assets or property
without Silicon Valley Bank’s
written consent
	 
	 	 	 	 
	NEC Financial Services, Inc.**

	 	August 3, 2005
	 	One NEC NEAX2000 IPS DM Telephone Systems
	 
	 	 	 	 
	NEC Financial Services, Inc.**

	 	September 7, 2005
	 	One NEC NEAX UNIVERGE 2400 IPX Telephone System
	 
	 	 	 	 
	McGrath RentCorp and
TRS-Rentelco**

	 	October 26, 2005
	 	One TEK/CSA8200 Communications Signal Generator Asset 1050833
	 
	 	 	 	 
	U.S. Bancorp

	 	November 3, 2005
	 	For informational purposes only- Lease #5598322 HP LJ 9050MFP1 HP COLOR LJ 4650N
	 
	 	 	 	 
	Bane of America Leasing &
Capital, LLC

	 	December 29, 2005
	 	Certain production equipment and all parts, accessories, accessions and attachments thereto
	 
	 	 	 	 
	U.S. Bancorp

	 	April 20, 2006
	 	For informational purposes only- Lease #6162312 HP LJ 4345MFP
	 
	 	 	 	 
	Bank of America Leasing and
Capital LLC

	 	April 27, 2006
	 	All equipment included in
contract 054-0119981-000.
	 
	 	 	 	 
	U.S. Bancorp

	 	May 9, 2006
	 	For informational purposes only- Lease #619936 HP LJ 4345MFP Printer Stand HP LJ 4345MFP Printer Stand
	 
	 	 	 	 
	U.S. Bancorp

	 	April 26, 2007
	 	For informational purposes only-
Certain copiers and printers
	 
	 	 	 	 
	U.S. Bancorp

	 	October 22, 2007
	 	For informational purposes only-
One C252 311707798BW and one C352
311707798Color

 

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 
	Secured Creditor	 	Filing Date	 	Collateral
	Silicon Valley Bank*

	 	March 14, 2008
	 	“Blanket” lien, except for intellectual
property
	 
	 	 	 	 
	CIT Technology Financing Services,
Inc.

	 	September 2, 2008
	 	For informational purposes only-KM
C451 S/N A00K010005767, A00K010002897, A00K010002993KM
C353 S/N A02E010002633 plus all other types of office equipment and
products, computer, security systems and other items of equipment now and
hereafter leased by Finisar from Secured Party
	 
	 	 	 	 
	Arrow Electronics, Inc.

	 	October 7, 2008
	 	Those products stored in the in-plant
store facility and those products sold
by Secured Party to Debtor pursuant to
that in-plant store agreement dated July 16,
2008 by and between Debtor and Secured Party

Optium Corporation

Filing Office: Delaware Secretary of State

	 	 	 	 	 
	Secured Creditor	 	Filing Date	 	Collateral
	Silicon Valley Bank*

	 	June 10, 2004
	 	“Blanket” lien.
	 
	Silicon Valley Bank*

	 	November 10, 2008
	 	Blanket” lien, excluding
intellectual property.

 

			
	*	 	The Silicon Valley Bank liens will be terminated prior to the Closing Date.
	 
	**	 	The credit agreement to which this UCC Financing Statement relates has been terminated or expired.

 

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule R-l

Real Property Collateral

None.

 

 

CONFIDENTIAL
TREATMENT REQUESTED

Schedule 1.1

As used in the Agreement, the following terms shall have the following definitions:

          “2003 Indenture” means the Indenture, dated October 15, 2003, by and between Parent
and U.S. Bank Trust National Association, as trustee, due 2010.

          “2006 Indenture” means the Indenture, dated October 12, 2006, by and between Parent
and U.S. Bank Trust National Association, as trustee, due 2010.

          “2010 Event” means any of the following:

	 	(i)	 	the Subordinated Notes have been paid in full pursuant to a
Permitted Notes Redemption; or
	 
	 	(ii)	 	the Subordinated Notes have been refinanced on terms and
conditions satisfactory to Agent, including without limitation, a maturity
date of no sooner than March 31, 2014.

          “Account” means an account (as that term is defined in the Code).

          “Account Debtor” means any Person who is obligated on an Account, chattel paper, or a
general intangible.

          “Accounting Changes” means changes in accounting principles required by the
promulgation of any rule, regulation, pronouncement or opinion by the Financial Accounting
Standards Board of the American Institute of Certified Public Accountants (or successor thereto or
any agency with similar functions).

          “ACH Transactions” means any cash management or related services (including the
Automated Clearing House processing of electronic fund transfers through the direct Federal
Reserve Fedline system) provided by a Bank Product Provider for the account of Parent or its
Subsidiaries.

          “Additional Documents” has the meaning specified therefor in Section 5.12 of
the Agreement.

          “Administrative Borrower” has the meaning specified therefor in Section
17.13.

          “Advances” has the meaning specified therefor in Section 2.1
(a) of the Agreement.

          “Affected Lender” has the meaning specified therefor in Section 2.13(b) of
the Agreement.

          “Affiliate” means, as applied to any Person, any other Person who controls, is
controlled by, or is under common control with, such Person. For purposes of this definition,
“control” means the possession, directly or indirectly through one or more intermediaries, of the
power to direct the management and policies of a Person, whether through the ownership of Stock, by
contract, or otherwise; provided, however, that, for purposes of the definition of
Eligible Accounts, and Section 6.12 of the Agreement: (a) any Person which owns directly or
indirectly 10% or more of the Stock having ordinary voting power for the election of directors or
other members of the governing body of a Person or 10% or more of the partnership or other
ownership interests of a Person (other than as a limited partner of such Person) shall be deemed an
Affiliate of such Person, (b) each

 

 

CONFIDENTIAL
TREATMENT REQUESTED

director (or comparable manager) of a Person shall be deemed to be an Affiliate of such Person,
and (c) each partnership in which a Person is a general partner shall be deemed an Affiliate of
such Person.

          “Agent” has the meaning specified therefor in the preamble to the
Agreement.

          “Agent-Related Persons” means Agent, together with its Affiliates, officers,
directors, employees, attorneys, and agents.

          “Agent’s Account” means the Deposit Account of Agent identified on Schedule A-1.

          “Agent’s Liens” means the Liens granted by Loan Parties to Agent under the Loan
Documents.

          “Agreement” means the Credit Agreement to which this Schedule 1.1
is attached.

          “Application Event” means the occurrence of (a) a failure by Borrowers to repay all
of the Obligations in full on the Maturity Date, or (b) an Event of Default and the election by
Agent or the Required Lenders to require that payments and proceeds of Collateral be applied
pursuant to Section 2.4(b)(ii) of the Agreement.

          “Assignee” has the meaning specified therefor in Section 13. (a) of
the Agreement.

          “Assignment and Acceptance” means an Assignment and Acceptance Agreement
substantially in the form of Exhibit A-1.

          “Authorized Person” means any one of the individuals identified on Schedule
A-2, as such schedule is updated from time to time by written notice from Administrative
Borrower to Agent.

          “Availability” means, as of any date of determination, the amount that Borrowers are
entitled to borrow as Advances under Section 2.1 of the Agreement (after giving effect to
all then outstanding Obligations (other than Bank Product Obligations)).

          “Average Daily Excess Availability” means, for any period, the result of (a) the sum
of the aggregate amount by which the Maximum Revolver Amount exceeds the Revolver Usage as of each
Business Day during such period (calculated as of the end of each Business Day during such period)
divided by (b) the number of Business Days in such period.

          “Bank Product” means any financial accommodation extended to Parent or its
Subsidiaries by a Bank Product Provider (other than pursuant to the Agreement) including: (a)
credit cards, (b) credit card processing services, (c) debit cards, (d) purchase cards (including
so-called “procurement cards” or “P-cards”), (e) ACH Transactions, (f) cash management, including
controlled disbursement, accounts or services, or (g) transactions under Hedge Agreements.

          “Bank Product Agreements” means those agreements entered into from time to time by
Parent or its Subsidiaries with a Bank Product Provider in connection with the obtaining of any of
the Bank Products.

          “Bank Product Collateralization” means providing cash collateral (pursuant to
documentation reasonably satisfactory to Agent) to be held by Agent for the benefit of the Bank
Product Providers in an amount determined by Agent as sufficient to satisfy the reasonably
estimated credit exposure with respect to the then existing Bank Product Obligations.

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CONFIDENTIAL
TREATMENT REQUESTED

          “Bank Product Obligations” means (a) all obligations, liabilities, reimbursement
obligations, fees, or expenses owing by Parent or its Subsidiaries to any Bank Product Provider
pursuant to or evidenced by a Bank Product Agreement and irrespective of whether for the payment
of money, whether direct or indirect, absolute or contingent, due or to become due, now existing
or hereafter arising, (b) all obligations of Borrowers to reimburse an Underlying Issuer in
respect of Underlying Letters of Credit, and (c) all amounts that Parent or its Subsidiaries are
obligated to reimburse to Agent or any member of the Lender Group as a result of Agent or such
member of the Lender Group purchasing participations from, or executing guarantees or indemnities
or reimbursement obligations to, a Bank Product Provider with respect to the Bank Products
provided by such Bank Product Provider to Parent or its Subsidiaries.

          “Bank Product Provider” means Wells Fargo or any of its Affiliates.

          “Bank Product Reserve” means, as of any date of determination, the amount of
reserves that Agent has established (based upon the Bank Product Providers’ reasonable
determination of the credit exposure of Parent and its Subsidiaries in respect of Bank Products)
in respect of Bank Products then provided or outstanding.

          “Bankruptcy Code” means title 11 of the United States Code, as in effect from time
to time.

          “Base LIBOR Rate” means the greater of (a) 2.00 percent per annum, and (b) the rate
per annum rate appearing on Bloomberg L.P.’s (the “Service”) Page BBAM1/(Official BBA
USD Dollar Libor Fixings) (or on any successor or substitute page of such Service, or any
successor to or substitute for such Service) 2 Business Days prior to the commencement of the
requested Interest Period, for a term and in an amount comparable to the Interest Period and the
amount of the LIBOR Rate Loan requested (whether as an initial LIBOR Rate Loan or as a
continuation of a LIBOR Rate Loan or as a conversion of a Base Rate Loan to a LIBOR Rate Loan)
by Administrative Borrower in accordance with the Agreement, which determination shall be
conclusive in the absence of manifest error.

          “Base Rate” means the greatest of (a) 3.25 percent per annum, (b) the Federal Funds
Rate plus 1/2%, (c) the Base LIBOR Rate (which rate shall be calculated based upon an Interest
Period of 3 months and shall be determined on a daily basis), plus 1 percentage point, and (d)
the rate of interest announced, from time to time, within Wells Fargo at its principal office in
San Francisco as its “prime rate”, with the understanding that the “prime rate” is one of Wells
Fargo’s base rates (not necessarily the lowest of such rates) and serves as the basis upon which
effective rates of interest are calculated for those loans making reference thereto and is
evidenced by the recording thereof after its announcement in such internal publications as Wells
Fargo may designate.

          “Base Rate Loan” means each portion of the Advances that bears interest at a rate
determined by reference to the Base Rate.

          “Base Rate Margin” means, as of any date of determination, the percentage points
set forth below based upon the Average Daily Excess Availability for the immediately preceding
calendar quarter, as determined by Agent in its Permitted Discretion:

	 	 	 	 	 
	Level	 	Average Daily Excess Availability	 	Base Rate Margin
	I

	 	If Average Daily Excess Availability is
greater than $25,000,000
	 	3.75 percentage points

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CONFIDENTIAL
TREATMENT REQUESTED

	 	 	 	 	 
	Level	 	Average Daily Excess Availability	 	Base Rate Margin
	II

	 	If Average Daily
Excess Availability
is greater than or
equal to
$10,000,000 but
less than or equal
to $25,000,000
	 	4.00 percentage points
	 
	 	 	 	 
	III

	 	If Average Daily
Excess Availability
is less than
$10,000,000
	 	4.25 percentage points

                    ; provided, however, that for the period commencing on the Closing Date
through the end of October 31, 2009, the Base Rate Margin shall be the percentage points
specified for Pricing Level II as set forth in this definition; provided,
further, however, that if the Borrowers fail to provide any reports or
certifications required to determine the Average Daily Excess Availability when due, the Base
Rate Margin shall be set at the percentage points specified for Pricing Level III until such
reports or certifications are delivered, on which date (but not retroactively), without
constituting a waiver of any Default or Event of Default occasioned by the failure to timely
deliver such reports or certifications, the Base Rate Margin shall be set at the percentage
based upon the calculation determined pursuant to such reports or certifications. For purposes
of the preceding sentence (and subject to the forgoing provisos), at the end of each calendar
quarter Agent will test the Borrowers’ Average Daily Excess Availability, which amount will be
based upon reports and certifications delivered to Agent in accordance with the terms of this
Agreement. If any such reports or certifications are subsequently determined to be incorrect in
any material respect in a manner that would result in a lower Average Daily Excess Availability,
Agent may increase the Base Rate Margin retroactively to the beginning of the relevant quarter
to the extent that such error caused the applicable Base Rate Margin to be less than the Base
Rate Margin that would have been in effect if the error was not made.

          “Benefit Plan” means a “defined benefit plan” (as defined in Section 3(35) of
ERISA) for which Parent or any of its Subsidiaries or ERISA Affiliates has been an “employer”
(as defined in Section 3(5) of ERISA) within the past six years.

          “Board of Directors” means the board of directors (or comparable managers) of
Parent or any committee thereof duly authorized to act on behalf of the board of directors (or
comparable managers).

          “Borrower” and “Borrowers” have the respective the meanings specified
therefor in the preamble to the Agreement.

          “Borrowing” means a borrowing hereunder consisting of Advances made on the same day
by the Lenders (or Agent on behalf thereof), or by Swing Lender in the case of a Swing Loan, or
by Agent in the case of a Protective Advance.

          “Borrowing Base” means, as of any date of determination, the result of:

     (a)
85% of the amount of Eligible Accounts, less the amount, if any, of the Dilution Reserve, plus

     (b)
80% of the amount of Eligible Investment Grade Accounts, less the amount, if any, of the Dilution Reserve, plus

     (c) the lesser of

     (i) $40,000,000, and

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CONFIDENTIAL
TREATMENT REQUESTED

     (ii) 80% of the amount of Eligible Credit Insured Accounts, less the
amount, if any, of the Dilution Reserve, plus

     (d) the lowest of

     (i) $10,000,000,

     (ii) 80% of the amount of Eligible Specified Accounts, less the
amount, if any, of the Dilution Reserve, plus

     (e) the lowest of

     (i) $10,000,000,

     (ii) 50% of the value (calculated at the lower of cost or market on a
basis consistent with Borrowers’ historical accounting practices) of
Eligible Inventory, and

     (iii) 85% times the most recently determined Net Liquidation
Percentage times the value (calculated at the lower of cost or market on a
basis consistent with Borrowers’ historical accounting practices) of
Eligible Inventory, plus

     (f) the lesser of

     (i) the Eligible Equipment Sublimit, and

     (ii) 80% times the most recently determined Net Orderly Liquidation
Value of Eligible Equipment, minus

     (g) the sum of (i) the Bank Product Reserve, (ii) the Credit Insurance
Reserve, and (iii) the aggregate amount of reserves, if any, established by
Agent under Section 2. l(c) of the Agreement.

          “Borrowing Base Certificate” means a certificate in the form of
Exhibit B-l.

          “Borrowing Base Excess Amount” has the meaning set forth in Section 2.4(e).

          “Business Day” means any day that is not a Saturday, Sunday, or other day on which
banks are authorized or required to close in the state of California, except that, if a
determination of a Business Day shall relate to a LIBOR Rate Loan, the term “Business Day” also
shall exclude any day on which banks are closed for dealings in Dollar deposits in the London
interbank market.

          “Capital Expenditures” means, with respect to any Person for any period, the
aggregate of all expenditures by such Person and its Subsidiaries during such period that are
capital expenditures as determined in accordance with GAAP, whether such expenditures are paid in
cash or financed; provided that, notwithstanding anything to the contrary contained
herein, Capital Expenditures shall be deemed to be: (1) $5,121,000 for the fiscal quarter ended
February 1, 2009, (2) $3,265,000 for the fiscal quarter ended April 30, 2009, and (3) $3,149,000
for the fiscal quarter ended August 2, 2009.

          “Capitalized Lease Obligation” means that portion of the obligations under a Capital
Lease that is required to be capitalized in accordance with GAAP.

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CONFIDENTIAL
TREATMENT REQUESTED

          “Capital Lease” means a lease that is required to be capitalized for financial
reporting purposes in accordance with GAAP.

          “Cash Equivalents” means (a) marketable direct obligations issued by, or
unconditionally guaranteed by, the United States or issued by any agency thereof and backed by the
full faith and credit of the United States, in each case maturing within 1 year from the date of
acquisition thereof, (b) marketable direct obligations issued or fully guaranteed by any state of
the United States or any political subdivision of any such state or any public instrumentality
thereof maturing within 1 year from the date of acquisition thereof and, at the time of
acquisition, having one of the two highest ratings obtainable from either Standard & Poor’s Rating
Group (“S&P”) or Moody’s Investors Service, Inc. (“Moody’s”), (c) commercial paper maturing no more
than 270 days from the date of creation thereof and, at the time of acquisition, having a rating of
at least A-l from S&P or at least P-l from Moody’s, (d) certificates of deposit, time deposits,
overnight bank deposits or bankers’ acceptances maturing within 1 year from the date of acquisition
thereof issued by any bank organized under the laws of the United States or any state thereof or
the District of Columbia or any United States branch of a foreign bank having at the date of
acquisition thereof combined capital and surplus of not less than $250,000,000, (e) Deposit
Accounts maintained with (i) any bank that satisfies the criteria described in clause (d) above, or
(ii) any other bank organized under the laws of the United States or any state thereof so long as
the full amount maintained with any such other bank is insured by the Federal Deposit Insurance
Corporation, (f) repurchase obligations of any commercial bank satisfying the requirements of
clause (d) of this definition or recognized securities dealer having combined capital and surplus
of not less than $250,000,000, having a term of not more than seven days, with respect to
securities satisfying the criteria in clauses (a) or (d) above, (g) debt securities with maturities
of six months or less from the date of acquisition backed by standby letters of credit issued by
any commercial bank satisfying the criteria described in clause (d) above, and (h) Investments in
money market funds substantially all of whose assets are invested in the types of assets described
in clauses (a) through (g) above.

          “CFC” means a controlled foreign corporation (as that term is defined in
the IRC).

          “Change of Control” means that (a) any “person” or “group” (within the meaning of
Sections 13(d) and 14(d) of the Exchange Act) becomes the beneficial owner (as defined in Rule 13d-3 under the Exchange Act), directly or indirectly, of 30%, or more, of the Stock of Parent having
the right to vote for the election of members of the Board of Directors, (b) a majority of the
members of the Board of Directors do not constitute Continuing Directors, (c) a “Change of Control”
as defined in the Indentures occurs, or (d) Parent fails to own and control, directly or
indirectly, 100% of the Stock of each other Loan Party.

          “Closing Date” means the date of the making of the initial Advance (or other
extension of credit) hereunder.

          “Code” means the California Uniform Commercial Code, as in effect from time to time.

          “Collateral” means all assets and interests in assets and proceeds thereof now owned
or hereafter acquired by Parent or its Subsidiaries in or upon which a Lien is granted by such
Person in favor of Agent or the Lenders under any of the Loan Documents. The term
“Collateral” shall not include the assets or the voting Stock of any CFC, solely to the
extent that (y) such Stock represents more than 65% of the outstanding voting Stock of such CFC,
and (z) hypothecating more than 65% of the total outstanding voting Stock of such CFC would result
in material adverse tax consequences.

          “Collateral Access Agreement” means a landlord waiver, bailee letter, or
acknowledgement agreement of any lessor, warehouseman, processor, consignee, or other Person in

          
6

 

CONFIDENTIAL
TREATMENT REQUESTED

possession of, having a Lien upon, or having rights or interests in Parent’s or any of its Non-CFC
Subsidiaries’ books and records, Equipment, or Inventory, in each case, in form and substance
reasonably satisfactory to Agent.

          “Collections” means all cash, checks, notes, instruments, and other items of payment
(including insurance proceeds, cash proceeds of asset sales, rental proceeds, and tax refunds).

          “Compliance Certificate” means a certificate substantially in the form of Exhibit
C-l delivered by the chief financial officer of Parent to Agent.

          “Confidential Information” has the meaning specified therefor in Section
17.9(a) of the Agreement.

          “Continuing Director” means (a) any member of the Board of Directors who was a
director (or comparable manager) of Parent on the Closing Date, and (b) any individual who becomes
a member of the Board of Directors after the Closing Date if such individual was approved,
appointed or nominated for election to the Board of Directors by a majority of the Continuing
Directors, but excluding any such individual originally proposed for election in opposition to the
Board of Directors in office at the Closing Date in an actual or threatened election contest
relating to the election of the directors (or comparable managers) of Parent and whose initial
assumption of office resulted from such contest or the settlement thereof.

          “Control Agreement” means a control agreement, in form and substance reasonably
satisfactory to Agent, executed and delivered by Parent or one of its Non-CFC Subsidiaries, Agent,
and the applicable securities intermediary (with respect to a Securities Account) or bank (with
respect to a Deposit Account).

          “Controlled Account Agreement” has the meaning specified therefor in the Security
Agreement.

          “Copyright Security Agreement” has the meaning specified therefor in the Security
Agreement.

          “Credit Insurance Reserve” means, as of any date of determination, the amount of
reserves that Agent has established in respect of: (a) all deductibles applicable to any credit
insurance covering Eligible Credit Insured Accounts; and (b) all potential offsets against any
credit insurance covering Eligible Credit Insured Accounts.

          “Daily Balance” means, as of any date of determination and with respect to any
Obligation, the amount of such Obligation owed at the end of such day.

          “Default” means an event, condition, or default that, with the giving of notice, the
passage of time, or both, would be an Event of Default.

          “Defaulting Lender” means any Lender that fails to make any Advance (or other
extension of credit, including the failure to make available to Agent amounts required pursuant to
a Settlement or to make payment in connection with a Letter of Credit Disbursement) that it is
required to make hereunder on the date that it is required to do so hereunder.

          “Defaulting Lender Rate” means (a) for the first 3 days from and after the date the
relevant payment is due, the Base Rate, and (b) thereafter, the interest rate then applicable to
Advances that are Base Rate Loans (inclusive of the Base Rate Margin applicable thereto).

          
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CONFIDENTIAL
TREATMENT REQUESTED

          “Deposit Account” means any deposit account (as that term is defined in the
Code).

          “Designated Account” means the Deposit Account of Administrative Borrower identified
on Schedule D-l.

          “Designated Account Bank” has the meaning specified therefor in
Schedule D-l.

          “Dilution” means, as of any date of determination, a percentage, based upon the
experience of the immediately prior 180 consecutive days, that is the result of dividing the
Dollar amount of (a) bad debt write-downs, discounts, advertising allowances, credits, or other
dilutive items with respect to Borrowers’ Accounts during such period, by (b) Borrowers’ billings
with respect to Accounts during such period.

          “Dilution Reserve” means, as of any date of determination, an amount sufficient to
reduce the advance rate against Eligible Accounts, Eligible Credit Insured Accounts and Eligible
Investment Grade Accounts, as applicable, by 1 percentage point for each percentage point by which
Dilution is in excess of 5%.

          “Dollars” or “$” means United States dollars.

          “EBITDA” means, with respect to any fiscal period, the result of:

          (a) Parent’s
consolidated net earnings (or loss) (but excluding from the determination of net earnings (or loss) any tax refunds, tax credits, or other tax benefits),
minus

          (b) to the extent included in the calculation of Parent’s consolidated net earnings (or loss), the sum of: (i) extraordinary gains (including, without limitation, gains from the
sale of equipment and the repurchase of bonds), (ii) interest income, (iii) any non-cash decrease in
the cost of goods sold attributed to the reversal of an inventory obsolescence and slow moving reserve
expensed in a prior period, consistent with historical processes for determining such non-cash charges,
(iv) the EBITDA Inventory Disposal Amount, and (v) any
reductions of the impaired rent reserve in such period, consistent with historical processes for determining such reductions, plus

          (c) to the extent deducted in the calculation of Parent’s consolidated net earnings (or loss), the sum of: (i) non-cash extraordinary losses (including non-cash
impairment related to minority investments), (ii) non-cash stock compensation expense, (iii) interest
expense, (iv) income taxes, (v) depreciation and amortization, and (vi) any non-cash increase in cost of
goods sold attributed to the implementation of an inventory obsolescence and slow moving reserve during
the current period, consistent with historical processes for determining such non-cash charges;
provided. however, that the amount calculated pursuant to this clause (c)(vi) shall in no event
exceed 50% of EBITDA prior to giving effect to this clause (c)(vi);

in each case, determined on a consolidated basis in accordance with GAAP; provided that,
notwithstanding anything to the contrary contained herein, EBITDA shall be deemed to be: (1)
$9,149,000 for the fiscal quarter ended February 1, 2009, (2) $7,592,000 for the fiscal quarter
ended April 30, 2009, and (3) $10,020,000 for the fiscal quarter ended August 2, 2009.

          “EBITDA Inventory Disposal Amount” means, with respect to any fiscal period, an
amount equal to the greater of (a) 1% of Parent’s consolidated net revenues for such fiscal
period, and (b) the value (calculated at cost) of all Inventory of Parent and its Subsidiaries
disposed of during such period.

          
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CONFIDENTIAL
TREATMENT REQUESTED

          “Eligible Accounts” means those Accounts created by Borrowers in the ordinary course
of their business, that arise out of Borrowers’ sale of goods or rendition of services, that
comply with each of the representations and warranties respecting Eligible Accounts made in the
Loan Documents, and that are not excluded as ineligible by virtue of one or more of the excluding
criteria set forth below; provided, however, that such criteria may be revised
from time to time by Agent in Agent’s Permitted Discretion to address the results of any audit
performed by Agent from time to time after the Closing Date. In determining the amount to be
included, Eligible Accounts shall be calculated net of customer deposits and unapplied cash.
Eligible Accounts shall not include the following:

          (a) Accounts
that the Account Debtor has failed to pay within 120 days of original invoice date, or Accounts that are more than 60 days past due,

          (b) Accounts owed by an Account Debtor (or its Affiliates) where 50% or more of all Accounts owed by that Account Debtor (or its Affiliates) are deemed ineligible under
clause (a) above,

          (c) Accounts with respect to which the Account Debtor is an Affiliate of a Borrower or an employee or agent of a Borrower or any Affiliate of a Borrower,

          (d) Accounts arising in a transaction wherein goods are placed on consignment or are sold pursuant to a guaranteed sale, a sale or return, a sale on approval, a bill and
hold, or any other terms by reason of which the payment by the Account Debtor may be conditional,

          (e) Accounts that are not payable in Dollars,

          (f) Accounts with respect to which the Account Debtor either (i) does not maintain its chief executive office in the United States, or (ii) is not organized under the
laws of the United States or any state thereof, or (iii) is the government of any foreign country or
sovereign state, or of any state, province, municipality, or other political subdivision thereof, or of any
department, agency, public corporation, or other instrumentality thereof, unless the Account is supported
by an irrevocable letter of credit reasonably satisfactory to Agent (as to form, substance, and
issuer or domestic confirming bank) that has been delivered to Agent and is directly drawable by Agent,

          (g) Accounts with respect to which the Account Debtor is either (i) the United States or any department, agency, or instrumentality of the United States (exclusive, however,
of Accounts with respect to which the applicable Borrower has complied, to the reasonable
satisfaction of Agent, with the Assignment of Claims Act, 31 USC §3727), or (ii) any state of the United
States (exclusive, however, of (i) Accounts owed by any state that does not have a statutory
counterpart to the Assignment of Claims Act, or (ii) Accounts owed by any state that has a statutory
counterpart to the Assignment of Claims Act as to which the Borrowers have complied to the Agent’s reasonable

satisfaction),

          (h) Accounts with respect to which the Account Debtor is a creditor of Borrowers, has or has
asserted a right of setoff, or has disputed its obligation to pay all or any portion of the
Account, to the extent of such claim, right of setoff, or dispute,

          (i) Accounts
with respect to an Account Debtor whose total obligations owing to
Borrowers (i) with respect to Accounts owed by Jabil Circuit, Inc. or  Huawei, exceed 20%, and
(ii) with respect to Accounts owed by any other Account Debtor, exceed 10%, (in each case, such
percentage, as applied to a particular Account Debtor, being subject to reduction by Agent in its
Permitted Discretion if the creditworthiness of such Account Debtor deteriorates) of all Eligible
Accounts, Eligible Credit Insured Accounts, Eligible Investment Grade Accounts and Eligible

          
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CONFIDENTIAL
TREATMENT REQUESTED

Specified Accounts, to the extent of the obligations owing by such Account Debtor in excess of
such percentage; provided, however, that, in each case, the amount of Eligible
Accounts that are excluded because they exceed the foregoing percentage shall be determined by
Agent based on all of the otherwise Eligible Accounts prior to giving effect to any eliminations
based upon the foregoing concentration limit,

          (j) Accounts with respect to which the Account Debtor is subject to an Insolvency Proceeding,
is not Solvent, has gone out of business, or as to which any Borrower has received notice of an
imminent Insolvency Proceeding or a material impairment of the financial condition of such Account
Debtor,

          (k) Accounts, the collection of which, Agent, in its Permitted Discretion, believes to be
materially impaired by reason of the Account Debtor’s financial condition,

          (l) Accounts that are not subject to a valid and perfected first priority Agent’s Lien,

          (m) Accounts with respect to which (i) the goods giving rise to such Account have not been
shipped and billed to the Account Debtor, or (ii) the services giving rise to such Account have
not been performed and billed to the Account Debtor,

          (n) Accounts with respect to which the Account Debtor is a Sanctioned Person or Sanctioned
Entity,

          (o) Accounts that represent the right to receive progress payments or other advance billings
that are due prior to the completion of performance by Borrowers of the subject contract for goods
or services, or

          (p) Accounts with respect to which (i) the Account Debtor has been billed by the applicable
Borrower from an office or location of the applicable Borrower that is not located in the United
States, or (ii) the collection thereof is to occur via an office or location of the applicable
Borrower that is not located in the United States.

          “Eligible Credit Insured Accounts” means an Account (other than an Eligible Investment
Grade Account) that (a) satisfies all of the criteria set forth in the definition of Eligible
Accounts other than clause (f) of such definition and (b) is covered by credit insurance in form,
substance, and amount, and by an insurer, satisfactory to Agent; provided, however,
that such criteria may be revised from time to time by Agent in Agent’s Permitted Discretion to
address the results of any audit performed by Agent from time to time after the Closing Date. In
determining the amount to be included, Eligible Credit Insured Accounts shall be calculated net of
customer deposits and unapplied cash.

          “Eligible Equipment” means the Equipment owned by Borrowers, that complies with each
of the representations and warranties respecting Eligible Equipment made in the Loan Documents,
and that is not excluded as ineligible by virtue of one or more of the excluding criteria set
forth below; provided, however, that such criteria may be revised from time to
time by Agent in Agent’s Permitted Discretion to address the results of any audit or appraisal
performed by Agent from time to time after the Closing Date. A piece of Equipment shall not be
included in Eligible Equipment if:

          (a) the applicable Borrower does not have good, valid, and marketable title thereto,

          
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CONFIDENTIAL
TREATMENT REQUESTED

          (b) it is not subject to a valid and perfected first priority Agent’s Lien,

          (c) the full purchase price for such equipment has not been paid by Borrowers,

          (d) it
is not located at one of the locations in the continental United States set forth on Schedule E-l,

          (e) it is located on real property leased by a Borrower unless either (i) it is subject to a Collateral Access Agreement executed by the lessor, or (ii) Agent has established
a reserve against the Borrowing Base in an amount equal to three (3) months rent with respect to
such premises (or such lesser amount as agreed to by Agent in its sole discretion),

          (f) it is not in good working order and condition (ordinary wear and tear excepted) or it is not used or held for use by Borrowers in the ordinary course of business of
the Borrowers,

          (g) it is subject to any agreement which restricts the ability of Borrowers to use, sell, transport or dispose of such equipment or which restricts the Agent’s ability to take
possession of, sell or otherwise dispose of such equipment, or

          (h) it constitutes “fixtures” under the applicable laws of the jurisdiction in which such
equipment is located.

          “Eligible Equipment Sublimit” means Six Million Five Hundred Thousand Dollars
($6,500,000); provided, however, that beginning on January 31, 2010 and on the
last day of each fiscal quarter of Parent thereafter, the Eligible Equipment Sublimit shall be
reduced by Three Hundred Twenty-Five Thousand Dollars ($325,000).

          “Eligible Inventory” means Inventory consisting of first quality finished goods held
for sale in the ordinary course of Borrowers’ business, that complies with each of the
representations and warranties respecting Eligible Inventory made in the Loan Documents, and that
is not excluded as ineligible by virtue of one or more of the excluding criteria set forth below;
provided, however, that such criteria may be revised from time to time by Agent in
Agent’s Permitted Discretion to address the results of any audit or appraisal performed by Agent
from time to time after the Closing Date. In determining the amount to be so included, Inventory
shall be valued at the lower of cost or market on a basis consistent with Borrowers’ historical
accounting practices. An item of Inventory shall not be included in Eligible Inventory if:

          (a) the
applicable Borrower does not have good, valid, and marketable title
thereto,

          (b) the
applicable Borrower does not have actual and exclusive possession thereof (either directly or through a bailee or agent of such Borrower),

          (c) it
is not located at one of the locations in the continental United States set forth on Schedule E-l (or in-transit from one such location to another such location),

          (d) it is in-transit to or from a location of a Borrower (other than in-transit from one location set forth on Schedule E-l to another location set forth on Schedule
E-l),

          (e) it is located on real property leased by a Borrower or in a contract warehouse, in each case, unless it is segregated or otherwise separately identifiable from
goods of others, if any, stored on the premises, and either (i) it is subject to a Collateral Access
Agreement

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CONFIDENTIAL
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executed by the lessor or warehouseman, as the case may be, or (ii) Agent has established a
reserve against the Borrowing Base in an amount equal to three (3) months rent with respect to
such premises or three (3) months warehouse charges with respect to such premises, as applicable
(or such lesser amount as agreed to by Agent in its sole discretion),

          (f) it is the subject of a bill of lading or other document of title,

          (g) it is not subject to a valid and perfected first priority Agent’s Lien,

          (h) it consists of goods returned or rejected by the applicable Borrower’s customers, or

          (i) it consists of goods that are obsolete or slow moving, restrictive or custom items,
work-in-process, raw materials, or goods that constitute spare parts, packaging and shipping
materials, supplies used or consumed in Borrowers’ business, bill and hold goods, defective goods,
“seconds,” or Inventory acquired on consignment.

          “Eligible Investment Grade Accounts” means an Account (a) that satisfies all of the
criteria set forth in the definition of Eligible Accounts other than clause (f) of such definition,
and (b) is owed by an Account Debtor that is an Eligible Investment Grade Account Debtor;
provided. however, that such criteria may be revised from time to time by Agent in
Agent’s Permitted Discretion to address the results of any audit performed by Agent from time to
time after the Closing Date. In determining the amount to be included, Eligible Investment Grade
Accounts shall be calculated net of customer deposits and unapplied cash.

          “Eligible Investment Grade Account Debtors” means an Account Debtor listed on
Schedule E-2 (as such list may be added to from time to time by Agent in its sole
discretion): that (a) does not maintain its chief executive office in the United States, or (b) is
not organized under the laws of the United States or any state thereof or the District of
Columbia, in either case, so long as such Account Debtor, or the owner of all of the Stock of such
Account Debtor, has a credit rating of at least “BBB-” by S&P or “Baa3” by Moody’s.

          “Eligible Specified Accounts” means an Account that (a) satisfies all of the criteria
set forth in the definition of Eligible Accounts other than clause (f) of such definition, and (b)
is owed by an Account Debtor that is an Eligible Specified Account Debtor; provided,
however, that such criteria may be revised from time to time by Agent in Agent’s Permitted
Discretion to address the results of any audit performed by Agent from time to time after the
Closing Date. In determining the amount to be included, Eligible Specified Accounts shall be
calculated net of customer deposits and unapplied cash.

          “Eligible Specified Account Debtor” means an Account Debtor listed on Schedule E-3
(as such list may be added to from time to time by Agent in its sole discretion), so long as such
Account Debtor, or the owner of all of the Stock of such Account Debtor, has a credit rating of at
least “BB+” by S&P or “Bal” by Moody’s.

          “Environmental Action” means any written complaint, summons, citation, notice,
directive, order, claim, litigation, investigation, judicial or administrative proceeding,
judgment, letter, or other written communication from any Governmental Authority, or any third
party involving violations of Environmental Laws or releases of Hazardous Materials (a) from any
assets, properties, or businesses of any Borrower, any Subsidiary of a Borrower, or any of their
predecessors in interest, (b) from adjoining properties or businesses, or (c) from or onto any
facilities which received Hazardous Materials generated by any Borrower, any Subsidiary of a
Borrower, or any of their predecessors in interest.

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CONFIDENTIAL
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          “Environmental Law” means any applicable federal, state, provincial, foreign or local
statute, law, rule, regulation, ordinance, code, binding and enforceable guideline, binding and
enforceable written policy, or rule of common law now or hereafter in effect and in each case as
amended, or any judicial or administrative interpretation thereof, including any judicial or
administrative order, consent decree or judgment, in each case, to the extent binding on Parent or
its Subsidiaries, relating to the environment, the effect of the environment on employee health,
or Hazardous Materials, in each case as amended from time to time.

          “Environmental Liabilities” means all liabilities, monetary obligations, losses,
damages, costs and expenses (including all reasonable fees, disbursements and expenses of counsel,
experts, or consultants, and costs of investigation and feasibility studies), fines, penalties,
sanctions, and interest incurred as a result of any claim or demand, or Remedial Action required,
by any Governmental Authority or any third party, and which relate to any Environmental Action.

          “Environmental Lien” means any Lien in favor of any Governmental Authority for
Environmental Liabilities.

          “Equipment” means equipment (as that term is defined in the Code).

          “ERISA” means the Employee Retirement Income Security Act of 1974, as amended, and any
successor statute thereto.

          “ERISA Affiliate” means (a) any Person subject to ERISA whose employees are treated as
employed by the same employer as the employees of Parent or its Subsidiaries under IRC Section
414(b), (b) any trade or business subject to ERISA whose employees are treated as employed by the
same employer as the employees of Parent or its Subsidiaries under IRC Section 414(c), (c) solely
for purposes of Section 302 of ERISA and Section 412 of the IRC, any organization subject to ERISA
that is a member of an affiliated service group of which Parent or any of its Subsidiaries is a
member under IRC Section 414(m), or (d) solely for purposes of Section 302 of ERISA and Section 412
of the IRC, any Person subject to ERISA that is a party to an arrangement with Parent or any of its
Subsidiaries and whose employees are aggregated with the employees of Parent or its Subsidiaries
under IRC Section 414(o).

          “Event of Default” has the meaning specified therefor in Section 8 of the Agreement.

          “Excess Availability” means, as of any date of determination, the amount equal to
Availability minus the aggregate amount, if any, of all trade payables of Parent and its
Subsidiaries aged in excess of the greater of historical levels with respect thereto or ninety
(90) days and all book overdrafts of Parent and its Subsidiaries in excess of historical practices
with respect thereto, in each case as determined by Agent in its Permitted Discretion.

          “Excess Liquidity” means, as of any date of determination, the sum of (a) Excess
Availability as of such date, plus (b) Suppressed Availability as of such date in an amount not to
exceed $5,000,000.

          “Exchange Act” means the Securities Exchange Act of 1934, as in effect from time to
time.

          “Existing Credit Facility” means the credit facility provided to Parent pursuant to
the Loan and Security Agreement, dated as of March 14, 2008, among Parent and Silicon Valley Bank,
a California corporation.

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          “Fee Letter” means that certain fee letter, dated as of even date with the Agreement,
among Borrowers and Agent, in form and substance reasonably satisfactory to Agent.

          “Federal Funds Rate” means, for any period, a fluctuating interest rate per annum
equal to, for each day during such period, the weighted average of the rates on overnight Federal
funds transactions with members of the Federal Reserve System arranged by Federal funds brokers,
as published on the next succeeding Business Day by the Federal Reserve Bank of New York, or, if
such rate is not so published for any day which is a Business Day, the average of the quotations
for such day on such transactions received by Agent from three Federal funds brokers of recognized
standing selected by it.

          “Fixed Charges” means, with respect to any fiscal period and with respect to Parent
determined on a consolidated basis in accordance with GAAP, the sum, without duplication, of (a)
Interest Expense accrued (other than interest paid-in-kind, amortization of financing fees, and
other non-cash Interest Expense during such period), (b) principal payments in respect of
Indebtedness that are required to be paid during such period, and (c) all federal, state, and
local income taxes accrued during such period; provided that, notwithstanding anything to
the contrary contained herein, Fixed Charges shall be deemed to be: (1) $3,473,000 for the fiscal
quarter ended February 1, 2009, (2) $3,018,000 for the fiscal quarter ended April 30, 2009, and
(3) $2,872,000 for the fiscal quarter ended August 2, 2009.

          Fixed Charge Coverage Ratio” means, with respect to Parent and its Subsidiaries for
any period, the ratio of (i) EBITDA for such period minus unfinanced Capital Expenditures made (to
the extent not already incurred in a prior period) or incurred during such period, to (ii) Fixed
Charges for such period.

          “Foreign Lender” means any Lender or Participant that is not a United States person
within the meaning of IRC section 7701(a)(30).

          “Funding Date” means the date on which a Borrowing occurs.

          “Funding Losses” has the meaning specified therefor in Section 2.12(b)(ii) of
the Agreement.

          “GAAP” means generally accepted accounting principles as in effect from time to time
in the United States, consistently applied.

          “Governing Documents” means, with respect to any Person, the certificate or articles
of incorporation, by-laws, or other organizational documents of such Person.

          “Governmental Authority” means any federal, state, local, or other governmental or
administrative body, instrumentality, board, department, or agency or any court, tribunal,
administrative hearing body, arbitration panel, commission, or other similar dispute-resolving
panel or body.

          “Guarantors” means (a) each Subsidiary of Parent (other than any Borrower or any
Subsidiary that is not required to become a Guarantor pursuant to Section 5.11), and (b)
each other Person that becomes a guarantor after the Closing Date pursuant to Section 5.11
of the Agreement, and “Guarantor” means any one of them.

          “Guaranty” means that certain general continuing guaranty, dated as of even date with
the Agreement, executed and delivered by each Guarantor in favor of Agent, for the benefit of

          
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CONFIDENTIAL
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the Lender Group and the Bank Product Providers, in form and substance reasonably satisfactory to
Agent.

          “Hazardous Materials” means (a) substances that are defined or listed in, or
otherwise classified pursuant to, any applicable laws or regulations as “hazardous substances,”
“hazardous materials,” “hazardous wastes,” “toxic substances,” or any other formulation intended
to define, list, or classify substances by reason of deleterious properties such as ignitability,
corrosivity, reactivity, carcinogenicity, reproductive toxicity, or “EP toxicity”, (b) oil,
petroleum, or petroleum derived substances, natural gas, natural gas liquids, synthetic gas,
drilling fluids, produced waters, and other wastes associated with the exploration, development,
or production of crude oil, natural gas, or geothermal resources, (c) any flammable substances or
explosives or any radioactive materials, and (d) asbestos in any form or electrical equipment that
contains any oil or dielectric fluid containing levels of polychlorinated biphenyls in excess of
50 parts per million.

          “Hedge Agreement” means any and all agreements or documents now existing or hereafter
entered into by Parent or any of its Subsidiaries that provide for an interest rate, credit,
commodity or equity swap, cap, floor, collar, forward foreign exchange transaction, currency swap,
cross currency rate swap, currency option, or any combination of, or option with respect to, these
or similar transactions, for the purpose of hedging such Person’s exposure to fluctuations in
interest or exchange rates, loan, credit exchange, security, or currency valuations or commodity
prices.

          “Holdout Lender” has the meaning specified therefor in Section 14.2(a) of the
Agreement.

          “Indebtedness” means (a) all obligations for borrowed money, (b) all obligations
evidenced by bonds, debentures, notes, or other similar instruments and all reimbursement or other
obligations in respect of letters of credit, bankers acceptances, or other financial products, (c)
all obligations as a lessee under Capital Leases, (d) all obligations or liabilities of others
secured by a Lien on any asset of such Person, irrespective of whether such obligation or liability
is assumed, (e) all obligations to pay the deferred purchase price of assets (other than trade
payables incurred in the ordinary course of business and repayable in accordance with customary
trade practices), (f) all obligations owing under Hedge Agreements (which amount shall be
calculated based on the amount that would be payable by such Person if the Hedge Agreement were
terminated on the date of determination), (g) any Prohibited Preferred Stock, and (h) any
obligation guaranteeing or intended to guarantee (whether directly or indirectly guaranteed,
endorsed, co-made, discounted, or sold with recourse) any obligation of any other Person that
constitutes Indebtedness under any of clauses (a) through (g) above. For purposes of this
definition, (i) the amount of any Indebtedness represented by a guaranty or other similar
instrument shall be the lesser of the principal amount of the obligations guaranteed and still
outstanding and the maximum amount for which the guaranteeing Person may be liable pursuant to the
terms of the instrument embodying such Indebtedness, and (ii) the amount of any Indebtedness
described in clause (d) above shall be the lower of the amount of the obligation and the fair
market value of the assets of such Person securing such obligation.

          “Indemnified Liabilities” has the meaning specified therefor in Section 10.3
of the Agreement.

          “Indemnified Person” has the meaning specified therefor in Section 10.3 of
the Agreement.

          “Indentures” means, collectively, the 2003 Indenture and the 2006
Indenture.

          “Insolvency Proceeding” means any proceeding commenced by or against any Person under
any provision of the Bankruptcy Code or under any other state or federal bankruptcy or

          
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CONFIDENTIAL
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insolvency law, assignments for the benefit of creditors, formal or informal moratoria,
compositions, extensions generally with creditors, or proceedings seeking reorganization,
arrangement, or other similar relief.

          “Intercompany Subordination Agreement” means an intercompany subordination agreement,
dated as of even date with the Agreement, executed and delivered by Parent, each of its
Subsidiaries, and Agent, the form and substance of which is reasonably satisfactory to Agent.

          “Interest Expense” means, for any period, the aggregate of the interest expense of
Parent for such period, determined on a consolidated basis in accordance with GAAP.

          “Interest Period” means, with respect to each LIBOR Rate Loan, a period commencing on
the date of the making of such LIBOR Rate Loan (or the continuation of a LIBOR Rate Loan or the
conversion of a Base Rate Loan to a LIBOR Rate Loan) and ending 1, 2, or 3 months thereafter;
provided, however, that (a) interest shall accrue at the applicable rate based
upon the LIBOR Rate from and including the first day of each Interest Period to, but excluding,
the day on which any Interest Period expires, (b) any Interest Period that would end on a day that
is not a Business Day shall be extended to the next succeeding Business Day unless such Business
Day falls in another calendar month, in which case such Interest Period shall end on the next
preceding Business Day, (c) with respect to an Interest Period that begins on the last Business
Day of a calendar month (or on a day for which there is no numerically corresponding day in the
calendar month at the end of such Interest Period), the Interest Period shall end on the last
Business Day of the calendar month that is 1, 2, or 3 months after the date on which the Interest
Period began, as applicable, and (d) Borrowers (or Administrative Borrower on behalf thereof) may
not elect an Interest Period which will end after the Maturity Date.

          “Inventory” means inventory (as that term is defined in the Code).

          “Investment” means, with respect to any Person, any investment by such Person in any
other Person (including Affiliates) in the form of loans, guarantees, advances, capital
contributions (excluding (a) commission, travel, and similar advances to directors, officers,
employees and consultants of such Person made in the ordinary course of business, and (b) bona
fide Accounts arising in the ordinary course of business), or acquisitions of Indebtedness, Stock,
or all or substantially all of the assets of such other Person (or of any division or business
line of such other Person), and any other items that are or would be classified as investments on
a balance sheet prepared in accordance with GAAP.

          “IRC” means the Internal Revenue Code of 1986, as in effect from time to
time.

          “Issuing Lender” means WFF or any other Lender that, at the request of Administrative
Borrower and with the consent of Agent, agrees, in such Lender’s sole discretion, to become an
Issuing Lender for the purpose of issuing Letters of Credit or Reimbursement Undertakings pursuant
to Section 2.11 of the Agreement.

          “Lender” and “Lenders” have the respective meanings set forth in the preamble
to the Agreement, includes the Issuing Lender, and shall include any other Person made a party to
the Agreement pursuant to the provisions of Section 13.1 of the Agreement.

          “Lender Group” means each of the Lenders (including the Issuing Lender) and Agent, or
any one or more of them.

          “Lender Group Expenses” means all (a) costs or expenses (including taxes, and
insurance premiums) required to be paid by Parent or its Subsidiaries under any of the Loan

          
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Documents that are paid, advanced, or incurred by the Lender Group, (b) out-of-pocket fees or
charges paid or incurred by Agent in connection with the Lender Group’s transactions with Parent
or its Subsidiaries under any of the Loan Documents, including, fees or charges for photocopying,
notarization, couriers and messengers, telecommunication, public record searches (including tax
lien, litigation, and UCC searches and including searches with the patent and trademark office,
the copyright office, or the department of motor vehicles), filing, recording, publication,
appraisal (including periodic collateral appraisals or business valuations to the extent of the
fees and charges (and up to the amount of any limitation) contained in the Agreement or the Fee
Letter), real estate surveys, real estate title policies and endorsements, and environmental
audits, (c) out-of-pocket costs and expenses incurred by Agent in the disbursement of funds to
Borrowers or other members of the Lender Group (by wire transfer or otherwise), (d) out-of-pocket
charges paid or incurred by Agent resulting from the dishonor of checks payable by or to any Loan
Party, (e) reasonable out-of-pocket costs and expenses paid or incurred by the Lender Group to
correct any default or enforce any provision of the Loan Documents, or during the continuance of
an Event of Default, in gaining possession of, maintaining, handling, preserving, storing,
shipping, selling, preparing for sale, or advertising to sell the Collateral, or any portion
thereof, irrespective of whether a sale is consummated, (f) reasonable out-of-pocket audit fees
and expenses (including travel, meals, and lodging) of Agent related to any inspections or audits
to the extent of the fees and charges (and up to the amount of any limitation) contained in the
Agreement or the Fee Letter, (g) reasonable out-of-pocket costs and expenses of third party claims
or any other suit paid or incurred by the Lender Group in enforcing or defending the Loan
Documents or in connection with the transactions contemplated by the Loan Documents or the Lender
Group’s relationship with Parent or any of its Subsidiaries, (h) Agent’s reasonable costs and
expenses (including reasonable attorneys fees) incurred in advising, structuring, drafting,
reviewing, administering (including travel, meals, and lodging), syndicating, or amending the Loan
Documents, and (i) Agent’s and each Lender’s reasonable costs and expenses (including reasonable
attorneys, accountants, consultants, and other advisors fees and expenses) incurred in
terminating, enforcing (including attorneys, accountants, consultants, and other advisors fees and
expenses incurred in connection with a “workout,” a “restructuring,” or an Insolvency Proceeding
concerning Parent or any of its Subsidiaries or in exercising rights or remedies under the Loan
Documents), or defending the Loan Documents, irrespective of whether suit is brought, or in taking
any Remedial Action concerning the Collateral.

          “Lender Group Representatives” has the meaning specified therefor in Section 17.9
of the Agreement.

          “Lender-Related Person” means, with respect to any Lender, such Lender, together with
such Lender’s Affiliates, officers, directors, employees, attorneys, and agents.

          “Letter of Credit” means a letter of credit issued by Issuing Lender or a letter of
credit issued by Underlying Issuer, as the context requires.

          “Letter of Credit Collateralization” means either (a) providing cash collateral
(pursuant to documentation reasonably satisfactory to Agent, including provisions that specify that
the Letter of Credit fee and all usage charges set forth in the Agreement will continue to accrue
while the Letters of Credit are outstanding) to be held by Agent for the benefit of those Lenders
with a Revolver Commitment in an amount equal to 105% of the then existing Letter of Credit Usage,
(b) causing the Letters of Credit to be returned to the Issuing Lender, or (c) providing Agent with
a standby letter of credit, in form and substance reasonably satisfactory to Agent, from a
commercial bank acceptable to Agent (in its sole discretion) in an amount equal to 105% of the then
existing Letter of Credit Usage (it being understood that the Letter of Credit fee and all usage
charges set forth in the Agreement will continue to accrue while the Letters of Credit are
outstanding and that any such fees that accrue must be an amount that can be drawn under any such
standby letter of credit).

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CONFIDENTIAL
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          “Letter of Credit Disbursement” means a payment made by Issuing Lender or
Underlying Issuer pursuant to a Letter of Credit.

          “Letter of Credit Usage” means, as of any date of determination, the aggregate
undrawn amount of all outstanding Letters of Credit.

          “LIBOR Deadline” has the meaning specified therefor in Section 2.12(b)(i)
of the Agreement.

          “LIBOR Notice” means a written notice in the form of Exhibit L-l.

          “LIBOR Option” has the meaning specified therefor in Section 2.12(a) of the
Agreement.

          “LIBOR Rate” means, for each Interest Period for each LIBOR Rate Loan, the rate per
annum determined by Agent by dividing (a) the Base LIBOR Rate for such Interest Period, by (b)
100% minus the Reserve Percentage. The LIBOR Rate shall be adjusted on and as of the effective
day of any change in the Reserve Percentage.

          “LIBOR Rate Loan” means each portion of an Advance that bears interest at a rate
determined by reference to the LIBOR Rate.

          “LIBOR Rate Margin” means, as of any date of determination (with respect to any
portion of the outstanding Advances on such date that is a LIBOR Rate Loan), the applicable
margin set forth in the following table based upon the Average Daily Excess Availability for the
immediately preceding calendar quarter, as determined by Agent in its Permitted Discretion:

	 	 	 	 	 
	Level	 	Average Daily Excess Availability	 	Base Rate Margin
	I

	 	If Average Daily Excess Availability is
greater than $25,000,000
	 	3.75 percentage points
	 
	 	 	 	 
	II

	 	If Average Daily Excess Availability is
greater than or equal to $10,000,000 but
less than or equal to $25,000,000
	 	4.00 percentage points
	 
	 	 	 	 
	III

	 	If Average Daily Excess Availability is
less than $10,000,000
	 	4.25 percentage points

                    ; provided, however, that for the period commencing on the Closing Date
through the end of October 31, 2009, the LIBOR Rate Margin shall be the percentage points
specified for Pricing Level II as set forth in this definition; provided,
further, however, that if the Borrowers fail to provide any reports or
certifications required to determine the Average Daily Excess Availability when due, the LIBOR
Rate Margin shall be set at the percentage points specified for Pricing Level III until such
reports or certifications are delivered, on which date (but not retroactively), without
constituting a waiver of any Default or Event of Default occasioned by the failure to timely
deliver such reports or certifications, the LIBOR Rate Margin shall be set at the percentage
based upon the calculation determined pursuant to such reports or certifications. For purposes
of the preceding sentence (and subject to the forgoing provisos), at the end of each calendar
quarter Agent will test the Borrowers’ Average Daily Excess Availability, which amount will be
based upon reports and certifications delivered to Agent in accordance with the terms of this
Agreement. If any such reports or certifications are subsequently determined to be incorrect in
any material respect in a manner that

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CONFIDENTIAL
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would result in a lower Average Daily Excess Availability, Agent may increase the LIBOR Rate
Margin retroactively to the beginning of the relevant quarter to the extent that such error caused
the applicable LIBOR Rate Margin to be less than the LIBOR Rate Margin that would have been in
effect if the error was not made.

          “Lien” means any mortgage, deed of trust, pledge, hypothecation, assignment, charge,
deposit arrangement, encumbrance, easement, lien (statutory or other), security interest, or other
security arrangement and any other preference, priority, or preferential arrangement of any kind
or nature whatsoever, including any conditional sale contract or other title retention agreement,
the interest of a lessor under a Capital Lease and any synthetic or other financing lease having
substantially the same economic effect as any of the foregoing.

          “Loan Account” has the meaning specified therefor in Section 2.9 of
the Agreement.

          “Loan Documents” means the Agreement, the Bank Product Agreements, any Borrowing Base
Certificate, the Controlled Account Agreements, the Control Agreements, the Copyright Security
Agreement, the Fee Letter, the Guaranty, the Intercompany Subordination Agreement, the Letters of
Credit, the Mortgages, the Patent Security Agreement, the Security Agreement, the Trademark
Security Agreement, any note or notes executed by Borrowers in connection with the Agreement and
payable to any member of the Lender Group, any letter of credit application entered into by any
Borrower in connection with the Agreement, and any other agreement entered into, now or in the
future, by Parent or any of its Subsidiaries and any member of the Lender Group in connection with
the Agreement.

          “Loan Party” means any Borrower or any Guarantor.

          “Margin Stock” as defined in Regulation U of the Board of Governors of the Federal
Reserve System as in effect from time to time.

          “Material Adverse Change” means (a) a material adverse change in the business,
operations, results of operations, assets, liabilities or condition (financial or otherwise) of
Parent and its Subsidiaries, taken as a whole, (b) a material impairment of Parent’s and its
Subsidiaries ability to perform their obligations under the Loan Documents to which they are
parties or of the Lender Group’s ability to enforce the Obligations or realize upon the
Collateral, or (c) a material impairment of the enforceability or priority of Agent’s Liens with
respect to the Collateral as a result of an action or failure to act on the part of Parent or any
of its Non-CFC Subsidiaries.

          “Material Contract” means, with respect to any Person, (i) each contract or agreement
to which such Person or any of its Subsidiaries is a party involving aggregate consideration
payable to or by such Person or such Subsidiary of $500,000 or more (other than purchase orders in
the ordinary course of the business of such Person or such Subsidiary and other than contracts
that by their terms may be terminated by such Person or Subsidiary in the ordinary course of its
business upon less than 60 days notice without penalty or premium) and (ii) all other contracts or
agreements, the loss of which could reasonably be expected to result in a Material Adverse Change.

          “Maturity Date” has the meaning specified therefor in Section 3.3
of the Agreement.

          “Maximum Revolver Amount” means $70,000,000, decreased by the amount of reductions in
the Revolver Commitments made in accordance with Section 2.4(c) of the Agreement.

          “Moody’s” has the meaning specified therefor in the definition of Cash
Equivalents.

          “Mortgage Policy” has the meaning specified therefor in Schedule
3.1(v).

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CONFIDENTIAL
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          “Mortgages” means, individually and collectively, one or more mortgages, deeds of
trust, or deeds to secure debt, executed and delivered by Parent or its Subsidiaries in favor of
Agent, in form and substance reasonably satisfactory to Agent, that encumber the Real Property
Collateral.

          “Net Cash Proceeds” means, with respect to the issuance or incurrence of any
Indebtedness by Parent or any of its Subsidiaries, the aggregate amount of cash received (directly
or indirectly) from time to time (whether as initial consideration or through the payment or
disposition of deferred consideration) by or on behalf of Parent or such Subsidiary in connection
with such issuance or incurrence, after deducting therefrom only (i) reasonable fees, commissions,
and expenses related thereto and required to be paid by Parent or such Subsidiary in connection
with such issuance or incurrence, (ii) taxes paid or payable to any taxing authorities by Parent or
such Subsidiary in connection with such issuance or incurrence, in each case to the extent, but
only to the extent, that the amounts so deducted are, at the time of receipt of such cash, actually
paid or payable to a Person that is not an Affiliate of Parent or any of its Subsidiaries, and are
properly attributable to such transaction.

          “Net Liquidation Percentage” means the percentage of the book value of Borrowers’
Inventory that is estimated to be recoverable in an orderly liquidation of such Inventory net of
all associated costs and expenses of such liquidation, such percentage to be as determined from
time to time by an appraisal company selected by Agent.

          “Net Orderly Liquidation Value” means, with respect to Equipment of any Person, the
orderly liquidation value thereof as determined in a manner acceptable to Agent by an appraiser
acceptable to Agent, net of all costs of liquidation thereof.

          “Non-CFC Subsidiary” means any Subsidiary of Parent that is not a
CFC.

          “Non-Loan Party” means any Subsidiary of Parent that
is not a Loan Party.

          “Obligations” means (a) all loans, Advances, debts, principal, interest (including
any interest that accrues after the commencement of an Insolvency Proceeding, regardless of
whether allowed or allowable in whole or in part as a claim in any such Insolvency Proceeding),
contingent reimbursement or indemnification obligations with respect to Reimbursement Undertaking
or with respect to Letters of Credit, premiums, liabilities (including all amounts charged to the
Loan Account pursuant to the Agreement), obligations (including indemnification obligations), fees
(including the fees provided for in the Fee Letter), Lender Group Expenses (including any fees or
expenses that accrue after the commencement of an Insolvency Proceeding, regardless of whether
allowed or allowable in whole or in part as a claim in any such Insolvency Proceeding),
guaranties, covenants, and duties of any kind and description owing by Borrowers to the Lender
Group pursuant to or evidenced by the Loan Documents and irrespective of whether for the payment
of money, whether direct or indirect, absolute or contingent, due or to become due, now existing
or hereafter arising, and including all interest not paid when due and all other expenses or other
amounts that Borrowers are required to pay or reimburse by the Loan Documents or by law or
otherwise in connection with the Loan Documents, and (b) all Bank Product Obligations. Any
reference in the Agreement or in the Loan Documents to the Obligations shall include all or any
portion thereof and any extensions, modifications, renewals, or alterations thereof, both prior
and subsequent to any Insolvency Proceeding.

          “OFAC” means The Office of Foreign Assets Control of the U.S. Department of the
Treasury.

          “Originating Lender” has the meaning specified therefor in Section 13.1 (e) of the
Agreement.

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CONFIDENTIAL
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          “Overadvance” has the meaning specified therefor in Section 2.5 of
the Agreement.

          “Parent” has the meaning specified therefor in the preamble
to the Agreement.

          “Participant” has the meaning specified therefor in Section 13.1(e) of the Agreement.

          “Participant Register” has the
meaning set forth in Section 13.1(i) of the Agreement.

          “Patent Security Agreement” has the meaning specified therefor in the Security
Agreement.

          “Patriot Act” has the meaning specified therefor in Section 4.18 of
the Agreement.

          “Payoff Date” means the first date on which all of the Obligations are paid in full
and the Revolver Commitments of the Lenders are terminated.

          “Permitted Convertible Note Debt” means the Indebtedness evidenced by convertible
notes and an indenture, the terms and conditions of which are substantially similar to the terms
and conditions described on Exhibit P-l, as determined by Agent in its Permitted
Discretion, which determination shall be evidenced by a certificate executed and delivered by
Agent to Borrowers.

          “Permitted Discretion” means a determination made in the exercise of reasonable (from
the perspective of a secured lender) business judgment.

          “Permitted Dispositions” means:

          (a) sales, abandonment, or other dispositions of: (i) Equipment (other than Eligible Equipment) that is substantially worn, damaged, obsolete or no longer used in the ordinary
course of business; and (ii) Eligible Equipment that is substantially worn, damaged, obsolete or no
longer used in the ordinary course of business so long as: (A) both before and after giving effect to any
such sale or other disposition, no Default or Event of Default has occurred and is continuing, (B) both
before and after giving effect to any such sale or other disposition, Excess Availability is greater
than $10,000,000, (C) Administrative Borrower provides Agent with prior written notice of such sale
or other disposition, (D) the aggregate appraised value of all Eligible Equipment sold or
otherwise disposed of in any fiscal year of Parent does not exceed $1,000,000,

          (b) sales of Inventory to buyers in the ordinary course of business,

          (c) the
use or transfer of money or Cash Equivalents in a manner that is not prohibited by the terms of the Agreement or the other Loan Documents,

          (d) the
licensing, on a non-exclusive basis, of patents, trademarks, copyrights, and other intellectual property rights in the ordinary course of business,

          (e) the granting of Permitted Liens,

          (f) the
sale or discount, in each case without recourse, of Accounts arising in the ordinary course of business, but only in connection with the compromise or collection thereof,

          (g) any involuntary loss, damage or destruction of property,

          (h) any involuntary condemnation, seizure or taking, by exercise of the power of eminent
domain or otherwise, or confiscation or requisition of use of property,

          
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          (i) the leasing or subleasing of assets of Parent or its Subsidiaries in the ordinary course
of business,

          (j) the sale or issuance of Stock (other than Prohibited Preferred Stock),

          (k) the lapse of registered patents, trademarks and other intellectual property of Parent and
its Subsidiaries to the extent not economically desirable in the conduct of their business and so
long as such lapse is not materially adverse to the interests of the Lenders,

          (1) the making of a Permitted Investment, and

          (m) so long as no Event of Default has occurred and is continuing, dispositions of assets
(other than Eligible Equipment, Accounts, intellectual property, licenses, Stock of Subsidiaries
of Parent, or Material Contracts) not otherwise permitted in clauses (a) through (1) above
so long as made at fair market value and the aggregate fair market value of all assets disposed of
in all such dispositions in any fiscal year (including the proposed disposition) would not exceed
$2,000,000.

          “Permitted Indebtedness” means:

          (a) Indebtedness evidenced by this Agreement and the other Loan Documents, together with Indebtedness owed to Underlying Issuers with respect to Underlying Letters of
Credit,

          (b) Indebtedness
set forth on Schedule 4.19 and any Refinancing Indebtedness in respect of such Indebtedness,

          (c) Permitted
Purchase Money Indebtedness and any Refinancing Indebtedness in respect of such Indebtedness,

          (d) endorsement of instruments or other payment items for deposit,

          (e) Indebtedness consisting of (i) unsecured guarantees incurred in the ordinary course of business with respect to surety and appeal bonds, performance bonds, bid bonds,
appeal bonds, completion guarantee and similar obligations; and (ii) unsecured guarantees arising
with respect to customary indemnification obligations to purchasers
in connection with Permitted Dispositions,

          (f) Indebtedness incurred in the ordinary course of business under performance,
surety, statutory, and appeal bonds,

          (g) Indebtedness owed to any Person providing property, casualty, liability, or other insurance to Parent or any of its Subsidiaries, so long as the amount of such Indebtedness is
not in excess of the amount of the unpaid cost of, and shall be incurred only to defer the cost of,
such insurance for the year in which such Indebtedness is incurred and such Indebtedness is
outstanding only during such year,

          (h) the incurrence by Parent or its Subsidiaries of Indebtedness under Hedge Agreements that
are incurred for the bona fide purpose of hedging the interest rate or foreign currency risk
associated with Parent’s and its Subsidiaries’ operations and not for speculative purposes,

          (i) unsecured Indebtedness incurred in respect of netting services, overdraft protection, and
other like services, in each case, incurred in the ordinary course of business,

          (j) Indebtedness composing Permitted Investments,

          
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CONFIDENTIAL
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          (k) the Subordinated Debt and any Refinancing Indebtedness in respect thereof;

          (1) the Permitted Convertible Note Debt so long as Parent receives Net Cash Proceeds
therefrom in an amount not less than $60,000,000 at the time such Indebtedness is incurred;
provided, however, that no principal payments shall be made by Parent or any of
its Subsidiaries on account of such Indebtedness prior to the Payoff Date; provided,
further, however, that such principal payment prohibition shall not apply to any
cash payments made in lieu of issuance of fractional shares upon conversion of any of the notes
that constitute Permitted Convertible Note Debt so long as the aggregate amount of all such cash
payments does not exceed $250,000; and

          (m) Indebtedness incurred by Non-Loan Parties in an aggregate amount not to exceed
$10,000,000; provided, however, that no Loan Party shall guaranty or otherwise be
liable on account of such Indebtedness.

          “Permitted Intercompany Advances” means loans made by (a) a Loan Party to another
Loan Party, (b) a Non-Loan Party to another Non-Loan Party, (c) a Non-Loan Party to a Loan Party,
so long as the parties thereto are party to the Intercompany Subordination Agreement.

          “Permitted Investments” means:

          (a) Investments in cash and Cash Equivalents,

          (b) Investments
in negotiable instruments deposited or to be deposited for collection in the ordinary course of business,

          (c) advances
made in connection with purchases of goods or services in the ordinary course of business,

          (d) Investments received in settlement of amounts due to any Loan Party or
any of its Subsidiaries effected in the ordinary course of business or owing to
any Loan Party or any of its Subsidiaries as a result of Insolvency Proceedings involving an Account Debtor or upon the foreclosure or enforcement of
any Lien in favor of a Loan Party or its Subsidiaries,

          (e) Investments
owned by any Loan Party or any of its Subsidiaries on the Closing Date and set forth on Schedule P-l,

          (f) guarantees permitted under the definition of Permitted Indebtedness,

          (g) Permitted Intercompany Advances,

          (h) Stock or other securities acquired in connection with the satisfaction or enforcement of
Indebtedness or claims due or owing to a Loan Party or its Subsidiaries (in bankruptcy of
customers or suppliers or otherwise outside the ordinary course of business) or as security for
any such Indebtedness or claims,

          (i) deposits of cash made in the ordinary course of business to secure performance of
operating leases,

          (j) non-cash loans to employees, officers, and directors of Parent or any of its Subsidiaries
for the purpose of purchasing Stock in Parent so long as the proceeds of such loans are used in
their entirety to purchase such stock in Parent,

          
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          (k) Investments in the form of Hedge Agreements that are permitted under the Agreement,

          (1) so long as no Default or Event of Default has occurred and is continuing at the time of
any such Investment or would result therefrom, Investments in joint ventures to the extent that
the aggregate amount invested outstanding at any time does not exceed $2,000,000,

          (m) so long as no Event of Default has occurred and is continuing or would result therefrom,
any other Investments in an aggregate amount not to exceed $2,000,000 in the aggregate amount
outstanding at any time.

          “Permitted Liens” means

          (a) Liens held by Agent to secure the Obligations,

          (b) Liens for unpaid taxes, assessments, or other governmental charges or levies
that either (i) are not yet delinquent, or (ii) do not have priority over Agent’s Liens and the
underlying taxes, assessments, or charges or levies are the subject of Permitted Protests,

          (c) judgment
Liens arising solely as a result of the existence of judgments, orders, or awards that do not constitute an Event of Default under Section 8.3 of the Agreement,

          (d) Liens set forth on Schedule P-2; provided, however, that to
qualify as a Permitted Lien, any such Lien described on Schedule P-2 shall only secure the Indebtedness that
it secures on the Closing Date and any Refinancing Indebtedness in respect thereof,

          (e) the
interests of lessors under operating leases and non-exclusive licensors under license agreements,

          (f) purchase money Liens or the interests of lessors under Capital Leases to the extent that such Liens or interests secure Permitted Purchase Money Indebtedness and so long as (i) such
Lien attaches only to the asset purchased or acquired and the
proceeds thereof, and (ii) such Lien only secures the Indebtedness that was incurred to acquire the asset purchased or acquired or any Refinancing Indebtedness in respect thereof,

          (g) Liens arising by operation of law in favor of warehousemen, landlords, carriers, mechanics, materialmen, laborers, or suppliers, incurred in the ordinary course of business
and not in connection with the borrowing of money, and which Liens either (i) are for sums not yet
delinquent, or (ii) are the subject of Permitted Protests,

          (h) Liens on amounts deposited to secure Parent’s and its Subsidiaries obligations in
connection with worker’s compensation or other unemployment insurance,

          (i) Liens on amounts deposited to secure Parent’s and its Subsidiaries obligations in
connection with the making or entering into of bids, tenders, or leases in the ordinary course of
business and not in connection with the borrowing of money,

          (j) Liens on amounts deposited to secure Parent’s and its Subsidiaries reimbursement
obligations with respect to surety or appeal bonds obtained in the ordinary course of business,

          (k) with respect to any Real Property, easements, rights of way, and zoning restrictions that
do not materially interfere with or impair the use or operation thereof,

          
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CONFIDENTIAL
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          (1) non-exclusive licenses of patents, trademarks, copyrights, and other intellectual
property rights in the ordinary course of business,

          (m) Liens that are replacements of Permitted Liens to the extent that the original
Indebtedness is the subject of permitted Refinancing Indebtedness and so long as the replacement
Liens only encumber those assets that secured the original Indebtedness,

          (n) rights of setoff or bankers’ liens upon deposits of cash in favor of banks or other
depository institutions, solely to the extent incurred in connection with the maintenance of such
deposit accounts in the ordinary course of business,

          (o) Liens granted in the ordinary course of business on the unearned portion of insurance
premiums securing the financing of insurance premiums to the extent the financing is permitted
under the definition of Permitted Indebtedness,

          (p) Liens in favor of customs and revenue authorities arising as a matter of law to secure
payment of customs duties in connection with the importation of goods, and

          (q) any interest or title of a licensor or lessor under any lease or license permitted by the
Agreement.

          “Permitted Notes Redemption” means the optional redemption or repurchase of the
Subordinated Notes by Parent so long as: (a) such redemption or repurchase is permitted by
applicable law and the Indentures (as applicable), (b) the purchase price is not in excess of the
par value of the Subordinated Notes being redeemed or repurchased, (c) no Default or Event of
Default shall have occurred and be continuing or would result therefrom, and (d) the sum of Excess
Liquidity plus Qualified Cash both before and immediately after giving effect to such redemption
or repurchase is greater than $10,000,000.

          “Permitted Protest” means the right of Parent or any of its Subsidiaries to protest
any Lien (other than any Lien that secures the Obligations), taxes (other than payroll taxes or
taxes that are the subject of a United States federal tax lien), or rental payment, provided that
(a) a reserve with respect to such obligation is established on Parent’s or its Subsidiaries’ books
and records in such amount as is required under GAAP, (b) any such protest is instituted promptly
and prosecuted diligently by Parent or its Subsidiary, as applicable, in good faith, and (c) Agent
is satisfied that, while any such protest is pending, there will be no impairment of the
enforceability, validity, or priority of any of Agent’s Liens.

          “Permitted Purchase Money Indebtedness” means, as of any date of determination,
Purchase Money Indebtedness incurred after the Closing Date in an aggregate principal amount
outstanding at any one time not in excess of $10,000,000.

          “Person” means natural persons, corporations, limited liability companies, limited
partnerships, general partnerships, limited liability partnerships, joint ventures, trusts, land
trusts, business trusts, or other organizations, irrespective of whether they are legal entities,
and governments and agencies and political subdivisions thereof.

          “Preferred Stock” means, as applied to the Stock of any Person, the Stock of any
class or classes (however designated) that is preferred with respect to the payment of dividends,
or as to the distribution of assets upon any voluntary or involuntary liquidation or dissolution
of such Person, over shares of Stock of any other class of such Person.

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CONFIDENTIAL
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          “Prohibited Preferred Stock” means any Preferred Stock that by its terms is
mandatorily redeemable or subject to any other payment obligation (including any obligation to pay
dividends, other than dividends of shares of Stock (so long as such Stock would not otherwise
constitute Prohibited Preferred Stock)) on or before a date that is less than 1 year after the
Maturity Date, or, on or before the date that is less than 1 year after the Maturity Date, is
redeemable at the option of the holder thereof for cash or assets or securities (other than
distributions in kind of shares of Stock (so long as such Stock would not otherwise constitute
Prohibited Preferred Stock)).

          “Projections” means Parent’s forecasted (a) balance sheets, (b) profit and loss
statements, and (c) cash flow statements, all prepared on a basis consistent with Parent’s
historical financial statements, together with appropriate supporting details and a statement of
underlying assumptions.

          “Pro Rata Share” means, as of any date of determination:

          (a) with respect to a Lender’s obligation to make Advances and right to receive payments of principal, interest, fees, costs, and expenses with respect thereto, (i) prior to
the Revolver Commitments being terminated or reduced to zero, the percentage obtained by dividing (y) such Lender’s Revolver Commitment, by (z) the aggregate Revolver Commitments of all Lenders, and
(ii) from and after the time that the Revolver Commitments have been terminated or reduced to zero,
the percentage obtained by dividing (y) the outstanding principal amount of such Lender’s Advances
by (z) the outstanding principal amount of all Advances,

          (b) with respect to a Lender’s obligation to participate in Letters of Credit and Reimbursement Undertakings, to reimburse the Issuing Lender, and right to receive payments of
fees with respect thereto, (i) prior to the Revolver Commitments being terminated or reduced to
zero, the percentage obtained by dividing (y) such Lender’s Revolver Commitment, by (z) the aggregate Revolver Commitments of all Lenders, and (ii) from and after the time that the Revolver
Commitments have been terminated or reduced to zero, the percentage obtained by dividing (y) the outstanding principal amount of such Lender’s Advances by (z) the outstanding principal amount
of all Advances; provided, however, that if all of the Advances have been repaid in full and Letters of Credit remain outstanding, Pro Rata Share under this clause shall be determined based upon
subclause (i) of this clause as if the Revolver Commitments had not been terminated or reduced to zero and based upon the Revolver Commitments as they existed immediately prior to their termination or
reduction to zero, and

          (c) with respect to all other matters as to a particular Lender (including the indemnification obligations arising under Section 15.7 of the Agreement), (i) prior to
the Revolver Commitments being terminated or reduced to zero, the percentage obtained by dividing (y) such Lender’s Revolver Commitment by (z) the aggregate amount of Revolver Commitments of all
Lenders, and (ii) from and after the time that the Revolver Commitments have been terminated or reduced to zero, the percentage obtained by dividing (y) the outstanding principal amount of
such Lender’s Advances, by (z) the outstanding principal amount of all Advances; provided, however, that if all of the Advances have been repaid in full and Letters of Credit remain outstanding, Pro
Rata Share under this clause shall be determined based upon subclause (i) of this clause as if the Revolver Commitments had not been terminated or reduced to zero and based upon the Revolver Commitments as they existed immediately prior to their termination or reduction to zero.

          “Protective Advances” has the meaning specified therefor in Section 2.3(d)(i)
of the Agreement.

          “Purchase Money Indebtedness” means Indebtedness (other than the Obligations, but
including Capitalized Lease Obligations), incurred at the time of, or within 20 days after, the

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CONFIDENTIAL
TREATMENT REQUESTED

acquisition of any fixed assets for the purpose of financing all or any part of the acquisition
cost thereof.

          “Qualified Cash” means, as of any date of determination, the amount of unrestricted
cash and Cash Equivalents of Parent and its Subsidiaries that is in Deposit Accounts or in
Securities Accounts, or any combination thereof, and which such Deposit Account or Securities
Account is the subject of a Control Agreement and is maintained by a branch office of the bank or
securities intermediary located within the United States.

          “Real Property” means any estates or interests in real property now owned or
hereafter acquired by Parent or its Subsidiaries and the improvements thereto.

          “Real Property Collateral” means the Real Property identified on Schedule R-l
and any Real Property hereafter acquired by any Loan Party.

          “Record” means information that is inscribed on a tangible medium or that is stored
in an electronic or other medium and is retrievable in perceivable form.

          “Refinancing Indebtedness” means refinancings, renewals, or extensions of Indebtedness
so long as:

          (a) such refinancings, renewals, or extensions do not result in an increase in the principal amount of the Indebtedness so refinanced, renewed, or extended, other than by the
amount of premiums paid thereon and the fees and expenses incurred in connection therewith and by the
amount of unfunded commitments with respect thereto,

          (b) such refinancings, renewals, or extensions do not result in a shortening of the average weighted maturity (measured as of the refinancing, renewal, or extension) of the
Indebtedness so refinanced, renewed, or extended, nor are they on terms or conditions that, taken as a
whole, are or could reasonably be expected to be materially adverse to the interests of the Lenders,

          (c) if the Indebtedness that is refinanced, renewed, or extended was subordinated in right of payment to the Obligations, then the terms and conditions of the refinancing,
renewal, or extension must include subordination terms and conditions that are at least as favorable to
the Lender Group as those that were applicable to the refinanced, renewed, or extended Indebtedness, and

          (d) the Indebtedness that is refinanced, renewed, or extended is not recourse to any Person that is liable on account of the Obligations other than those Persons which were
obligated with respect to the Indebtedness that was refinanced, renewed, or extended.

          “Reimbursement Undertaking” has the meaning specified therefor in Section 2.11(a)
of the Agreement.

          “Related Fund” means, with respect to any Lender that is an investment fund, any
other investment fund that invests in commercial loans and that is managed or advised by the same
investment advisor as such Lender or by an Affiliate of such investment advisor.

          “Remedial Action” means all actions taken to (a) clean up, remove, remediate, contain,
treat, monitor, assess, evaluate, or in any way address Hazardous Materials in the indoor or
outdoor environment, (b) prevent or minimize a release or threatened release of Hazardous
Materials so they do not migrate or endanger or threaten to endanger public health or welfare or
the indoor or outdoor environment, (c) restore or reclaim natural resources or the environment,
(d) perform any pre-

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CONFIDENTIAL
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remedial studies, investigations, or post-remedial operation and maintenance activities, or (e)
conduct any other actions with respect to Hazardous Materials required by Environmental Laws.

          “Replacement Lender” has the meaning specified therefor in Section 2.13(b) of
the Agreement.

          “Report” has the meaning specified therefor in Section 15.16 of the
Agreement.

          “Required Availability” means that the sum of (a) Excess Availability, plus (b)
Qualified Cash exceeds $30,000,000.

          “Required Lenders” means, at any time, Lenders whose aggregate Pro Rata Shares
(calculated under clause (c) of the definition of Pro Rata Shares) exceed 50%; provided,
however, that at any time there are 2 or more Lenders, “Required Lenders” must include at
least 2 Lenders.

          “Reserve Percentage” means, on any day, for any Lender, the maximum percentage
prescribed by the Board of Governors of the Federal Reserve System (or any successor Governmental
Authority) for determining the reserve requirements (including any basic, supplemental, marginal,
or emergency reserves) that are in effect on such date with respect to eurocurrency funding
(currently referred to as “eurocurrency liabilities”) of that Lender, but so long as such Lender
is not required or directed under applicable regulations to maintain such reserves, the Reserve
Percentage shall be zero.

          “Revolver Commitment” means, with respect to each Lender, its Revolver Commitment,
and, with respect to all Lenders, their Revolver Commitments, in each case as such Dollar amounts
are set forth beside such Lender’s name under the applicable heading on Schedule C-l or in
the Assignment and Acceptance pursuant to which such Lender became a Lender hereunder, as such
amounts may be reduced or increased from time to time pursuant to assignments made in accordance
with the provisions of Section 13.1 of the Agreement.

          “Revolver Usage” means, as of any date of determination, the sum of (a) the amount of
outstanding Advances (including Swing Loans), plus (b) the amount of the Letter of Credit Usage.

          “Sanctioned Entity” means (a) a country or a government of a country, (b) an agency
of the government of a country, (c) an organization directly or indirectly controlled by a country
or its government, (d) a Person resident in or determined to be resident in a country, in each
case, that is subject to a country sanctions program administered and enforced by OFAC.

          “Sanctioned Person” means a person named on the list of Specially Designated
Nationals maintained by OFAC.

          “S&P” has the meaning specified therefor in the definition of Cash Equivalents.

          “SEC” means the United States Securities and Exchange Commission and any successor
thereto.

          “Securities Account” means a securities account (as that term is defined in the Code).

          “Securities Act” means the Securities Act of 1933, as amended from time to time, and
any successor statute.

          “Security Agreement” means a security agreement, dated as of even date with the
Agreement, in form and substance reasonably satisfactory to Agent, executed and delivered by
Borrowers and Guarantors to Agent.

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CONFIDENTIAL
TREATMENT REQUESTED

          “Settlement” has the meaning specified therefor in Section 2.3(e)(i) of the
Agreement.

          “Settlement Date” has the meaning specified therefor in Section 2.3(e)(i) of
the Agreement.

          “Solvent” means, with respect to any Person on a particular date, that, at fair
valuations, the sum of such Person’s assets is greater than all of such Person’s debts.

          “Stock” means all shares, options, warrants, interests, participations, or other
equivalents (regardless of how designated) of or in a Person, whether voting or nonvoting,
including common stock, preferred stock, or any other “equity security” (as such term is defined
in Rule 3a l1-1 of the General Rules and Regulations promulgated by the SEC under the Exchange
Act).

          “Subordinated Debt” means the Indebtedness of the Parent issued pursuant to the
Subordinated Notes and the Indentures.

          “Subordinated Notes” means, collectively, the 21/2% Convertible Subordinated Notes
due 2010, and the 21/2% Convertible Senior Subordinated Notes due 2010, issued pursuant to the
Indentures.

          “Subsidiary” of a Person means a corporation, partnership, limited liability company,
or other entity in which that Person directly or indirectly owns or controls the shares of Stock
having ordinary voting power to elect a majority of the board of directors (or appoint other
comparable managers) of such corporation, partnership, limited liability company, or other entity.

          “Suppressed Availability” means, as of any date of determination, the result (so long
as it is a positive number) of (a) the Borrowing Base as of such date, minus (b) the Maximum
Revolver Amount as of such date; if the result of the foregoing is a negative number, then
Suppressed Availability is zero.

          “Swing Lender” means WFF or any other Lender that, at the request of Administrative
Borrower and with the consent of Agent agrees, in such Lender’s sole discretion, to become the
Swing Lender under Section 2.3(b) of the Agreement.

          “Swing Loan” has the meaning specified therefor in Section 2.3(b) of the Agreement.

          “Taxes” means any taxes, levies, imposts, duties, fees, assessments or other charges
of whatever nature now or hereafter imposed by any jurisdiction or by any political subdivision or
taxing authority thereof or therein with respect to such payments and all interest, penalties or
similar liabilities with respect thereto; provided, however, that Taxes shall
exclude (i) any tax imposed on the net income or net profits of any Lender or any Participant
(including any branch profits taxes) or any net worth or capital taxes imposed as a minimum tax in
lieu of a tax determined based upon the net income or net profits of any Lender or any
Participant, in each case imposed by the jurisdiction (or by any political subdivision or taxing
authority thereof) in which such Lender or such Participant is organized or the jurisdiction (or
by any political subdivision or taxing authority thereof) in which such Lender’s or such
Participant’s principal office is located in each case as a result of a present or former
connection between such Lender or such Participant and the jurisdiction or taxing authority
imposing the tax (other than any such connection arising solely from such Lender or such
Participant having executed, delivered or performed its obligations or received payment under, or
enforced its rights or remedies under the Agreement or any other Loan Document); (ii) taxes
resulting from a Lender’s or a Participant’s failure to comply with the requirements of
Section 16(c) or (d) of the Agreement, and (iii) any United States federal withholding
taxes that would be imposed on amounts payable to a

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CONFIDENTIAL
TREATMENT REQUESTED

Foreign Lender based upon the applicable withholding rate in effect at the time such Foreign
Lender becomes a party to the Agreement (or designates a new lending office), except
that Taxes shall include (A) any amount that such Foreign Lender (or its assignor, if any) was
previously entitled to receive pursuant to Section 16(a) of this Agreement, if any, with
respect to such withholding tax at the time such Foreign Lender becomes a party to this
Agreement (or designates a new lending office), and (B) additional United States federal
withholding taxes that may be imposed after the time such Foreign Lender becomes a party to the
Agreement (or designates a new lending office), as a result of a change in law, rule,
regulation, order or other decision with respect to any of the foregoing by any Governmental
Authority.

          “Tax Lender” has the meaning specified therefor in Section 14.2(a) of the
Agreement.

          “Trademark Security Agreement” has the meaning specified therefor in the Security
Agreement.

          “Underlying Issuer” means Wells Fargo or one of its Affiliates.

          “Underlying Letter of Credit” means a Letter of Credit that has been issued by an
Underlying Issuer.

          “United States” means the United States of America.

          “Unused Line Margin” means, as of any date of determination, the percentage points
set forth below based upon the Average Daily Excess Availability for the immediately preceding
calendar quarter, as determined by Agent in its Permitted Discretion:

	 	 	 	 	 
	Level	 	Average Daily Excess Availability	 	Unused Line Margin
	I

	 	If Average Daily Excess Availability is
greater than $25,000,000
	 	0.50 percentage points
	 
	 	 	 	 
	II

	 	If Average Daily Excess Availability is
greater than or equal to $10,000,000
but less than or equal to $25,000,000
	 	0.625 percentage points
	 
	 	 	 	 
	III

	 	If Average Daily Excess Availability is
less than $10,000,000
	 	0.75 percentage points

                    ; provided, however, that for the period commencing on the Closing Date
through the end of October 31, 2009, the Unused Line Margin shall be the percentage points
specified for Pricing Level II as set forth in this definition; provided,
further, however, that if the Borrowers fail to provide any reports or
certifications required to determine the Average Daily Excess Availability when due, the Unused
Line Margin shall be set at the percentage points specified for Pricing Level III until such
reports or certifications are delivered, on which date (but not retroactively), without
constituting a waiver of any Default or Event of Default occasioned by the failure to timely
deliver such reports or certifications, the Unused Line Margin shall be set at the percentage
based upon the calculation determined pursuant to such reports or certifications. For purposes
of the preceding sentence (and subject to the forgoing provisos), at the end of each calendar
quarter Agent will test the Borrowers’ Average Daily Excess Availability, which amount will be
based upon reports and certifications delivered to Agent in accordance with the terms of this
Agreement. If any such reports or certifications are subsequently determined to be incorrect in
any material respect in a manner that

30

 

CONFIDENTIAL
TREATMENT REQUESTED

would result in a lower Average Daily Excess Availability, Agent may increase the Unused Line
Margin retroactively to the beginning of the relevant quarter to the extent that such error caused
the applicable Unused Line Margin to be less than the Unused Line Margin that would have been in
effect if the error was not made.

          “Voidable Transfer” has the meaning specified therefor in Section 17.8 of the
Agreement.

          “Wells Fargo” means Wells Fargo Bank, National Association, a national banking
association.

          “WFF” means Wells Fargo Foothill, LLC, a Delaware limited liability
company.

          
31

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule 3.1

     The obligation of each Lender to make its initial extension of credit provided for in the
Agreement is subject to the fulfillment, to the satisfaction of each Lender (the making of such
initial extension of credit by any Lender being conclusively deemed to be its satisfaction or
waiver of the following), of each of the following conditions precedent:

          (a) Agent shall have received, in form and substance satisfactory to Agent, and reviewed
to its satisfaction, UCC, tax lien, litigation, bankruptcy and intellectual property searches
from all offices that Agent deems appropriate in its sole discretion;

          (b) Agent shall have received a letter duly executed by each Borrower and each Guarantor authorizing Agent to file appropriate financing statements in such office or offices
as may be necessary or, in the opinion of Agent, desirable to perfect the security interests to be
created by the Loan Documents;

          (c) Agent shall have received evidence that appropriate financing statements have been duly filed in such office or offices as may be necessary or, in the opinion of Agent,
desirable to perfect the Agent’s Liens in and to the Collateral, and Agent shall have received searches reflecting the
filing of all such financing statements;

          (d) Agent shall have received each of the following documents, in form and substance satisfactory to Agent, duly executed, and each such document shall be in full force and
effect:

               (i) the Controlled Account Agreements,

               (ii) the Control Agreements,

               (iii) the Security Agreement,

               (iv) a disbursement letter executed and delivered by Administrative Borrower
to Agent regarding the extensions of credit to be made on the Closing Date, the form and substance of
which is satisfactory to Agent,

               (v) the Fee Letter,

               (vi) the Guaranty,

               (vii) the Intercompany Subordination Agreement,

               (viii) the Copyright Security Agreement,

               (ix) the Patent Security Agreement,

               (x) the Trademark Security Agreement, and

               (xi) a letter, in form and substance satisfactory to Agent, from Silicon
Valley
Bank (“Existing Lender”) to Agent respecting the amount necessary to repay in full all of
the obligations of Parent and its Subsidiaries owing to Existing Lender and obtain a release of all
of the Liens existing in favor of Existing Lender in and to the assets of Parent and its
Subsidiaries, together with termination statements and other documentation evidencing the
termination by Existing Lender of its Liens in and to the properties and assets of Parent and its
Subsidiaries;

 

CONFIDENTIAL TREATMENT REQUESTED

          (e) Agent shall have received a certificate from the Secretary of each Loan Party (i)
attesting to the resolutions of such Loan Party’s Board of Directors authorizing its
execution, delivery, and performance of this Agreement and the other Loan Documents to which such Loan Party is a
party, (ii) authorizing specific officers of such Loan Party to execute the same, and (iii) attesting to
the incumbency and signatures of such specific officers of such Loan Party;

          (f) Agent shall have received copies of each Loan Party’s Governing Documents, as amended, modified, or supplemented to the Closing Date, certified by the Secretary of such
Loan Party;

          (g) Agent shall have received a certificate of status with respect to each Loan Party, dated within 10 days of the Closing Date, such certificate to be issued by the appropriate
officer of the jurisdiction of organization of such Loan Party, which certificate shall indicate that such
Loan Party is in good standing in such jurisdiction;

          (h) Agent shall have received certificates of status with respect to each Loan Party, each
dated within 30 days of the Closing Date, such certificates to be issued by the appropriate
officer of the jurisdictions (other than the jurisdiction of organization of such Loan Party) in
which its failure to be duly qualified or licensed would constitute a Material Adverse Change,
which certificates shall indicate that such Loan Party is in good standing in such jurisdictions;

          (i) Agent shall have received a certificate of insurance, together with the endorsements
thereto, as are required by Section 5.6, the form and substance of which shall be
satisfactory to Agent;

          (j) With respect to each leased location of the Loan Parties located in the United States,
Agent shall have either (i) received a Collateral Access Agreement with respect to such location,
or (ii) imposed a three month rent reserve against Availability for such location (or such lesser
amount as agreed to by Agent in its sole discretion);

          (k) Agent shall have received an opinion of Borrowers’ and Guarantors’ counsel in form and
substance satisfactory to Agent;

          (1) Borrowers shall have the Required Availability after giving effect to the initial
extensions of credit hereunder and the payment of all fees and expenses required to be paid by
Borrowers on the Closing Date under this Agreement or the other Loan Documents;

          (m) Agent shall have completed its business, legal, and collateral due diligence, including
(i) a collateral audit and review of Parent’s and its Subsidiaries’ books and records and
verification of Borrowers’ and Guarantors’ representations and warranties to Lender Group, the
results of which shall be satisfactory to Agent, and (ii) if requested by Agent, an inspection of
each of the locations where Borrowers’ Inventory and Equipment is located, the results of which
shall be satisfactory to Agent;

          (n) Agent shall have received completed reference checks with respect to each Borrower’s and
each Guarantor’s senior management, the results of which are satisfactory to Agent in its sole
discretion;

          (o) Agent shall have received an appraisal of the Liquidation Percentage applicable to
Parent’s and its Subsidiaries’ Inventory and an appraisal of Parent’s and its Subsidiaries’
Equipment, the results of which shall be satisfactory to Agent;

          (p) Agent shall have received a set of Projections of Parent and its Subsidiaries for the 3
year period following the Closing Date (on a year by year basis, and for the 1 year period
following the Closing Date, on a month by month basis), in form and substance (including as to
scope and underlying assumptions) satisfactory to Agent;

-2-

 

CONFIDENTIAL TREATMENT REQUESTED

          (q) Borrowers shall have paid all Lender Group Expenses incurred in connection with the
transactions evidenced by this Agreement;

          (r) Agent shall have received a Borrowing Base Certificate, in form and substance
satisfactory to Agent;

          (s) Agent shall have received a true, correct, and complete copy of each Material Contract;

          (t) Each Loan Party shall have received all licenses, approvals or evidence of other actions
required by any Governmental Authority in connection with the execution and delivery by such Loan
Party of the Loan Documents or with the consummation of the transactions contemplated thereby;

          (u) Agent shall have received evidence, in form and substance satisfactory to Agent,
confirming that the credit insurance limits provided by American International Group, Inc. and
Foreign Credit Insurance Association are sufficient to cover the Eligible Credit Insured Accounts;

          (v) Agent shall have received consolidated financial statements of Parent and its
Subsidiaries for the fiscal month ending August 30, 2009, in form and substance satisfactory to
Agent.

          (w) Agent shall have received evidence that Borrowers have implemented an electronic
reporting system satisfactory to Agent;

          (x) With respect to each of the following financing statements, Agent shall have either (i)
received evidence, in form and substance satisfactory to Agent, that such financing statement has
been amended, such amendment to be in form and substance satisfactory to Agent, or (ii) imposed a
reserve against Availability in an amount equal to the amount of outstanding obligations owing to
the applicable secured party, or such lesser amount as Agent shall determine in its Permitted
Discretion: (A) financing statement filed by Banc of America Leasing & Capital LLC on December 29,
2005, with the Delaware Secretary of State, bearing filing number 60041566, (B) financing
statement filed by Banc of America Leasing and Capital LLC on April 27, 2006, with the Delaware
Secretary of State, bearing filing number 61416601, (C) financing statement filed by CIT
Technology Financing Services, Inc. on September 2, 2008, with the Delaware Secretary of State,
bearing filing number 20082965976, and (D) financing statement filed by CIT Technology Financing
Services, Inc. on October 7, 2008, with the Delaware Secretary of State, bearing filing number
20083389887;

          (y) the Closing Date shall occur on or before October 30, 2009; and

          (z) all other documents and legal matters in connection with the transactions contemplated by
this Agreement shall have been delivered, executed, or recorded and shall be in form and substance
satisfactory to Agent.

-3-

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule 4.1 (a)

Due Organization and Qualification; Subsidiaries

     Finisar Sales Inc.’s qualification to do business in the State of California has been
forfeited for failure to file and pay franchise taxes. Payment of such taxes has been made but it
will take the Franchise Tax Board a couple weeks to bring the entity back into good standing.

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule 4.1(b)

Authorized and Outstanding Stock; Other Securities

	 	 	 	 	 	 	 	 	 
	Borrower	 	Authorized Stock	 	 	 	Outstanding Stock
	Finisar Corporation

	 	Preferred Stock: 5,000,000
	 	 	 	 	0	 
	 

	 	Common Stock: 750,000,000
	 	 	 	64,644,961 (as of 9/2/09)

	Optium Corporation

	 	Common Stock: 1,000
	 	 	 	 	1,000	 

     As of August 2, 2009, 72,615,929 shares of Finisar’s common stock were subject to outstanding
option grants under Finisar’s stock option plans.

     As of August 2, 2009, 7,316,301 shares of Finisar’s common stock were subject to unvested RSUs
outstanding under Finisar’s employee stock plans.

     As of August 2, 2009, there were outstanding warrants to purchase 303,686 shares of Finisar’s
common stock.

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule 4.1(c)

Direct and Indirect Subsidiaries

	 	 	 	 	 
	 	 	Authorized	 	 
	Name of Subsidiary	 	Stock/Units	 	Outstanding Stock/Units; % Ownership
	AZNA LLC
	 	N/A	 	36,406,154; 100%
	Finisar Shanghai, Inc.
	 	14,150,000	 	10,300,000; 100%
	Finisar Malaysia Sdn Bhd
	 	500,000,000	 	133,000,000; 100%
	Finisar Singapore Pte. Ltd.
	 	20,000,000	 	2,850,000; 100%
	Finisar Sales Inc.
	 	1,000	 	1,000; 100%
	Finisar Japan Ltd.
	 	1,000	 	1,000; 100%
	Finisar Hong Kong Ltd.
	 	100	 	100; 100%
	Optium Corporation
	 	1,000	 	1,000; 100%
	Finisar Australia Pty Limited
	 	37,964,793	 	37,964,793; 100%
	The Waveshaper Company
	 	1	 	1; 100%
	Kailight Photonics, Inc.
	 	100	 	100; 100%
	Finisar Israel Ltd.
	 	269,252	 	269,252; 100%
	(1) Finisar Technology India
Pte. Ltd.
	 	10,000	 	10,000; 100%

 

			
	(1)	 	Finisar Corporation owns 9,999 shares and Finisar Singapore owns 1 share.

 

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule 4.6(a)

Subsidiaries; Jurisdiction of Organization

	 	 	 	 	 
	AZNA LLC, a Delaware limited liability company
	 	 	 	 
	Finisar Shanghai, Inc., a corporation organized under the laws of Shanghai, the People’s Republic of China
	 	 	 	 
	Finisar Malaysia Sdn Bhd, a Malaysia corporation
	 	 	 	 
	Finisar Singapore Pte. Ltd., a Singapore corporation
	 	 	 	 
	Finisar Sales Inc., a Delaware corporation
	 	 	 	 
	Finisar Japan Ltd., a Japanese corporation
	 	 	 	 
	Finisar Hong Kong Ltd., a corporation organized under the laws of Hong Kong
	 	 	 	 
	Optium Corporation, a Delaware corporation
	 	 	 	 
	Finisar Australia Pty Limited, an Australia corporation
	 	 	 	 
	The Waveshaper Company, an Australia corporation
	 	 	 	 
	Kailight Photonics, Inc., a Delaware corporation
	 	 	 	 
	Finisar Israel Ltd., an Israel corporation
	 	 	 	 
	Finisar Technology India Pte. Ltd., an India corporation
	 	 	 	 

 

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule 4.6(b)

Location of Chief Executive Office

	 	 	 
	Company Name	 	Chief Executive Office
	AZNA LLC

	 	36 Jonspin Rd.
	 

	 	Wilmington, MA 01887
	Finisar Shanghai, Inc.

	 	No. 66 Huiqing Rd.
	 

	 	East Zhangjiang Hi-Tech Park
	 

	 	Shanghai China 201201
	Finisar Malaysia Sdn Bhd

	 	Plot 1 Kinta Free Industrial Zone,
	 

	 	Off Jalan Tunku Abdul Rahman,
	 

	 	31200 Chemor, Perak, Malaysia
	Finisar Singapore Pte. Ltd.

	 	10, Ang Mo Kio Street 65
	 

	 	#05-01/02 Techpoint
	 

	 	Singapore 569059
	Finisar Sales Inc.

	 	1389 Moffett Park Drive
	 

	 	Sunnyvale, CA 94089-1134
	Finisar Japan Ltd. (KK)

	 	15 Mitsuiki Blvd
	 

	 	2-Chrome 15-13 Miyamachi
	 

	 	Fuchu-shi, Tokyo, Japan
	 

	 	183-0023
	Finisar Hong Kong Ltd.

	 	21/F ICBC Tower, Citibank Plaza
	 

	 	3 Garden Road; Hong Kong
	Optium Corporation

	 	200 Precision Road
	 

	 	Horsham, PA 19044
	Finisar Corporation

	 	1389 Moffett Park Drive
	 

	 	Sunnyvale, CA 94089-1134
	Finisar Australia Pty Limited

	 	244 Young Street
	 

	 	Waterloo, NSW 2017
	 

	 	Australia
	The Waveshaper Company

	 	244 Young Street
	 

	 	Waterloo, NSW 2017
	 

	 	Australia
	Kailight Photonics, Inc.

	 	1389 Moffett Park Drive
	 

	 	Sunnyvale, CA 94089-1134
	Finisar Israel Ltd.

	 	3 Golda Meir St.
	 

	 	Lev Hakongresim, Nitzan Building
	 

	 	Nes-Ziona Science Industrial Park
	 

	 	P.O. Box 4102
	 

	 	Nes Ziona 74140
	 

	 	Israel
	Finisar Technology India Pte. Ltd.

	 	Finisar Technology India Pvt. Ltd
	 

	 	Unit #01-01, Block 1 A, Cyber Pearl,
	 

	 	Hi-Tech City, Madhapur
	 

	 	Hyderabad—500 081
	 

	 	India

 

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule 4.6(c)

Tax and Organizational Numbers

	 	 	 	 	 
	Company Name	 	Tax Identification Number	 	Organizational Identification No.
	AZNA LLC
	 	65-1202146	 	3550810
	Finisar Corporation
	 	94-3038428	 	3090879
	Finisar Sales Inc.
	 	71-0968550	 	3751327
	Optium Corporation
	 	59-3684497	 	3283255
	Kailight Photonics, Inc.
	 	51-0411115	 	3289946
	Finisar Shanghai, Inc.
	 	N/A	 	N/A
	Finisar Malaysia Sdn Bhd
	 	N/A	 	N/A
	Finisar Singapore Pte. Ltd.
	 	N/A	 	N/A
	Finisar Sales Inc.
	 	N/A	 	N/A
	Finisar Japan Ltd. (KK)
	 	N/A	 	N/A
	Finisar Hong Kong Ltd.
	 	N/A	 	N/A
	Finisar Australia Pty
Limited
	 	N/A	 	N/A
	The Waveshaper Company
	 	N/A	 	N/A
	Kailight Photonics, Inc.
	 	N/A	 	N/A
	Finisar Israel Ltd.
	 	N/A	 	N/A
	Finisar Technology India
Pte. Ltd.
	 	N/A	 	N/A

 

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule 4.6(d)

Commercial Tort Claims

     DirecTV Litigation

     On April 4, 2005, Finisar filed an action for patent infringement in the United States
District Court for the Eastern District of Texas against the DirecTV Group, Inc., DirecTV Holdings,
LLC, DirecTV Enterprises, LLC, DirecTV Operations, LLC, DirecTV, Inc., and Hughes Network Systems,
Inc. (collectively, “DirecTV”). The lawsuit involves Finisar’s U.S. Patent No. 5,404,505, or the
‘505 patent, which relates to technology used in information transmission systems to provide access
to a large database of information. On June 23, 2006, following a jury trial, the jury returned a
verdict that Finisar’s patent had been willfully infringed and awarded Finisar damages of
$78,920,250. In a post-trial hearing held on July 6, 2006, the Court determined that, due to
DirecTV’s willful infringement, those damages would be enhanced by an additional $25 million.
Further, the Court awarded Finisar pre-judgment interest on the jury’s verdict and court costs in
the aggregate amount of approximately $13.5 million. The Court denied Finisar’s motion for
injunctive relief, but ordered DirecTV to pay a compulsory ongoing license fee to Finisar at the
rate of $1.60 per set-top box activated by or on behalf of DirecTV for the period beginning June
16, 2006 through the duration of the patent, which expires in April 2012.

     DirecTV appealed to the United States Court of Appeals for the Federal Circuit. In its appeal,
DirecTV raised issues related to claim construction, infringement, invalidity, willful infringement
and enhanced damages. Finisar cross-appealed raising issues related to the denial of Finisar’s
motion for a permanent injunction, the trial court’s refusal to enhance future damages for
willfulness and the trial court’s determination that some of the asserted patent claims are
invalid. The appeals were consolidated.

     On April 18, 2008, the appeals court issued its decision affirming in part, reversing in part,
and remanding the case for further proceedings before the trial court in Texas. Specifically, the
appeals court ruled that the lower court’s interpretation of some of the patent claim terms was too
broad and issued its own, narrower interpretation of those terms. The appeals court also determined
that one of the seven patent claims (Claim 16) found infringed by the jury was invalid, that
DirecTV’s infringement of the ‘505 patent was not willful, and that the trial court did not err in
its determination that various claims of the ‘505 patent were invalid for indefiniteness. As a
result, the judgment, including the compulsory license, was vacated and the case was remanded to
the trial court to reconsider infringement and validity of the six remaining patent claims and
releasing to DirecTV the escrow funds it had deposited.

     On July 11, 2008, the United States District Court for the Northern District of California
issued an order in the Comcast lawsuit described below in which it held that one of the claims of
the ‘505 patent, Claim 25, is invalid. The order in the Comcast lawsuit also, in effect, ruled
invalid a related claim, Claim 24, which is one of the six remaining claims of the ‘505 patent that
were returned to the trial court for retrial in the DirectTV lawsuit.

 

 

CONFIDENTIAL TREATMENT REQUESTED

     On December 1, 2008, both parties filed motions for summary judgment on the issue of validity
in the trial court. On May 19, 2009, the Court granted DirecTV’s motions for summary judgment and
entered final judgment in the case in favor of DirecTV. Finisar is appealing this ruling.

CS Clean Litigation

     On May 25 2007, an explosion occurred at Finisar’s facility located at 41762 Christy Street,
Fremont, California. Finisar believes the cause of the explosion was a dry scrubber canister
manufactured by CS Clean. Finisar contends the post-explosion analysis establishes that CS Clean
failed to properly perform: (1) a risk assessment of the oxidation process and (2) failed to design
against the obvious hazards in the process (e.g. hydrogen gas leaking into the piping resulting in
an explosion). The canister explosion blew the top of the canister off and ejected about a third of
the chemisorb media across an area approximately 10 ft by 30 ft. This material was contaminated
with arsenic and phosphorus. Finisar incurred $274,042 for the repair and replacement of the
scrubber unit and associated facilities, as well as the clean up and testing of the contaminated
areas. Finisar also sustained a loss of buffer inventory of wafers while production was shut down
due to the explosion resulting in further damages in the amount of $173,889.42.

     Finisar’s insurance carrier, Zurich American Insurance Company, investigated the loss and
after adjusting the damages made payments in the amount of $165,809.95 to Finisar. Finisar’s
insurance policies contained deductibles which totaled $190,000 for the property damage and
business interruption losses. Finisar and Zurich American have entered into a joint prosecution
agreement and a Complaint has been filed in Alameda County Superior Court (Case No. HG09453828) to
recover for Zurich the monies paid to Finisar, and to recover for Finisar the uninsured portion of
the loss. Under the agreement, Finisar will pay a 28% contingency fee on any recovery. All
pre-recovery costs incurred in the matter will be paid by Zurich American. Finisar will reimburse
Zurich American its pro-rata share of the costs only if there is a successful recovery.

     Discovery is under way in the matter. No trial date has been set. It is expected that the case
will be ordered to some form of ADR at the Case Management Conference scheduled on Oct. 6, 2009.

JDSU Arbitrarion Demand

     In connection with the sale of Finisar’s Network Tools Division to JDSU, the parties entered
into a covenant not to sue and settlement agreement. Finisar believes JDSU is in breach of this
agreement by, among other things, maintaining its suit against Optium Corporation (“Optium”) in the
JDSU/Emcore matter described below. Finisar is pursuing claims in this regard under the alternative
dispute resolution provisions of the covenant not to sue and settlement agreement.

 

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule 4.7(b)

Litigation

Securities Class Action

     A securities class action lawsuit was filed on November 30, 2001 in the United States District
Court for the Southern District of New York, purportedly on behalf of all persons who purchased
Finisar’s common stock from November 17, 1999 through December 6, 2000. The complaint named as
defendants Finisar, Jerry S. Rawls, its President and Chief Executive Officer, Frank H. Levinson,
its former Chairman of the Board and Chief Technical Officer, Stephen K. Workman, its Senior Vice
President and Chief Financial Officer, and an investment banking firm that served as an underwriter
for Finisar’s initial public offering in November 1999 and a secondary offering in April 2000. The
complaint, as subsequently amended, alleges violations of Sections 11 and 15 of the Securities Act
of 1933 and Sections 10(b) and 20(b) of the Securities Exchange Act of 1934, on the grounds that
the prospectuses incorporated in the registration statements for the offerings failed to disclose,
among other things, that (i) the underwriter had solicited and received excessive and undisclosed
commissions from certain investors in exchange for which the underwriter allocated to those
investors material portions of the shares of Finisar’s stock sold in the offerings and (ii) the
underwriter had entered into agreements with customers whereby the underwriter agreed to allocate
shares of Finisar’s stock sold in the offerings to those customers in exchange for which the
customers agreed to purchase additional shares of Finisar’s stock in the aftermarket at
pre-determined prices. No specific damages are claimed. Similar allegations have been made in
lawsuits relating to more than 300 other initial public offerings conducted in 1999 and 2000, which
were consolidated for pretrial purposes. In October 2002, all claims against the individual
defendants were dismissed without prejudice. On February 19, 2003, the Court denied defendants’
motion to dismiss the complaint.

     In July 2004, Finisar and the individual defendants accepted a settlement proposal made to all
of the issuer defendants. Under the terms of the settlement, the plaintiffs would dismiss and
release all claims against participating defendants in exchange for a contingent payment guaranty
by the insurance companies collectively responsible for insuring the issuers in all related cases,
and the assignment or surrender to the plaintiffs of certain claims the issuer defendants may have
against the underwriters. Under the guaranty, the insurers would have been required to pay the
amount, if any, by which $1 billion exceeds the aggregate amount ultimately collected by the
plaintiffs from the underwriter defendants in all the cases. If the plaintiffs failed to recover $1
billion and payment was required under the guaranty, Finisar would have been responsible to pay its
pro rata portion of the shortfall, up to the amount of the self-insured retention under its
insurance policy, which could have been up to $2 million. The Court gave preliminary approval to
the settlement in February 2005. Before the Court issued a final decision on the settlement, on
December 5, 2006, the United States Court of Appeals for the Second Circuit vacated the class
certification of plaintiffs’ claims against the underwriters in six cases designated as focus or
test cases. Thereafter, the parties withdrew the settlement.

     In February 2009, the parties reached an understanding regarding the principal elements of a
settlement, subject to formal documentation and Court approval. On June 10, 2009, the

 

 

CONFIDENTIAL TREATMENT REQUESTED

Court granted preliminary approval of the settlement and on September 10, 2009 took the settlement
under advisement pending final approval of the settlement terms. Under the new proposed settlement,
the underwriter defendants will pay a total of $486 million, and the issuer defendants and their
insurers will pay a total of $100 million to settle all of the cases. On August 25, 2009, Finisar
funded approximately $327,000 with respect to its pro rata share of the issuers’ contribution to
the settlement and certain costs. This amount was accrued in the financial statements for the
quarter ended August 2, 2009 and recorded as operating expense. The company has director and
officer liability insurance but there is a retention amount applicable to this litigation.

JDSU/Emcore Patent Litigation

     Litigation is pending with JDS Uniphase Corporation and Emcore Corporation with respect to
certain cable television transmission products acquired in connection with Finisar’s acquisition of
Optium Corporation. On September 11, 2006, JDSU and Emcore filed a complaint in the United States
District Court for the Western District of Pennsylvania alleging that Finisar’s 1550 nm HFC
externally modulated transmitter used in cable television applications, in addition to possibly
“products as yet unidentified,” infringes on two U.S. patents. On March 14, 2007, JDSU and Emcore
filed a second complaint in the United States District Court for the Western District of
Pennsylvania alleging that Finisar’s 1550 nm HFC quadrature amplitude modulated transmitter used in
cable television applications, in addition to possibly “products as yet unidentified,” infringes on
another U.S. patent. The plaintiffs are seeking for the court to declare that Optium has willfully
infringed on such patents and to be awarded up to three times the amount of any compensatory
damages found, if any, plus any other damages and costs incurred. Finisar has answered both of
these complaints denying that it has infringed any of the asserted patents and asserting that those
patents are invalid. On December 10, 2007, Finisar filed a complaint in the United States District
Court for the Western District of Pennsylvania seeking a declaration that the patents asserted
against Finisar’s HFC externally modulated transmitter are unenforceable due to inequitable conduct
committed by the patent applicants and/or the attorneys or agents during prosecution.

     On February 18, 2009, the Court granted JDSU’s and Emcore’s motion for summary judgment
dismissing Finisar’s declaratory judgment action on inequitable conduct. Finisar has appealed this
ruling. The court has consolidated the remaining two actions and has scheduled a single trial to
begin October 19, 2009. Finisar is unable to determine the ultimate outcome of this litigation. The
current claim is for $9.9 million in damages, but Finisar’s ultimate liability could be greater
because Finisar might have to be pay pre-judgment interest and other damage enhancements if, for
example, the Court finds that Finisar acted willfully. The potential liability for this matter is
not covered by insurance.

U.S. Bank Litigation

     U.S. Bank Trust National Association (“Trustee”), as trustee for various convertible
subordinated notes issued by Finisar, claimed that Finisar committed an “Event of Default” under
the notes by failing to file with the Securities and Exchange Commission the October 2006 and
January 2007 reports on Form 10-Q, as well as the 2007 annual report on Form 10-K. Finisar

 

 

CONFIDENTIAL TREATMENT REQUESTED

filed two suits for declaratory relief against Trustee. On August 25, 2008, the Court denied
Trustee’s motion for summary judgment under the second suit and granted Finisar’s motion for
summary judgment, in part, ruling that Finisar had not defaulted under the indentures governing the
notes but that Finisar should pay Trustee’s reasonable fees. On November 21, 2008, the Court
awarded Finisar all its fees and limited Trustee’s fees to offset against Finisar’s fees, plus
$300,000 already paid by Finisar to Trustee previously. Effectively, the awards canceled each other
out. Finisar and Trustee each have appealed all rulings on fee awards. Appeal briefing is complete,
but Trustee is expected to amend its final brief to correct an inaccuracy. Oral argument is not
expected to occur until late 2010 or early 2011. If the Court rules in favor of the Trustees, the
potential liability for Finisar could be approximately $700,000, which would not be covered by
insurance.

Stock Option Derivative Litigation

     Finisar has been named as a nominal defendant in several purported shareholder derivative
lawsuits concerning the granting of stock options. These cases have been consolidated into two
proceedings pending in federal and state courts in California. The plaintiffs in all of these cases
have alleged that certain current or former officers and directors of Finisar caused it to grant
stock options at less than fair market value, contrary to Finisar’s public statements (including
statements in Finisar’s financial statements), and that, as a result, those officers and directors
are liable to Finisar. No specific amount of damages has been alleged and, by the nature of the
lawsuits no damages will be alleged, against Finisar. On May 22, 2007, the state court granted
Finisar’s motion to stay the state court action pending resolution of the consolidated federal
court action. On August 28, 2007, Finisar and the individual defendants filed motions to dismiss
the complaint which were granted on January 11, 2008. On May 12, 2008, the plaintiffs filed a
further amended complaint in the federal court action. On July 1, 2008, Finisar and the individual
defendants filed motions to dismiss the amended complaint. On September 22, 2009, the Court granted
the motions to dismiss, although the court’s order remains subject to possible appeal. Should the
plaintiffs appeal the dismissal, Finisar would continue to incur legal fees, including expenses for
the reimbursement of legal fees of present and former officers and directors under indemnification
obligations. The expense of continuing to defend such litigation may be significant. The amount of
time to resolve these lawsuits is unpredictable and these actions may divert management’s attention
from the day-to-day operations of Finisar’s business, which could adversely affect Finisar’s
business, results of operations and cash flows. The company has director and officer liability
insurance but there is a retention amount applicable to this litigation.

 

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule 4.8

Compliance with Laws

Export Compliance

     During mid-2007, Optium Corporation (“Optium”) became aware that certain of its analog RF over
fiber products may, depending on end use and customization, be subject to the International Traffic
in Arms Regulations, or ITAR. Accordingly, Optium filed a detailed voluntary disclosure with the
United States Department of State describing the details of possible inadvertent ITAR violations
with respect to the export of a limited number of certain prototype products, as well as related
technical data and defense services. Optium may have also made unauthorized transfers of
ITAR-restricted technical data and defense services to foreign persons in the workplace. Additional
information has been provided upon request to the Department of State with respect to this matter.
In late 2008, a grand jury subpoena from the office of the U.S. Attorney for the Eastern District
of Pennsylvania was received requesting documents from 2005 through the present referring to,
relating to or involving the subject matter of the above referenced voluntary disclosure and export
activities.

     While the Department of State encourages voluntary disclosures and generally affords parties
mitigating credit under such circumstances, the Company nevertheless could be subject to continued
investigation and potential regulatory consequences ranging from a no-action letter, government
oversight of facilities and export transactions, monetary penalties, and in extreme cases,
debarment from government contracting, denial of export privileges and criminal sanctions, any of
which would adversely affect the Company’s results of operations and cash flow. The Department of
State and U.S. Attorney inquiries may require the Company to expend significant management time and
incur significant legal and other expenses. The Company cannot predict how long it will take or how
much more time and resources it will have to expend to resolve these government inquiries, nor can
it predict the outcome of these inquiries.

 

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule 4.11

Employee Benefits

Finisar’s 401(k) Plan

 

 

CONFIDENTIAL TREATMENT REQUESTED

Schedule 4.13

Intellectual
Property

COPYRIGHTS

	 	 	 	 	 	 	 
	 	 	 	 	 	 	Registration
	Title of Work	 	Owner	 	Nature of Work	 	Number
	Finisar SFP+ Bail Mechanism

	 	Finisar Corporation
	 	Mechanical Drawing
	 	VA 1-412-421
	Finisar SFP+ Bail Mechanism, Revised Version

	 	Finisar Corporation
	 	Mechanical Drawing
	 	VA 1-418-372
	Finisar SFP+ Generic Bail Assembly Animation

	 	Finisar Corporation
	 	Audiovisual
	 	PA 1-387-642
	Infinity & 41 other titles; software programs

	 	Finisar Corporation
	 	Recorded Document
	 	V3484D877P1-3
	CFP Mechanical Platform Thumbscrew Based
Design

	 	Finisar Corporation
	 	Visual Material
	 	VA 1-662-063
	CFP Module Connector Shielded 146 Pin Plug

	 	Finisar Corporation
	 	Mechanical Drawing
	 	Still pending 
(filed 2/11/08)

TRADEMARKS

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/	 	 	 	 
	 	 	 	 	Registration	 	 	 	 
	Country	 	Mark	 	No.	 	Status	 	Owner
	Australia	 	FINISAR
	 	883801	 	Registered	 	Finisar Corporation
	Australia	 	OPTIBOX
	 	1027165	 	Registered	 	Finisar Corporation
	Canada	 	ADVANTILAZE
	 	1302930	 	Published	 	Finisar Corporation
	Canada	 	FINISAR
	 	TMA594960	 	Registered	 	Finisar Corporation
	Canada	 	FINISAR (Stylized)

	 	1237036	 	Pending	 	Finisar Corporation
	Canada	 	NETWISDOM
	 	TMA678065	 	Registered	 	Finisar Corporation
	Canada	 	OPTIBOX
	 	1235339	 	Pending	 	Finisar Corporation
	Canada	 	OPTILLION
	 	TMA654453	 	Registered	 	Optillion AB
	China	 	ADVANTILAZE
	 	5382517	 	Published	 	Finisar Corporation
	China	 	CML
	 	5658333	 	Pending	 	Finisar Corporation

 

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/	 	 	 	 
	 	 	 	 	Registration	 	 	 	 
	Country	 	Mark	 	No.	 	Status	 	Owner
	China	 	FINISAR
	 	1983210	 	Registered	 	Finisar Corporation
	China	 	
FINISAR
 (in Chinese
Characters)
	 	6518035	 	Pending	 	Finisar Corporation
	China	 	FINISAR in Pin-yin
	 	6518035	 	Pending	 	Finisar Corporation
	China	 	OPTIBOX
	 	433836	 	Registered	 	Finisar Corporation
	China	 	
	 	6456920	 	Pending	 	Finisar Corporation
	China	 	Lei She Wei Er
	 	6456919	 	Pending	 	Finisar Corporation
	China	 	LASERWIRE
	 	6540168	 	Pending	 	Finisar Corporation
	China	 	
	 	A0012838	 	Pending	 	Finisar Corporation
	China	 	
	 	6558111	 	Pending	 	Finisar Corporation
	China	 	QUAD WIRE
	 	6999480	 	Pending	 	Finisar Corporation
	China	 	C-WIRE
	 	6999479	 	Pending	 	Finisar Corporation
	China	 	FEINISA
	 	6158035	 	Pending	 	Finisar Corporation
	Community Trademark	 	LASERWIRE
	 	006535091	 	Pending	 	Finisar Corporation
	Community Trademark	 	
	 	6999601	 	Registered	 	Finisar Corporation
	Community Trademark	 	
	 	7000466	 	Registered	 	Finisar Corporation
	Community Trademark	 	QUADWIRE
	 	7309561	 	Pending	 	Finisar Corporation
	Community Trademark	 	C-WIRE
	 	7307655/7307655	 	Registered	 	Finisar Corporation

 

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/	 	 	 	 
	 	 	 	 	Registration	 	 	 	 
	Country	 	Mark	 	No.	 	Status	 	Owner
	Community Trademark	 	
	 	8474983	 	Pending	 	Finisar Corporation
	European Union	 	ADVANTILAZE
	 	5099767	 	Registered	 	Finisar Corporation
	European Union	 	FINISAR
	 	2308492	 	Registered	 	Finisar Corporation
	European Union	 	FINISAR (Stylized)

	 	1422693	 	Registered	 	Finisar Corporation
	European Union	 	GREENWAVE
	 	6993356	 	Pending	 	Finisar Corporation
	European Union	 	NETWISDOM
	 	3489961	 	Registered	 	Finisar Corporation
	European Union	 	OPTIBOX
	 	5477211	 	Registered	 	Finisar Corporation
	European Union	 	OPTIBOX
	 	4101812	 	Registered	 	Finisar Corporation
	Germany	 	FINISAR
	 	30239254	 	Registered	 	Finisar Corporation
	Germany	 	HIT HYBRID
INTEGRATION
TECHNOLOGY
	 	30119360	 	Registered	 	Finisar Corporation
	Germany	 	iSFF
	 	30368302	 	Registered	 	Infineon Technologies AG
	Germany	 	iSFP
	 	30309682	 	Registered	 	Infineon Technologies AG
	Germany	 	iSFP.5
	 	3039683	 	Registered	 	Infineon Technologies AG
	Germany	 	SEMILAS
	 	30119361	 	Registered	 	Finisar Corporation
	Hong Kong	 	FINISAR
	 	200201819	 	Registered	 	Finisar Corporation
	Hong Kong	 	FINISAR (Stylized)

	 	300316034	 	Registered	 	Finisar Corporation
	Hong Kong	 	OPTIBOX
	 	300308646	 	Registered	 	Finisar Corporation
	India	 	FINISAR
	 	1031890	 	Registered	 	Finisar Corporation
	India	 	FINISAR (Stylized)

	 	1320048	 	Published	 	Finisar Corporation

 

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/	 	 	 	 
	 	 	 	 	Registration	 	 	 	 
	Country	 	Mark	 	No.	 	Status	 	Owner
	India	 	OPTIBOX
	 	494216	 	Registered	 	Finisar Corporation
	India	 	LASERWIRE
	 	1633254	 	Pending	 	Finisar Corporation
	International
Registration (Madrid
Protocol)	 	FINISAR (Stylized)

	 	872544	 	Registered	 	Finisar Corporation
	International
Registration (Madrid Protocol)	 	iSFF
	 	823978	 	Registered	 	InterSan, Inc.
	International
Registration (Madrid
Protocol)	 	iSFP
	 	808546	 	Registered	 	InterSan, Inc.
	International
 Registration (Madrid
Protocol)	 	iSFP.5
	 	808545	 	Registered	 	Finisar Corporation
	International Registration
(Madrid Protocol)	 	
	 	A0012838/969467	 	Registered	 	Finisar Corporation
	International
Registration (Madrid
Protocol)	 	
	 	A0017038	 	Pending	 	Finisar Corporation
	Israel	 	FINISAR
	 	150825	 	Registered	 	Finisar Corporation
	Israel	 	FINISAR (Stylized)

	 	176070	 	Registered	 	Finisar Corporation
	Israel	 	OPTIBOX
	 	175805	 	Registered	 	Finisar Corporation
	Japan	 	FINISAR
	 	4624070	 	Registered	 	Finisar Corporation
	Japan	 	INTERSAN
	 	4628039	 	Registered	 	Finisar Corporation
	Japan	 	NETWISDOM
	 	4787559	 	Registered	 	Finisar Corporation
	Japan	 	OPTIBOX
	 	4873318	 	Registered	 	Finisar Corporation
	Japan	 	OPTIBOX
	 	5096770	 	Registered	 	Finisar Corporation

 

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/	 	 	 	 
	 	 	 	 	Registration	 	 	 	 
	Country	 	Mark	 	No.	 	Status	 	Owner
	Japan	 	PACKETMAKER
	 	2007117432	 	Pending	 	Finisar Corporation
	Japan	 	PATHLINE
	 	4617559	 	Registered	 	Finisar Corporation
	Japan	 	LASERWIRE
	 	2008-8546/5152679	 	Registered	 	Finisar Corporation
	Japan	 	
	 	A0012838/969647	 	Protected	 	Finisar Corporation
	Japan	 	Loserwire
	 	2008-8545/5152678	 	Registered	 	Finisar Corporation
	Japan	 	QUAD WIRE
	 	2008-83197	 	Pending	 	Finisar Corporation
	Japan	 	C-WIRE
	 	2008-83196	 	Pending	 	Finisar Corporation
	Japan	 	
	 	A0017038	 	Pending	 	Finisar Corporation
	Korea (Republic Of)	 	FINISAR
	 	514089	 	Registered	 	Finisar Corporation
	Korea (Republic Of)	 	OPTIBOX
	 	732032	 	Registered	 	Finisar Corporation
	Korea (Republic Of)	 	OPTIBOX
	 	621911	 	Registered	 	Finisar Corporation
	Malaysia	 	FINISAR
	 	200109862	 	Registered	 	Finisar Corporation
	Malaysia	 	FINISAR (Stylized)

	 	04017626	 	Registered	 	Finisar Corporation
	Malaysia	 	OPTIBOX
	 	06021092	 	Registered	 	Finisar Corporation
	Malaysia	 	OPTIBOX
	 	04016682	 	Registered	 	Finisar Corporation
	Mexico	 	FINISAR
	 	728707	 	Registered	 	Finisar Corporation
	Mexico	 	FINISAR (Stylized)

	 	906692	 	Registered	 	Finisar Corporation
	Mexico	 	OPTIBOX
	 	908812	 	Registered	 	Finisar Corporation
	New Zealand	 	FINISAR
	 	642330	 	Registered	 	Finisar Corporation

 

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/	 	 	 	 
	 	 	 	 	Registration	 	 	 	 
	Country	 	Mark	 	No.	 	Status	 	Owner
	New Zealand	 	FINISAR (Stylized)

	 	721174	 	Registered	 	Finisar Corporation
	New Zealand	 	OPTIBOX
	 	720534	 	Registered	 	Finisar Corporation
	Norway	 	FINISAR
	 	213811	 	Registered	 	Finisar Corporation
	Norway	 	OPTIBOX
	 	229379	 	Registered	 	Finisar Corporation
	Singapore	 	FINISAR
	 	T011459D	 	Registered	 	Finisar Corporation
	Singapore	 	OPTIBOX
	 	T0418617J	 	Registered	 	Finisar Corporation
	Taiwan	 	ADVANTILAZE
	 	1262624	 	Registered	 	Finisar Corporation
	Taiwan	 	FINISAR
	 	1015016	 	Registered	 	Finisar Corporation
	Taiwan	 	FINISAR (Stylized)

	 	1170702	 	Registered	 	Finisar Corporation
	Taiwan	 	OPTIBOX
	 	1175285	 	Registered	 	Finisar Corporation
	United States	 	CHIRP MANAGED LASER CML
	 	78581537/ 3,652,639	 	Registered	 	Finisar Corporation (via recorded assignment)
	United States	 	CML
	 	78861126/ 3,659,447	 	Registered	 	Finisar Corporation (via recorded assignment)
	United States	 	CROSS CAVITY
	 	2660447	 	Lapsed	 	Finisar Corporation (via recorded assignment)
	United States	 	FINISAR
	 	1819741	 	Registered	 	Finisar Corporation
	United States	 	FINISAR (Stylized)

	 	2959881	 	Registered	 	Finisar Corporation
	United States	 	GREENWAVE
	 	77055795	 	Lapsed	 	Finisar Corporation
	United States	 	INTERSAN and Design

	 	2593083	 	Lapsed	 	InterSAN, Inc.

 

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/	 	 	 	 
	 	 	 	 	Registration	 	 	 	 
	Country	 	Mark	 	No.	 	Status	 	Owner
	United States	 	IPBC
	 	2847995	 	Registered	 	Finisar Corporation
 (via recorded assignment
	United States	 	iSFF
	 	3046254	 	Registered	 	Finisar Corporation
 (via recorded assignment
	United States	 	iSFP
	 	2884299	 	Registered	 	Infineon Technologies AG
	United States	 	iSFP.5
	 	2916179	 	Registered	 	Infineon Technologies AG
	United States	 	KODEOS
	 	3205601	 	Registered	 	Kodeos Communications, Inc.
	United States	 	LASERWIRE (Stylized)

	 	77362867	 	Published	 	Finisar Corporation
	United States	 	LASERWIRE THE CLEAR
CHOICE OVER COPPER &
Design

	 	77362888	 	Published	 	Finisar Corporation
	United States	 	NETWISDOM
	 	3030217	 	Registered	 	Finisar Corporation
	United States	 	OPTIBOX
	 	3607531	 	Registered	 	Finisar Corporation
	United States	 	PHASE CORRELATED
AMPLITUDE MODULATION
PCAM
	 	78475601	 	Lapsed	 	Finisar Corporation (via recorded assignment)
	United States	 	STABILAZE
	 	2697627	 	Registered	 	Finisar Corporation (via recorded assignment)
	United States	 	LASERWIRE
	 	3,637,382	 	Registered	 	Finisar Corporation
	United States	 	
	 	77/362,861/3,599,721	 	Registered	 	Finisar Corporation

 

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/	 	 	 	 
	 	 	 	 	Registration	 	 	 	 
	Country	 	Mark	 	No.	 	Status	 	Owner
	United States	 	
	 	77/362,867	 	Allowed	 	Finisar Corporation
	United States	 	THE CLEAR CHOICE OVER
COPPER
	 	77/362,881	 	Allowed	 	Finisar Corporation
	United States	 	
	 	77/362,888	 	Allowed	 	Finisar Corporation
	United States	 	QUAD WIRE
	 	77/447,484	 	Allowed	 	Finisar Corporation
	United States	 	C-WIRE
	 	77/447,545	 	Allowed	 	Finisar Corporation
	United States	 	
	 	77/783,641	 	Pending	 	Finisar Corporation

PATENTS

See Annex 4.13.

LICENSES

License, Settlement and Release Agreement, by and between Picolight, Inc. and
Honeywell Intellectual Properties, Inc. (via its VCSEL Optical Products business),
dated November 20, 2003.

License Agreement, by and between Board of Trustees of the Univ. of Illinois and Honeywell,
dated February 22, 2000

Finisar License and Development Agreement, by and between Finisar and SliceX, Inc., dated
April 7, 2003.

Intellectual Property Agreement with Amendment No. 1, by and between Finisar and Sensors
Acquisition Corp., dated October 15, 2002.

Settlement Agreement, by and between Finisar/Stratos Lightware and Methode Electronics

Patent and Know-How-License Agreement, by and between Finisar and Scientific-Atlanta, dated
April 18, 2005.

Confidential/Limited Disclosure Reseller Agreement, by and between Finisar and
Scientific-Atlanta, dated April 22, 2004.

 

 

CONFIDENTIAL TREATMENT REQUESTED

License Agreement, by and between Finisar and Sumitomo Electronic Ind., ExceLight
Communications, dated June 5, 2002.

License Agreement, by and between Advanced Optical Components (a division of Finisar) and Matrix,
Inc., dated January 1, 2005.

License Agreement Between Finisar and Fiberxon, by and between Finisar and Fiberxon, dated August
24, 2004.

Loan Agreement, by and between Finisar and Kaunas Mixed-Signal Design

Final Settlement Agreement, by and between Finisar, Agilent Technologies Inc. and Verify Pte Ltd.

2006 Patent Cross-License Agreement, by and between Finisar and Avago/Finisar, dated June 9, 2006.

License Agreement, by and between Finisar and Avago, dated October 9, 2007.

License Agreement, by and between Finisar and Cisco Systems, Inc., dated March 3, 2007.

License Agreement, by and between Finisar and Fourte Design and Development, LLC, dated October 8,
2007.

Non-Disclosure Agreement, by and between Finisar and Philips Lighting, dated October 14, 2006.

License and Non-Disclosure Agreement, by and between Finisar and Philips Lighting, dated July
1, 2006.

Development Agreement, by and between Finisar and National Semiconductor Corp., dated
May 5, 2003.

Technology License Agreement, by and between Finisar and Koninklijke Philips Electronics, dated
March 1, 2004.

Agreements for Assignment of Patents, by and between Finisar and Sensors Unlimited, dated June 17,
2005.

Non-Exclusive License Agreement, by and between Finisar and Yamaichi Electronics, Co., Ltd., dated
August 24, 2009.

Covenant Not to Sue and Settlement Agreement, by and between Finisar and JDS Uniphase
Corporation, dated July 15, 2009

Trademark License Agreement, by and between Finisar and Lynx Technologies Pty Ltd., dated March 19,
2007

 

 

CONFIDENTIAL TREATMENT REQUESTED

Annex 4.13

Patents

See attached.

 

 

CONFIDENTIAL TREATMENT REQUESTED

U.S. Patents and Patent Applications

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Australia Pty Ltd	 	Optical Communication Systems
	 	 	7,447,401	 	 	2/28/2005
	Finisar Australia Pty Ltd	 	Tunable Wavelength Multiplexer
	 	 	6,901,175	 	 	2/28/2002
	Finisar Australia Pty Ltd	 	Dual-Source Optical Wavelength Processor
	 	 	7,397,980	 	 	6/14/2004
	Finisar Australia Pty Ltd	 	Optical Calibration System And Method
	 	 	7,457,547	 	 	11/8/2004
	Finisar Australia Pty Ltd	 	[****]
	 	 	[****]	 	 	7/27/2009
	Finisar Corporation	 	Electrically Tunable Semiconductor Laser with Ridge Waveguide
	 	 	4,984,576	 	 	11/3/1989
	Finisar Corporation	 	Tunable Semiconductor Laser
	 	 	5,008,893	 	 	12/15/1990
	Finisar Corporation	 	Optical Interface For Communicating Optical Transceiver Status Information
	 	 	11/256,506	 	 	10/21/2005
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	01/12/2007
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	10/05/2006
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	08/07/2007
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	08/01/2007
	Finisar Corporation	 	Semiconductor Laser Diode Controller and Laser Diode Biasing Control Method
	 	 	5,019,769	 	 	9/14/1990
	Finisar Corporation	 	Intelligent Fiberoptic Transmitters And Methods Of Operating And Manufacturing The Same
	 	 	5,812,572	 	 	7/1/1996
	Finisar Corporation	 	Turnable Distributed Feedback Laser
	 	 	5,048,049	 	 	12/18/1990
	Finisar Corporation	 	Vertical Cavity Surface Emitting Laser With Lateral Injection
	 	 	5,164,949	 	 	9/9/1991
	Finisar Corporation	 	Optical Grating Comprising a Plurality of Side-By-Side Outfeed End Faces of Optical Waveguides
	 	 	5,226,100	 	 	8/26/1991
	Finisar Corporation	 	Optical Connector Configured to Facilitate Active Allignment
	 	 	5,231,686	 	 	7/17/1992
	Finisar Corporation	 	Method Apparatus for Stimulating a Laser Diode in a Fiber Optic Transmitter
	 	 	5,247,532	 	 	6/1/1992
	Finisar Corporation	 	Top Emitting VCSEL With Implant
	 	 	5,256,596	 	 	3/26/1992
	Finisar Corporation	 	Patterned Mirror Vertical Cavity Surface Emitting Laser
	 	 	5,258,316	 	 	3/26/1992
	Finisar Corporation	 	Tunable Semi Conductor Laser On A Semi-Insulating Substrate
	 	 	5,260,960	 	 	4/23/1992
	Finisar Corporation	 	Emitting With Structures Located at Positions Which Prevent
	 	 	5,264,715	 	 	7/6/1992
	Finisar Corporation	 	Light Mixing Device With Fiber Optic Output
	 	 	5,271,079	 	 	11/8/1991
	Finisar Corporation	 	Temperature Insensitive Vertical Cavity Surface Emitting Laser
	 	 	5,274,655	 	 	3/26/1992
	Finisar Corporation	 	Top Emitting VCSEL With Etch Stop Layer
	 	 	5,293,392	 	 	7/31/1992

 

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	VCSEL With Separate Control of Current Distribution and Optical Mode
	 	 	5,317,587	 	 	8/6/1992
	Finisar Corporation	 	Tunable Laser Diode
	 	 	5,325,379	 	 	12/21/1992
	Finisar Corporation	 	VCSEL With Lateral Index Guide
	 	 	5,337,327	 	 	2/22/1993
	Finisar Corporation	 	VCSEL With Vertical Offset Operating Region Providing a Lateral Wavelength and Current Limiting and Method of Fabrication
	 	 	5,351,257	 	 	3/8/1993
	Finisar Corporation	 	High Efficiency VCSEL and Method of Fabrication
	 	 	5,359,618	 	 	6/1/1993
	Finisar Corporation	 	Method of Making a VSCEL With Lateral Index Guide
	 	 	5,387,543	 	 	3/28/1994
	Finisar Corporation	 	VCSEL With Unstable Resonator
	 	 	5,388,120	 	 	9/21/1993
	Finisar Corporation	 	Optical Transmission system for Transmission of Signals with a continuous Application of the Signals during transmission
	 	 	5,392,377	 	 	9/15/1993
	Finisar Corporation	 	Semiconductor Laser and Method Therefor
	 	 	5,400,352	 	 	3/21/1994
	Finisar Corporation	 	High Speed Information Broadcasting System
	 	 	5,404,505	 	 	11/1/1991
	Finisar Corporation	 	Semiconductor Device With High Heat Conductivity
	 	 	5,422,901	 	 	11/15/1993
	Finisar Corporation	 	VCSEL With Al-Free Cavity Region
	 	 	5,432,809	 	 	6/15/1994
	Finisar Corporation	 	VCSEL With Current Blocking Layer Offset
	 	 	5,446,752	 	 	7/7/1994
	Finisar Corporation	 	Method of Making VCSEL
	 	 	5,468,656	 	 	11/29/1994
	Finisar Corporation	 	Inhibited Laser Power Monitor
	 	 	5,475,701	 	 	12/29/1993
	Finisar Corporation	 	VCSEL With an Intergrated Heat Sink and Method of Making
	 	 	5,482,891	 	 	3/17/1995
	Finisar Corporation	 	Tunable Laser Diode
	 	 	5,511,084	 	 	1/17/1995
	Finisar Corporation	 	Method of Fabricating a Semiconductor Device With High Heat Conductivity
	 	 	5,538,919	 	 	5/18/1995
	Finisar Corporation	 	Method For P-Doping of a Light-Emitting Device
	 	 	5,547,898	 	 	9/18/1995
	Finisar Corporation	 	Patterned Mirror VCSEL With Adjustable Selective Etch Region
	 	 	5,557,626	 	 	6/15/1994
	Finisar Corporation	 	Optical Arrangement of a Strip-Shaped Optical Waveguide
	 	 	5,559,906	 	 	1/11/1995
	Finisar Corporation	 	High Speed Mesh Connected Local Area Network
	 	 	5,566,171	 	 	3/15/1995
	Finisar Corporation	 	Multi-Gigahertz Frequency-Modulated Vertical-Cavity Surface
	 	 	5,574,738	 	 	6/7/1995
	Finisar Corporation	 	Fiber Optic Module
	 	 	5,596,663	 	 	1/12/1995
	Finisar Corporation	 	High Speed Network Switch
	 	 	5,604,735	 	 	5/12/1995
	Finisar Corporation	 	VCSEL Having a Self-Aligned Heat Sink and Method of Making
	 	 	5,654,228	 	 	3/17/1995
	Finisar Corporation	 	Method of Making a VCSEL With Passivation
	 	 	5,661,075	 	 	2/6/1995
	Finisar Corporation	 	Optical Coupling Configuration
	 	 	5,689,609	 	 	8/8/1996
	Finisar Corporation	 	Method of Mode Detection and Control in Semiconductor Lasers
	 	 	5,703,892	 	 	7/1/1996
	Finisar Corporation	 	Method for dry etching of a semiconductor substrate
	 	 	5,705,025	 	 	10/4/1995
	Finisar Corporation	 	Integrated Optical Arrangement of Ridge Waveguides on a Substrate
	 	 	5,706,373	 	 	2/14/1994

2

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Passivated Vertical Cavity Surface Emitting Laser
	 	 	5,719,893	 	 	7/17/1996
	Finisar Corporation	 	Long Wavelength VCSEL
	 	 	5,732,103	 	 	12/9/1996
	Finisar Corporation	 	Light Source Monitor With Conpensated Tracking Ratio
	 	 	5,737,348	 	 	10/28/1996
	Finisar Corporation	 	Electrical Unit
	 	 	5,738,538	 	 	4/25/1996
	Finisar Corporation	 	Self Limiting Intrinsically Eye-Safe Laser Utilizing an Incr
	 	 	5,745,515	 	 	7/18/1996
	Finisar Corporation	 	VCSEL With Selective Oxide Transition Regions
	 	 	5,764,671	 	 	10/21/1996
	Finisar Corporation	 	Current Confinement For a Vertical Cavity Surface Emitting L
	 	 	5,764,674	 	 	6/28/1996
	Finisar Corporation	 	Filamented Multi-Wavelength Vertical Cavity Surface Emitting
	 	 	5,774,487	 	 	10/16/1996
	Finisar Corporation	 	Semi-Conductor Device With a Laser and a Photodetector in a
	 	 	5,799,030	 	 	7/26/1996
	Finisar Corporation	 	Apparatus For Determining the Effect of Modal Noise on a Com
	 	 	5,805,318	 	 	11/4/1996
	Finisar Corporation	 	Lens For a Semi-Conductor Device With a Laser and Photodetector
	 	 	5,812,581	 	 	7/26/1996
	Finisar Corporation	 	VCSEL including GATLP Active Region
	 	 	5,815,524	 	 	2/25/1997
	Finisar Corporation	 	Optical Coupling Arrangement Composed of a Pair of Strip-Type Optical Waveguide End Segments
	 	 	5,818,991	 	 	1/23/1997
	Finisar Corporation	 	Current Confinement Via Defect Generator and Hetero-lnterface Interaction
	 	 	5,831,295	 	 	12/1/1995
	Finisar Corporation	 	Reliable Near IR VCSEL
	 	 	5,832,017	 	 	3/15/1996
	Finisar Corporation	 	Long Wavelength Light Emitting Vertical Cavity Surface Emitting Laser and Method of Fabrication
	 	 	5,835,521	 	 	2/10/1997
	Finisar Corporation	 	Light Emitting Device Having a Defect Inhibition Layer
	 	 	5,838,705	 	 	11/4/1996
	Finisar Corporation	 	Apparatus For Determining the Effect of Modal Noise on a Com
	 	 	5,841,915	 	 	11/4/1996
	Finisar Corporation	 	Electrically Confined VCSEL
	 	 	5,848,086	 	 	12/9/1996
	Finisar Corporation	 	Long Wavelength VCSEL
	 	 	5,883,912	 	 	12/9/1996
	Finisar Corporation	 	Fabrication of Vertical Cevity Surface Emitting Laser With C
	 	 	5,893,722	 	 	4/28/1997
	Finisar Corporation	 	Device for Wavelength-Related Stabilization of an Optical Fiber
	 	 	5,894,533	 	 	3/6/1997
	Finisar Corporation	 	Dual Wavelength Monolithically Integrated Vertical Cavity Surface Emitting Lasers and Method of Fabrication
	 	 	5,898,722	 	 	3/10/1997
	Finisar Corporation	 	Long Wavelength Vertical Cavity Surface Emitting Laser
	 	 	5,903,586	 	 	7/30/1997
	Finisar Corporation	 	Laser With Selectively Changed Current Confining Layer
	 	 	5,903,588	 	 	3/6/1997
	Finisar Corporation	 	Vertical Cavity Surface Emitting Laser For High Power Operation and Method of Fabrication
	 	 	5,914,973	 	 	2/10/1997
	Finisar Corporation	 	Laser With an Improved Mode Control
	 	 	5,940,422	 	 	6/28/1996
	Finisar Corporation	 	Long Wavelength VCSEL
	 	 	5,943,359	 	 	4/23/1997
	Finisar Corporation	 	Multi-Protocol Dual Fiber Link Laser Diode Controller and Method
	 	 	5,956,168	 	 	9/5/1997

3

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Long Wavelength Vertical Cavity Surface Emitting Laser With Oxidation Layers and Method of Fabrication
	 	 	5,956,363	 	 	8/15/1997
	Finisar Corporation	 	Long Wavelength Vertical Cavity Surface Emitting Laser
	 	 	5,978,398	 	 	7/31/1997
	Finisar Corporation	 	Monolithic Vertical Cavity Surface Emitting Laser And Resonator
	 	 	5,978,401	 	 	10/25/1996
	Finisar Corporation	 	Optoelectronic Transducer Formed of a Semiconductor component and a lens system
	 	 	5,981,945	 	 	3/8/1996
	Finisar Corporation	 	Planar Optical Waveguide Having A Core with a Coating having A Hollow space in the Coating and a Method for Forming the Waveguide
	 	 	5,982,970	 	 	9/19/1997
	Finisar Corporation	 	Semiconductor Integrated Circuit
	 	 	5,990,499	 	 	9/28/1998
	Finisar Corporation	 	VCSEL Havong Polarization Control and Method of Making Same
	 	 	5,995,531	 	 	11/4/1997
	Finisar Corporation	 	Electro-Optical Model
	 	 	6,014,476	 	 	11/24/2008
	Finisar Corporation	 	Method For Biasing Semiconductor Lasers
	 	 	6,016,326	 	 	12/15/1997
	Finisar Corporation	 	Vertical Cavity Surface Emitting Laser For High Power Single Mode Operation and Method of Fabrication
	 	 	6,021,146	 	 	9/15/1997
	Finisar Corporation	 	Vertical Cavity Surface Emitting Laser For High Power Single Mode Operation and Method of Fabrication
	 	 	6,021,147	 	 	11/4/1997
	Finisar Corporation	 	Optical Module
	 	 	6,022,151	 	 	3/29/1999
	Finisar Corporation	 	Arrangement for the Implementation of an Add/Drop Method in Wavelength-Division Multiplex Transmission of Optical Signals
	 	 	6,025,943	 	 	9/30/1997
	Finisar Corporation	 	Vertical Cavity Surface Emitting Laser Device Having an Extended Cavity
	 	 	6,026,111	 	 	10/28/1997
	Finisar Corporation	 	Device for Injecting Light Into the end of a Multimode Optical Fiber
	 	 	6,044,188	 	 	4/28/1999
	Finisar Corporation	 	Compact Polarization Insensitive Circulators With Simplified Structure and Low Polarization Mode Dispersion
	 	 	6,049,426	 	 	8/17/1998
	Finisar Corporation	 	Compact Polarization Insensitive Circulators With Simplified Structure and Low Polarization Mode Dispersion
	 	 	6,052,228	 	 	8/26/1999
	Finisar Corporation	 	Resonant Reflector For Improved Optoelectronic Device Performance and Enhanced Applicability
	 	 	6,055,262	 	 	6/11/1997
	Finisar Corporation	 	Electro-Optical Device
	 	 	6,059,463	 	 	9/25/1998
	Finisar Corporation	 	Vertical Cavity Surface Emitting Laser With Doped Active Region and Method of Fabrication
	 	 	6,061,380	 	 	9/15/1997
	Finisar Corporation	 	Method For Wavelength Division Multiplexing Utilizing Donut Mode Vertical Cavity Surface Emitting Lasers
	 	 	6,061,485	 	 	11/3/1997
	Finisar Corporation	 	Bandgap Isolated Light Emitter
	 	 	6,064,683	 	 	12/12/1997
	Finisar Corporation	 	Opto-Electronic Component with MQW Structures
	 	 	6,066,859	 	 	12/15/1997
	Finisar Corporation	 	Vertical Cavity Surface Emitting Laser Having Intensity Cont
	 	 	6,069,905	 	 	12/31/1997
	Finisar Corporation	 	Flexible Optic Connector Assembly
	 	 	6,069,991	 	 	8/14/1998

4

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Method For Controlling the Operation of a Laser
	 	 	6,078,601	 	 	3/7/1997
	Finisar Corporation	 	Fiber Optic Header With Integrated Power Monitor
	 	 	6,081,638	 	 	7/20/1998
	Finisar Corporation	 	Annular Wavelength Vertical Cavity Surface Emitting Laser Array and Method of Fabrication
	 	 	6,084,900	 	 	12/24/1997
	Finisar Corporation	 	Active Device Receptacle
	 	 	6,086,263	 	 	6/13/1996
	Finisar Corporation	 	Flexible Optic Connector Assembly
	 	 	6,088,498	 	 	8/14/1998
	Finisar Corporation	 	Sealing Part
	 	 	6,088,502	 	 	12/4/1996
	Finisar Corporation	 	Chip-To-lnterface Alignment
	 	 	6,095,697	 	 	3/31/1998
	Finisar Corporation	 	Long Wavelength Light Emitting Vertical Cavity Surface Emitting Laser and Method of Fabrication
	 	 	6,121,068	 	 	3/26/1998
	Finisar Corporation	 	A precision Gaas Low-Voltage DC Amplifier
	 	 	6,121,838	 	 	12/23/1998
	Finisar Corporation	 	Fiber Optic Module
	 	 	RE36886	 	 	6/1/1998
	Finisar Corporation	 	Laser/Diode Modulator Combination
	 	 	6,148,017	 	 	12/17/1999
	Finisar Corporation	 	Method of Fabricating Top Emitting Ridge VCSEL With Self-Aligned Contact and Sidewall Reflector
	 	 	6,156,582	 	 	6/14/1993
	Finisar Corporation	 	Semiconductor Laser Device and Method of Manufacture
	 	 	6,160,830	 	 	3/4/1998
	Finisar Corporation	 	Arrangement of Optical Waveguides
	 	 	6,167,168	 	 	11/2/1998
	Finisar Corporation	 	Optical Circulators Using Beam Angle Turners
	 	 	6,175,448	 	 	11/5/1998
	Finisar Corporation	 	Flexible Hermetic Sealing
	 	 	6,194,789	 	 	12/22/1997
	Finisar Corporation	 	Fiber Optic Header For an Edge Emitting Laser
	 	 	6,205,274	 	 	7/20/1998
	Finisar Corporation	 	Compact Polarization Insensitive circulators With Simplified Structure and Low Polarization Mode Dispersion
	 	 	6,212,008	 	 	3/30/1999
	Finisar Corporation	 	Optical Transmission Unit
	 	 	6,239,916	 	 	2/8/2000
	Finisar Corporation	 	Electrooptical Module
	 	 	6,254,285	 	 	3/1/1999
	Finisar Corporation	 	Method for Producing an Electrooptical Module
	 	 	6,254,286	 	 	3/1/1999
	Finisar Corporation	 	VCSEL Structure Insensitive to Mobile Hydrogen
	 	 	6,256,333	 	 	12/12/1997
	Finisar Corporation	 	Holographic Optical Devices For Transmission Of Optical Signals
	 	 	6,269,203	 	 	5/21/1999
	Finisar Corporation	 	Optical Polarization Beam Combiner/Splitter
	 	 	6,282,025	 	 	8/2/1999
	Finisar Corporation	 	System And Method Of Wavelength Division Multiplexing And Demultiplexing
	 	 	6,282,337	 	 	9/24/1999
	Finisar Corporation	 	Compact Polarization Insensitive Circulators With Simplified Structure and Low Polarization Mode Dispersion
	 	 	6,285,499	 	 	10/29/1999
	Finisar Corporation	 	Optoelectronic Component and Method for Calibrating an Optoelectronic Component
	 	 	6,307,197	 	 	9/29/1999
	Finisar Corporation	 	Polarization Insensitive Semiconductor Optical Amplifier
	 	 	6,310,720	 	 	6/2/2000

5

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Device for Releasably Mounting an Electronic Component
	 	 	6,325,649	 	 	3/23/2001
	Finisar Corporation	 	Optical Polarization Beam Combiner/Splitter
	 	 	6,331,913	 	 	10/30/2000
	Finisar Corporation	 	Optical Signal Power Monitor And Regulator
	 	 	6,347,104	 	 	4/26/1999
	Finisar Corporation	 	Semiconductor Laser Device and Method of Manufacture
	 	 	6,356,571	 	 	8/17/2000
	Finisar Corporation	 	Polarization Insensitive Fused Fiber Coupler Method and Apparatus
	 	 	6,363,190	 	 	2/11/2000
	Finisar Corporation	 	Hermetically tight optical Transmitter Module
	 	 	6,367,988	 	 	3/18/1998
	Finisar Corporation	 	Optical MUX/DEMUX
	 	 	6,373,604	 	 	12/29/1999
	Finisar Corporation	 	Optical Polarization Beam Combiner/Splitter
	 	 	6,373,631	 	 	10/30/2000
	Finisar Corporation	 	Method for Stabilizing The Wavelength of a Laser and Arrangement for Implementing Said Method
	 	 	6,377,592	 	 	3/12/1998
	Finisar Corporation	 	Wavelength-Stabilized Laser Configuration
	 	 	6,400,739	 	 	6/22/1999
	Finisar Corporation	 	NXN Optical Switching Array Device And System
	 	 	6,400,855	 	 	7/7/2000
	Finisar Corporation	 	Flexible Optic Connector Assembly
	 	 	6,404,960	 	 	3/15/1999
	Finisar Corporation	 	Surface-Mounted, Fiber-Optic Transmitting or Receiving Component Having a Deflection Receptacle Which can be Adjusted During Assembly
	 	 	6,409,397	 	 	10/2/2000
	Finisar Corporation	 	Coupled Cavity Anti-Guided Vertical Cavity Surface Emitting
	 	 	6,411,638	 	 	8/31/1999
	Finisar Corporation	 	Housing Configuration for a Laser Module
	 	 	6,422,766	 	 	11/27/2000
	Finisar Corporation	 	Sliding Module Latch System
	 	 	6,439,918	 	 	10/4/2001
	Finisar Corporation	 	Tunable-Gain Lasing Semiconductor Optical Amplifier
	 	 	6,445,495	 	 	3/22/1999
	Finisar Corporation	 	Method and Apparatus for Compensating an Optical Filter
	 	 	6,449,402	 	 	7/18/2000
	Finisar Corporation	 	Electro-Optical Arrangement
	 	 	6,457,875	 	 	9/18/2000
	Finisar Corporation	 	VCSEL Structure Insensitive to Mobile Hydrogen
	 	 	6,459,719	 	 	11/30/2000
	Finisar Corporation	 	Method and System For Versatile Optical Sensor Package
	 	 	6,465,774	 	 	6/30/2000
	Finisar Corporation	 	All-Polymer Waveguide Polarization Modulator And Method Of Mode Profile Control And Excitation
	 	 	6,470,102	 	 	1/18/2001
	Finisar Corporation	 	Compression-Molded Three-Dimensional Tapered Universal Waveguide Couplers
	 	 	6,470,117	 	 	12/4/1998
	Finisar Corporation	 	Method and Apparatus for Asymmetrical Optical Modulation
	 	 	6,473,219	 	 	2/26/2001
	Finisar Corporation	 	Optomodule and Connection Configuration
	 	 	6,483,960	 	 	6/28/2001
	Finisar Corporation	 	Optical Waveguide Coupler For Interconnection Of Electro-Optical Devices
	 	 	6,483,967	 	 	6/27/2001
	Finisar Corporation	 	Thermal Compensated Compact Bragg Grating Filter
	 	 	6,493,486	 	 	2/17/2000
	Finisar Corporation	 	Release Mechanism for Pluggable Fiber Optic Transceiver
	 	 	6,494,623	 	 	8/9/2001

6

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	NXN Optical Switching Device Based On Thermal Optic Induced Internal Reflection Effect
	 	 	6,510,260	 	 	11/1/2001
	Finisar Corporation	 	Low-Noise, High-Power Optical Amplifier
	 	 	6,512,629	 	 	10/12/1999
	Finisar Corporation	 	VCSEL Structure Insensitive to Mobile Hydrogen
	 	 	6,522,680	 	 	11/30/2000
	Finisar Corporation	 	Single Piece Cage for Plugable Fiber Optic Transceiver
	 	 	6,533,470	 	 	3/16/2001
	Finisar Corporation	 	Electronic Module Having an Integrated Latching Mechanism
	 	 	6,533,603	 	 	2/12/2002
	Finisar Corporation	 	Coupling Configuration for Connecting an Optical Fiber to an Optoelectronic Component
	 	 	6,536,959	 	 	12/13/2000
	Finisar Corporation	 	Module for Multiplexing and/or Demultiplexing Optical Signals
	 	 	6,539,145	 	 	10/30/2000
	Finisar Corporation	 	Fiber-Optic Transmitting Component With Precisely Settable Input Coupling
	 	 	6,540,413	 	 	10/6/2000
	Finisar Corporation	 	Shielding Plate, in Particular for Optoelectronic Transceivers
	 	 	6,540,555	 	 	10/27/2000
	Finisar Corporation	 	Programmable Analog Tapped Delay Line Filter Having Cascaded Differential Delay Cells
	 	 	6,545,567	 	 	9/17/2001
	Finisar Corporation	 	Thermally Compensated Wavelength Division Demultiplexer And Multiplexer And Method Of Fabrication Thereof
	 	 	6,545,826	 	 	12/20/2000
	Finisar Corporation	 	A Miniature Dense Wavelength Division Multiplexer Using Microbend Couplers
	 	 	6,546,164	 	 	7/7/2000
	Finisar Corporation	 	Integrated Isolator Fused Coupler Method and Apparatus
	 	 	6,546,168	 	 	12/10/1999
	Finisar Corporation	 	Apparatus and Method for Hermetically Sealing and EMI Shielding Integrated Circuits for High Speed Electronic Packages
	 	 	6,548,893	 	 	7/3/2001
	Finisar Corporation	 	Polarization Insensitive Semiconductor Optical Amplifier
	 	 	6,549,331	 	 	9/18/2001
	Finisar Corporation	 	Device for Holding a Part and Application of the Device
	 	 	6,550,127	 	 	3/20/2000
	Finisar Corporation	 	Method and System for Compensation of Low Frequency Photodiode Current in a Transimpedance Amplifier
	 	 	6,552,615	 	 	8/31/2001
	Finisar Corporation	 	Shielding Plate for Pluggable Electrical Components
	 	 	6,558,196	 	 	8/9/2001
	Finisar Corporation	 	Metamorphic Long Wavelength High Speed Photodiode
	 	 	6,558,973	 	 	1/22/2001
	Finisar Corporation	 	Broadband Gain-Clamped Semiconductor Optical Amplifier Devices
	 	 	6,560,010	 	 	12/13/2000
	Finisar Corporation	 	Microbend Fused Fiber Coupler Method and Apparatus
	 	 	6,560,388	 	 	12/22/1999
	Finisar Corporation	 	Connecting System
	 	 	6,561,854	 	 	3/23/2001
	Finisar Corporation	 	Method, Systems and Apparatus for Providing True Time Delayed Signals Using Optical Inputs
	 	 	6,563,966	 	 	3/3/2000
	Finisar Corporation	 	A Method And Apparatus For Parallel Optical Processing
	 	 	6,563,982	 	 	9/12/2000
	Finisar Corporation	 	Tri-Electrode Traveling Wave Optical Phase Shifters and Methods
	 	 	6,567,203	 	 	2/23/2001
	Finisar Corporation	 	Radio-Frequency Laser Module and a Method for Producing It
	 	 	6,567,439	 	 	5/26/1999

7

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Coupling Device for Connecting an Optical Fiber to an Optical Transmitting or Receiving Unit and Transmitting or Receiving Device Having a
Coupling Device
	 	 	6,568,862	 	 	10/30/2001
	Finisar Corporation	 	Signal Processing Circuit for Floating Signal Sources Using Positive Feedback
	 	 	6,573,789	 	 	5/16/2002
	Finisar Corporation	 	Device for Multiplexing and Demultiplexing Signals of a Plurality of Data Channels and Method for the Production of Said Device
	 	 	6,574,390	 	 	2/15/2001
	Finisar Corporation	 	Arrangement and Method for the Channel-Dependent Attenuation of the levels of a Plurality of Optical Data Channels
	 	 	6,574,413	 	 	1/16/2001
	Finisar Corporation	 	Removable Connecting System
	 	 	6,575,790	 	 	3/23/2001
	Finisar Corporation	 	Method for Producing A Glass Object Having at Least One Recess
	 	 	6,576,150	 	 	9/28/1999
	Finisar Corporation	 	Optical Signal Power Monitor and Regulator
	 	 	6,577,654	 	 	12/27/2001
	Finisar Corporation	 	System and Method of Packaging a Laser/Detector
	 	 	6,577,656	 	 	8/6/2001
	Finisar Corporation	 	Ceramic Header Assembly
	 	 	6,586,678	 	 	2/14/2002
	Finisar Corporation	 	Integration of Top-Emitting and Top-Illuminated Optoelectronic Devices with Micro-Optic and Electronic Integrated Circuits
	 	 	6,586,776	 	 	11/28/2000
	Finisar Corporation	 	Method and Apparatus For Hermetically Sealing Photonic Device
	 	 	6,588,949	 	 	12/30/1998
	Finisar Corporation	 	Phase Detector
	 	 	6,590,457	 	 	9/20/2001
	Finisar Corporation	 	Optical Circulators Using Beam Angle Turners
	 	 	6,590,706	 	 	9/8/2000
	Finisar Corporation	 	Arrangement for Spatial Separation and/or Convergence of Optical Wavelength Channels
	 	 	6,591,034	 	 	10/6/2000
	Finisar Corporation	 	Amplifier Circuit
	 	 	6,593,814	 	 	9/10/2001
	Finisar Corporation	 	Device for Sealing A coupling Unit for an Optoelectronic Component Against Contaminants
	 	 	6,599,033	 	 	10/30/2000
	Finisar Corporation	 	Linear Semiconductor Optical Amplifier with Broad Area Laser
	 	 	6,603,599	 	 	4/29/2002
	Finisar Corporation	 	Mechanical Stabilization of Lattice Mismatched Quantum Wells
	 	 	6,603,784	 	 	12/21/1998
	Finisar Corporation	 	Graded Thickness Optical Element and Method of Manufacture
	 	 	6,606,199	 	 	10/10/2001
	Finisar Corporation	 	Hot-Pluggable Electronic Component Connection
	 	 	6,607,394	 	 	2/6/2001
	Finisar Corporation	 	Integrated Pump Combining Module
	 	 	6,608,723	 	 	10/5/2001
	Finisar Corporation	 	Device for Unlocking an Electronic Component That is Insertable Into A Receiving Device
	 	 	6,612,858	 	 	11/3/2000
	Finisar Corporation	 	Variable Optical Delay
	 	 	6,614,583	 	 	4/5/2001
	Finisar Corporation	 	Technique for Combined Spectral, Power and Polarization Monitoring
	 	 	6,618,129	 	 	4/6/2001
	Finisar Corporation	 	Precision optical filter with a ball-end joint
	 	 	6,621,954	 	 	11/14/2000
	Finisar Corporation	 	Method and apparatus for a polarization beam splitter/with an integrated optical isolator
	 	 	6,628,461	 	 	7/5/2001

8

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Holder
	 	 	6,641,416	 	 	4/16/2001
	Finisar Corporation	 	Differential Complementary Amplifier
	 	 	6,642,790	 	 	4/15/2002
	Finisar Corporation	 	Optoelectronic Laser Module
	 	 	6,647,038	 	 	10/3/2001
	Finisar Corporation	 	Electrically Pumped Vertical Optical Cavity With Improved Electrical Performance
	 	 	6,647,041	 	 	5/26/2000
	Finisar Corporation	 	A Method And Apparatus For Parallel Optical Processing For Dual Port Devices
	 	 	6,658,180	 	 	2/26/2001
	Finisar Corporation	 	Shielding Element for Electromagnetic Shielding of an Aperture Opening
	 	 	6,660,933	 	 	10/1/2002
	Finisar Corporation	 	Method For Rebroadcasting Signals In An Optical Backplane Bus System
	 	 	6,661,940	 	 	7/18/2001
	Finisar Corporation	 	Compact Optical Assembly for Optoelectronic Transceivers
	 	 	6,668,113	 	 	9/19/2001
	Finisar Corporation	 	Semiconductor Optical Amplifiers With Broadened Gain Spectrum
	 	 	6,671,086	 	 	4/29/2002
	Finisar Corporation	 	Integrated Waveguide Arrangement, Process for Producing an Integrated Waveguide Arrangement, and Waveguide Components
	 	 	6,671,439	 	 	7/5/2001
	Finisar Corporation	 	Housing for Plug-Connected Electrical Component and Method of Mounting Such a Housing on a Printed Circuit Board
	 	 	6,672,901	 	 	1/16/2001
	Finisar Corporation	 	Protective Side Wall Passivation for VCSEL Chips
	 	 	6,674,777	 	 	8/31/2000
	Finisar Corporation	 	Passive Thermal Stabilization For an Optical MUX/DEMUX
	 	 	6,674,968	 	 	1/6/2000
	Finisar Corporation	 	Coupled Cavity Anti-Guided Vertical-Cavity Surface-Emitting
	 	 	6,678,300	 	 	5/13/2002
	Finisar Corporation	 	Optical Subassembly and Related Methods for Aligning an Optical Fiber with a Light Emitting Device
	 	 	6,682,231	 	 	12/14/2000
	Finisar Corporation	 	Method and Apparatus for an Optical Filter
	 	 	6,684,002	 	 	8/31/2001
	Finisar Corporation	 	Wavelength-Selective Detector
	 	 	6,693,311	 	 	6/4/2002
	Finisar Corporation	 	Signal Processing Circuit for Floating Signal Sources Using Positive Feedback
	 	 	6,693,487	 	 	8/8/2001
	Finisar Corporation	 	Wavelength Division Multiplexed Vertical Cavity Surface Emitting Laser
	 	 	6,693,934	 	 	12/25/2001
	Finisar Corporation	 	Method and Apparatus for an Optical Filter
	 	 	6,694,066	 	 	6/11/2001
	Finisar Corporation	 	High-Speed Package Design with Suspended Substances and PCB
	 	 	6,697,260	 	 	10/29/2001
	Finisar Corporation	 	Laser Light Sources Having Integrated Detector and Intensity
	 	 	6,697,396	 	 	10/2/2001
	Finisar Corporation	 	Method and Apparatus for Producing High-Frequency Oscillations
	 	 	6,700,452	 	 	1/17/2002
	Finisar Corporation	 	Header Assembly Having Integrated Cooling Device
	 	 	6,703,561	 	 	8/29/2002
	Finisar Corporation	 	Low-Noise, High-Power, Optical Amplifier
	 	 	6,704,138	 	 	11/19/2002
	Finisar Corporation	 	High Power Single Mode Vertical Cavity Surface Emitting Laser
	 	 	6,704,343	 	 	7/18/2002
	Finisar Corporation	 	Polarization Beam Combiner/Splitter
	 	 	6,704,469	 	 	9/12/2000

9

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Early Warning Failure Detection for a Lasing Semiconductor Optical Amplifier
	 	 	6,707,600	 	 	12/21/2001
	Finisar Corporation	 	Flexible Optic Connector Assembly
	 	 	6,709,607	 	 	4/30/2002
	Finisar Corporation	 	Optical Component Mounting Apparatus
	 	 	6,714,366	 	 	8/21/2002
	Finisar Corporation	 	Optoelectronic Devices and Methods of Production
	 	 	6,724,798	 	 	12/31/2001
	Finisar Corporation	 	Spatially Modulated Reflector For an Optoelectric Device
	 	 	6,727,520	 	 	12/29/2000
	Finisar Corporation	 	System for Controlling Bias Current in Laser Diodes with Improved Switching Rates
	 	 	6,728,276	 	 	10/30/2002
	Finisar Corporation	 	Apparatus and Method Providing a Balancing Load to a Laser Differential Drive Circuit
	 	 	6,728,280	 	 	3/12/2001
	Finisar Corporation	 	Microbend Fused Fiber Coupler Method And Apparatus
	 	 	6,731,842	 	 	1/16/2003
	Finisar Corporation	 	Dual-Electrode Traveling Wave Optical Modulators and Methods
	 	 	6,738,174	 	 	2/23/2001
	Finisar Corporation	 	Current Confinement, Capaitance Reduction and Isolation of
	 	 	6,738,409	 	 	12/28/2001
	Finisar Corporation	 	Method and Apparatus for Monitoring Optical Switches and Cross-Connects
	 	 	6,740,864	 	 	4/30/2002
	Finisar Corporation	 	Precision Alignment of Optical Devices
	 	 	6,741,409	 	 	10/4/2002
	Finisar Corporation	 	Edge Emitting Lasers Using Photonic Crystals
	 	 	6,744,804	 	 	7/18/2002
	Finisar Corporation	 	Optical 2R/3R Regeneration
	 	 	6,765,715	 	 	12/21/2001
	Finisar Corporation	 	Trans-Impedance Amplifier Having Wide Data Rate Range
	 	 	6,771,132	 	 	2/21/2003
	Finisar Corporation	 	Method for Coupling A Surface-Oriented Opto-Electronic Element with an Optical Fiber and Opto-Electronic Element for Carrying out Such a Method
	 	 	6,773,169	 	 	9/3/2002
	Finisar Corporation	 	Method and Apparatus For Monitoring the Power of a Multi-Wavelength and Optical Signal
	 	 	6,774,348	 	 	6/4/2002
	Finisar Corporation	 	Wide Dynamic Range Trans-Impedance Amplifier with a Controlled Low Frequency Cutoff at High Optical Power
	 	 	6,778,021	 	 	12/11/2003
	Finisar Corporation	 	Holographic Demultiplexor
	 	 	6,778,270	 	 	9/13/2002
	Finisar Corporation	 	System and Method for Testing a Laser Module by Measuring Its Side Mode Suppression Ratio
	 	 	6,778,566	 	 	9/18/2002
	Finisar Corporation	 	Tunable Vertical Cavity Surface Emitting Laser
	 	 	6,778,581	 	 	9/24/2002
	Finisar Corporation	 	Dynamic Variable Optical Attenuator, And Variable Optical Tap
	 	 	6,778,736	 	 	3/14/2002
	Finisar Corporation	 	Integration of Top-Emitting and Top-Illuminates Optoelectronic Devices with Micro-Optic and Electronic Integrated Circuits
	 	 	6,780,661	 	 	4/12/2000
	Finisar Corporation	 	Electrical Arrangement and Method for Producing and Electrical Arrangement
	 	 	6,781,057	 	 	11/25/2003

10

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Control Arrangement in Optical Transmission/Reception Module, Includes Circuit board with Radio Frequency Lines Which are Connected to Package
Terminals in Parallel to Board Plane
	 	 	6,781,727	 	 	12/18/2000
	Finisar Corporation	 	Resonant Reflector For Use With Optoelectronic Devices
	 	 	6,782,027	 	 	12/29/2000
	Finisar Corporation	 	Configuration for Multiplexing and/or Demultiplexing the Signals of at Least Two Optical Wavelength Channels
	 	 	6,788,850	 	 	4/30/2002
	Finisar Corporation	 	Double-Tube Fiber Coupler Package
	 	 	6,788,852	 	 	4/30/2002
	Finisar Corporation	 	Extended Bandwidth Semiconductor Optical Amplifier
	 	 	6,791,746	 	 	1/21/2003
	Finisar Corporation	 	Fiber Optic Header With Integrated Power Monitor
	 	 	6,792,178	 	 	1/12/2000
	Finisar Corporation	 	Polarization Independent Semiconductor Optical Amplifier
	 	 	6,798,568	 	 	4/29/2002
	Finisar Corporation	 	Hybrid Mirror VCSELs
	 	 	6,798,806	 	 	9/3/2002
	Finisar Corporation	 	Zero Static Power Optical Switch
	 	 	6,798,942	 	 	4/5/2002
	Finisar Corporation	 	Lasing Semiconductor Optical Amplifier With Output Power Monitor and Control
	 	 	6,801,555	 	 	3/6/2002
	Finisar Corporation	 	Single Mode Vertical Cavity Surface Emitting Laser Using Photonic Crystals with a Central Defect
	 	 	6,810,056	 	 	9/26/2002
	Finisar Corporation	 	Optical Filter and Optical Filtering Method
	 	 	6,810,174	 	 	9/16/2002
	Finisar Corporation	 	Long Wavelength VCSEL With Tunnel Junction, and Implant
	 	 	6,813,293	 	 	11/21/2002
	Finisar Corporation	 	Fiber Optical Pigtail Geometry For Improved Extinction Ratio of Polarization Maintaining Fibers
	 	 	6,813,414	 	 	7/17/2000
	Finisar Corporation	 	Gain Guide Implant in Oxide Vertical Cavity Surface Emitting Laser
	 	 	6,816,526	 	 	12/28/2001
	Finisar Corporation	 	Optical Module With Simplex Port Cap EMI Shield
	 	 	6,817,782	 	 	2/13/2003
	Finisar Corporation	 	Optical Isolator Mounting Apparatus
	 	 	6,819,509	 	 	8/21/2002
	Finisar Corporation	 	Lasing Semiconductor Optical Amplifier with Optical Signal Power Monitor
	 	 	6,822,787	 	 	2/1/2002
	Finisar Corporation	 	Compact Polarization Insensitive Circulators with Simplified Structure and Low Polarization Mode Dispersion
	 	 	6,822,793	 	 	8/31/2001
	Finisar Corporation	 	Housing for Receiving a Component Which can Be Connected to the Housing in a Pluggable Manner
	 	 	6,822,872	 	 	1/16/2001
	Finisar Corporation	 	GaAs/AI (Ga)AS Distributed Bragg Reflector on InP
	 	 	6,822,995	 	 	2/21/2002
	Finisar Corporation	 	Optoelectronic Device
	 	 	6,823,095	 	 	1/9/2003
	Finisar Corporation	 	A Vertical Cavity Surface Emitting Laser Using Photonic Crystals
	 	 	6,829,281	 	 	6/19/2002
	Finisar Corporation	 	Reconfigurable Optical Add-drop Multiplexer
	 	 	6,829,405	 	 	3/11/2002
	Finisar Corporation	 	Resonant Reflector for Increased Wavelength and Polarization Control
	 	 	6,836,501	 	 	4/12/2002
	Finisar Corporation	 	Optical Filter for Wavelength Division Multiple Optical Signals
	 	 	6,836,581	 	 	9/11/2003

11

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Flexible Seal To Reduce Optical Component Contamination
	 	 	6,837,625	 	 	6/24/2002
	Finisar Corporation	 	Backside Alignment And Packaging Of Opto-Electronic Devices
	 	 	6,838,689	 	 	9/25/2002
	Finisar Corporation	 	Laser Monitoring and Control in a Transmitter Optical Subassembly Having a Ceramic Feedthrough Header Assembly
	 	 	6,841,733	 	 	9/4/2003
	Finisar Corporation	 	Transimpedance Amplifier Assembly with Separate Ground leads and Separate Power Leads for Included Circuits
	 	 	6,841,815	 	 	10/30/2002
	Finisar Corporation	 	Fiber Optic Laser Transmitter with Reduced Near End Reflections
	 	 	6,842,467	 	 	3/8/2000
	Finisar Corporation	 	Wide Dynamic Range Trans-Impedance Amplifier
	 	 	6,844,784	 	 	2/21/2003
	Finisar Corporation	 	Optical Filter for Wavelength Division Multiple Optical Signals
	 	 	6,845,191	 	 	9/11/2003
	Finisar Corporation	 	Optical Transistor And Method Thereof
	 	 	6,847,054	 	 	2/7/2002
	Finisar Corporation	 	Optical Component Having Trans-Impedance Amplifier with Wide Dynamic Power Range
	 	 	6,847,263	 	 	5/5/2004
	Finisar Corporation	 	Method And Apparatus For An Optical Multiplexer And Demultiplexer With An Optical Processing Loop
	 	 	6,850,364	 	 	6/12/2002
	Finisar Corporation	 	Asymmetric Distribute Bragg Reflector for Vertical Cavity Surface Emitting Lasers
	 	 	6,850,548	 	 	12/28/2001
	Finisar Corporation	 	Cooled Externally Modulated Laser For Transmitter Optical Subassembly
	 	 	6,852,928	 	 	7/28/2003
	Finisar Corporation	 	Method And Apparatus For Compensating A Photo-Detector
	 	 	6,852,966	 	 	10/30/2002
	Finisar Corporation	 	Submount For Vertical Cavity Surface Emitting Lasers and Detectors
	 	 	6,853,007	 	 	12/28/2001
	Finisar Corporation	 	Method and Apparatus for Producing a Clock Output Signal
	 	 	6,853,230	 	 	11/16/2001
	Finisar Corporation	 	Method and Device for Determining the Output Power of a Semiconductor Laser Diode
	 	 	6,853,657	 	 	2/10/2003
	Finisar Corporation	 	Optical Logical Circuits Based on Lasing Semiconductor Optical Amplifiers
	 	 	6,853,658	 	 	12/14/2001
	Finisar Corporation	 	Polarization Maintaining Coupler
	 	 	6,853,767	 	 	10/24/2003
	Finisar Corporation	 	Device for Unlocking an Electronic Component That is Insertable Into A Receiving Device
	 	 	6,854,997	 	 	11/3/2000
	Finisar Corporation	 	Signal Strength Detection in High-Speed Optical Electronics
	 	 	6,855,920	 	 	10/31/2002
	Finisar Corporation	 	Optical Transceiver Module
	 	 	6,856,769	 	 	10/24/2000
	Finisar Corporation	 	Optical Device Assembly with an Anti-Kink Protector and Transmitting/Receiving Module
	 	 	6,857,791	 	 	12/18/2001
	Finisar Corporation	 	Atomic Hydrogen as a Surfactant in Production of Highly Strained InGaAsHb, and/or GaAsNSb Quantum Wells
	 	 	6,858,519	 	 	8/14/2002
	Finisar Corporation	 	Optical Polarization Beam Combiner/Splitter
	 	 	6,859,316	 	 	10/30/2000
	Finisar Corporation	 	Tunable Laser Assembly
	 	 	6,862,301	 	 	12/31/2001

12

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Maintaining Desirable Performance of Optical Emitters Over Temperature Variations
	 	 	6,862,302	 	 	10/31/2002
	Finisar Corporation	 	Multi-Layer Ceramic Feedthrough Structure in a Transmitter Optical Subassembly
	 	 	6,867,368	 	 	7/23/2003
	Finisar Corporation	 	Compact Laser Package with Integrated Temperature Control
	 	 	6,868,104	 	 	3/18/2002
	Finisar Corporation	 	Bendable Optical Signal Transmitter Port
	 	 	6,872,009	 	 	8/21/2002
	Finisar Corporation	 	High Speed Optical Transceiver Package Using Heterogeneous Integration
	 	 	6,872,983	 	 	11/11/2002
	Finisar Corporation	 	Technique for Biasing Lasers
	 	 	6,873,632	 	 	8/27/2002
	Finisar Corporation	 	Circuit Interconnect for Optoelectronic Device for Controlled Impedance at High Frequencies
	 	 	6,876,004	 	 	12/4/2001
	Finisar Corporation	 	Multiple Mode Fiber With Mode Discrimination
	 	 	6,876,805	 	 	9/9/2002
	Finisar Corporation	 	Process For Improving Yield Of DFB Lasers
	 	 	6,878,565	 	 	10/27/2003
	Finisar Corporation	 	Small Form Factor Optical Transceiver with Extended Transmission Range
	 	 	6,878,875	 	 	12/30/2003
	Finisar Corporation	 	Optoelectronic Transceiver Module with Thermally Isolated Components
	 	 	6,880,983	 	 	3/18/2002
	Finisar Corporation	 	Polarization Independent Packaging for Polarization Sensitive Optical Waveguide Amplifier
	 	 	6,882,764	 	 	8/22/2003
	Finisar Corporation	 	Transceiver Latch Mechanism
	 	 	6,884,097	 	 	10/15/2003
	Finisar Corporation	 	Drive Device for a Light-Emitting Component
	 	 	6,885,443	 	 	7/3/2003
	Finisar Corporation	 	Zero Clearance Receptacle Design For Single Mode Optical Fiber Connectors
	 	 	6,885,797	 	 	1/22/2003
	Finisar Corporation	 	Optical Transmitter and Method for Generating a Digital Optical Signal Sequence
	 	 	6,885,826	 	 	1/25/2002
	Finisar Corporation	 	Electrical Adapter for Protecting Electrical Interfaces
	 	 	6,887,109	 	 	10/28/2003
	Finisar Corporation	 	Edge Bead Control Method and Apparatus
	 	 	6,887,801	 	 	7/18/2003
	Finisar Corporation	 	Method And Apparatus For Monitoring A Photo-Detector
	 	 	6,888,123	 	 	5/9/2003
	Finisar Corporation	 	Long Wavelength VCSEL Bottom Mirror
	 	 	6,888,873	 	 	2/21/2002
	Finisar Corporation	 	Automatic Configuration and Optimization of Optical Transmission Using Raw Error Rate Monitoring
	 	 	6,889,347	 	 	6/15/2001
	Finisar Corporation	 	Multistage Tunable Gain Optical Amplifier
	 	 	6,891,664	 	 	9/28/2001
	Finisar Corporation	 	Method And Apparatus For Precision Turning An Optical Filter Using A Ball-End Joint
	 	 	6,891,999	 	 	8/28/2001
	Finisar Corporation	 	Angled EMI Shield For Transceiver-PCB Interface
	 	 	6,893,293	 	 	8/1/2003
	Finisar Corporation	 	Thin Film Solar Cell Configuration and Fabrication Method
	 	 	6,897,485	 	 	6/17/2003

13

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Electroabsorption Modulator, Modulator Laser Device and Method for Producing an Electroabsorption Modulator
	 	 	6,897,993	 	 	7/25/2002
	Finisar Corporation	 	Apparatus and Method for Reducing Interference in an Optical Data Stream
	 	 	6,898,379	 	 	11/5/2002
	Finisar Corporation	 	Electronic Drive Circuit for Directly Modulated Semiconductor Lasers
	 	 	6,901,091	 	 	12/27/2002
	Finisar Corporation	 	Material System for Bragg Reflector in Long Wavelength VCSELs
	 	 	6,901,096	 	 	12/20/2002
	Finisar Corporation	 	Vertical Cavity Surface Emitting Laser Having a Gain Guide Aperture Interior to an Oxide Confinement Layer
	 	 	6,904,072	 	 	12/28/2001
	Finisar Corporation	 	Optical Interconnection Sub-Assembly
	 	 	6,905,252	 	 	8/21/2002
	Finisar Corporation	 	Versatile Method and System for Single Mode VCSELs
	 	 	6,905,900	 	 	11/28/2000
	Finisar Corporation	 	Early Warning Failure Detection for a Lasing Semiconductor Optical Amplifier
	 	 	6,906,856	 	 	11/6/2003
	Finisar Corporation	 	Transceiver Latch Mechanism
	 	 	6,908,323	 	 	7/1/2004
	Finisar Corporation	 	Optical Receiver Including a Linear Semiconductor Optical Amplifier
	 	 	6,909,536	 	 	12/14/2001
	Finisar Corporation	 	Wafer Integration of Micro-Optics
	 	 	6,909,554	 	 	1/27/2003
	Finisar Corporation	 	Connection System
	 	 	6,909,612	 	 	9/16/2002
	Finisar Corporation	 	Equalizer for Optical Signals Using a Single Correlation Function
	 	 	6,909,742	 	 	2/27/2004
	Finisar Corporation	 	Header Assembly for Optoelectronic Devices
	 	 	6,911,599	 	 	3/8/2004
	Finisar Corporation	 	Optical Transceiver Module with a Single Internal Serial Bus
	 	 	6,912,361	 	 	10/8/2002
	Finisar Corporation	 	Auto-Alignment System with Focused Light Beam
	 	 	6,914,237	 	 	5/17/2002
	Finisar Corporation	 	1xN Switch Using Polarization Splitters and Combiners
	 	 	6,915,031	 	 	11/4/2002
	Finisar Corporation	 	Lens Press Tool
	 	 	6,916,055	 	 	10/24/2002
	Finisar Corporation	 	Optoelectronic Component and Method for Producing an Optoelectronic Component
	 	 	6,917,055	 	 	1/9/2003
	Finisar Corporation	 	Low Force Optical Fiber Auto-Alignment System
	 	 	6,919,955	 	 	5/17/2002
	Finisar Corporation	 	Integrated Optical Isolator and Polarization Beam Combiner
	 	 	6,919,989	 	 	10/30/2003
	Finisar Corporation	 	An Adaptable Optical Subassembly Module For Different Optical Fiber Connection Interfaces
	 	 	6,921,213	 	 	4/29/2003
	Finisar Corporation	 	High Frequency Flexeiteranschluss for Electrooptical Components in Ton Package
	 	 	6,922,344	 	 	8/15/2003
	Finisar Corporation	 	Vertical Cavity Surface Emitting Laser Including Indium in the Active Region
	 	 	6,922,426	 	 	12/20/2001
	Finisar Corporation	 	Protective Side Wall Passive for VCSEL Chips
	 	 	6,924,161	 	 	5/1/2003

14

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Method for Detecting and/or Controlling the Transmission Wavelengths of Transmitting Elements of an Optical Wavelength Multiplex Transmission
Unit and a Corresponding Wavelength Multiplex Transmission Unit
	 	 	6,925,266	 	 	10/22/2000
	Finisar Corporation	 	Pluggable Transceiver Latching Mechanism
	 	 	6,926,551	 	 	9/27/2000
	Finisar Corporation	 	Method And Apparatus For Monitoring A Photo-Detector
	 	 	6,930,300	 	 	7/30/2002
	Finisar Corporation	 	Optical Component Assembly System
	 	 	6,931,714	 	 	4/22/2003
	Finisar Corporation	 	Circuit Board Having Traces with Distinct Transmission Impedances
	 	 	6,932,518	 	 	3/19/2003
	Finisar Corporation	 	Method and Apparatus For Hermetically Sealing Photonic Devices
	 	 	6,932,522	 	 	5/22/2003
	Finisar Corporation	 	Method and Apparatus for Eliminating Dead Zone in Phase Locked Loops Using Binary Quantized Phase Detectors
	 	 	6,934,869	 	 	9/12/2001
	Finisar Corporation	 	Circuit Configuration for Regenerating Clock Signals
	 	 	6,937,078	 	 	7/18/2003
	Finisar Corporation	 	System and Method of Processing a Data Signal
	 	 	6,937,949	 	 	10/31/2002
	Finisar Corporation	 	Method And System For Optical Packaging
	 	 	6,939,059	 	 	1/3/2003
	Finisar Corporation	 	Wedged Optical Filter Stack
	 	 	6,940,593	 	 	4/5/2002
	Finisar Corporation	 	Control System for Electrochromic Devices
	 	 	6,940,627	 	 	10/30/2003
	Finisar Corporation	 	Heat Spreader for Optical Transceiver Components
	 	 	6,940,723	 	 	7/8/2003
	Finisar Corporation	 	Driving Device for a Light-Emitting Component and a Method for Driving a Light-Emitting component
	 	 	6,943,505	 	 	6/5/2003
	Finisar Corporation	 	Optical Amplifier With Damped Relaxation Oscillation
	 	 	6,943,939	 	 	3/19/2002
	Finisar Corporation	 	Method and Apparatus for Producing High-Frequency Oscillations
	 	 	6,946,921	 	 	7/3/2003
	Finisar Corporation	 	Maintaining Desirable Performance of Optical Emitters at Extreme Temperatures
	 	 	6,947,455	 	 	10/31/2002
	Finisar Corporation	 	Methods and Systems for Removing an Oxide-Induced Dead Zone in a Semiconductor Device Structure
	 	 	6,949,473	 	 	5/24/2002
	Finisar Corporation	 	System and Method for Wavelength Conversion Using a VLSOA
	 	 	6,950,233	 	 	12/14/2001
	Finisar Corporation	 	Arrangement for the Electrical Connection of an Optoelectronic Component to an Electrical Component
	 	 	6,950,314	 	 	7/3/2004
	Finisar Corporation	 	Phase Detector Circuit for a Phase Control Loop
	 	 	6,950,482	 	 	11/2/2001
	Finisar Corporation	 	Pad Architecture for Backwards Compatibility for Bi-Directional Transceiver Modules
	 	 	6,951,426	 	 	3/2/2004
	Finisar Corporation	 	Simplex Port Cap EMI Shield
	 	 	6,953,289	 	 	9/22/2004
	Finisar Corporation	 	Compact Package Design for Vertical Cavity Surface Emitting Laser Array to Optical Fiber Cable Connection
	 	 	6,953,291	 	 	6/30/2003
	Finisar Corporation	 	Coupling Configuration For Optically Coupling an Optical Conductor to an Opto-Receiver
	 	 	6,954,565	 	 	5/31/2002

15

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Optical Transceiver Including Connectorized Optical Sub-Assembly
	 	 	6,955,482	 	 	6/30/2003
	Finisar Corporation	 	Drive Device for a Light-Emitting Component
	 	 	6,956,408	 	 	1/26/2004
	Finisar Corporation	 	Apparatus and Method for Testing Optical Transceivers
	 	 	6,956,643	 	 	10/2/2003
	Finisar Corporation	 	Method and Apparatus for Reducing Interference in an Optical Data Stream using Data-Independent Equalization
	 	 	6,956,917	 	 	4/17/2003
	Finisar Corporation	 	High Speed Optical System
	 	 	6,961,489	 	 	6/30/2003
	Finisar Corporation	 	System and Method for VCSEL Polarization Control
	 	 	6,963,598	 	 	5/23/2000
	Finisar Corporation	 	Signal Strength Detection Circuits for High Speed Optical Electronics
	 	 	6,965,103	 	 	2/28/2005
	Finisar Corporation	 	Single Mode VCSEL
	 	 	6,965,626	 	 	9/3/2002
	Finisar Corporation	 	Distributed Feedback Laser Having Differential Grating Strength
	 	 	6,965,628	 	 	10/30/2002
	Finisar Corporation	 	High Efficiency Active Matching Electro-Optic Transducer Driver Circuit Operable with Low Supply Voltages
	 	 	6,965,722	 	 	3/8/2005
	Finisar Corporation	 	Methods For Maintaining Laser Performance at Extreme Temperatures
	 	 	6,967,320	 	 	10/6/2004
	Finisar Corporation	 	Electrically Connecting Integrated Circuits and Transducers
	 	 	6,969,265	 	 	5/18/2000
	Finisar Corporation	 	Multi-Channel Polarization Beam Combiner/Splitter
	 	 	6,973,224	 	 	10/30/2003
	Finisar Corporation	 	Optoelectronic Device Capable of Participating in In-Band Traffic
	 	 	6,975,642	 	 	11/14/2001
	Finisar Corporation	 	Vertical Cavity Surface Emitting Laser Including Indium and Antimony in the Active Region
	 	 	6,975,660	 	 	12/27/2001
	Finisar Corporation	 	Method and Apparatus For Producing VCSELs with Dielectric Mirrors and Self-Aligned Gain Guide
	 	 	6,975,661	 	 	6/14/2001
	Finisar Corporation	 	Optical Switching Device Using Electro-Optic Effect To Create Small Prisms
	 	 	6,975,782	 	 	10/21/2002
	Finisar Corporation	 	Refractive Index Drating and Mode Coupler Having a Refractive Index Grating
	 	 	6,975,795	 	 	11/29/2002
	Finisar Corporation	 	Arrangement for Connecting the Terminal Contacts of an Electronic Component to a Printed Circuit
	 	 	6,976,854	 	 	2/5/2004
	Finisar Corporation	 	Electrically Pumped Semiconductor Active Region with a Backward Diode, for Enhancing Optical Signals
	 	 	6,977,424	 	 	3/18/2003
	Finisar Corporation	 	Laser Production and Product Qualification Via Accelerated Life Testing Based on Statistical Modeling
	 	 	6,977,517	 	 	5/19/2003
	Finisar Corporation	 	System, Methods and Devices for Holographic Demultiplexing of Optical Signals
	 	 	6,977,726	 	 	5/28/2004
	Finisar Corporation	 	Free Space Optical Isolator with Integrated Quarter-Wave Plate
	 	 	6,977,763	 	 	11/5/2003
	Finisar Corporation	 	Vertical Laser Cavity with a Non-planar Top Mirror
	 	 	6,980,577	 	 	3/18/2003
	Finisar Corporation	 	Differential Press Tool
	 	 	6,983,533	 	 	4/17/2003
	Finisar Corporation	 	System and Method of Testing a Transceiver
	 	 	6,985,823	 	 	10/29/2003

16

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Transceiver Module Cage for Use with Modules of Varying Widths
	 	 	6,986,679	 	 	9/12/2003
	Finisar Corporation	 	Long-Wavelength Vertical Cavity Surface Emitting Lasers
	 	 	6,987,791	 	 	10/30/2002
	Finisar Corporation	 	Simplified Gain Flattening and Tap Device for Advances EDFA
	 	 	6,987,905	 	 	12/2/2003
	Finisar Corporation	 	Distributed Bragg Reflector for an Optoelectronic Device
	 	 	6,990,135	 	 	10/28/2002
	Finisar Corporation	 	Heat Controlled Optoelectrical Unit
	 	 	6,992,895	 	 	5/18/2004
	Finisar Corporation	 	Small Form Factor Transceiver with Externally Modulated Laser
	 	 	6,996,304	 	 	1/3/2005
	Finisar Corporation	 	Mode Indicator For Transceiver Module
	 	 	6,997,622	 	 	1/16/2004
	Finisar Corporation	 	Integration of Top-Emitting and Top-Illuminated Optoelectronic Devices With Micro-Optic and Electronic Integrated Circuits
	 	 	6,998,646	 	 	10/31/2002
	Finisar Corporation	 	Microcode Driven Adjustment of Analog to Digital Converter
	 	 	6,999,011	 	 	3/31/2004
	Finisar Corporation	 	Waveguide
	 	 	6,999,294	 	 	3/14/2003
	Finisar Corporation	 	Electromagnetic Interface Containment Transceiver Module
	 	 	6,999,323	 	 	4/28/2003
	Finisar Corporation	 	Waveguide Crossing
	 	 	6,999,645	 	 	11/12/2003
	Finisar Corporation	 	Cancellation of Optical Signal Echoes in Bi-Directional Optical Fibers
	 	 	6,999,679	 	 	10/10/2003
	Finisar Corporation	 	Hermetic Chip-Scale Package For Photonic Devices
	 	 	7,004,644	 	 	6/29/1999
	Finisar Corporation	 	Combined Multiplexer And Demultiplexer For Optical Communication System
	 	 	7,006,727	 	 	3/14/2002
	Finisar Corporation	 	Add/Drop Module Using Two Full-Ball Lenses
	 	 	7,006,728	 	 	6/23/2003
	Finisar Corporation	 	Control Apparatus and Method For Controlling Access to a Memory In an Integrated Circuit for an Electronic Module
	 	 	7,007,145	 	 	8/11/2003
	Finisar Corporation	 	Testing System and Method Using Electrical Adapter for Protecting Electrical Interfaces
	 	 	7,008,238	 	 	11/22/2004
	Finisar Corporation	 	Metamorphic Long Wavelength High-Speed Photodiode
	 	 	7,009,224	 	 	4/14/2003
	Finisar Corporation	 	Systems and Devices for Optical 2R/3R Regeneration
	 	 	7,009,760	 	 	5/12/2004
	Finisar Corporation	 	Adjustable Optical Signal Collimator
	 	 	7,010,193	 	 	10/30/2003
	Finisar Corporation	 	Planar-Optical Apparatus for Setting the Chromatic Dispersion in an Optical System
	 	 	7,013,065	 	 	5/19/2004
	Finisar Corporation	 	Power Optimization for Operation of Optoelectronic Device with Thermoelectric Cooler
	 	 	7,018,114	 	 	4/29/2004
	Finisar Corporation	 	Laser Production and Product Qualification via Accelerated Life Testing Based on Statistical Modeling
	 	 	7,019,548	 	 	5/26/2005
	Finisar Corporation	 	Circuit and Method for Correction of the Duty Cycle Value of a Digital Data Signal
	 	 	7,019,574	 	 	1/29/2004
	Finisar Corporation	 	Operational Amplifier for Optical Transceiver
	 	 	7,020,170	 	 	11/25/2003
	Finisar Corporation	 	A System and Method of Measuring a Signal Propagation Delay
	 	 	7,020,567	 	 	10/28/2003

17

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Systems and Methods for Fabricating Printed Circuit Boards
	 	 	7,020,960	 	 	1/22/2004
	Finisar Corporation	 	Dual Stage Optical Isolator Minimized Polarization Mode Dispersion and Simplified Fabrication Process
	 	 	7,023,618	 	 	7/5/2001
	Finisar Corporation	 	VCSEL Structure Insensitive to Mobile Hydrogen
	 	 	7,023,896	 	 	1/24/2003
	Finisar Corporation	 	Systems and Devices for Dynamic Processing of Optical Signals
	 	 	7,024,085	 	 	6/3/2004
	Finisar Corporation	 	Method and Apparatus for Testing PCBA Subcomponents
	 	 	7,024,329	 	 	3/25/2004
	Finisar Corporation	 	Optoelectrical Transceiver
	 	 	7,025,510	 	 	5/18/2004
	Finisar Corporation	 	Clock Recovery Based on VLSOA Power Monitoring
	 	 	7,027,213	 	 	8/24/2004
	Finisar Corporation	 	Asymmetrical Optical Focusing System
	 	 	7,027,230	 	 	11/3/2003
	Finisar Corporation	 	Optical Receiver with Wide Dynamic Range Transimpedance Amplifier
	 	 	7,030,702	 	 	5/3/2004
	Finisar Corporation	 	Dual Fiber Optic Amplifier with Shared Pump Source
	 	 	7,031,051	 	 	3/7/2003
	Finisar Corporation	 	Long Wavelength VCSEL Device Processing
	 	 	7,031,363	 	 	10/29/2003
	Finisar Corporation	 	Plug-in module for providing bi-directional data transmission
	 	 	7,031,574	 	 	7/21/2003
	Finisar Corporation	 	Calibration of Multi-Channel Optoelectronic Module with Integrated Temperature Control
	 	 	7,035,300	 	 	11/4/2003
	Finisar Corporation	 	Optoelectronic Module and Optoelectronic System
	 	 	7,036,999	 	 	5/14/2004
	Finisar Corporation	 	Signal Strength Detection in High Speed Optical Electronics
	 	 	7,038,187	 	 	10/31/2002
	Finisar Corporation	 	Operation of Laser at Elevated Temperatures and Reduced Power Consumption
	 	 	7,039,082	 	 	12/2/2003
	Finisar Corporation	 	Single-Fiber Bi-Directional Transceiver
	 	 	7,039,278	 	 	7/10/2003
	Finisar Corporation	 	Optical Signal Equalizer with Adjustable Linear Filter
	 	 	7,039,330	 	 	10/10/2003
	Finisar Corporation	 	A Transmission Line with Integrated Connection Pads for Circuit Elements
	 	 	7,042,067	 	 	3/19/2003
	Finisar Corporation	 	Laser Bending Fabrication of Optical Interleavers
	 	 	7,042,571	 	 	10/20/2003
	Finisar Corporation	 	Variable Electrochromic Optical Attenuator
	 	 	7,042,628	 	 	10/17/2003
	Finisar Corporation	 	Single-Fiber Bi-Directional Transceiver
	 	 	7,043,101	 	 	7/10/2003
	Finisar Corporation	 	Adapter for Interoperability Between Optical Transceiver and Legacy Components
	 	 	7,044,656	 	 	2/3/2004
	Finisar Corporation	 	Transistors Outline Package with Exteriorly Mounted Resistors
	 	 	7,044,657	 	 	3/19/2003
	Finisar Corporation	 	Optical Crossbar Using Lasing Semiconductor Optical Amplifiers
	 	 	7,046,434	 	 	12/14/2001
	Finisar Corporation	 	Precision Ferrule Connector Assembly
	 	 	7,048,448	 	 	10/27/2003
	Finisar Corporation	 	Optical Sub-Assembly
	 	 	7,048,449	 	 	8/17/2004
	Finisar Corporation	 	Continuously Variable Attenuation Of Optical Signal Using An Optical Isolator
	 	 	7,050,694	 	 	4/29/2003

18

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Method and System for Equalizing Transmission Line Loss of a Laser Drive Signal
	 	 	7,054,344	 	 	11/17/2003
	Finisar Corporation	 	Enhanced Lateral Oxidation
	 	 	7,054,345	 	 	6/27/2003
	Finisar Corporation	 	Arrangement for the Detection of Optical Signals on a Planar Optical Circuit
	 	 	7,054,560	 	 	5/7/2001
	Finisar Corporation	 	Passive Alignment of Laser with Lens Assembly
	 	 	7,056,034	 	 	12/30/2004
	Finisar Corporation	 	Linear Optical Amplifier Using Coupled Waveguide Induced Feedback
	 	 	7,057,803	 	 	6/30/2004
	Finisar Corporation	 	Age Compensation in Optoelectronic Modules with Integrated Temperature Control
	 	 	7,058,099	 	 	11/4/2003
	Finisar Corporation	 	Indium Free Vertical Cavity Surface Emitting Laser
	 	 	7,058,112	 	 	12/27/2001
	Finisar Corporation	 	VCSEL Mode-Transforming Phase Filter With Enhanced Performance
	 	 	7,061,945	 	 	5/13/2003
	Finisar Corporation	 	Transmitter Optical Sub-Assembly with Eye Safety
	 	 	7,065,106	 	 	3/2/2005
	Finisar Corporation	 	Method for Testing Laser Using Side Mode Suppression Ratio
	 	 	7,065,111	 	 	4/14/2004
	Finisar Corporation	 	Electron Affinity Engineering for VCSELs
	 	 	7,065,124	 	 	1/29/2004
	Finisar Corporation	 	A Thermal Fused Coupler Package
	 	 	7,065,267	 	 	11/13/2003
	Finisar Corporation	 	Optical Transmitter Including a Linear Semiconductor Optical Amplifier
	 	 	7,065,300	 	 	12/13/2001
	Finisar Corporation	 	Small Form Factor Transceiver with Externally Modulated Laser
	 	 	7,066,659	 	 	7/28/2003
	Finisar Corporation	 	Optoelectronic Packaging Assembly
	 	 	7,066,660	 	 	12/19/2003
	Finisar Corporation	 	An Electronic Module Having an Integrated Latching Mechanism
	 	 	7,066,746	 	 	3/14/2003
	Finisar Corporation	 	Shielding Tabs for Reduction of Electromagnetic Interference
	 	 	7,066,765	 	 	1/30/2004
	Finisar Corporation	 	EMI Containment Transceiver Module With Floating PCB
	 	 	7,068,522	 	 	4/23/2004
	Finisar Corporation	 	Selection of IC Vdd for Improved Voltage Regulation of Transceiver/Transponder Modules
	 	 	7,068,942	 	 	10/13/2003
	Finisar Corporation	 	Optical Filter Stack
	 	 	7,071,457	 	 	8/20/2004
	Finisar Corporation	 	Planar Reconfigurable Optical Add/Drop Module
	 	 	7,072,538	 	 	2/10/2003
	Finisar Corporation	 	VCSEL Having Thermal Management
	 	 	7,075,962	 	 	6/27/2003
	Finisar Corporation	 	Fiber Stub Mount
	 	 	7,079,746	 	 	5/5/2003
	Finisar Corporation	 	A System and Method of Detecting a Bit Processing Error
	 	 	7,082,556	 	 	10/31/2002
	Finisar Corporation	 	Optical Transceiver Port
	 	 	7,083,337	 	 	10/28/2003
	Finisar Corporation	 	Tunnel Junction Utilizing GaPSb, AIGaPSb
	 	 	7,085,298	 	 	10/31/2003
	Finisar Corporation	 	Integral Vertical Cavity Surface Emitting Laser and Power Monitor
	 	 	7,085,300	 	 	12/28/2001
	Finisar Corporation	 	Controlling the Dynamic Range of an Avalanche Photodiode
	 	 	7,087,882	 	 	10/31/2003
	Finisar Corporation	 	Bidirectional Optical Device
	 	 	7,088,518	 	 	12/3/2002
	Finisar Corporation	 	System for Modulating Optical Signals
	 	 	7,088,885	 	 	5/5/2003

19

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Compact Laser Package with Integrated Temperature Control
	 	 	7,092,418	 	 	12/14/2004
	Finisar Corporation	 	Vertical Cavity Surface Emitting Laser Including Indium, Antimony and Nitrogen in the Active Region
	 	 	7,095,770	 	 	12/20/2001
	Finisar Corporation	 	Implant Damage Oxide Insulating Region in Vertical Cavity Surface Emitting Laser
	 	 	7,095,771	 	 	8/19/2004
	Finisar Corporation	 	Lead Frame for Connecting Optical Sub-Assembly to Printed Circuit Board
	 	 	7,097,468	 	 	3/26/2004
	Finisar Corporation	 	Tunable Segmented Distributed Bragg Reflector for Linear Optical Amplifier Gain Flatness
	 	 	7,099,075	 	 	9/3/2004
	Finisar Corporation	 	Modulation Doped Tunnel Junction
	 	 	7,099,362	 	 	11/14/2003
	Finisar Corporation	 	Integrated Circuit With Dual Eye Openers
	 	 	7,099,382	 	 	7/28/2003
	Finisar Corporation	 	Top Press Tool
	 	 	7,100,257	 	 	4/17/2003
	Finisar Corporation	 	Miniaturized Reconfigurable DWDM Add/Drop System For Optical Communication System
	 	 	7,103,244	 	 	3/14/2002
	Finisar Corporation	 	Hybrid Cell
	 	 	7,106,508	 	 	9/3/2003
	Finisar Corporation	 	Method For IN SITU Measurement of the Optical Offset of an Optical Component
	 	 	7,103,953	 	 	4/22/2003
	Finisar Corporation	 	Pluggable Transceiver with Cover Resilient Member
	 	 	7,108,523	 	 	4/7/2004
	Finisar Corporation	 	Integrated Optical Device Including a Vertical Lasing Semiconductor Optical Amplifier
	 	 	7,110,169	 	 	12/11/2001
	Finisar Corporation	 	Hybrid Mirror VCSEL
	 	 	7,110,427	 	 	9/3/2004
	Finisar Corporation	 	Optical Astable Multivibrator with Lasing Semiconductor Optical Amplifier
	 	 	7,113,329	 	 	10/13/2004
	Finisar Corporation	 	Apparatus and Method for Setting the AC Bias Point of an Optical Transmitter Module in an Optoelectronic Transceiver
	 	 	7,120,179	 	 	11/6/2003
	Finisar Corporation	 	Optical Latch Based on Lasing Semiconductor Optical Amplifiers
	 	 	7,126,731	 	 	2/27/2004
	Finisar Corporation	 	Integrated Post-Amplifier and Laser Driver
	 	 	7,127,177	 	 	10/29/2002
	Finisar Corporation	 	True RMS Converter Board
	 	 	7,129,689	 	 	4/12/2005
	Finisar Corporation	 	A Multi-Board Optical Transceiver
	 	 	7,130,194	 	 	10/31/2002
	Finisar Corporation	 	Reconfigurable Optical Add-drop Multiplexer
	 	 	7,130,500	 	 	8/26/2004
	Finisar Corporation	 	A Laser Driver Circuit With Signal Transition Enhancement
	 	 	7,133,429	 	 	3/4/2005
	Finisar Corporation	 	Pseudomorphic Layer in Tunnel Junction VCSEL
	 	 	7,136,406	 	 	7/30/2003
	Finisar Corporation	 	Method and Assembly for Aligning Optical Components
	 	 	7,136,568	 	 	4/29/2005
	Finisar Corporation	 	Methods for Signal Transmission in Optical Fiber
	 	 	7,139,454	 	 	2/9/2005
	Finisar Corporation	 	ROSA Alignment Using DC or Low Frequency Optical Source
	 	 	7,140,784	 	 	3/29/2005

20

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	System And Method For Controlling Spectra Passband Profile
	 	 	7,142,749	 	 	6/26/2002
	Finisar Corporation	 	Optical Transceiver Module Having a Dual Segment Molded Lead Frame Connector
	 	 	7,144,259	 	 	9/26/2005
	Finisar Corporation	 	Support Device and Extender Assemblies for Interposer
	 	 	7,145,765	 	 	2/25/2005
	Finisar Corporation	 	Transmitter Preemphasis in Fiber Optic Links
	 	 	7,147,387	 	 	1/19/2005
	Finisar Corporation	 	Optoelectronic Semiconductor Device
	 	 	7,149,236	 	 	10/22/2003
	Finisar Corporation	 	Optical System With Reduced Back Reflection
	 	 	7,149,383	 	 	2/17/2004
	Finisar Corporation	 	Optoelectronic Devices and Methods of Production
	 	 	7,151,785	 	 	9/24/2003
	Finisar Corporation	 	Optical Switch Having a Reflective Component
	 	 	7,151,868	 	 	9/29/2003
	Finisar Corporation	 	Avalanche Photodiode Controller Circuit for Fiber Optics Transceiver
	 	 	7,155,133	 	 	3/18/2002
	Finisar Corporation	 	Angled Wafer Rotating Ion Implantation
	 	 	7,157,730	 	 	12/20/2002
	Finisar Corporation	 	Dust Cap for Fiber Optic Components
	 	 	7,164,840	 	 	4/29/2004
	Finisar Corporation	 	Use of GaAs Extended Barrier Layers Between Active Regions Containing Nitrogen and AIGaAs Confining Layers
	 	 	7,167,495	 	 	10/1/2004
	Finisar Corporation	 	Mechanical Stabilization of Lattice Mismatched Quantum Wells
	 	 	7,167,496	 	 	8/4/2003
	Finisar Corporation	 	Selectively Etchable Heterogeneous Composite Distributed Bragg Reflector
	 	 	7,170,916	 	 	10/30/2002
	Finisar Corporation	 	Magneto-Optic Variable Optical Attenuator
	 	 	7,170,921	 	 	10/17/2003
	Finisar Corporation	 	Optical Duplex Connector For Small Form Factor Modules
	 	 	7,172,347	 	 	9/17/2004
	Finisar Corporation	 	Optical Isolator With Reduced Insertion Loss And Minimized Polarization Mode Dispersion
	 	 	7,173,762	 	 	7/5/2001
	Finisar Corporation	 	Optical Interleaver and Filter Cell Design with Enhanced Clear Aperture
	 	 	7,173,763	 	 	6/11/2004
	Finisar Corporation	 	Method And System for Performing OTDM
	 	 	7,174,100	 	 	4/2/2001
	Finisar Corporation	 	Multi-Rate and Multi-Level Gigabit Interface Converter
	 	 	7,174,106	 	 	8/31/2001
	Finisar Corporation	 	Multiple Width Transceiver Host Board System
	 	 	7,177,157	 	 	10/22/2001
	Finisar Corporation	 	Adjusting Polarity of Transmitter and Receiver Output
	 	 	7,177,547	 	 	10/29/2002
	Finisar Corporation	 	Method and Apparatus for Reducing Reflectance in an Optical Mount Using a Glass Spacer
	 	 	7,178,995	 	 	5/5/2003
	Finisar Corporation	 	IN SITU Adaptive Masks
	 	 	7,179,335	 	 	10/28/2003
	Finisar Corporation	 	Interconnect Mechanism for Connecting a Laser Driver to a Laser
	 	 	7,181,100	 	 	3/8/2006
	Finisar Corporation	 	Coupling Unit for Coupling an Optical Transmitting and/or Receiving Module to an Optical Fiber
	 	 	7,182,525	 	 	10/1/2003
	Finisar Corporation	 	A Laser Driver Circuit for Reducing Electromagnetic Interference
	 	 	7,184,452	 	 	3/3/2005
	Finisar Corporation	 	VCSEL with Integrated Monitor Photodiode
	 	 	7,184,454	 	 	6/25/2004

21

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Mirrors for Reducing the Effects of Spontaneous Emissions in Photodiodes
	 	 	7,184,455	 	 	12/30/2004
	Finisar Corporation	 	Pivot Release Mechanism for Modular Component
	 	 	7,186,134	 	 	2/11/2004
	Finisar Corporation	 	Systems for wafer level burn-in of electronic devices
	 	 	7,190,184	 	 	2/12/2004
	Finisar Corporation	 	Circuits and Methods for Biasing Externally Modulated Lasers and the Like
	 	 	7,194,012	 	 	11/23/2004
	Finisar Corporation	 	Optical Transceiver Package with a Liquid Crystal Variable Optical Attenuator
	 	 	7,196,744	 	 	10/17/2003
	Finisar Corporation	 	Planar Decoupling in Optical Subassembly
	 	 	7,198,414	 	 	12/22/2004
	Finisar Corporation	 	Fabrication and Alignment Device
	 	 	7,202,952	 	 	8/25/2004
	Finisar Corporation	 	Apparatus for Enhancing Impedance-Matching in a High-Speed Data Communications System
	 	 	7,204,648	 	 	11/1/2002
	Finisar Corporation	 	Method And Apparatus For Delayed Recursion Decoder
	 	 	7,206,363	 	 	6/24/2003
	Finisar Corporation	 	Polarization Dependent Loss Loop
	 	 	7,206,466	 	 	10/24/2003
	Finisar Corporation	 	Optical Coupling System
	 	 	7,210,857	 	 	7/16/2003
	Finisar Corporation	 	Multi-Layer Ceramic Feedthrough Structure in a Transmitter Optical Subassembly
	 	 	7,210,859	 	 	11/2/2004
	Finisar Corporation	 	Circuit Interference for Optoelectronic Device
	 	 	7,211,830	 	 	1/6/2005
	Finisar Corporation	 	Actuator For Small Form Factor Pluggable Transceiver
	 	 	7,212,410	 	 	1/16/2004
	Finisar Corporation	 	Methods and Devices for Monitoring the Wavelength and Power of a Laser
	 	 	7,212,555	 	 	10/31/2003
	Finisar Corporation	 	Planar Optical Circuit
	 	 	7,212,697	 	 	12/23/2002
	Finisar Corporation	 	Deformable Optical Signal Transmitter Port
	 	 	7,212,714	 	 	1/6/2005
	Finisar Corporation	 	Redundant Optical Multiplexer Having Reflective Element
	 	 	7,212,738	 	 	4/23/2003
	Finisar Corporation	 	Compact Optical Transceivers for Host Bus Adapters
	 	 	7,215,889	 	 	4/22/2004
	Finisar Corporation	 	Method for Calibrating an Optoelectronic Device Based on APD Breakdown Voltage
	 	 	7,217,914	 	 	7/27/2004
	Finisar Corporation	 	Receiver Circuit Having an Optical Reception Device
	 	 	7,221,229	 	 	4/9/2004
	Finisar Corporation	 	Versatile Method and System for Single Mode VCSELs
	 	 	7,221,691	 	 	7/10/2003
	Finisar Corporation	 	A System and Method of Measuring Turn-on and Turn-Off Times on a Optoelectronic Device
	 	 	7,222,042	 	 	10/27/2003
	Finisar Corporation	 	Cable Television Return Link System With High Data-Rate Side-Band Communication Channels
	 	 	7,222,358	 	 	10/30/2002
	Finisar Corporation	 	Optical Barrels with Electromagnetic Shielding
	 	 	7,223,028	 	 	9/9/2005
	Finisar Corporation	 	Digital Control Interface to Post-Amplifier and Laser Driver
	 	 	7,224,904	 	 	10/29/2002

22

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Clamshell Packaging Structure
	 	 	7,226,220	 	 	3/22/2005
	Finisar Corporation	 	Opto-Electronical Arrangement Having Surface-Mountable Semiconductor Module and a Cooling Element
	 	 	7,228,020	 	 	2/9/2005
	Finisar Corporation	 	Thin Film Interleaver
	 	 	7,228,025	 	 	10/31/2003
	Finisar Corporation	 	Transceiver Module Having a Dual Segment Lead Frame Connector
	 	 	7,229,295	 	 	8/30/2006
	Finisar Corporation	 	Shielding Tabs for Reduction of Electromagnetic Interference
	 	 	7,229,317	 	 	4/17/2006
	Finisar Corporation	 	Temperature and Jitter Compensation Controller Circuit and Method for Fiber Optics Device
	 	 	7,230,961	 	 	2/10/2005
	Finisar Corporation	 	Optoelectronic Arrangement with a Pluggable Optoelectronic Module and an Electrical Connector to be Mounted on a Host-Printed Circuit board and
Electrical Connector
	 	 	7,234,879	 	 	9/7/2004
	Finisar Corporation	 	Dual PIN Diode and Optical Attenuator
	 	 	7,235,852	 	 	1/22/2004
	Finisar Corporation	 	Time-Based Adjustment of Temperature Control of Laser to Stabilize Wavelength
	 	 	7,236,507	 	 	2/19/2004
	Finisar Corporation	 	High Frequency Test Fixture
	 	 	7,236,676	 	 	4/12/2005
	Finisar Corporation	 	Optical Return Loss Measurement
	 	 	7,236,682	 	 	8/29/2005
	Finisar Corporation	 	Scalable And Exchangeable Erbium Doped Fiber Amplifier For DWDM
	 	 	7,236,700	 	 	10/11/2002
	Finisar Corporation	 	Multi-Board Optical Transceiver
	 	 	7,245,498	 	 	3/30/2005
	Finisar Corporation	 	Optoelectronic Arrangement
	 	 	7,245,648	 	 	2/27/2004
	Finisar Corporation	 	Extinction Ratio Determination Using Duty Cycle Modulation
	 	 	7,245,828	 	 	10/31/2005
	Finisar Corporation	 	Digital and Programmable Control of Optical Transceiver Elements
	 	 	7,245,835	 	 	10/29/2002
	Finisar Corporation	 	Plug-In Electronic Module and method for Connecting a Plug-In electronic Module to a Holding Structure
	 	 	7,248,469	 	 	9/5/2003
	Finisar Corporation	 	Optical Transceiver with Capacitive Coupled Signal Ground With Chassis Ground
	 	 	7,249,895	 	 	12/22/2004
	Finisar Corporation	 	Distributed Bragg Reflector for Optoelectronic Device
	 	 	7,251,264	 	 	4/29/2005
	Finisar Corporation	 	Submount, Pedestal, and Bond Wire Assembly for a Transistor Outline Package with Reduced Bond Wire Inductance
	 	 	7,254,149	 	 	3/19/2003
	Finisar Corporation	 	High Power Single Mode Vertical Cavity Surface Emitting Laser
	 	 	7,254,155	 	 	2/3/2004
	Finisar Corporation	 	Method and System for Releasing a Pluggable Module
	 	 	7,255,484	 	 	12/6/2001
	Finisar Corporation	 	Nitrogen Sources for Molecular Beam Epitaxy
	 	 	7,255,746	 	 	9/4/2002
	Finisar Corporation	 	Multicomponent Barrier Layers in Quantum Well Active Regions to Enhance Confinement and Speed
	 	 	7,257,143	 	 	10/1/2004
	Finisar Corporation	 	System and Method for Transmitting Data on Return Path of a Cable Television System
	 	 	7,257,328	 	 	12/12/2000

23

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Methods of Manufacturing Optical Modules Using Dual-Segment Lead Frame Connectors
	 	 	7,258,264	 	 	2/25/2005
	Finisar Corporation	 	Low Temperature Bonding of Multilayer Substrates
	 	 	7,259,466	 	 	12/17/2003
	Finisar Corporation	 	Systems, Devices and Methods for Thermal Testing of an Optoelectronic Module
	 	 	7,260,303	 	 	12/30/2004
	Finisar Corporation	 	Optoelectronic Assembly for Multiplexing and/or Demultiplexing Optical Signals
	 	 	7,260,328	 	 	2/24/2003
	Finisar Corporation	 	Optical Switch Using Polarization Beam Splitters
	 	 	7,263,250	 	 	2/20/2003
	Finisar Corporation	 	Modular Optical Transceiver Package
	 	 	7,264,408	 	 	4/27/2005
	Finisar Corporation	 	Method for Producing Laser with Resonant Reflector
	 	 	7,266,135	 	 	4/7/2004
	Finisar Corporation	 	Temperature Compensation for Fiber Optic Transceivers Using Optimized Convergence Algorithms
	 	 	7,266,136	 	 	3/25/2004
	Finisar Corporation	 	Transceiver Device
	 	 	7,267,493	 	 	4/25/2003
	Finisar Corporation	 	Fiber Stub for Cladding Mode Coupling Reduction
	 	 	7,267,494	 	 	1/31/2006
	Finisar Corporation	 	Apparatus And Method For Stacking Laser Bars For Uniform Facet Coating
	 	 	7,268,005	 	 	10/27/2003
	Finisar Corporation	 	Optical Interleaver, Filter Cell, and Component Design With Reduced Chromatic Dispersion
	 	 	7,268,944	 	 	6/11/2004
	Finisar Corporation	 	Control Circuit for Optoelectronic Module with Integrated Temperature Control
	 	 	7,269,191	 	 	3/18/2002
	Finisar Corporation	 	Transceiver with Programmable Signal Parameters
	 	 	7,269,357	 	 	7/29/2003
	Finisar Corporation	 	Optoelectronic Transmission and/or Reception Arrangement
	 	 	7,270,488	 	 	4/26/2004
	Finisar Corporation	 	Laser Package with Digital Electronic Interface
	 	 	7,270,490	 	 	3/17/2005
	Finisar Corporation	 	Epitaxial Layer for Laser Diode Ridge Protection
	 	 	7,272,161	 	 	9/25/2003
	Finisar Corporation	 	Method for Manufacturing a Photonic Device and a Photonic Device
	 	 	7,273,565	 	 	4/29/2005
	Finisar Corporation	 	Circulator And Polarization Beam Combiner
	 	 	7,274,510	 	 	3/13/2003
	Finisar Corporation	 	Method and Apparatus for Monitoring the Power Level of Two
	 	 	7,274,882	 	 	10/30/2002
	Finisar Corporation	 	Attenuated Barrel Selection Algorithm
	 	 	7,275,878	 	 	5/17/2005
	Finisar Corporation	 	Transceiver Module Having a Flexible Circuit
	 	 	7,275,937	 	 	4/30/2004
	Finisar Corporation	 	A Dielectric VCSEL Gain Guide
	 	 	7,277,461	 	 	6/27/2003
	Finisar Corporation	 	Integrated Light Emitting Device and Photodiode with Ohmic Contact
	 	 	7,277,463	 	 	12/30/2004
	Finisar Corporation	 	Method for Manufacturing a Photonic Device and a Photonic Device
	 	 	7,279,109	 	 	4/29/2005
	Finisar Corporation	 	Mult-Ring Resonator Implementation of Optical Spectrum Reshaper for Chirp Managed Laser Technology
	 	 	7,280,721	 	 	12/17/2004
	Finisar Corporation	 	Eye Safety Logic With Compensation for Transient Conditions
	 	 	7,280,575	 	 	4/30/2004

24

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Methods and Apparatuses for Optical Component Identification
	 	 	7,281,861	 	 	3/21/2005
	Finisar Corporation	 	Dual Stage Modular Optical Devices with Insert Digital Diagnostics Component
	 	 	7,284,916	 	 	6/13/2005
	Finisar Corporation	 	Low Temperature Grown Layers with Migration Enhanced Epitaxy Adjacent to an InGaAaN(Sb) Based Active Region
	 	 	7,286,585	 	 	3/14/2005
	Finisar Corporation	 	Carrier Bonded 1550 NM VCSEL Design With INP Substrate Remove
	 	 	7,286,584	 	 	12/8/2004
	Finisar Corporation	 	Z-Axis Alignment of an Optoelectronic Component Using a Composite Adhesive
	 	 	7,286,736	 	 	7/22/2005
	Finisar Corporation	 	Transceiver Module With PCB Having Embedded Traces For EMI Control
	 	 	7,286,372	 	 	4/23/2004
	Finisar Corporation	 	Multi-Axis Optical Device Alignment Apparatus
	 	 	7,286,735	 	 	1/9/2004
	Finisar Corporation	 	Two-Wire Interface Having Embedded Per Frame Reliability Information
	 	 	7,287,208	 	 	3/31/2004
	Finisar Corporation	 	Methods for Producing Optoelectronic Devices
	 	 	7,288,421	 	 	7/6/2004
	Finisar Corporation	 	Electronically Resettable Current Protection for Die Testing
	 	 	7,292,043	 	 	10/4/2006
	Finisar Corporation	 	Super Lattice Tunnel Junctions
	 	 	7,294,868	 	 	7/28/2005
	Finisar Corporation	 	Access Key Enabled Update of an Optical Transceiver
	 	 	7,295,750	 	 	12/28/2005
	Finisar Corporation	 	Latching System For Small-Form Pluggable Device
	 	 	7,294,004	 	 	10/23/2006
	Finisar Corporation	 	Power and Encircled Flux Alignment
	 	 	7,295,733	 	 	6/21/2005
	Finisar Corporation	 	Glass Package For Optical Device
	 	 	7,295,730	 	 	12/2/2005
	Finisar Corporation	 	Carbon Doped GaAsSb Suitable for Use in Tunnel Junctions of Long Wavelength VCSELs
	 	 	7,295,586	 	 	2/21/2002
	Finisar Corporation	 	Pluggable Optical Optic System Having a Lens Fiber Stop
	 	 	7,298,942	 	 	6/6/2003
	Finisar Corporation	 	Noise Tolerant Voltage Controlled Oscillator
	 	 	7,298,226	 	 	5/24/2006
	Finisar Corporation	 	Optical Transceiver and Host Adapter with Memory Mapped Monitoring Circuitry
	 	 	7,302,186	 	 	4/22/2004
	Finisar Corporation	 	Method for Actively Aligning an Optoelectronic Device
	 	 	7,304,738	 	 	8/24/2004
	Finisar Corporation	 	Optoelectronic Transmitter Module and Method for the Production Thereof
	 	 	7,303,340	 	 	3/15/2004
	Finisar Corporation	 	Two-Wire Interface Having Dynamically Adjustable Data Fields Depending on Operation Code
	 	 	7,304,950	 	 	3/31/2004
	Finisar Corporation	 	Magnetically Controlled Heat Sink
	 	 	7,308,008	 	 	11/10/2003
	Finisar Corporation	 	Heatsinking of Optical Subassembly and Method of Assembling
	 	 	7,308,206	 	 	1/20/2004
	Finisar Corporation	 	Versatile Method and System for Single Mode VCSELs
	 	 	7,308,011	 	 	7/11/2003
	Finisar Corporation	 	Methods for Fabricating Integrated Optoelectronic Devices
	 	 	7,306,959	 	 	12/22/2004
	Finisar Corporation	 	Electronic Circuit
	 	 	7,306,466	 	 	12/10/2004
	Finisar Corporation	 	Integrated Optical Sub-Assembly Having Epoxy Chip Package
	 	 	7,306,377	 	 	4/30/2004

25

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Integrated Optical Devices and Methods of Making Same
	 	 	7,309,174	 	 	4/27/2005
	Finisar Corporation	 	Optical Sub-Assembly Block with Stabilizing Set Screws
	 	 	7,309,170	 	 	4/27/2006
	Finisar Corporation	 	Dual Segment Molded Lead Frame Connector for Optical Transceiver Modules
	 	 	7,311,530	 	 	2/25/2005
	Finisar Corporation	 	System and Method for Manufacturing Coaxial Optical Component
	 	 	7,313,300	 	 	10/30/2003
	Finisar Corporation	 	Electrical Circuits with Button Plated Contacts and Assembly Methods
	 	 	7,311,240	 	 	4/30/2004
	Finisar Corporation	 	Electronic modules having an integrated connector detachment mechanism
	 	 	7,314,384	 	 	10/31/2006
	Finisar Corporation	 	Temperature and jitter compensation controller circuit and method for fiber optics device
	 	 	7,317,743	 	 	10/28/2003
	Finisar Corporation	 	Optical add/drop patch cord
	 	 	7,317,851	 	 	11/26/2003
	Finisar Corporation	 	Optimization of the decision threshold for binary signals
	 	 	7,320,095	 	 	3/3/2004
	Finisar Corporation	 	Optoelectronic Module Classification Clip
	 	 	7,320,551	 	 	4/20/2007
	Finisar Corporation	 	Continuous temperature compensation for a laser modulation current
	 	 	7,324,570	 	 	3/4/2005
	Finisar Corporation	 	Lens with reflective surface
	 	 	7,324,575	 	 	2/17/2004
	Finisar Corporation	 	Receiver Optical Sub-Assembly with Optical Limiting Element
	 	 	7,325,982	 	 	3/2/2005
	Finisar Corporation	 	Optically Trimming Electronic Components
	 	 	7,332,402	 	 	5/14/2004
	Finisar Corporation	 	Optoelectronic Device Capable of Participating in In-Band Traffic
	 	 	7,332,234	 	 	9/21/2005
	Finisar Corporation	 	Aligning of Optical Components with Three Degrees of Translational Freedom
	 	 	7,333,199	 	 	5/10/2005
	Finisar Corporation	 	Use of a Third State Applied to a Digital Input Terminal of a Circuit to Initiate Non-Standard Operational Modes of the Circuit
	 	 	7,332,928	 	 	3/7/2005
	Finisar Corporation	 	Media Converter
	 	 	7,331,819	 	 	5/9/2006
	Finisar Corporation	 	Modular Optical Device with Component Insert
	 	 	7,334,948	 	 	5/24/2005
	Finisar Corporation	 	Electro-Magnetic Interference Reduction Filter for an Optical Transceiver
	 	 	7,336,904	 	 	11/29/2005
	Finisar Corporation	 	A Transmitter Subassembly Ground Return Path
	 	 	7,338,216	 	 	3/31/2004
	Finisar Corporation	 	Optical Multiplexer and Demultiplexer Systems and Methods Using Interference Filters
	 	 	7,340,123	 	 	10/10/2003
	Finisar Corporation	 	Fiber Optic Module
	 	 	RE40150	 	 	5/15/2000
	Finisar Corporation	 	Shaped Lead Assembly for Optoelectronic Devices
	 	 	7,341,385	 	 	9/30/2006
	Finisar Corporation	 	Fiber Optic Module
	 	 	RE40154	 	 	1/29/2004
	Finisar Corporation	 	Shaped Lead Assembly for Optoelectronic Devices
	 	 	7,344,319	 	 	9/30/2006
	Finisar Corporation	 	Vertical Cavity Surface Emitting Laser Including Trench And Proton Implant Isolation
	 	 	7,346,090	 	 	10/31/2006

26

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Method For Performing Eye Safety Measurements on Laser Emitter Devices
	 	 	7,346,087	 	 	3/4/2005
	Finisar Corporation	 	Opto-Electronic Module For Optical Signals From At Least Two Optical Data channels For Arranging On A Main Circuit Board of a Component Assembly
and Opto-Electrical Component Assembly
	 	 	7,347,634	 	 	8/6/2004
	Finisar Corporation	 	Optical Connectors for Electronic Devices
	 	 	7,347,632	 	 	12/10/2004
	Finisar Corporation	 	Programmable Loss of Signal Power Levels in an Optical Transceiver
	 	 	7,350,986	 	 	12/28/2005
	Finisar Corporation	 	CHIRP MANAGED, WAVELENGTH MULTIPLEXED, DIRECTLY MODULATED SOURCES USING AN ARRAYED WAVEGUIDE GRATING (AWG) AS MULTI-WAVELENGTH DISCRIMINATOR
	 	 	7,352,968	 	 	12/17/2004
	Finisar Corporation	 	OPTICAL TRANSCEIVER MODULE ARRAY SYSTEM
	 	 	7,350,984	 	 	11/18/2003
	Finisar Corporation	 	Latching Mechanism for a Module
	 	 	7,351,090	 	 	7/30/2007
	Finisar Corporation	 	Connecting a Single Mode Fiber to Legacy Multi-Mode Fiber
	 	 	7,352,937	 	 	12/17/2003
	Finisar Corporation	 	Devices for Reflection Reduction in Optical Devices
	 	 	7,354,201	 	 	11/12/2003
	Finisar Corporation	 	Transient Transceiver Clock Configuration
	 	 	7,356,681	 	 	3/7/2005
	Finisar Corporation	 	Method and Device for Regulating the Average Wavelength of a laser, especially a semiconductor laser
	 	 	7,356,055	 	 	5/28/2004
	Finisar Corporation	 	Housing-Shaped Shielding Plate for the Shielding of an Electrical Component
	 	 	7,354,311	 	 	1/15/2002
	Finisar Corporation	 	Wide Temperature Range Vertical Cavity Surface Emitting Laser
	 	 	7,356,057	 	 	10/28/2003
	Finisar Corporation	 	Packages for Devices and Components
	 	 	7,354,203	 	 	7/11/2005
	Finisar Corporation	 	CHIRP MANAGED LASER WITH ELECTRONIC PRE-DISTORTION
	 	 	7,356,264	 	 	12/17/2004
	Finisar Corporation	 	Time Division Multiplexing of Analog Signals in an Optical Transceiver
	 	 	7,356,262	 	 	11/6/2003
	Finisar Corporation	 	Fiber Optic Transceiver
	 	 	7,357,581	 	 	6/8/2006
	Finisar Corporation	 	Asynchronous Digital Signal Combiner and Method of Combining Asynchronous Digital Signal in Cable Television Return Path
	 	 	7,359,447	 	 	2/3/2003
	Finisar Corporation	 	Three Piece Receptacle Assembly for Optical Transceiver Sub-Assemblies
	 	 	7,357,580	 	 	3/14/2006
	Finisar Corporation	 	Switchable High-Pass Filter Arrangement and an Optical Receiver Having a Switchable High-Pass Filter Arrangement
	 	 	7,358,899	 	 	4/13/2005
	Finisar Corporation	 	Transmitter and/or Receiver Arrangement for Optical Signal Transmission
	 	 	7,359,646	 	 	9/14/2001
	Finisar Corporation	 	Optical Transceiver Module with Power Integrated Circuit
	 	 	7,359,643	 	 	7/3/2003
	Finisar Corporation	 	Fiber Optic Pair with Pigrail Geometry
	 	 	7,359,583	 	 	8/2/2004
	Finisar Corporation	 	Vertical Cavity Surface Emitting Laser Optimized For Thermal Sensitivity
	 	 	7,359,419	 	 	3/29/2005
	Finisar Corporation	 	Optical Sending and/or Receiving Device
	 	 	7,361,936	 	 	8/15/2003

27

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Methods of Forming Vias in Multilayer Substrates
	 	 	7,361,593	 	 	12/30/2004
	Finisar Corporation	 	Optimizing Mirror Reflectivity for Reducing Spontaneous Emissions in Photodiodes
	 	 	7,366,217	 	 	12/30/2004
	Finisar Corporation	 	Optoelectronic Coupling Arrangement and Transceiver with Such an Optoelectronic Coupling Arrangement
	 	 	7,364,368	 	 	1/18/2005
	Finisar Corporation	 	Temperature Control For Coarse Wavelength Division Multiplexing Systems
	 	 	7,369,587	 	 	12/21/2004
	Finisar Corporation	 	Modular Cage with Heat Sink for Use with Pluggable Module
	 	 	7,371,965	 	 	5/9/2003
	Finisar Corporation	 	Automated Laser Pressing System
	 	 	7,371,017	 	 	6/1/2004
	Finisar Corporation	 	Production of an Optical Arrangement Used in Optical Telecommunications Comprises Arranging an Adjusting Unit With an Auxiliary Waveguide
Between an Optical Component and a Waveguide
	 	 	7,371,016	 	 	10/16/2003
	Finisar Corporation	 	An Amplification Circuit For Driving A Laser Signal
	 	 	7,372,328	 	 	3/4/2005
	Finisar Corporation	 	Lens Mount Assembly for Optical Components
	 	 	7,372,647	 	 	12/29/2004
	Finisar Corporation	 	Wavelength Locker Using Modular Current and Photodetector
	 	 	7,372,879	 	 	12/6/2004
	Finisar Corporation	 	Alignment Using Fiducial Features
	 	 	7,371,652	 	 	6/22/2005
	Finisar Corporation	 	Methods for Manufacturing Lead Frame Connectors for Optical Transceiver Modules
	 	 	7,370,414	 	 	3/26/2004
	Finisar Corporation	 	POLARIZATION MAINTAINING COUPLER
	 	 	7,373,028	 	 	10/24/2003
	Finisar Corporation	 	OPTICAL SWITCH HAVING A REFLECTIVE COMPONENT
	 	 	7,373,038	 	 	11/10/2006
	Finisar Corporation	 	Planar Optical Circuit
	 	 	7,373,030	 	 	11/12/2003
	Finisar Corporation	 	CHIRP MANAGED LASER FIBER OPTIC SYSTEM INCLUDING AN ADAPTIVE RECEIVER
	 	 	7,376,352	 	 	12/17/2004
	Finisar Corporation	 	Optoelectronic Component with an Adjustable Optical Property and Method for Producing the Layer Structure
	 	 	7,376,294	 	 	12/19/2003
	Finisar Corporation	 	Free Space Optical Isolator With Stacked Parallel Polarizers
	 	 	7,376,291	 	 	11/6/2003
	Finisar Corporation	 	Electronic Assembly Tester and Method for Optoelectronic Device
	 	 	7,378,834	 	 	10/28/2003
	Finisar Corporation	 	Migration Enhanced Epitaxy Fabrication of Quantum Wells
	 	 	7,378,680	 	 	8/31/2004
	Finisar Corporation	 	Systems, Devices and Methods for Temperature-Based Control of Laser Performance
	 	 	7,386,020	 	 	12/22/2004
	Finisar Corporation	 	Dense Wavelength Division Multiplexing on Coarse Wavelength Division Multiplexing Networks
	 	 	7,389,017	 	 	3/17/2004
	Finisar Corporation	 	Cable Connector Structure for Copper Transceivers
	 	 	7,387,538	 	 	3/21/2007
	Finisar Corporation	 	Coupling Unit for Coupling an Optical Transmitting and/or Receiving Module to an Optical Fiber Connector
	 	 	7,387,449	 	 	2/9/2005

28

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Mode Selective Semiconductor Mirror For Vertical Cavity Surface Emitting Lasers
	 	 	7,391,799	 	 	7/7/2005
	Finisar Corporation	 	Integrated Circuit for Controlling a Laser Diode
	 	 	7,391,797	 	 	11/21/2001
	Finisar Corporation	 	Counterbore Base Member for Ferrule-Type Optical Connector
	 	 	7,396,165	 	 	10/30/2003
	Finisar Corporation	 	VCSEL On Silicon Integrated Circuit
	 	 	7,399,124	 	 	12/8/2006
	Finisar Corporation	 	Optical Reflectometry Using Integrated VCSEL Photodiode Chip
	 	 	7,403,275	 	 	12/5/2006
	Finisar Corporation	 	Absorbing Layers for Reduced Spontaneous Emission Effects in an Integrated Photodiode
	 	 	7,403,553	 	 	12/30/2004
	Finisar Corporation	 	Electrical-Optical Active Optical Cable
	 	 	7,401,985	 	 	4/10/2006
	Finisar Corporation	 	Detector Diodes With Bias Control Loop
	 	 	7,402,788	 	 	3/31/2006
	Finisar Corporation	 	Single Operation Per-Bit Memory Access
	 	 	7,404,068	 	 	11/7/2003
	Finisar Corporation	 	Method and Device for Adjusting a Laser
	 	 	7,403,551	 	 	9/5/2001
	Finisar Corporation	 	METHOD AND APPARATUS FOR TRANSMITTING A SIGNAL USING THERMAL CHIRP MANAGEMENT OF A DIRECTLY MODULATED TRANSMITTER
	 	 	7,406,267	 	 	9/2/2004
	Finisar Corporation	 	FLAT-TOPPED CHIRP INDUCED BY OPTICAL FILTER EDGE
	 	 	7,406,266	 	 	3/18/2005
	Finisar Corporation	 	Systems, Devices and Methods for Thermal Testing of an Optoelectronic Module
	 	 	7,406,247	 	 	8/13/2007
	Finisar Corporation	 	Vertical Cavity Surface Emitting Laser Including Indium and Nitrogen in the Active Region
	 	 	7,408,964	 	 	12/20/2001
	Finisar Corporation	 	Optical System Laser Driver With Built In Output Inductor For Improved Frequency Response
	 	 	7,411,986	 	 	3/25/2004
	Finisar Corporation	 	Modular Optical Device Package Compatible with Multiple Fiber Connectors
	 	 	7,410,307	 	 	6/6/2005
	Finisar Corporation	 	Methods for Testing Optical Transmitter Components
	 	 	7,414,386	 	 	6/23/2006
	Finisar Corporation	 	Arrangement for Connecting the Terminal Contacts of an Optoelectronic Component to a Printed Circuit Board
	 	 	7,417,292	 	 	4/2/2004
	Finisar Corporation	 	Compact Interface Module
	 	 	7,416,436	 	 	3/17/2003
	Finisar Corporation	 	Programmable Transition Time Adjustment Circuit
	 	 	7,418,210	 	 	4/30/2004
	Finisar Corporation	 	Alignment of Optoelectronic Components Using a Composite Adhesive
	 	 	7,418,176	 	 	8/30/2006
	Finisar Corporation	 	Component Feature Cavity for Optical Fiber Self-Alignment
	 	 	7,418,175	 	 	3/22/2005
	Finisar Corporation	 	Optical Add/Drop Module
	 	 	7,418,168	 	 	10/20/2004
	Finisar Corporation	 	Transimpedance Amplifier with Integrated Filtering and Reduced Parasitic Capacitance
	 	 	7,418,213	 	 	8/12/2004
	Finisar Corporation	 	System and Method for Control of Optical Transmitter
	 	 	7,418,015	 	 	2/23/2004
	Finisar Corporation	 	Optical Apertures for Reducing Spontaneous Emissions in Photodiodes
	 	 	7,418,021	 	 	12/30/2004

29

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Optoelectronic Transceiver for a Bidirectional Optical Signal Transmission
	 	 	7,418,208	 	 	1/30/2004
	Finisar Corporation	 	Electromagnetic Interference Containment in a Transceiver Module
	 	 	7,422,481	 	 	3/21/2007
	Finisar Corporation	 	Micro-Module With Micro-Lens
	 	 	7,422,377	 	 	6/30/2004
	Finisar Corporation	 	An Optical Modulator and a Method for Adapting an Optical Modulator
	 	 	7,426,321	 	 	9/25/2005
	Finisar Corporation	 	Flex Circuit Assembly
	 	 	7,425,135	 	 	3/31/2005
	Finisar Corporation	 	Configurable Input/Output Terminals
	 	 	7,426,586	 	 	10/21/2004
	Finisar Corporation	 	System and Method for Preventing Signal Loss in an Optical Communications Network
	 	 	7,426,346	 	 	4/23/2003
	Finisar Corporation	 	InP Based Long Wavelength VCSEL
	 	 	7,433,381	 	 	6/25/2003
	Finisar Corporation	 	ADIABATIC FREQUENCY MODULATED TRANSMITTER WITH NEGATIVE CHIRP
	 	 	7,433,605	 	 	1/21/2005
	Finisar Corporation	 	Vertical Cavity Surface Emitting Laser Having a Gain Guide Aperture Interior to an Oxide Confinement Layer
	 	 	7,432,118	 	 	6/6/2005
	Finisar Corporation	 	Implementation of Gradual Impedance Gradient Transmission Line for Optimized Matching In Fiber Optic Transmitter Laser Drivers
	 	 	7,433,602	 	 	1/13/2004
	Finisar Corporation	 	Integrated Post-Amplifier, Laser Driver, and Controller
	 	 	7,437,078	 	 	10/21/2004
	Finisar Corporation	 	Z-Axis Alignment of an Optoelectronic Component Using a Spacer Tool
	 	 	7,437,038	 	 	9/30/2006
	Finisar Corporation	 	Automatic Selection of Data Rate for Optoelectronic Devices
	 	 	7,437,079	 	 	10/30/2003
	Finisar Corporation	 	Methods for Assembling an Optical Transceiver
	 	 	7,435,014	 	 	8/23/2004
	Finisar Corporation	 	Migration Enhanced Epitaxy Fabrication of Active Regions Having Quantum Wells
	 	 	7,435,660	 	 	7/11/2006
	Finisar Corporation	 	Electrical Connector for Use in an Optical Transceiver Module
	 	 	7,435,105	 	 	3/28/2005
	Finisar Corporation	 	Integrated Optical Assembly
	 	 	7,440,647	 	 	4/21/2004
	Finisar Corporation	 	Screening Optical Transceiver Modules for Electrostatic Discharge Damage
	 	 	7,440,865	 	 	2/3/2004
	Finisar Corporation	 	Staged Amplifier for Lower Noise Figure and Higher Saturation Power
	 	 	7,440,171	 	 	3/7/2003
	Finisar Corporation	 	Regulated Current Mirror
	 	 	7,439,480	 	 	3/4/2005
	Finisar Corporation	 	Flexible Circuit for Establishing Electrical Connectivity with Ceramic Header Assembly
	 	 	7,439,449	 	 	4/9/2003
	Finisar Corporation	 	Flexible Circuit C=Boards with Tooling Cutouts for Optoelectronic Modules
	 	 	7,446,261	 	 	4/30/2004
	Finisar Corporation	 	Active Optical Cable With Integrated Eye Safety
	 	 	7,445,389	 	 	4/10/2006
	Finisar Corporation	 	Calibration of Digital Diagnostics Information in an Optical Transceiver Prior to Reporting to Host
	 	 	7,447,438	 	 	4/29/2005
	Finisar Corporation	 	Automated Characterization System For Laser Chip On A Submount
	 	 	7,449,905	 	 	2/13/2007

30

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Grounding a Printed Circuit Board in a Transceiver Module
	 	 	7,452,218	 	 	3/21/2007
	Finisar Corporation	 	Impedance-Matching Electrical Connection Apparatus for High-Speed Data Communications System
	 	 	7,453,338	 	 	9/20/2006
	Finisar Corporation	 	Optical Product Cure Oven
	 	 	7,452,431	 	 	9/28/2004
	Finisar Corporation	 	High Density Array of Optical Transceiver Modules
	 	 	7,455,463	 	 	6/2/2005
	Finisar Corporation	 	Photonic Device Package With Aligned Lens Cap
	 	 	7,456,945	 	 	10/24/2003
	Finisar Corporation	 	Add/Drop Module for Single Fiber Wavelength Division Multiplexing Systems
	 	 	7,457,543	 	 	8/2/2004
	Finisar Corporation	 	EMI Reduction Stage In A Post-Amplifier
	 	 	7,459,982	 	 	4/5/2007
	Finisar Corporation	 	Non-Linear Compensation of Timing Jitter
	 	 	7,460,790	 	 	1/24/2005
	Finisar Corporation	 	On-Chip Lenses for Diverting Vertical Cavity Surface Emitting Laser Beams
	 	 	7,460,578	 	 	4/11/2005
	Finisar Corporation	 	Microcode-Initiated High Speed Comparator
	 	 	7,468,618	 	 	6/30/2005
	Finisar Corporation	 	Signal Strength Detection Circuits for High Speed Optical Electronics
	 	 	7,470,884	 	 	2/28/2005
	Finisar Corporation	 	Molded Lead Frame Connector with Mechanical Attachment Members
	 	 	7,473,107	 	 	5/1/2006
	Finisar Corporation	 	Connector Mountable Asymmetric Free Space Optical Isolator
	 	 	7,474,813	 	 	4/30/2004
	Finisar Corporation	 	VERSATILE COMPACT TRANSMITTER FOR GENERATION OF ADVANCED MODULATION FORMATS
	 	 	7,474,859	 	 	4/6/2007
	Finisar Corporation	 	Method and System for Releasing a Pluggable Module
	 	 	7,477,825	 	 	8/13/2007
	Finisar Corporation	 	Optical and Electrical Channel Feedback in Optical Transceiver Module
	 	 	7,477,847	 	 	7/25/2003
	Finisar Corporation	 	Securing a Transistor Outline Can Within an Optical Component
	 	 	7,476,905	 	 	10/20/2005
	Finisar Corporation	 	Compressible Flange Capture for Module
	 	 	7,476,039	 	 	2/27/2008
	Finisar Corporation	 	POWER SOURCE FOR A DISPERSION COMPENSATION FIBER OPTIC SYSTEM
	 	 	7,477,851	 	 	11/8/2005
	Finisar Corporation	 	WIDELY TUNABLE, DISPERSION TOLERANT TRANSMITTER
	 	 	7,480,464	 	 	12/8/2006
	Finisar Corporation	 	Wafer Level AC And/Or DC Testing
	 	 	7,482,828	 	 	7/13/2006
	Finisar Corporation	 	Watch-Dog Instruction Embedded in Microcode
	 	 	7,484,133	 	 	11/7/2003
	Finisar Corporation	 	Long Wavelength VCSEL Active Region Using SB in GASN Barriers
	 	 	7,483,462	 	 	4/30/2004
	Finisar Corporation	 	Optical Transceiver PCB Mounting System Having EMI Containment Features
	 	 	7,481,656	 	 	2/13/2007
	Finisar Corporation	 	Latch Assembly For An Optoelectronic Module
	 	 	7,484,987	 	 	3/29/2007
	Finisar Corporation	 	Transceiver Module and Integrated Circuit With Dual Eye Openers
	 	 	7,486,894	 	 	4/17/2003
	Finisar Corporation	 	A Module Housing For Improved Electromagnetic Radiation Containment
	 	 	7,486,524	 	 	3/3/2003
	Finisar Corporation	 	FLAT DISPERSION FREQUENCY DISCRIMINATOR (FDFD)
	 	 	7,492,976	 	 	5/26/2006
	Finisar Corporation	 	Transceiver with Persistent Logging Mechanism
	 	 	7,493,048	 	 	6/30/2004

31

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Hermetic and Near Hermetic Sealing of Optical Components
	 	 	7,490,999	 	 	8/11/2004
	Finisar Corporation	 	Modular Transistor Outline Can with Internal Components
	 	 	7,492,798	 	 	7/11/2006
	Finisar Corporation	 	Integration of Gain Equalization Filter in a Gain Medium
	 	 	7,495,825	 	 	7/10/2007
	Finisar Corporation	 	Active Optical Cable With Electrical Connector
	 	 	7,499,616	 	 	4/10/2006
	Finisar Corporation	 	Optoelectronic Transmitting and/or Receiving Arrangement
	 	 	7,500,792	 	 	5/31/2005
	Finisar Corporation	 	A Circuit For Filtering A Laser Signal
	 	 	7,502,565	 	 	3/4/2005
	Finisar Corporation	 	MULTI-RING RESONATOR IMPLEMENTATION OF OPTICAL SPECTRUM RESHAPER FOR CHIRP MANAGED LASER TECHNOLOGY
	 	 	7,502,532	 	 	2/5/2007
	Finisar Corporation	 	Circuit For Providing A Signal Boost
	 	 	7,504,889	 	 	4/11/2007
	Finisar Corporation	 	Optical Package Alignment and Test Module
	 	 	7,503,789	 	 	8/30/2005
	Finisar Corporation	 	Methods of Manufacturing Dual-Segment Lead Frame Connectors
	 	 	7,503,112	 	 	2/25/2005
	Finisar Corporation	 	An Optoelectronic Package
	 	 	7,505,501	 	 	11/13/2006
	Finisar Corporation	 	THERMAL CHIRP COMPENSATION SYSTEMS FOR A CHIRP MANAGED DIRECTLY MODULATED LASER (CML) DATA LINK
	 	 	7,505,694	 	 	5/2/2005
	Finisar Corporation	 	Optical Emission Module
	 	 	7,505,691	 	 	5/21/2004
	Finisar Corporation	 	Optical Transceiver
	 	 	7,505,688	 	 	6/4/2002
	Finisar Corporation	 	Transceiver Boot Loader
	 	 	7,505,684	 	 	9/30/2005
	Finisar Corporation	 	SMT Spring for Module
	 	 	7,507,034	 	 	2/27/2008
	Finisar Corporation	 	A Detachable Module Connector
	 	 	7,508,677	 	 	8/26/2004
	Finisar Corporation	 	Electronic Modules Having Integrated Lever-Activated Latching Mechanisms
	 	 	7,507,111	 	 	3/5/2007
	Finisar Corporation	 	Microcode-Driven Self-Calibration of Optical Transceiver to Environmental Conditions
	 	 	7,509,050	 	 	6/30/2004
	Finisar Corporation	 	Vertical Cavity Surface Emitting Laser with Integrated Electrostatic Discharge Protection
	 	 	7,508,047	 	 	3/28/2005
	Finisar Corporation	 	Transceiver Module with Voltage Regulation and Filtering
	 	 	7,509,051	 	 	2/15/2005
	Finisar Corporation	 	Method For Optimizing Laser Diode Operating Current
	 	 	7,515,620	 	 	4/29/2003
	Finisar Corporation	 	Cable Television Return Link System with Independent Side-band Processing System
	 	 	7,519,297	 	 	11/7/2003
	Finisar Corporation	 	Automated Ethernet Configuration of CATV Network
	 	 	7,519,078	 	 	5/12/2004
	Finisar Corporation	 	Adjustable Boot Speed in an Optical Transceiver
	 	 	7,522,840	 	 	4/26/2005
	Finisar Corporation	 	Flexible Circuit Design for Improved Laser Bias Connection to Optical
	 	 	7,526,207	 	 	10/16/2003
	Finisar Corporation	 	Changing Transceiver Module Device Adresses Using a Single Host Interface
	 	 	7,526,208	 	 	4/26/2005
	Finisar Corporation	 	Linear Transimpedance Amplifier With Multiplexed Gain Stage
	 	 	7,525,391	 	 	8/21/2007

32

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	System and Method for Transmitting Data on Return Path of a Cable Television System
	 	 	7,529,487	 	 	8/13/2007
	Finisar Corporation	 	Volatile Memory Persistence During Warm Reboot in an Optical Transceiver
	 	 	7,533,254	 	 	9/16/2005
	Finisar Corporation	 	Systems and Methods for Providing Diagnostic Information Using EDC Transceivers
	 	 	7,532,820	 	 	3/17/2005
	Finisar Corporation	 	Automatic Detection of Production and Manufacturing Data Corruption
	 	 	7,533,004	 	 	10/20/2003
	Finisar Corporation	 	Chirp Managed Directly Modulated Laser With Bandwidth Limiting Optical Spectrum Reshaper
	 	 	7,536,113	 	 	1/18/2005
	Finisar Corporation	 	Improved Chirp Managed Laser (CML) Transmitter
	 	 	7,542,683	 	 	4/6/2007
	Finisar Corporation	 	Background Consistency Checking in an Optical Transceiver
	 	 	7,543,176	 	 	12/28/2005
	Finisar Corporation	 	Molded lead frame connector with one or more passive components
	 	 	7,540,747	 	 	5/1/2006
	Finisar Corporation	 	AlAs/GaAs Alloy to Enhance N-Type Doping in AIGaAs Distributed Bragg Reflector
	 	 	7,545,560	 	 	10/8/2004
	Finisar Corporation	 	System and Method for Reducing Interference in an Optical Data Stream Using Multiple, Selectable Equalizers
	 	 	7,546,042	 	 	5/29/2003
	Finisar Corporation	 	Universal Optical Subassembly Blocks for Optical Transceiver Modules
	 	 	7,543,995	 	 	3/29/2007
	Finisar Corporation	 	Optical Cables for Consumer Electronics
	 	 	7,548,675	 	 	8/5/2005
	Finisar Corporation	 	Optical Connector Latch Assembly For An Optoelectronic Module
	 	 	7,547,149	 	 	3/29/2007
	Finisar Corporation	 	Starved Source Diffusion for Avalanche Photodiode
	 	 	7,553,690	 	 	6/14/2005
	Finisar Corporation	 	OPTICAL SYSTEM COMPRISING AN FM SOURCE AND A SPECTRAL RESHAPING ELEMENT
	 	 	7,555,225	 	 	2/28/2005
	Finisar Corporation	 	REACH EXTENSION BY USING EXTERNAL BRAGG GRATING FOR SPECTRAL FILTERING
	 	 	7,558,488	 	 	3/30/2005
	Finisar Corporation	 	METHOD AND APPARATUS FOR MONITORING THE POWER LEVEL OF TWO OR MORE OPTICAL TRANSMITTERS
	 	 	7,558,489	 	 	9/24/2007
	Finisar Corporation	 	Transceiver Module and Integrated Circuit with Clock and Data Recovery Clock Diplexing
	 	 	7,561,855	 	 	4/29/2005
	Finisar Corporation	 	Methods for Producing a Tunable Vertical Cavity Surface Emitting Laser
	 	 	7,560,298	 	 	5/21/2004
	Finisar Corporation	 	Thin Film Interleaver
	 	 	7,561,766	 	 	5/24/2007
	Finisar Corporation	 	Horseshoe Spring for Securing an Optical Nosepiece during Optical Alignment
	 	 	7,559,704	 	 	4/5/2007
	Finisar Corporation	 	Long Wavelength Vertical Cavity Surface Emitting Lasers
	 	 	7,564,887	 	 	2/25/2005
	Finisar Corporation	 	Connector for Box Optical Subassembly
	 	 	7,563,035	 	 	5/1/2006
	Finisar Corporation	 	Methods for Manufacturing Optical Modules Using Lead Frame Connectors
	 	 	7,562,804	 	 	3/26/2004

33

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Bidirectional Lens Pressing System
	 	 	7,562,621	 	 	2/20/2007
	Finisar Corporation	 	ADIABATICALLY FREQUENCY MODULATED SOURCE
	 	 	7,564,889	 	 	2/4/2005
	Finisar Corporation	 	Transceiver Module and Integrated Circuit With Multi-rate Eye Openers and Bypass
	 	 	7,567,758	 	 	7/2/2003
	Finisar Corporation	 	Semiconductor Laser Having Low Stress Passivation Layer
	 	 	7,567,601	 	 	5/15/2007
	Finisar Corporation	 	COLLAR CLIP FOR AN ELECTRONIC MODULE
	 	 	7,566,246	 	 	2/27/2008
	Finisar Corporation	 	Semiconductor Laser Having A Doped Active Layer
	 	 	7,573,925	 	 	5/15/2007
	Finisar Corporation	 	Surface Warp Resistant Optical Devices
	 	 	7,572,069	 	 	9/28/2007
	Finisar Corporation	 	Optical Transceiver Module with a Single Internal Serial Bus
	 	 	7,580,638	 	 	6/27/2005
	Finisar Corporation	 	Dual Laser Driver Architecture In An Optical Transceiver
	 	 	7,580,434	 	 	9/27/2007
	Finisar Corporation	 	Self Locking Uni-directional Interposer Springs For Optical Transceiver Modules
	 	 	7,555,191	 	 	1/30/2008
	Finisar Corporation	 	All-Optical, 3R Regeneration Using The Sagnac, And Mach-Zehnder Versions Of The Terahertz Optical Asymmetric Demultiplexer (TOAD)
	 	 	7,035,550	 	 	12/10/2003
	Finisar Corporation	 	All-Optical Wavelength Converter Based On Sagnac Interferometer With An SOA At Asymmetric Position
	 	 	7,068,894	 	 	9/1/2004
	Finisar Corporation	 	Integrated Memory Mapped Controller Circuit For Fiber Optics Transceiver
	 	 	7,079,775	 	 	2/5/2001
	Finisar Corporation	 	System And Method For Protecting Eye Safety During Operation Of A Fiber Optic Transceiver
	 	 	7,058,310	 	 	10/8/2002
	Finisar Corporation	 	Optoelectronic Transceiver Having Dual Access To Onboard Diagnostics
	 	 	7,149,430	 	 	7/8/2003
	Finisar Corporation	 	System And Method For Protecting Eye Safety During Operation Of A Fiber Optic Transceiver
	 	 	7,184,668	 	 	9/4/2003
	Finisar Corporation	 	Integrated Memory Mapped Controller Circuit For Fiber Optics Transceiver
	 	 	6,957,021	 	 	11/13/2003
	Finisar Corporation	 	System And Method For Protecting Eye Safety During Operation Of A Fiber Optic Transceiver
	 	 	6,952,531	 	 	11/13/2003
	Finisar Corporation	 	Memory Mapped Monitoring For Optoelectronic Device
	 	 	6,941,077	 	 	3/12/2004
	Finisar Corporation	 	Optical Transceiver and Host Adapter with Memory Mapped Monitoring Circuitry
	 	 	7,302,186	 	 	4/22/2004
	Finisar Corporation	 	Analog To Digital Signal Conditioning In Optoelectronic Transceivers
	 	 	7,346,278	 	 	4/2/2004
	Finisar Corporation	 	Optical Transceiver Module With Onboard Diagnostics Accessible Via Pins
	 	 	7,529,488	 	 	3/30/2005
	Finisar Corporation	 	System And Method For Protecting Eye Safety During Operation Of A Fiber Optic Transceiver
	 	 	7,162,160	 	 	3/9/2005

34

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Integrated Memory Mapped Controller Circuit For Fiber Optics Transceiver
	 	 	7,050,720	 	 	6/18/2004
	Finisar Corporation	 	Optoelectronic Transceiver Having Dual Access To Onboard Diagnostics
	 	 	7,200,337	 	 	8/2/2006
	Finisar Corporation	 	Integrated Memory Mapped Controller Circuit For Fiber Optics Transceiver
	 	 	7,502,564	 	 	2/27/2007
	Finisar Corporation	 	Photo-Imaged Stress Management Layer For Semiconductor Devices
	 	 	7,232,692	 	 	3/4/2005
	Finisar Corporation	 	Electrical Surge Protection Using In-Package Gas Discharge System
	 	 	7,349,189	 	 	5/6/2005
	Finisar Corporation	 	Coupling Region For Optical Systems
	 	 	7,466,886	 	 	7/8/2005
	Finisar Corporation	 	A Compact Optical Multiplexer And Demultiplexer
	 	 	7,366,371	 	 	4/24/2007
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	12/24/1998
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	10/19/1999
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	1/22/2001
	Finisar Corporation	 	Laser diode assembly and device for operating a laser diode
	 	 	10/492463	 	 	10/15/2001
	Finisar Corporation	 	Control Circuit for Optoelectronic Module with Integrated Temperature Control
	 	 	11/851316	 	 	3/18/2002
	Finisar Corporation	 	Data rate compression device for cable television return path using bandpass puncturing
	 	 	10/102619	 	 	3/19/2002
	Finisar Corporation	 	Efficient transmission of digital return path data in cable television return path
	 	 	10/102625	 	 	3/19/2002
	Finisar Corporation	 	Adjustment method, particularly a laser adjustment method, and actuator suitable for the same
	 	 	10/473940	 	 	4/12/2002
	Finisar Corporation	 	Adjustment method, especially a laser adjustment method and an actuator suitable for the same
	 	 	10/473941	 	 	6/12/2002
	Finisar Corporation	 	Bandpass component decimation and transmission of data in cable television digital return path
	 	 	10/218344	 	 	8/12/2002
	Finisar Corporation	 	Methods of conducting wafer level bum-in of electronic devices
	 	 	10/486661	 	 	8/12/2002
	Finisar Corporation	 	Providing current control over wafer borne semiconductor devices using overlayer patterns
	 	 	10/486665	 	 	8/12/2002
	Finisar Corporation	 	Providing photonic control over wafer borne semiconductor devices
	 	 	10/486666	 	 	8/12/2002
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	8/12/2002
	Finisar Corporation	 	Method and Apparatus for Monitoring the Power Level of Two or More Optical Transmitters
	 	 	11/860431	 	 	10/30/2002
	Finisar Corporation	 	Efficient transmission of digital return path data cable television return path
	 	 	10/291208	 	 	11/8/2002

35

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	High-Speed Transmission System Comprising a Coupled Multi-Cavity Optical Discriminator
	 	 	10/308522	 	 	12/3/2002
	Finisar Corporation	 	OPTICAL TRANSCEIVER
	 	 	10/316355	 	 	12/11/2002
	Finisar Corporation	 	Transmitter optical subassembly with volume phase holographic optics
	 	 	10/351620	 	 	1/23/2003
	Finisar Corporation	 	Service and maintenance solutions for programmable and/or reconfigurable
	 	 	10/507397	 	 	3/3/2003
	Finisar Corporation	 	Transceiver module and integrated circuit with dual eye openers and integrated loopback and bit error rate testing
	 	 	10/629302	 	 	4/17/2003
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	4/25/2003
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	5/5/2003
	Finisar Corporation	 	Dielectric VSCEL Gain Guide
	 	 	11/866297	 	 	6/27/2003
	Finisar Corporation	 	Method and apparatus for data multiplexing
	 	 	10/623028	 	 	7/17/2003
	Finisar Corporation	 	Circuit for converting a transponder controller chip output into an appropriate input signal for a host device
	 	 	10/678685	 	 	10/3/2003
	Finisar Corporation	 	Return path transmitter with extended digital processing circuitry
	 	 	10/685798	 	 	10/15/2003
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	10/30/2003
	Finisar Corporation	 	Control of peaking of laser driver current to improve eye quality
	 	 	10/704096	 	 	11/6/2003
	Finisar Corporation	 	Transceiver with controller for authentication
	 	 	10/718753	 	 	11/21/2003
	Finisar Corporation	 	Optical add/drop module
	 	 	10/724426	 	 	11/26/2003
	Finisar Corporation	 	Method for operating a multi-channel optoelectronic module
	 	 	11/292658	 	 	12/2/2003
	Finisar Corporation	 	Multi-channel optoelectronic module
	 	 	11/294743	 	 	12/2/2003
	Finisar Corporation	 	Dual configuration transceiver housing
	 	 	10/758734	 	 	1/16/2004
	Finisar Corporation	 	Optical Beam Steering For Tunable laser Applications
	 	 	10/786839	 	 	2/25/2004
	Finisar Corporation	 	Arrangement for multiplexing and/or demultiplexing optical signals
	 	 	10/799437	 	 	3/12/2004
	Finisar Corporation	 	Receiver circuit having an optical receiving device
	 	 	10/799785	 	 	3/12/2004
	Finisar Corporation	 	CONTINGENT PROCESSOR TIME DIVISION MULTIPLE ACCESS OF MEMORY IN A MULTIPROCESSOR SYSTEM TO ALLOW SUPPLEMENTAL MEMORY CONSUMER ACCESS
	 	 	10/814392	 	 	3/31/2004
	Finisar Corporation	 	TWO-WIRE INTERFACE IN WHICH A MASTER COMPONENT MONITORS THE DATA LINE DURING THE PREAMBLE GENERATION PHASE FOR SYNCHRONIZATION WITH ONE OR MORE
SLAVE COMPONENTS
	 	 	10/814483	 	 	3/31/2004
	Finisar Corporation	 	Digital optical receiving module, and a method for monitoring
	 	 	10/817725	 	 	4/2/2004
	Finisar Corporation	 	Laser with Resonant Reflector
	 	 	11/776504	 	 	4/7/2004

36

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Out-of-band data communication between network transceivers
	 	 	10/824258	 	 	4/14/2004
	Finisar Corporation	 	Opto-electronic module and method for producing and opto-electronic module
	 	 	10/841786	 	 	5/7/2004
	Finisar Corporation	 	Changing communication mode in a catv pathway using mute commands
	 	 	10/845006	 	 	5/12/2004
	Finisar Corporation	 	ELECTRICAL COMPONENT CONNECTOR WITH MISALIGNMENT COMPENSATION
	 	 	10/852991	 	 	5/25/2004
	Finisar Corporation	 	Modular optical device that interfaces with an external controller
	 	 	10/866483	 	 	6/11/2004
	Finisar Corporation	 	Hermetically sealed collimator and Optical Design
	 	 	10/866550	 	 	6/11/2004
	Finisar Corporation	 	Semiconductor laser with side mode suppression
	 	 	10/880655	 	 	6/30/2004
	Finisar Corporation	 	Microcode-driven calculation of temperature-dependent operational parameters in an optical transmitter/receiver
	 	 	10/883208	 	 	6/30/2004
	Finisar Corporation	 	Apparatus, system and methods for modifying operating characteristics of optoelectronic devices
	 	 	10/884334	 	 	7/3/2004
	Finisar Corporation	 	Scalable and moveable DWDM usage of CWDM networks
	 	 	10/889333	 	 	7/12/2004
	Finisar Corporation	 	Single master clock control of ethernet data transfer over both a cable tv return path and an ethernet forwarded path
	 	 	10/909478	 	 	8/2/2004
	Finisar Corporation	 	Scalable transceiver based repeater
	 	 	10/909614	 	 	8/2/2004
	Finisar Corporation	 	A single mode vertical cavity surface emitting laser using photonic crystals with a central defect
	 	 	12/423791	 	 	8/6/2004
	Finisar Corporation	 	Testing and storing tuning information in modular optical devices
	 	 	10/929178	 	 	8/30/2004
	Finisar Corporation	 	Computer system with modular optical devices
	 	 	10/929923	 	 	8/30/2004
	Finisar Corporation	 	Modular controller that interfaces with modular optical device
	 	 	10/929978	 	 	8/30/2004
	Finisar Corporation	 	Improving band offset in alingap based light emitters to improve temperature performance
	 	 	10/940697	 	 	9/14/2004
	Finisar Corporation	 	Tunable detector
	 	 	10/948870	 	 	9/24/2004
	Finisar Corporation	 	Received optical assembly with angled optical receiver
	 	 	10/954091	 	 	9/28/2004
	Finisar Corporation	 	Optical transceiver interface for multi-mode fibers
	 	 	10/960796	 	 	10/7/2004
	Finisar Corporation	 	Zero-force socket for laser/photodiode alignment
	 	 	10/983416	 	 	11/8/2004
	Finisar Corporation	 	Transceiver with interrupt unit
	 	 	10/994964	 	 	11/22/2004
	Finisar Corporation	 	Module housing for connecting opto-electronic sub-assemblies
	 	 	11/024204	 	 	12/28/2004
	Finisar Corporation	 	METAL-ASSISTED DBRS FOR THERMAL MANAGEMENT IN VCSELS
	 	 	11/026161	 	 	12/30/2004
	Finisar Corporation	 	Optical transceiver with variably positioned insert
	 	 	11/026439	 	 	12/30/2004
	Finisar Corporation	 	Photodiode bandgaps for reducing spontaneous emissions in photodiodes
	 	 	11/026495	 	 	12/30/2004

37

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Geometric optimizations for reducing spontaneous emissions in photodiodes *TERMINAL. DISCLAIMER FILED 6/4/08*
	 	 	11/027383	 	 	12/30/2004
	Finisar Corporation	 	Internal EMI shield for an optoelectronic module
	 	 	11/029944	 	 	1/5/2005
	Finisar Corporation	 	Optical transceivers with closed-loop digital diagnostics
	 	 	11/043386	 	 	1/25/2005
	Finisar Corporation	 	Wavelength monitoring and stabilization in wavelength division multiplexed systems
	 	 	11/047151	 	 	1/31/2005
	Finisar Corporation	 	Methods for manufacturing optical modules having an optical sub-assembly
	 	 	11/426298	 	 	2/25/2005
	Finisar Corporation	 	Network data transmission and diagnostic methods using out-of-band data
	 	 	11/070757	 	 	3/2/2005
	Finisar Corporation	 	Polarity-insensitive signal detect circuit for use with any signal sequence
	 	 	11/072788	 	 	3/4/2005
	Finisar Corporation	 	XFP Transceiver with 8G CDR Bypass
	 	 	11/073452	 	 	3/7/2005
	Finisar Corporation	 	Multi-level memory access in an optical transceiver
	 	 	11/073827	 	 	3/7/2005
	Finisar Corporation	 	Consistency checking over internal information in an optical transceiver
	 	 	11/073886	 	 	3/7/2005
	Finisar Corporation	 	Byte-configurable memory in an optical transceiver
	 	 	11/074109	 	 	3/7/2005
	Finisar Corporation	 	Use of a first two-wire interface communication to support the construction of a second two-wire interface communication
	 	 	11/074608	 	 	3/7/2005
	Finisar Corporation	 	High speed SFP transceiver
	 	 	11/074609	 	 	3/7/2005
	Finisar Corporation	 	Configurable two-wire interface module
	 	 	11/074901	 	 	3/7/2005
	Finisar Corporation	 	Combined laser transmitter and photodetector receiver package
	 	 	11/101884	 	 	4/8/2005
	Finisar Corporation	 	Optical network for transferring data between devices in a vehicle
	 	 	11/102290	 	 	4/8/2005
	Finisar Corporation	 	Switchable lowpass filter with optical receiver
	 	 	11/104708	 	 	4/13/2005
	Finisar Corporation	 	Electro-optic transducer die including a temperature sensing PN junction diode
	 	 	11/110112	 	 	4/20/2005
	Finisar Corporation	 	Optical transmit assembly including thermally isolated laser, temperature sensor, and temperature driver
	 	 	11/110236	 	 	4/20/2005
	Finisar Corporation	 	Temperature sensing device patterned on an electro-optic transducer die
	 	 	11/110580	 	 	4/20/2005
	Finisar Corporation	 	Host printed circuit board with multiple optical transceivers
	 	 	11/114982	 	 	4/26/2005
	Finisar Corporation	 	Filtering digital diagnostics information in an optical transceiver prior to reporting to host
	 	 	11/114985	 	 	4/26/2005
	Finisar Corporation	 	Vertical cavity surface emitting laser with optimized linewidth enhancement factor
	 	 	11/117786	 	 	4/29/2005
	Finisar Corporation	 	Vertical cavity surface emitting laser optimized for optical sensitivity
	 	 	11/118159	 	 	4/29/2005
	Finisar Corporation	 	Integrated diode in a silicon chip scale package
	 	 	11/118179	 	 	4/29/2005

38

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Modular optical device with mixed signal interface
	 	 	11/118589	 	 	4/29/2005
	Finisar Corporation	 	Temperature compensation circuits
	 	 	11/118977	 	 	4/29/2005
	Finisar Corporation	 	Protocol specific transceiver firmware
	 	 	11/119447	 	 	4/29/2005
	Finisar Corporation	 	Modular optical devices compatible with legacy form factors
	 	 	11/134530	 	 	5/20/2005
	Finisar Corporation	 	Dual stage lead frame for modular optical devices
	 	 	11/134532	 	 	5/20/2005
	Finisar Corporation	 	Phase Correlated Quadrature Amplitude Modulation
	 	 	11/157055	 	 	6/20/2005
	Finisar Corporation	 	Electro-absorption modulator integrated with a vertical cavity surface emitting laser
	 	 	11/170906	 	 	6/30/2005
	Finisar Corporation	 	Single layer flex circuit
	 	 	11/179223	 	 	7/11/2005
	Finisar Corporation	 	Photodiode with fiber mode dispersion compensation
	 	 	11/185038	 	 	7/20/2005
	Finisar Corporation	 	Z-axis alignment of an optoelectronic component using a composite adhesive
	 	 	11/187333	 	 	7/22/2005
	Finisar Corporation	 	Consumer electronics with optical communication interface
	 	 	11/198606	 	 	8/5/2005
	Finisar Corporation	 	High frequency noise measurement board
	 	 	11/214414	 	 	8/29/2005
	Finisar Corporation	 	Configuration of optical transceivers to perform custom features
	 	 	11/220765	 	 	9/7/2005
	Finisar Corporation	 	Off-module optical transceiver firmware paging
	 	 	11/220769	 	 	9/7/2005
	Finisar Corporation	 	Optical transceiver with off-transceiver logging mechanism
	 	 	11/220770	 	 	9/7/2005
	Finisar Corporation	 	Vertical cavity surface emitting laser with undoped top mirror
	 	 	11/222433	 	 	9/8/2005
	Finisar Corporation	 	Vertical cavity surface emitting laser having multiple top-side contacts
	 	 	11/224615	 	 	9/12/2005
	Finisar Corporation	 	Early Self-Validation of Persistant Memory During Bootin an Optical Transceiver
	 	 	11/228543	 	 	9/16/2005
	Finisar Corporation	 	Selectable host-transceiver interface protocol
	 	 	11/228829	 	 	9/16/2005
	Finisar Corporation	 	Reliable transceiver mocrocode update mechanism
	 	 	11/241052	 	 	9/30/2005
	Finisar Corporation	 	Inter-Transceiver Module Communication for Firmware Upgrade
	 	 	11/241086	 	 	9/30/2005
	Finisar Corporation	 	Dynamically adaptive optical transceiver
	 	 	11/243114	 	 	10/4/2005
	Finisar Corporation	 	Reducing thermal expansion effects in semiconductor packages
	 	 	11/253132	 	 	10/18/2005
	Finisar Corporation	 	Securing a transistor outline can within an optical component
	 	 	12/189718	 	 	10/20/2005
	Finisar Corporation	 	Microcode configurable frequency clock
	 	 	11/256290	 	 	10/21/2005
	Finisar Corporation	 	Configurable optical transceiver feature-specific cost transaction
	 	 	11/256329	 	 	10/21/2005
	Finisar Corporation	 	Transaction for transceiver firmware download
	 	 	11/256498	 	 	10/21/2005
	Finisar Corporation	 	Transceiver-based loopback initiation
	 	 	11/260448	 	 	10/27/2005
	Finisar Corporation	 	Multi-transceiver module control with single microcontroller
	 	 	11/261274	 	 	10/28/2005
	Finisar Corporation	 	Module Command Interface for an Optical Transceiver
	 	 	11/288625	 	 	11/29/2005

39

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Inter-transceiver module communication for optimization of link between transceivers
	 	 	11/289737	 	 	11/29/2005
	Finisar Corporation	 	Printed circuit boards for use in optical transceivers
	 	 	11/298139	 	 	12/9/2005
	Finisar Corporation	 	Surface gratings on VCSELS for polarization pinning
	 	 	11/299638	 	 	12/12/2005
	Finisar Corporation	 	Programmable loss of signal detect hardware and method
	 	 	11/303255	 	 	12/16/2005
	Finisar Corporation	 	Integrated focusing and reflecting structure in an optical assembly
	 	 	11/305455	 	 	12/16/2005
	Finisar Corporation	 	Electronic device enabling hardware and methods
	 	 	11/313020	 	 	12/20/2005
	Finisar Corporation	 	Encrypted microcode update of an optical transceiver
	 	 	11/320033	 	 	12/28/2005
	Finisar Corporation	 	Self testing optical transceiver controlling using internalized loopbacks
	 	 	11/320182	 	 	12/28/2005
	Finisar Corporation	 	Optical transceiver module end-of-life indication
	 	 	11/324982	 	 	1/3/2006
	Finisar Corporation	 	Compensation for temperature and voltage effects when monitoring parameters in a transceiver module
	 	 	11/330863	 	 	1/12/2006
	Finisar Corporation	 	Intrusion detection in networks
	 	 	11/346951	 	 	2/3/2006
	Finisar Corporation	 	VCSEL with integrated optical filter
	 	 	11/366328	 	 	3/2/2006
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	3/2/2006
	Finisar Corporation	 	Semiconductor-based optical transceiver
	 	 	11/368930	 	 	3/6/2006
	Finisar Corporation	 	Calculation of laser slope efficiency in an optical transceiver module
	 	 	11/386374	 	 	3/22/2006
	Finisar Corporation	 	Optical transceiver module having adjustable signal polarity
	 	 	11/386589	 	 	3/22/2006
	Finisar Corporation	 	Power and communication interface for sensors using a single tethered fiber
	 	 	11/278067	 	 	3/30/2006
	Finisar Corporation	 	Systems and methods for collecting data with sensors
	 	 	11/278117	 	 	3/30/2006
	Finisar Corporation	 	Active optical cable with integrated power
	 	 	11/401802	 	 	4/10/2006
	Finisar Corporation	 	Active optical cable with integrated retiming
	 	 	11/402169	 	 	4/10/2006
	Finisar Corporation	 	Active optical cable with electrical connector
	 	 	11/402186	 	 	4/10/2006
	Finisar Corporation	 	Active optical cable with electrical adapter
	 	 	11/402241	 	 	4/10/2006
	Finisar Corporation	 	Optical identification chips
	 	 	11/413878	 	 	4/27/2006
	Finisar Corporation	 	Ferrule connector assembly
	 	 	11/381105	 	 	5/1/2006
	Finisar Corporation	 	Pattern-Dependent Phase Detector for Clock Recovery
	 	 	11/420196	 	 	5/24/2006
	Finisar Corporation	 	Method and apparatus for transmitting a signal using ta chirp managed laser (CML) and an optical spectrum reshaper (OSR) before an optical
receiver
	 	 	11/447662	 	 	6/6/2006
	Finisar Corporation	 	Gigabit ethernet longwave optical transceiver module having amplified bias current
	 	 	11/426791	 	 	6/27/2006
	Finisar Corporation	 	Optical sub-assembly having insertable cylindrical sleeve
	 	 	11/458948	 	 	7/20/2006

40

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Light emitting semiconductor device having an electrical confinement barrier near the active region
	 	 	11/461353	 	 	7/31/2006
	Finisar Corporation	 	Optical transceiver with custom logging mechanism
	 	 	11/468246	 	 	8/29/2006
	Finisar Corporation	 	Optical networks for consumer electronics
	 	 	11/468280	 	 	8/29/2006
	Finisar Corporation	 	Optical bus
	 	 	11/468706	 	 	8/30/2006
	Finisar Corporation	 	Temperature control in an integrated circuit
	 	 	11/469716	 	 	9/1/2006
	Finisar Corporation	 	Laser driver for closed path optical cables
	 	 	11/470623	 	 	9/6/2006
	Finisar Corporation	 	An integrated multiply and divide circuit
	 	 	11/531074	 	 	9/12/2006
	Finisar Corporation	 	Authentication modes for an optical transceiver module
	 	 	11/531240	 	 	9/12/2006
	Finisar Corporation	 	Vertical cavity surface emitting laser having strain reduced quantum wells
	 	 	11/554754	 	 	10/31/2006
	Finisar Corporation	 	Host-independent link between optical communications modules
	 	 	11/566391	 	 	12/4/2006
	Finisar Corporation	 	Multiple Bus Interface Control Using a Single Controller
	 	 	11/624582	 	 	1/18/2007
	Finisar Corporation	 	Interface architecture for configuring a serial controller
	 	 	11/624585	 	 	1/18/2007
	Finisar Corporation	 	Asymmetric rise/fall time and duty cycle control circuit
	 	 	11/626081	 	 	1/23/2007
	Finisar Corporation	 	Optical Transceiver Module Having an Active Linear Optoelectronic Device
	 	 	11/626314	 	 	1/23/2007
	Finisar Corporation	 	Linear amplifier for use with laser driver signal
	 	 	11/626320	 	 	1/23/2007
	Finisar Corporation	 	Tapping Systems and Methods
	 	 	11/668795	 	 	1/30/2007
	Finisar Corporation	 	Measuring signal propagation and adjustable delays in electronic devices
	 	 	11/669812	 	 	1/31/2007
	Finisar Corporation	 	Resistive heating element for enabling laser operation
	 	 	11/670250	 	 	2/1/2007
	Finisar Corporation	 	Semiconductor having enhanced carbon doping
	 	 	11/670759	 	 	2/2/2007
	Finisar Corporation	 	Thermoelectric cooler with inrush current control
	 	 	11/673826	 	 	2/12/2007
	Finisar Corporation	 	Discrete bootstrapping in an optical receiver to prevent signal feedback
	 	 	11/676474	 	 	2/19/2007
	Finisar Corporation	 	Transceiver module grounding via a wire bail latch
	 	 	11/688753	 	 	3/20/2007
	Finisar Corporation	 	Electromagnetic interference shield for use an optoelectronic module
	 	 	11/693679	 	 	3/29/2007
	Finisar Corporation	 	Non-Uniform Feedthrough and Lead Configuration for a Transistor Outline Package
	 	 	11/694725	 	 	3/30/2007
	Finisar Corporation	 	Communications module having multiple communication interface pins
	 	 	11/696559	 	 	4/4/2007
	Finisar Corporation	 	Chirp laser with passive filter element for differential phase shift keying generation
	 	 	12/014676	 	 	4/6/2007
	Finisar Corporation	 	Optical FM Source Based on Intra-Cavity Phase and Amplitude Modulation in Lasers
	 	 	11/787163	 	 	4/13/2007
	Finisar Corporation	 	Efficient Carrier Injection in a Semiconductor Device
	 	 	11/735993	 	 	4/16/2007

41

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Method and Apparatus for Delayed Recursion Decoder
	 	 	11/736515	 	 	4/17/2007
	Finisar Corporation	 	Optoelectronic Module Retention Mechanism
	 	 	11/738373	 	 	4/20/2007
	Finisar Corporation	 	Optical transceiver with clock for providing maintenance and lifetime information
	 	 	11/738986	 	 	4/23/2007
	Finisar Corporation	 	Optical Coupler Including Mode-Mixing
	 	 	11/739048	 	 	4/23/2007
	Finisar Corporation	 	Protecting Against Counterfeit Electronics Devices
	 	 	11/739539	 	 	4/24/2007
	Finisar Corporation	 	Low inductance optical transmitter submount assembly
	 	 	11/740781	 	 	4/26/2007
	Finisar Corporation	 	Epitaxial Regrowth in a Distributed Feedback Laser
	 	 	11/749007	 	 	5/15/2007
	Finisar Corporation	 	Thin INP Space Layer in a High Speed Laser for Reduced Lateral Current Spreading
	 	 	11/749033	 	 	5/15/2007
	Finisar Corporation	 	Method for Applying Protective Laser Facet Coatings
	 	 	11/749052	 	 	5/15/2007
	Finisar Corporation	 	High Resistivity Engineered Laser Facet Coatings
	 	 	11/749057	 	 	5/15/2007
	Finisar Corporation	 	Laser Facet Pre-Coating Etch for Controlling Leakage Current
	 	 	11/749061	 	 	5/15/2007
	Finisar Corporation	 	High-Temperature Operation of Vertical Cavity Surface Emitting Laser
	 	 	11/750801	 	 	5/18/2007
	Finisar Corporation	 	Cross-Point Adjustment Circuit
	 	 	11/736263	 	 	5/21/2007
	Finisar Corporation	 	Electronic Dispersion Compensation Systems and Methods
	 	 	11/755636	 	 	5/30/2007
	Finisar Corporation	 	Electrical Overstress Event Indicator on Electronic Circuitry
	 	 	11/756459	 	 	5/31/2007
	Finisar Corporation	 	Electronic Dispersion Compensation Systems and Methods
	 	 	11/756580	 	 	5/31/2007
	Finisar Corporation	 	Optical Module for a Host Optical Device
	 	 	11/757285	 	 	6/1/2007
	Finisar Corporation	 	Passivation of VCSEL Sidewalls
	 	 	11/767388	 	 	6/22/2007
	Finisar Corporation	 	Integrated Light Emitting Device and Photodiode with Ohmic Contact
	 	 	11/778603	 	 	7/16/2007
	Finisar Corporation	 	Semiconductor Laser with Side Mode Suppression
	 	 	11/780315	 	 	7/19/2007
	Finisar Corporation	 	Self-testing optical transceiver
	 	 	11/781407	 	 	7/23/2007
	Finisar Corporation	 	Dynamic Digital Diagnostic Alerts
	 	 	11/828976	 	 	7/26/2007
	Finisar Corporation	 	Pre-Emphasis Circuit
	 	 	11/830648	 	 	7/30/2007
	Finisar Corporation	 	Optical Component and Transceiver Packaging
	 	 	11/840315	 	 	8/17/2007
	Finisar Corporation	 	Optical Transmission Using Semiconductor Optical Amplifier (SOA)
	 	 	11/894509	 	 	8/20/2007
	Finisar Corporation	 	Chirp-Managed, Electroabsorption-Modulated Laser
	 	 	11/894477	 	 	8/21/2007
	Finisar Corporation	 	Wavelength Division Multiplexing Source Using Multifunctional Filters
	 	 	11/897012	 	 	8/28/2007
	Finisar Corporation	 	Monolithic Opto-lsolators
	 	 	11/850578	 	 	9/5/2007
	Finisar Corporation	 	Limited Life Transceiver
	 	 	11/851983	 	 	9/7/2007
	Finisar Corporation	 	Determination and Adjustment of Laser Modulation Current in an Optical Transmitter
	 	 	11/854431	 	 	9/12/2007
	Finisar Corporation	 	Variable Gain Amplifier Having Variable Gain DC Offset Loop
	 	 	11/856680	 	 	9/17/2007

42

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Peak Detector with Active Ripple Suppression
	 	 	11/856691	 	 	9/17/2007
	Finisar Corporation	 	Insertable EMI Shield Clip for Use in Optical Transceiver Modules
	 	 	11/860195	 	 	9/24/2007
	Finisar Corporation	 	Electronic Dispersion Compensation Systems and Methods
	 	 	11/860926	 	 	9/25/2007
	Finisar Corporation	 	Spectral Response Modification via Spatial Filtering with Optical Fiber
	 	 	11/977206	 	 	10/24/2007
	Finisar Corporation	 	Photodiode having rounded edges for high electrostatic discharge threshold
	 	 	11/932369	 	 	10/31/2007
	Finisar Corporation	 	Serializer/deserializer for use in optoelectronic devices
	 	 	11/937334	 	 	11/8/2007
	Finisar Corporation	 	Integrated multiplexer/demultiplexer having offset transmitters and receivers for use
in an optical transceiver module
	 	 	11/943817	 	 	11/21/2007
	Finisar Corporation	 	Parallel High-Speed Communication Links with Redundant Channel Architectures
	 	 	11/952832	 	 	12/7/2007
	Finisar Corporation	 	Electromagnetic Radiation Containment and Heat Management in an Electronic Module
	 	 	11/952991	 	 	12/7/2007
	Finisar Corporation	 	High efficiency thermoelectric cooler control system
	 	 	11/955292	 	 	12/12/2007
	Finisar Corporation	 	Integrating optoelectronic components into a molded communications module having
integrated plastic circuit structures
	 	 	11/958068	 	 	12/17/2007
	Finisar Corporation	 	Molded communications module having integrated plastic circuit structures
	 	 	11/958085	 	 	12/17/2007
	Finisar Corporation	 	Communications Device
	 	 	11/960530	 	 	12/19/2007
	Finisar Corporation	 	Communications Device
	 	 	11/960550	 	 	12/19/2007
	Finisar Corporation	 	Optimizing VCSEL Mirrors for Improving Temperature Response
	 	 	11/963315	 	 	12/21/2007
	Finisar Corporation	 	Asymmetric DBR Pairs Combined with Periodic and Modulation Doping to Maximize
Conduction and Reflectivity, and Minimize Absorption
	 	 	11/963365	 	 	12/21/2007
	Finisar Corporation	 	Optical Transmitter Having A Widely Tunable Directly Modulated Laser and Periodic
Optical Spectrum Reshaping Element
	 	 	11/964315	 	 	12/26/2007
	Finisar Corporation	 	Integral Phase
Rule for Reducing Dispersion Errors in an Adiabatically Chirped Amplitude Modulated Signal
	 	 	11/964321	 	 	12/26/2007
	Finisar Corporation	 	Transceiver For Testing Networks and Adapting to Device Changes
	 	 	11/966646	 	 	12/28/2007
	Finisar Corporation	 	Intelligent Transmitter Module
	 	 	11/968581	 	 	1/2/2008
	Finisar Corporation	 	Logging Mechanism for an Intelligent Transmitter Module
	 	 	12/015240	 	 	1/16/2008
	Finisar Corporation	 	Method and Apparatus for Generating Signals with Increased Dispersion Tolerance Using
a Directly Modulated Laser Transmitter
	 	 	12/017957	 	 	1/22/2008
	Finisar Corporation	 	Burst Mode Digital Diagnostic and Control for Passive Optical Network Receiving
	 	 	12/023490	 	 	1/31/2008
	Finisar Corporation	 	Temperature Stabilizing Packaging for Optoelectronic Components in a Transmitter Module
	 	 	12/025573	 	 	2/4/2008

43

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Monolithic Power Monitor and Wavelength Detector
	 	 	12/026368	 	 	2/5/2008
	Finisar Corporation	 	Opto-isolator including a vertical cavity surface emitting laser
	 	 	12/027391	 	 	2/7/2008
	Finisar Corporation	 	Single Piece Diplexer and Triplexer Housing
	 	 	12/028519	 	 	2/8/2008
	Finisar Corporation	 	WDM Pon Based on CML
	 	 	12/028675	 	 	2/8/2008
	Finisar Corporation	 	Slow chirp compensation for enhanced signal bandwidth and transmission performances in directly modulated lasers
	 	 	12/028678	 	 	2/8/2008
	Finisar Corporation	 	High-Speed Interconnects
	 	 	12/030142	 	 	2/12/2008
	Finisar Corporation	 	Optical network unit transceiver module with arrayed I/O video contacts
	 	 	12/030555	 	 	2/13/2008
	Finisar Corporation	 	Collimated ball lenses for optical triplexers
	 	 	12/031234	 	 	2/14/2008
	Finisar Corporation	 	Digital Diagnostics Parameter Storage
	 	 	12/031360	 	 	2/14/2008
	Finisar Corporation	 	Variable Optical Attenuator Integration into Transmitter Optical Sub-assemblies
	 	 	12/034514	 	 	2/20/2008
	Finisar Corporation	 	Ridge waveguide laser with a compressively strained layer
	 	 	12/036146	 	 	2/22/2008
	Finisar Corporation	 	Cleaving edge-emitting lasers from a wafer cell
	 	 	12/036157	 	 	2/22/2008
	Finisar Corporation	 	Angular Seam for an Electronic Module
	 	 	12/038721	 	 	2/27/2008
	Finisar Corporation	 	Phase Detector Utilizing analog-to-digital converter components.
	 	 	12/039424	 	 	2/28/2008
	Finisar Corporation	 	Redundancy and Interoperability in Multi-Channel Optoelectronic Devices
	 	 	12/039589	 	 	2/28/2008
	Finisar Corporation	 	Status Links for Multi-channel Optical Communication Systems
	 	 	12/039595	 	 	2/28/2008
	Finisar Corporation	 	Positioning Plate for Optical Subassembly
	 	 	12/039598	 	 	2/28/2008
	Finisar Corporation	 	Multi-Mode Integrated Circuit for Use in Optoelectronic Devices
	 	 	12/039669	 	 	2/28/2008
	Finisar Corporation	 	Rotatable Top Shell
	 	 	12/039677	 	 	2/28/2008
	Finisar Corporation	 	Optical FM source based on intra-cavity phase and amplitude modulation in lasers
	 	 	12/047017	 	 	3/12/2008
	Finisar Corporation	 	Laser driver bias current calibration
	 	 	12/047495	 	 	3/13/2008
	Finisar Corporation	 	Mechanisms for heat transfer in an optical transceiver module and card cage system
	 	 	12/052596	 	 	3/20/2008
	Finisar Corporation	 	Directly Modulated Laser with Isolated Modulated Gain Electrode for Improved Frequency Modulation
	 	 	12/053344	 	 	3/21/2008
	Finisar Corporation	 	Header Assembly for Extended Temperature Optical Transmitter
	 	 	12/059942	 	 	3/31/2008
	Finisar Corporation	 	Transceiver connector with integrated magnetics
	 	 	12/060552	 	 	4/1/2008
	Finisar Corporation	 	Dispersion Compensator for Frequency Reshaped Optical Signals
	 	 	12/061508	 	 	4/2/2008
	Finisar Corporation	 	Power source for a dispersion compensation fiber optic system
	 	 	12/062356	 	 	4/3/2008

44

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Electrical Device with Electrical Interface that is Compatible with Optical Cables
	 	 	12/098343	 	 	4/4/2008
	Finisar Corporation	 	DBR laser with improved thermal tuning efficiency
	 	 	12/102607	 	 	4/14/2008
	Finisar Corporation	 	Optimization of Serdes Sampling Parameters
	 	 	12/103431	 	 	4/15/2008
	Finisar Corporation	 	Tuning system and method using a simulated bit error rate for use in an electronic dispersion compensator
	 	 	12/107581	 	 	4/22/2008
	Finisar Corporation	 	Passive Wave Division Multiplexed Transmitter Having a Directly Modulated Laser Array
	 	 	12/110071	 	 	4/25/2008
	Finisar Corporation	 	Eye Safety Mechanism for Use in Optical Cable with Electrical Interfaces
	 	 	12/111854	 	 	4/29/2008
	Finisar Corporation	 	Eye Safety and Interoperability of Active Cable Devices
	 	 	12/112214	 	 	4/30/2008
	Finisar Corporation	 	Powered Latching Mechanism for a Module
	 	 	12/113768	 	 	5/1/2008
	Finisar Corporation	 	Molded Card Edge Connector for Attachment with a Printed Circuit Board
	 	 	12/114600	 	 	5/2/2008
	Finisar Corporation	 	Optical FM Source Based on Intra-Cavity Phase and Amplitude Modulation Lasers
	 	 	12/115337	 	 	5/5/2008
	Finisar Corporation	 	Intelligent Bail
	 	 	12/116327	 	 	5/7/2008
	Finisar Corporation	 	DBR laser with improved thermal tuning efficiency
	 	 	12/152407	 	 	5/14/2008
	Finisar Corporation	 	Electromagnetic Radiation Shield For an Optical Subassembly
	 	 	12/125748	 	 	5/22/2008
	Finisar Corporation	 	Chirped Laser with Passive Filter Element for Differential Phase Shift Keying Generation
	 	 	12/126717	 	 	5/23/2008
	Finisar Corporation	 	Optoelectronic SubAssembly with Integral Thermoelectric Cooler Driver
	 	 	12/127103	 	 	5/27/2008
	Finisar Corporation	 	Monitoring of Data on Inter-Switch Link Devices
	 	 	12/127406	 	 	5/27/2008
	Finisar Corporation	 	Optimization of Laser Parameters to Achieve Desired Performance
	 	 	12/129518	 	 	5/29/2008
	Finisar Corporation	 	Optoelectronic devices with intelligent transmitter modules
	 	 	12/130123	 	 	5/30/2008
	Finisar Corporation	 	Pulsed Volt Age Acceleration of RWG Laser “REQUEST FOR NON-PUBLICATION ACKNOWLEDGED**
	 	 	12/130327	 	 	5/30/2008
	Finisar Corporation	 	Ridge Waveguide Laser with Flared Facet *REQUEST FOR NON-PUBLICATION ACKNOWLEDGED*
	 	 	12/130341	 	 	5/30/2008
	Finisar Corporation	 	Electromagnetic Radiation Shield For an Optical Subassembly
	 	 	12/130833	 	 	5/30/2008
	Finisar Corporation	 	Electromagnetic Radiation Shield For an Optical Subassembly
	 	 	12/130843	 	 	5/30/2008
	Finisar Corporation	 	Distributed Feedback Laser Having Enhanced Etch Stop Features “NON-PUBLICATION REQUEST ACKNOWLEDGED**
	 	 	12/138361	 	 	6/12/2008
	Finisar Corporation	 	Anechoic Structures for Absorbing Electromagnetic Interference in a Communications Module
	 	 	12/144935	 	 	6/24/2008
	Finisar Corporation	 	Integrated Laser and Photodetector Chip for an Optical Subassembly
	 	 	12/147852	 	 	6/27/2008

45

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Fiber Optic Link Having an Integrated Laser and Photodetector Chip
	 	 	12/147953	 	 	6/27/2008
	Finisar Corporation	 	Electrical Connector with EMI Shield
	 	 	12/163882	 	 	6/27/2008
	Finisar Corporation	 	Connector Receptacle with Receptacle EMI Shield
	 	 	12/163894	 	 	6/27/2008
	Finisar Corporation	 	Spider Clip for Securing a Circuit Board within a Communications Module
	 	 	12/169157	 	 	7/8/2008
	Finisar Corporation	 	Loading and Executing Firmware Devices Without Resetting Operation
	 	 	12/170046	 	 	7/9/2008
	Finisar Corporation	 	Phase Shift Keyed Modulation of Optical Signal Using Chirp Managed Laser
	 	 	12/171201	 	 	7/10/2008
	Finisar Corporation	 	Line-Side Out-Of-Band Electrical Interface for Optoelectronic Modules
	 	 	12/181484	 	 	7/29/2008
	Finisar Corporation	 	Optical transceiver with led link information indicator
	 	 	12/184042	 	 	7/31/2008
	Finisar Corporation	 	Fiberoptic transceiver module with integral status indicators
	 	 	12/184093	 	 	7/31/2008
	Finisar Corporation	 	BACKDOOR DIAGNOSTIC COMMUNICATION TO TRANSCEIVER MODULE
	 	 	12/184101	 	 	7/31/2008
	Finisar Corporation	 	High Power, Low Distortion Directly Modulated Laser Transmitter
	 	 	12/184137	 	 	7/31/2008
	Finisar Corporation	 	Task Scheduling of Fiber-Optic Transceiver Firmware
	 	 	12/185039	 	 	8/1/2008
	Finisar Corporation	 	Asymmetric Scheduling of Multiple Analog Inputs Using a Single A/D Converter for Fiber-Optic Transceivers
	 	 	12/186699	 	 	8/6/2008
	Finisar Corporation	 	Method and Apparatus for Compensating for Fiber Nonlinearity in a Transmission System
	 	 	12/187151	 	 	8/6/2008
	Finisar Corporation	 	Optical Network Unit Transceiver Module Having Direct Connect RF Pin Configuration
	 	 	12/188132	 	 	8/7/2008
	Finisar Corporation	 	Optical Beam Steering For Tunable Laser Applications
	 	 	12/188407	 	 	8/8/2008
	Finisar Corporation	 	High-Power Optical Burn-In
	 	 	12/190914	 	 	8/13/2008
	Finisar Corporation	 	PROTOCOLS FOR OUT-OF-BAND COMMUNICATION
	 	 	12/198631	 	 	8/26/2008
	Finisar Corporation	 	Integrated Optical Interconnect
	 	 	12/198778	 	 	8/26/2008
	Finisar Corporation	 	Combination network fiber connector and light pipe
	 	 	12/200337	 	 	8/28/2008
	Finisar Corporation	 	Accessing transceiving link information from host interface
	 	 	12/200398	 	 	8/28/2008
	Finisar Corporation	 	Fiberoptic transceiver module with optical diagnostic data output
	 	 	12/200406	 	 	8/28/2008
	Finisar Corporation	 	CFP Electrical Connector
	 	 	12/203027	 	 	9/2/2008
	Finisar Corporation	 	CFP electrical connector
	 	 	12/203053	 	 	9/2/2008
	Finisar Corporation	 	Receptacle with Multiple Contact Sets Each for Different Connector Types
	 	 	12/211734	 	 	9/16/2008
	Finisar Corporation	 	Periodic Detection of Location of Portable Articles Using RF ID System
	 	 	12/234375	 	 	9/19/2008
	Finisar Corporation	 	AC Differential Connection Assembly Between Trans-Impedance Amplifier and Post Amplifier for Burst Mode Receiving
	 	 	12/235907	 	 	9/23/2008

46

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	PCB Carrier for Optical Electrical Device
	 	 	12/245976	 	 	10/6/2008
	Finisar Corporation	 	Monolithic shell for optical electrical device
	 	 	12/246092	 	 	10/6/2008
	Finisar Corporation	 	Active Linear Amplifier Inside Transmitter Module
	 	 	12/248325	 	 	10/9/2008
	Finisar Corporation	 	Non-coplanar High-speed interconnects
	 	 	12/248456	 	 	10/9/2008
	Finisar Corporation	 	Migration enhanced epitaxy fabrication of active regions having quantum wells
	 	 	12/250405	 	 	10/13/2008
	Finisar Corporation	 	Automatic selection of data rate for optoelectronic devices
	 	 	12/250432	 	 	10/13/2008
	Finisar Corporation	 	Protecting Against Counterfeit Electronic Devices
	 	 	12/251139	 	 	10/14/2008
	Finisar Corporation	 	Serializer/ Deserializer Test Modes
	 	 	12/252649	 	 	10/16/2008
	Finisar Corporation	 	Feed Thru with Flipped Signal Plane Using Guided Vias
	 	 	12/259202	 	 	10/27/2008
	Finisar Corporation	 	Active Optical Cable with Integrated Control Features
	 	 	12/262872	 	 	10/31/2008
	Finisar Corporation	 	Anticounterfeiting Means for Optical Communications Components
	 	 	12/264194	 	 	11/3/2008
	Finisar Corporation	 	Monitoring the Physical Layer of Optoelectronic Modules
	 	 	12/267111	 	 	11/7/2008
	Finisar Corporation	 	Transmission of Eye Information from Opto-electronic Modules
	 	 	12/272062	 	 	11/17/2008
	Finisar Corporation	 	Floating Front Enclosure For Pluggable Module
	 	 	12/273069	 	 	11/18/2008
	Finisar Corporation	 	Thread Lateral Movement Sensor
	 	 	12/323679	 	 	11/26/2008
	Finisar Corporation	 	Optical Transceiver With Vendor Authentication
	 	 	12/323731	 	 	11/26/2008
	Finisar Corporation	 	Avoiding Air Flow Penetration In Temperature Measurement
	 	 	12/330360	 	 	12/8/2008
	Finisar Corporation	 	Thumbscrew for pluggable modules
	 	 	12/334309	 	 	12/12/2008
	Finisar Corporation	 	Feedback control for heated TOSAs
	 	 	12/338765	 	 	12/18/2008
	Finisar Corporation	 	VCSEL optimized for high speed data
	 	 	12/340286	 	 	12/19/2008
	Finisar Corporation	 	Hybrid surface mountable packages for very high speed integrated circuits
	 	 	12/340375	 	 	12/19/2008
	Finisar Corporation	 	Electromagnetic Interference Containment Structures
	 	 	12/348767	 	 	1/5/2009
	Finisar Corporation	 	Heat Management In An Electronic Module
	 	 	12/351542	 	 	1/9/2009
	Finisar Corporation	 	Passive Optical Detectors with Full Protection Layer
	 	 	12/420316	 	 	4/8/2009
	Finisar Corporation	 	Fault Analysis and Monitoring Applications Using Out-of-Band Based Modules
	 	 	12/426092	 	 	4/17/2009
	Finisar Corporation	 	Modular Heatsink Mounting System
	 	 	12/466244	 	 	5/14/2009
	Finisar Corporation	 	Transceiver Module with Dual Printed Circuit Boards
	 	 	12/468790	 	 	5/19/2009
	Finisar Corporation	 	Bail Release Mechanism for Fiber Optics Module
	 	 	12/478499	 	 	6/4/2009
	Finisar Corporation	 	Thermal Chirp Compensation in a Chirp Managed
	 	 	12/495460	 	 	6/30/2009
	Finisar Corporation	 	Header Assembly for Communications Module
	 	 	12/506093	 	 	7/20/2009

47

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	IMPROVED BASEBAND PHASE-LOCKED LOOP
	 	 	12/546537	 	 	8/24/2009
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	9/16/2009
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	9/23/2009
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	9/24/2009
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	9/29/2009
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	9/29/2009
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	9/29/2009
	Finisar Corporation	 	Optical Micro-Connector
	 	 	12/049082	 	 	3/14/2008
	Finisar Corporation	 	Optical Interconnect Solution
	 	 	12/049062	 	 	3/14/2008
	Finisar Corporation	 	Mini Optical Subassembly
	 	 	12/049123	 	 	3/14/2008
	Finisar Corporation	 	Distributed Feedback Laser Array
	 	 	12/106784	 	 	4/21/2008
	Finisar Corporation	 	Laser Eye Safety And Fiber Receptable Presence Detection
	 	 	12/172064	 	 	7/11/2008
	Finisar Corporation	 	Digital Video Interface
	 	 	11/431339	 	 	5/9/2006
	Finisar Corporation	 	Temperature Measurement Apparatus For Optoelectronic Transceiver
	 	 	12/240930	 	 	9/29/2008
	Finisar Corporation	 	Diagnostics For Serial Communication Busses
	 	 	12/166238	 	 	7/1/2008
	Finisar Corporation	 	Internal Memory For Transistor Outline Packages
	 	 	12/133101	 	 	6/4/2008
	Finisar Corporation	 	Optoelectronic Transceiver With Digital Diagnostics
	 	 	12/400752	 	 	3/9/2009
	Finisar Corporation	 	Reliable Implanted Vertical Cavity Surface Emitting Laser
	 	 	12/134372	 	 	6/6/2008
	Finisar Corporation	 	Vortex-Based Temperature Control System
	 	 	12/147366	 	 	6/26/2008
	Finisar Corporation	 	Multimode Reflective Tap
	 	 	12/103365	 	 	4/15/2008
	Finisar Corporation	 	Free-Space Isolator Optical Element Fixture
	 	 	12/047853	 	 	3/13/2008
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	9/30/2008
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	9/30/2008
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	10/31/2008
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	11/3/2008
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	1/16/2009
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	7/9/2009
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	7/10/2009
	Finisar Corporation	 	Photo-Imaged Stress Management Layer for Semiconductor Devices
	 	 	7232692	 	 	3/4/2005
	Finisar Corporation	 	Electrical Surge Protection Using In-Package Gas Discharge System
	 	 	7349189	 	 	5/6/2005
	Finisar Corporation	 	Power and Encircled Flux Alignment
	 	 	7295733	 	 	6/21/2005
	Finisar Corporation	 	Coupling Region for Optical Systems
	 	 	7466886	 	 	7/8/2005

48

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Finisar Corporation	 	Glass Package for Optical Device
	 	 	7295730	 	 	12/2/2005
	Finisar Corporation	 	Latching Systems for Small-Form Pluggable Device
	 	 	7294004	 	 	10/23/2006
	Finisar Corporation	 	A Compact Optical Multiplexer and Demultiplexer
	 	 	7366371	 	 	4/24/2007
	Finisar Corporation	 	Multimode Reflective Tap
	 	 	12103365	 	 	4/15/2008
	Finisar Corporation	 	Free Space Isolator Optical Element Fixture
	 	 	12047853	 	 	3/13/2008
	Finisar Corporation	 	Gasketed Collar for Reducing Electromagnetic Interference (Emi) Emission from Optical Communication Module
	 	 	12/139,365	 	 	6/13/2008
	Finisar Corporation	 	Optical Receiver With Threshold Voltage Compensation
	 	 	12/204797	 	 	9/4/2008
	Finisar Corporation	 	[****]
	 	 	[****]	 	 	5/7/2009
	Finisar Corporation	 	Method And Apparatus For Demodulating And Regenerating Phase Modulated Optical Signals
	 	 	12/391233	 	 	2/23/2009
	Kailight Photonics, Inc.	 	All-Optical, Tunable Regenerator, Reshaper And Wavelength Converter
	 	 	6,947,206	 	 	7/18/2003
	Kailight Photonics, Inc.	 	Compact Optical-Optical Switches And Wavelength Converts By Means Of Multimode Interference Mode Converters
	 	 	5,933,554	 	 	8/27/1997
	Kailight Photonics, Inc.	 	Systems And Methods For Polarization Mode Dispersion Mitigation
	 	 	7,454,092	 	 	10/24/2006
	Kailight Photonics, Inc.	 	Systems And Methods For All-Optical Signal Regeneration Based On Free Space Optics
	 	 	11/589276	 	 	10/26/2006
	Kailight Photonics, Inc.	 	Optical Transponders With Reduced Sensitivity To Polarization Mode Dispersion (PMD) And Chromatic Dispersion (CD)
	 	 	11/585659	 	 	10/24/2006
	Kailight Photonics, Inc.	 	Systems and Methods for Polarization Dispersion Mitigation
	 	 	12/272661	 	 	11/17/2008
	Kailight Photonics, Inc.	 	Systems and Methods for Polarization Dispersion Mitigation
	 	 	12/271780	 	 	11/14/2008
	Kailight Photonics, Inc.	 	Systems and Methods for Polarization Dispersion Mitigation
	 	 	12/271771	 	 	11/14/2008
	Optium Australia Pty Ltd	 	Optical Communication Systems
	 	 	12/253218	 	 	10/16/2008
	Optium Corporation	 	Apparatus, System and Method for Extraction of an Optical Clock Signal from an Optical Data System
	 	 	6,501,579	 	 	3/1/2001
	Optium Corporation	 	Method and Apparatus for Dispersion Mitigation in Optical Links
	 	 	12/106291	 	 	4/19/2008
	Optium Corporation	 	Phase Lock Loop Control For Digital Communication Systems
	 	 	12/194122	 	 	8/19/2008
	Optium Corporation	 	Wavelength Selective Reconfigurable Optical Cross-Connect
	 	 	10/952223	 	 	9/27/2004
	Optium Corporation	 	Electro-Absorption Modulated Laser With High Operating Temperature Tolerance
	 	 	7,120,183	 	 	12/4/2001
	Optium Corporation	 	Dispersion Tolerant Optical Data Transmitter
	 	 	6,623,188	 	 	2/8/2002
	Optium Corporation	 	Optical Transmitter with SBS Suppression
	 	 	7,146,110	 	 	2/11/2003
	Optium Corporation	 	Optical Transmitter with SBS Suppression
	 	 	7,349,637	 	 	12/1/2006

49

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 
	 	 	 	 	Application/Serial/	 	 
	Grantor	 	Patent Name	 	Patent No.	 	Filing Date
	Optium Corporation	 	Linearized Optical Transmitter Using Feedback Control
	 	 	7,340,184	 	 	5/1/2003
	Optium Corporation	 	Optical Transmitter for Increased Effective Modal Bandwidth Transmission
	 	 	7,269,358	 	 	9/9/2003
	Optium Corporation	 	Optical Transmitter for Increased Effective Modal Bandwidth Transmission
	 	 	7,248,762	 	 	9/9/2003
	Optium Corporation	 	Optical Fiber Transmission System with Increased Effective Modal Bandwidth Transmission
	 	 	7,283,701	 	 	1/7/2004
	Optium Corporation	 	Modulated Laser with Integral Pre-Distortion Circuit
	 	 	7,561,809	 	 	8/10/2004
	Optium Corporation	 	Wavelength Manipulation System and Method
	 	 	7,092,599	 	 	11/12/2003

Foreign Patents and Patent Applications

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	European Patent Office	 	Finisar Corporation	 	Electrically tunable semiconductor laser with ridge waveguide
	 	 	0371379	 	 	21-Nov-1989
	France	 	Finisar Corporation	 	Electrically tunable semiconductor laser with ridge waveguide
	 	 	0371379	 	 	21-Nov-1989
	United Kingdom	 	Finisar Corporation	 	Electrically tunable semiconductor laser with ridge waveguide
	 	 	0371379	 	 	21-Nov-1989
	European Patent Office	 	Finisar Corporation	 	Oven for the soldering or sticking without flux of semiconducting microchips
	 	 	0411596	 	 	31-Jul-1990
	Australia	 	Finisar Corporation	 	Semiconductor laser diode controller and laser diode biasing control method
	 	 	654825	 	 	31-Jul-1991
	European Patent Office	 	Finisar Corporation	 	Tunable semiconductor laser on a semi-insulating substrate
	 	 	0524459	 	 	0l-Jul-1992
	Taiwan	 	Finisar Corporation	 	VCDEL WITH Al-FREE CAVITY REGION
	 	 	NI-075480	 	 	24-May-1995
	Taiwan	 	Finisar Corporation	 	PATTERNED MIRROR VCSEL WITH ADJUSTABLE SELECTIVE ETCH REGION
	 	 	NI-075479	 	 	24-May-1995
	Taiwan	 	Finisar Corporation	 	A SEMICONDUCTOR DEVICE WITH HIGH HEAT CONDUCTIVITY
	 	 	NI-083506	 	 	05-Oct-1994
	European Patent Office	 	Finisar Corporation	 	Method & apparatus for stimulation o laser diode in a fiber optic transmitter
	 	 	0643879	 	 	0l-Jun-1993
	Germany	 	Finisar Corporation	 	Method & apparatus for stimulation o laser diode in a fiber optic transmitter
	 	P	69308138.4	 	 	0l-Jun-1993
	United Kingdom	 	Finisar Corporation	 	Method & apparatus for stimulation o laser diode in a fiber optic transmitter
	 	 	0643879	 	 	01-Jun-1993

50

 

CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	Australia	 	Finisar Corporation	 	Method & apparatus for stimulation o laser diode in a fiber optic transmitter
	 	 	673529	 	 	0l-Jun-1993
	European Patent Office	 	Finisar Corporation	 	Electrical unit
	 	 	0725986	 	 	06-Sep-1994
	Germany	 	Finisar Corporation	 	Electrical unit
	 	 	59403054.4	 	 	06-Sep-1994
	European Patent Office	 	Finisar Corporation	 	Tunable laser diode
	 	 	0664587	 	 	03-Jan-1995
	European Patent Office	 	Finisar Corporation	 	Coupling part
	 	 	0693187	 	 	06-Apr-1994
	Germany	 	Finisar Corporation	 	Coupling part
	 	 	0693187	 	 	06-Apr-1994
	United Kingdom	 	Finisar Corporation	 	Coupling part
	 	 	0693187	 	 	06-Apr-1994
	European Patent Office	 	Finisar Corporation	 	Optical transmission system for transmission of signals with a continuous application
	 	 	0590379	 	 	09-Sep-1993
	Germany	 	Finisar Corporation	 	Optical transmission system for transmission of signals with a continuous application
	 	 	59306835.1	 	 	09-Sep-1993
	United Kingdom	 	Finisar Corporation	 	Optical transmission system for transmission of signals with a continuous application
	 	 	0590379	 	 	09-Sep-1993
	Taiwan	 	Finisar Corporation	 	SEMICONDUCTOR LASER AND METHOD THEREFOR
	 	 	NI-085158	 	 	ll-Jan-1995
	European Patent Office	 	Finisar Corporation	 	Semiconductor laser diode controller and laser biasing control method
	 	 	0548111	 	 	31-Jul-1991
	United Kingdom	 	Finisar Corporation	 	Semiconductor laser diode controller & laser diode biasing control method
	 	 	0548111	 	 	31-M-1991
	Germany	 	Finisar Corporation	 	Semiconductor laser diode controller & laser diode biasing control method
	 	 	69127700.1	 	 	31-Jul-1991
	France	 	Finisar Corporation	 	Semiconductor laser diode controller & laser diode biasing control method
	 	 	0548111	 	 	31-Jul-1991
	Japan	 	Finisar Corporation	 	Electrically tunable semiconductor laser with ridge waveguide
	 	 	2720407	 	 	29-Nov-1989
	Germany	 	Finisar Corporation	 	Mechanism for regulating a laser
	 	 	19525918	 	 	04-Jul-1995
	Germany	 	Finisar Corporation	 	VCSEL WITH LATERAL INDEX GUIDE
	 	 	0674367	 	 	24-Mar-1994
	European Patent Office	 	Finisar Corporation	 	VCSEL WITH LATERAL INDEX GUIDE
	 	 	0674367	 	 	24-Mar-1994
	Netherlands	 	Finisar Corporation	 	VCSEL WITH LATERAL INDEX GUIDE
	 	 	0674367	 	 	24-Mar-1994

51

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	European Patent Office	 	Finisar Corporation	 	Integrated optical arrangement of ridge waveguides on a substrate
	 	 	0610857	 	 	07-Feb-1994
	Germany	 	Finisar Corporation	 	Laser with selectively changed current confining layer
	 	P	69814379.5	 	 	04-Mar-1998
	United Kingdom	 	Finisar Corporation	 	Inhibited laser power monitor
	 	 	0737376	 	 	16-Dec-1994
	Germany	 	Finisar Corporation	 	Inhibited laser power monitor
	 	 	0737376	 	 	16-Dec-1994
	France	 	Finisar Corporation	 	Inhibited laser power monitor
	 	 	0737376	 	 	16-Dec-1994
	European Patent Office	 	Finisar Corporation	 	Optical arrangement of a strip-shaped optical waveguide
	 	 	0662621	 	 	03-Jan-1995
	Japan	 	Finisar Corporation	 	Arrangement for optically coupling light between an electro-optical transducer and
a light waveguide
	 	 	2797258	 	 	23-May-1990
	France	 	Finisar Corporation	 	A SEMICONDUCTOR DEVICE WITH HIGH HEAT CONDUCTIVITY
	 	 	0653823	 	 	07-Nov-1994
	United Kingdom	 	Finisar Corporation	 	A SEMICONDUCTOR DEVICE WITH HIGH HEAT CONDUCTIVITY
	 	 	0653823	 	 	07-Nov-1994
	Taiwan	 	Finisar Corporation	 	Method for making a VCSEL
	 	 	NI-101440	 	 	21-Sep-1995
	Japan	 	Finisar Corporation	 	Tunable semiconductor laser
	 	 	2915049	 	 	14-Feb-1990
	Germany	 	Finisar Corporation	 	A SEMICONDUCTOR DEVICE WITH HIGH HEAT CONDUCTIVITY
	 	 	0653823	 	 	07-Nov-1994
	Taiwan	 	Finisar Corporation	 	VERRICAL CAVITY SURFACE EMITTING LASER FOR HIGH POWER OPERATION AND MEHTOD OF
FABRICATION
	 	 	NI-104797	 	 	10-Mar-1998
	Japan	 	Finisar Corporation	 	Method & apparatus for stimulation o laser diode in a fiber optic transmitter
	 	 	2954353	 	 	0l-Jun-1993
	European Patent Office	 	Finisar Corporation	 	Sealing part
	 	 	0865622	 	 	04-Dec-1996
	United Kingdom	 	Finisar Corporation	 	Sealing part
	 	 	0865622	 	 	04-Dec-1996
	France	 	Finisar Corporation	 	Method for making a VCSEL
	 	 	0715378	 	 	14-Nov-1995
	United Kingdom	 	Finisar Corporation	 	Method for making a VCSEL
	 	 	0715378	 	 	14-Nov-1995
	Netherlands	 	Finisar Corporation	 	Method for making a VCSEL
	 	 	0715378	 	 	14-Nov-1995
	Germany	 	Finisar Corporation	 	Optisches modul
	 	 	19846213	 	 	07-Oct-1998
	Germany	 	Finisar Corporation	 	Semiconductor integrated circuit
	 	 	19612388	 	 	28-Mar-1996

52

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	Taiwan	 	Finisar Corporation	 	DUAL WAVELENGTH MONOLITHICALLY INTEGRATED VERTICAL CAVITY SURFACE EMITTING LASERS AND
METHOD OF FABRICATION
	 	 	NI-108681	 	 	10-Mar-1998
	Germany	 	Finisar Corporation	 	Baugruppe
	 	 	19708675	 	 	21-Feb-1997
	European Patent Office	 	Finisar Corporation	 	Laser diode/modulator combination
	 	 	0906646	 	 	07-May-1997
	Germany	 	Finisar Corporation	 	Laser diode/modulator combination
	 	 	0906646	 	 	07-May-1997
	France	 	Finisar Corporation	 	Laser diode/modulator combination
	 	 	0906646	 	 	07-May-1997
	United Kingdom	 	Finisar Corporation	 	Laser diode/modulator combination
	 	 	0906646	 	 	07-May-1997
	Taiwan	 	Finisar Corporation	 	LONG WAVELENGTH LIGHT EMITTING VERTICAL CAVITY SURFACE EMITTING LASER AND METHOD
FABRICATION
	 	 	NI-110433	 	 	10-Mar-1998
	Taiwan	 	Finisar Corporation	 	LONG WAVELENGTH VCSEL
	 	 	NI-110918	 	 	10-Mar-1998
	Japan	 	Finisar Corporation	 	VCSEL WITH LATERAL WAVEGUIDE AND CURRENT LIMITING
	 	 	3027901	 	 	16-Feb-1994
	Taiwan	 	Finisar Corporation	 	Method for stabilizing the wavelength of a laser and arrangement for implementing said
method
	 	 	NIl12775	 	 	18-Mar-1998
	Germany	 	Finisar Corporation	 	Method for making a VCSEL
	 	 	0715378	 	 	14-Nov-1995
	European Patent Office	 	Finisar Corporation	 	Method for producing an electrooptical module
	 	 	0922240	 	 	28-Aug-1997
	Germany	 	Finisar Corporation	 	Method for producing an electrooptical module
	 	 	59701893.6	 	 	28-Aug-1997
	United Kingdom	 	Finisar Corporation	 	Method for producing an electrooptical module
	 	 	0922240	 	 	28-Aug-1997
	European Patent Office	 	Finisar Corporation	 	Electrooptical module
	 	 	0922241	 	 	28-Aug-1997
	Germany	 	Finisar Corporation	 	Electrooptical module
	 	 	0922241	 	 	28-Aug-1997
	United Kingdom	 	Finisar Corporation	 	Electrooptical module
	 	 	0922241	 	 	28-Aug-1997
	Taiwan	 	Finisar Corporation	 	LONG WAVELENGTH VCSEL
	 	 	NI-116648	 	 	21-Apr-1998
	European Patent Office	 	Finisar Corporation	 	Configuration for coupling light into one end of a multimode optical waveguide
	 	 	0934543	 	 	28-Oct-1997
	Germany	 	Finisar Corporation	 	Configuration for coupling light into one end of a multimode optical waveguide
	 	 	59702252.6	 	 	28-Oct-1997
	United Kingdom	 	Finisar Corporation	 	Configuration for coupling light into one end of a multimode optical waveguide
	 	 	0934543	 	 	28-Oct-1997

53

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	France	 	Finisar Corporation	 	Multi-gigahertz frequency-modulated vertical cavity surface emitting laser
	 	 	08307 18	 	 	28-May-1996
	United Kingdom	 	Finisar Corporation	 	Multi-gigahertz frequency-modulated vertical cavity surface emitting laser
	 	 	0830718	 	 	28-May-1996
	Germany	 	Finisar Corporation	 	Multi-gigahertz frequency-modulated vertical cavity surface emitting laser
	 	 	0830718	 	 	28-May-1996
	European Patent Office	 	Finisar Corporation	 	Multi-gigahertz frequency-modulated vertical cavity surface emitting laser
	 	 	0830718	 	 	28-May-1996
	Germany	 	Finisar Corporation	 	Kopplungsteil
	 	 	19902831	 	 	15-Jan-1999
	Canada	 	Finisar Corporation	 	Information broadcasting system & method
	 	 	2121592	 	 	27-Oct-1992
	European Patent Office	 	Finisar Corporation	 	Optoelectronic transducer formed of a semiconductor component and a lens system
	 	 	0731509	 	 	04-Mar-1996
	Germany	 	Finisar Corporation	 	Optoelectronic transducer formed of a semiconductor component and a lens system
	 	 	59607023.3	 	 	04-Mar-1996
	European Patent Office	 	Finisar Corporation	 	Optical coupling arrangement composed of a pair of strip-type optical waveguide end
segments
	 	 	0786677	 	 	09-Jan-1997
	European Patent Office	 	Finisar Corporation	 	Optical transmitter device
	 	 	1002349	 	 	28-Jul-1998
	European Patent Office	 	Finisar Corporation	 	Electro-optical module
	 	 	0901645	 	 	16-May-1997
	Germany	 	Finisar Corporation	 	Electro-optical module
	 	 	0901645	 	 	16-May-1997
	United Kingdom	 	Finisar Corporation	 	Electro-optical module
	 	 	0901645	 	 	16-May-1997
	Japan	 	Finisar Corporation	 	Optical grating comprising a plurality of side-by-side outfeed end faces of optical
waveguides
	 	 	3222163	 	 	13-Sep-1991
	European Patent Office	 	Finisar Corporation	 	Chip-to-interface alignment
	 	 	1068552	 	 	29-Mar-1999
	European Patent Office	 	Finisar Corporation	 	Opto-electronic component with MQW structures
	 	 	0849847	 	 	17-Dec-1997
	Germany	 	Finisar Corporation	 	Opto-electronic component with MQW structures
	 	 	0849847	 	 	17-Dec-1997
	France	 	Finisar Corporation	 	Opto-electronic component with MQW structures
	 	 	0849847	 	 	17-Dec-1997

54

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	United Kingdom	 	Finisar Corporation	 	Opto-electronic component with MQW structures
	 	 	0849847	 	 	17-Dec.-1997
	Germany	 	Finisar Corporation	 	Fiber-optic transmitting component with precisely settable input cooling
	 	 	19948372	 	 	06-Oct-1999
	Japan	 	Finisar Corporation	 	Semiconductor laser diode controller and laser diode biasing control method
	 	 	3248720	 	 	31-Jul-1991
	Japan	 	Finisar Corporation	 	Optoelectronic transducer formed of a semiconductor component and a lens system
	 	 	3256126	 	 	04-Mar-1996
	United Kingdom	 	Finisar Corporation	 	Flexible optic connector assembly
	 	 	0950204	 	 	13-Nov-1997
	Germany	 	Finisar Corporation	 	Flexible optic connector assembly
	 	 	69710098.7-08	 	 	13-Nov-1997
	Sweden	 	Finisar Corporation	 	Flexible optic connector assembly
	 	 	0950204	 	 	13-Nov-1997
	European Patent Office	 	Finisar Corporation	 	Flexible optic connector assembly
	 	 	0950204	 	 	13-Nov-1997
	France	 	Finisar Corporation	 	Flexible optic connector assembly
	 	 	0950204	 	 	13-Nov-1997
	European Patent Office	 	Finisar Corporation	 	Wavelength detection or regulation for transmitting element in optical wavelength
multiplexed transmission unit
	 	 	1090472	 	 	25-Jun-1999
	Germany	 	Finisar Corporation	 	Method for detecting and/or controlling the transmission wavelengths of transmitting
elements of an optical wavelength multiplex transmission unit and a corresponding
wavelength multiplex transmission unit
	 	 	1090472	 	 	25-Jun-1999
	United Kingdom	 	Finisar Corporation	 	Method for detecting and/or controlling the transmission wavelengths of transmitting
elements of an optical wavelength multiplex transmission unit and a corresponding
wavelength multiplex transmission unit
	 	 	1090472	 	 	25-Jun-1999
	France	 	Finisar Corporation	 	Method for detecting and/or controlling the transmission wavelengths of transmitting
elements of an optical wavelength multiplex transmission unit and a corresponding
wavelength multiplex transmission unit
	 	 	1090472	 	 	25-Jun-1999

55

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	Italy	 	Finisar Corporation	 	Method for detecting and/or controlling the transmission wavelengths of transmitting
elements of an optical wavelength multiplex transmission unit and a corresponding
wavelength multiplex transmission unit
	 	 	1090472	 	 	25-Jun-1999
	European Patent Office	 	Finisar Corporation	 	Surface emitting laser
	 	 	0907994	 	 	23-Jun-1997
	Germany	 	Finisar Corporation	 	Optische koppelanordnung
	 	 	19939708	 	 	18-Aug-1999
	Germany	 	Finisar Corporation	 	Transducer module with an optical semiconductor and method for producing a transducer
module
	 	 	19963262	 	 	17-Dec-1999
	Japan	 	Finisar Corporation	 	Top Emitting VCSEL with Implant
	 	 	3306161	 	 	24-Mar-1993
	Germany	 	Finisar Corporation	 	Phase detector and clock regeneration device
	 	 	19948690	 	 	30-Sep-1999
	Republic of Korea	 	Finisar Corporation	 	PATTERNED MIRROR VCSEL WITH ADJUSTABLE SELECTIVE ETCH REGION
	 	 	341946	 	 	15-Jun-1995
	Germany	 	Finisar Corporation	 	Connection arrangement for electronic component on PCB
	 	 	10023220	 	 	08-May-2000
	European Patent Office	 	Finisar Corporation	 	Radio-frequency laser module and method for producing it
	 	 	0961372	 	 	07-May-1999
	France	 	Finisar Corporation	 	Radio-frequency laser module and method for producing it
	 	 	0961372	 	 	07-May-1999
	United Kingdom	 	Finisar Corporation	 	Radio-frequency laser module and method for producing it
	 	 	0961372	 	 	07-May-1999
	Germany	 	Finisar Corporation	 	Opto-electronic transmitter for optical communications system
	 	 	19623479	 	 	12-Jun-1996
	Republic of Korea	 	Finisar Corporation	 	Method for P-doping of a light-emitting device
	 	 	346532	 	 	05-Jul-1995
	Japan	 	Finisar Corporation	 	Semiconductor Laser and Method of Fabricating
	 	 	3339706	 	 	07-Sep-1992
	Hong Kong	 	Finisar Corporation	 	Method and apparatus for precision tuning an optical filter using a ball-end joint
	 	 	HK1068417	 	 	21-Jan-2005
	European Patent Office	 	Finisar Corporation	 	Phase detector and clock regeneration device
	 	 	1145439	 	 	29-Sep-2000
	France	 	Finisar Corporation	 	Phase detector and clock regeneration device
	 	 	1145439	 	 	29-Sep-2000

56

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	United Kingdom	 	Finisar Corporation	 	Phase detector and clock regeneration device
	 	 	1145439	 	 	29-Sep-2000
	Taiwan	 	Finisar Corporation	 	System and method for VCSEL polarization control
	 	 	NI-162793	 	 	23-Aug-2001
	Germany	 	Finisar Corporation	 	Optical device assembly with an anti-kink protector and
transmitting/receiving module
	 	 	10064601	 	 	18-Dec-2000
	Germany	 	Finisar Corporation	 	Surface-mounted optic transmitting or receiving component having a deflection
receptacle
	 	 	19947113	 	 	30-Sep-1999
	Japan	 	Finisar Corporation	 	Device for releasably mounting an electric component
	 	 	3370987	 	 	09-Sep-1999
	Germany	 	Finisar Corporation	 	LONG WAVELENGTH LIGHT EMITTING VERTICAL CAVITY SURFACE EMITTING LASER AND METHOD
FABRICATION
	 	 	69809482.4	 	 	09-Feb-1998
	France	 	Finisar Corporation	 	LONG WAVELENGTH LIGHT EMITTING VERTICAL CAVITY SURFACE EMITTING LASER AND METHOD
FABRACATION
	 	 	0860913	 	 	09-Feb-1998
	United Kingdom	 	Finisar Corporation	 	LONG WAVELENGTH LIGHT EMITTING VERTICAL CAVITY SURFACE EMITTING LASER AND METHOD
FABRICATION
	 	 	0860913	 	 	09-Feb-1998
	Germany	 	Finisar Corporation	 	Clock generating circuit for regenerating input data and a method for the use thereof
	 	 	10044835	 	 	11-Sep-2000
	Germany	 	Finisar Corporation	 	Phase detector circuit for a phase control loop
	 	 	10132232	 	 	29-Jun-2001
	Canada	 	Finisar Corporation	 	Method & apparatus for stimulation o laser diode in a fiber optic transmitter
	 	 	2136987	 	 	0l-Jun-1993
	Taiwan	 	Finisar Corporation	 	Versatile method and system for single mode VCSELS
	 	 	NI-167702	 	 	27-Nov-2001
	Germany	 	Finisar Corporation	 	Housing for receiving a component which can be connected to the housing in a pluggable
manner
	 	 	10102453	 	 	15-Jan-2001
	European Patent Office	 	Finisar Corporation	 	Electro-optical arrangement
	 	 	1018052	 	 	24-Sep-1998
	Germany	 	Finisar Corporation	 	Electro-optical arrangement
	 	 	59806880.5	 	 	24-Sep-1998
	United Kingdom	 	Finisar Corporation	 	Electro-optical arrangement
	 	 	1018052	 	 	24-Sep-1998

57

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	Taiwan	 	Finisar Corporation	 	SPATIALLY MODULATED REFLECTOR FOR AN OPTOELECTRIC DEVICE
	 	 	NI-169853	 	 	28-Dec-2001
	European Patent Office	 	Finisar Corporation	 	Configuration for spatially separating and/or joining optical wavelength channels
	 	 	1070271	 	 	06-Apr-1999
	Germany	 	Finisar Corporation	 	Configuration for spatially separating and/or joining optical wavelength channels
	 	 	1070271	 	 	06-Apr-1999
	European Patent Office	 	Finisar Corporation	 	VCSEL structure insensitive to mobile hydrogen
	 	 	1038339	 	 	20-Nov-1998
	Netherlands	 	Finisar Corporation	 	VCSE STRUCTURE INSENSITIVE TO MOBILE HYDROGEN
	 	 	1038339	 	 	20-Nov-1998
	Sweden	 	Finisar Corporation	 	VCSE STRUCTURE INSENSITIVE TO MOBILE HYDROGEN
	 	 	1038339	 	 	20-Nov-1998
	Belgium	 	Finisar Corporation	 	VCSE STRUCTURE INSENSITIVE TO MOBILE HYDROGEN
	 	 	1038339	 	 	20-Nov-1998
	Switzerland	 	Finisar Corporation	 	VCSE STRUCTURE INSENSITIVE TO MOBILE HYDROGEN
	 	 	1038339	 	 	20-Nov-1998
	Italy	 	Finisar Corporation	 	VCSE STRUCTURE INSENSITIVE TO MOBILE HYDROGEN
	 	 	1038339	 	 	20-Nov-1998
	Germany	 	Finisar Corporation	 	VCSE STRUCTURE INSENSITIVE TO MOBILE HYDROGEN
	 	 	1038339	 	 	20-Nov-1998
	United Kingdom	 	Finisar Corporation	 	VCSE STRUCTURE INSENSITIVE TO MOBILE HYDROGEN
	 	 	1038339	 	 	20-Nov-1998
	France	 	Finisar Corporation	 	VCSE STRUCTURE INSENSITIVE TO MOBILE HYDROGEN
	 	 	1038339	 	 	20-Nov-1998
	Sweden	 	Finisar Corporation	 	Fiber optic transceiver
	 	 	519379	 	 	13-Jul-2001
	Germany	 	Finisar Corporation	 	LONG WAVELENGTH VCSEL
	 	 	69811553.8	 	 	15-Apr-1998
	France	 	Finisar Corporation	 	LONG WAVELENGTH VCSEL
	 	 	0874428	 	 	15-Apr-1998
	United Kingdom	 	Finisar Corporation	 	LONG WAVELENGTH VCSEL
	 	 	0874428	 	 	15-Apr-1998
	Taiwan	 	Finisar Corporation	 	Shielding plate in particular for optoelectronic transceivers
	 	 	NI177753	 	 	15-Aug-2001
	Sweden	 	Finisar Corporation	 	Monitor Submount
	 	 	519736	 	 	22-Aug-2001
	Sweden	 	Finisar Corporation	 	Alignement of optical lens or fiber using an alignment device
	 	 	519760	 	 	27-Sep-2001
	Republic of Korea	 	Finisar Corporation	 	VCSEL WITH Al-FREE CAVITY REGION
	 	 	381985	 	 	15-Jun-1995

58

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	Germany	 	Finisar Corporation	 	VERTICAL CAVITY SURFACE EMITTING LASER FOR HIGH POWER OPERATION AND METHOD OF
FABRICATION
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	European Patent Office	 	Finisar Corporation	 	VERTICAL CAVITY SURFACE EMITTING LASER FOR HIGH POWER OPERATION AND METHOD OF
FABRICATION
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	France	 	Finisar Corporation	 	VERTICAL CAVITY SURFACE EMITTING LASER FOR HIGH POWER OPERATION AND METHOD OF
FABRICATON
	 	 	0860915	 	 	09-Feb-1998
	United Kingdom	 	Finisar Corporation	 	VERTICAL CAVITY SURFACE EMITTING LASER FOR HIGH POWER OPERATION AND METHOD OF
FAVRICATION
	 	 	0860915	 	 	09-Feb-1998
	European Patent Office	 	Finisar Corporation	 	Bandgap isolated light emitter
	 	 	1048081	 	 	20-Nov-1998
	Germany	 	Finisar Corporation	 	Bandgap isolated light emitter
	 	 	1048081	 	 	20-Nov-1998
	France	 	Finisar Corporation	 	Bandgap isolated light emitter
	 	 	1048081	 	 	20-Nov-1998
	Belgium	 	Finisar Corporation	 	Bandgap isolated light emitter
	 	 	1048081	 	 	20-Nov-1998
	Italy	 	Finisar Corporation	 	Bandgap isolated light emitter
	 	 	1048081	 	 	20-Nov-1998
	Switzerland	 	Finisar Corporation	 	Bandgap isolated light emitter
	 	 	1048081	 	 	20-Nov-1998
	Netherlands	 	Finisar Corporation	 	Bandgap isolated light emitter
	 	 	1048081	 	 	20-Nov-1998
	Sweden	 	Finisar Corporation	 	Bandgap isolated light emitter
	 	 	1048081	 	 	20-Nov-1998
	United Kingdom	 	Finisar Corporation	 	Bandgap isolated light emitter
	 	 	1048081	 	 	20-Nov-1998
	Germany	 	Finisar Corporation	 	Shielding element for electromagnetic shielding of an aperture opening
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	European Patent Office	 	Finisar Corporation	 	Coupled cavity anti-guided vertical cavity surface-emitting laser
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	United Kingdom	 	Finisar Corporation	 	Coupled cavity anti-guided vertical cavity surface-emitting laser
	 	 	1208622	 	 	28-Aug-2000
	Germany	 	Finisar Corporation	 	Coupled cavity anti-guided vertical cavity surface-emitting laser
	 	 	1208622	 	 	28-Aug-2000
	Italy	 	Finisar Corporation	 	Coupled cavity anti-guided vertical cavity surface-emitting laser
	 	 	1208622	 	 	28-Aug-2000
	Netherlands	 	Finisar Corporation	 	Coupled cavity anti-guided vertical cavity surface-emitting laser
	 	 	1208622	 	 	28-Aug-2000
	Austria	 	Finisar Corporation	 	Coupled cavity anti-guided vertical cavity surface-emitting laser
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59

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
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	Belgium	 	Finisar Corporation	 	Coupled cavity anil-guided vertical cavity surface-emitting laser
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	France	 	Finisar Corporation	 	Coupled cavity anti-guided vertical cavity surface-emitting laser
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	European Patent Office	 	Finisar Corporation	 	Laser with selectively changed current confining layer
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	United Kingdom	 	Finisar Corporation	 	Semiconductor body comprising a heating element for modulating light
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	Sweden	 	Finisar Corporation	 	Laser modulator
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	Sweden	 	Finisar Corporation	 	Small foot-print monitor
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	Germany	 	Finisar Corporation	 	Coupling configuration for optically coupling an optical conductor to an
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	Sweden	 	Finisar Corporation	 	Impedance matching
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	Germany	 	Finisar Corporation	 	Method and apparatus for producing a clock output signal
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	Sweden	 	Finisar Corporation	 	Jittermodulator
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	Sweden	 	Finisar Corporation	 	Software upgrading and status control
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	Sweden	 	Finisar Corporation	 	Receiver submodule
	 	 	521253	 	 	29-Nov-2001
	Germany	 	Finisar Corporation	 	Electro-optical transceiver for wavelength multiplex system uses two phased array
waveguide gratings
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	European Patent Office	 	Finisar Corporation	 	Current confinement for vertical cavity surface emitting laser
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	European Patent Office	 	Finisar Corporation	 	Optoelectronic component and method for calibrating and optoelectronic component
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	Germany	 	Finisar Corporation	 	Optoelectronic component and method for calibrating and optoelectronic component
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	France	 	Finisar Corporation	 	Optoelectronic component and method for calibrating and optoelectronic component
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60

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
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component
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	Germany	 	Finisar Corporation	 	Optical data channel multiplexing and/or demultiplexing device using arrayed
waveguide grating and optical coupling device
	 	 	10222774	 	 	16-May-2002
	Germany	 	Finisar Corporation	 	Interferometer und anordnung zur frequenzstablilsierung
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	Sweden	 	Finisar Corporation	 	Fiber optic transceiver
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	Taiwan	 	Finisar Corporation	 	Resonant reflector for use with optoelectronic devices
	 	 	NI-185578	 	 	28-Dec-2001
	Germany	 	Finisar Corporation	 	Unit with planar optical component for multiplexing and demultiplexing of
optical data
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	Taiwan	 	Finisar Corporation	 	Shielding element for electromagnetic shielding of an aperture opening
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	Germany	 	Finisar Corporation	 	Optical transmitter and method for generating a digital optical signal sequence
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	Sweden	 	Finisar Corporation	 	Heat controlled optoelectrical unit
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	Sweden	 	Finisar Corporation	 	Method and system for an optical device
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	European Patent Office	 	Finisar Corporation	 	Integrated waveguide arrangement process for producing an integrated waveguide
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	Germany	 	Finisar Corporation	 	Optoelectronics module
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	Sweden	 	Finisar Corporation	 	Laser modulation control
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	Sweden	 	Finisar Corporation	 	Method of placing a die with high accuracy
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	Japan	 	Finisar Corporation	 	Opto-electronic component with MQW structures
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	Sweden	 	Finisar Corporation	 	Cascaded modulator transmitter
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	European Patent Office	 	Finisar Corporation	 	Shielding plate in particular for optoelectronic transceivers
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	Germany	 	Finisar Corporation	 	Shielding plate in particular for optoelectronic transceivers
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61

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
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	France	 	Finisar Corporation	 	Shielding plate in particular for optoelectronic transceivers
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	United Kingdom	 	Finisar Corporation	 	Shielding plate in particular for optoelectronic transceivers
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	Germany	 	Finisar Corporation	 	Optoelectronic device
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	Germany	 	Finisar Corporation	 	Chromatic dispersion compensation for optical system with two chirped bragg gratings
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	European Patent Office	 	Finisar Corporation	 	Process for the production of a glass article having at least one recess
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	Sweden	 	Finisar Corporation	 	Method and system for stabilizing an optical device
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	European Patent Office	 	Finisar Corporation	 	Laser with selectively changed current confining layer
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	Germany	 	Finisar Corporation	 	Laser with selectively changed current confining layer
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	Germany	 	Finisar Corporation	 	Housing configuration for a laser module
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	France	 	Finisar Corporation	 	Housing configuration for a laser module
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	United Kingdom	 	Finisar Corporation	 	Housing configuration for a laser module
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	Sweden	 	Finisar Corporation	 	Driver arrangement for an optical signal generation system
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	European Patent Office	 	Finisar Corporation	 	Arrangement of a layer to be heated on a substrate
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	United Kingdom	 	Finisar Corporation	 	Arrangement of a layer to be heated on a substrate
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	European Patent Office	 	Finisar Corporation	 	Wavelength stabilized laser configuration
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62

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
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	Germany	 	Finisar Corporation	 	Device for wavelength related stabilization of an optical fiber
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	France	 	Finisar Corporation	 	Device for wavelength related stabilization of an optical fiber
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	United Kingdom	 	Finisar Corporation	 	Device for wavelength related stabilization of an optical fiber
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	European Patent Office	 	Finisar Corporation	 	Device for holding a part and application of the device
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	Germany	 	Finisar Corporation	 	Waveguide crossing has first integrated optical waveguide and second that cross
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	European Patent Office	 	Finisar Corporation	 	Arrangement for the implentation of an add/drop method in wavelength division
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	Germany	 	Finisar Corporation	 	Arrangement for the implentation of an add/drop method in wavelength division
multiplex
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	France	 	Finisar Corporation	 	Arrangement for the implentation of an add/drop method in wavelength division
multiplex
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	United Kingdom	 	Finisar Corporation	 	Arrangement for the implentation of an add/drop method in wavelength division
multiplex
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	Germany	 	Finisar Corporation	 	Method for coupling a surface-oriented opto-electronic element with an optical fiber
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	Germany	 	Finisar Corporation	 	Electrooptical module
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	European Patent Office	 	Finisar Corporation	 	Resonant reflector for improved optoelectronic device performance and
enhanced applicability
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	European Patent Office	 	Finisar Corporation	 	Mounting holder
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	United Kingdom	 	Finisar Corporation	 	Mounting holder
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	European Patent Office	 	Finisar Corporation	 	Filamented multi-wavelength vertical cavity surface emitting laser
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	Germany	 	Finisar Corporation	 	Filamented multi-wavelength vertical cavity surface emitting laser
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63

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
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	France	 	Finisar Corporation	 	Filamented mulit-wavelength vertical cavity surface emitting laser
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	United Kingdom	 	Finisar Corporation	 	Filamented mulit-wavelength vertical cavity surface emitting laser
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	European Patent Office	 	Finisar Corporation	 	Optoelectronic assembly for multiplexing and/or demultiplexing optical signals
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	Germany	 	Finisar Corporation	 	Optoelectronic assembly for multiplexing and/or demultiplexing optical signals
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	France	 	Finisar Corporation	 	Optoelectronic assembly for multiplexing and/or demultiplexing optical signals
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	United Kingdom	 	Finisar Corporation	 	Optoelectronic assembly for multiplexing and/or demultiplexing optical signals
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	European Patent Office	 	Finisar Corporation	 	Method and device for adjusting a laser
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	Germany	 	Finisar Corporation	 	Method and device for adjusting a laser
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	France	 	Finisar Corporation	 	Method and device for adjusting a laser
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	United Kingdom	 	Finisar Corporation	 	Method and device for adjusting a laser
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	Germany	 	Finisar Corporation	 	Optoelectronic transmission and/or reception arrangement
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	European Patent Office	 	Finisar Corporation	 	Bandgap isolated light emitter
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	Germany	 	Finisar Corporation	 	Bandgap isolated light emitter
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	France	 	Finisar Corporation	 	Bandgap isolated light emitter
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	United Kingdom	 	Finisar Corporation	 	Bandgap isolated light emitter
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	Netherlands	 	Finisar Corporation	 	Bandgap isolated light emitter
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	European Patent Office	 	Finisar Corporation	 	Mechanical stabilization of lattice mismatched quantum wells
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	Germany	 	Finisar Corporation	 	Mechanical stabilization of lattice mismatched quantum wells
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	France	 	Finisar Corporation	 	Mechanical stabilization of lattice mismatched quantum wells
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	United Kingdom	 	Finisar Corporation	 	Mechanical stabilization of lattice mismatched quantum wells
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	Netherlands	 	Finisar Corporation	 	Mechanical stabilization of lattice mismatched quantum wells
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	Sweden	 	Finisar Corporation	 	Mechanical stabilization of lattice mismatched quantum wells
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64

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
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	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
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	Republic of Korea	 	Finisar Corporation	 	Device for holding a part and application of the device
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	European Patent Office	 	Finisar Corporation	 	Integrated circuit for controlling a laser diode
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	Germany	 	Finisar Corporation	 	Integrated circuit for controlling a laser diode
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	France	 	Finisar Corporation	 	Integrated circuit for controlling a laser diode
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	United Kingdom	 	Finisar Corporation	 	Integrated circuit for controlling a laser diode
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semiconductor lasers
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	United Kingdom	 	Finisar Corporation	 	Method and apparatus for controlling the center wavelength of a laser, particularly
semiconductor lasers
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an optical fiber
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65

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
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	European Patent Office	 	Finisar Corporation	 	Laser diode assembly and device for operating a laser diode
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	Germany	 	Finisar Corporation	 	Laser diode assembly and device for operating a laser diode
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	France	 	Finisar Corporation	 	Laser diode assembly and device for operating a laser diode
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	United Kingdom	 	Finisar Corporation	 	Laser diode assembly and device for operating a laser diode
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	United Kingdom	 	Finisar Corporation	 	Arrangement of optical waveguides
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	Germany	 	Finisar Corporation	 	Configuration to multiplex and/or demultiplex the signals of a plurality of optical
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	European Patent Office	 	Finisar Corporation	 	Tunable laser diode
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	Taiwan	 	Finisar Corporation	 	Method & apparatus for releasing a pluggable module
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	Germany	 	Finisar Corporation	 	Circuit configuration for regenerating clock signals
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	China	 	Finisar Corporation	 	Precision optical filter with a ball shaped coupling joint
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66

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
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	Taiwan	 	Finisar Corporation	 	VERTICAL CAVITY SURFACE EMITTING LASER INCLUDING INDIUM, ANTIMONY AND NITROGEN IN
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	European Patent Office	 	Finisar Corporation	 	Differential complimentary amplifier
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	Germany	 	Finisar Corporation	 	Differential complimentary amplifier
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	France	 	Finisar Corporation	 	Differential complimentary amplifier
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	United Kingdom	 	Finisar Corporation	 	Differential complimentary amplifier
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	Republic of Korea	 	Finisar Corporation	 	Header assembly having integrated cooling device
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	Germany	 	Finisar Corporation	 	Electronic drive circuit for cirectly modulated semiconductor lasers
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	China	 	Finisar Corporation	 	Shielding element for electromagnetic shielding of an aperture opening
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	Germany	 	Finisar Corporation	 	Optoelectronic transmitter modules and method for the production thereof
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	European Patent Office	 	Finisar Corporation	 	System and method for packaging a laser/detector
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THE ACTIVE REGION
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67

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
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	Republic of Korea	 	Finisar Corporation	 	Cable Television return link system with high data-rate side band communication channels
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	European Patent Office	 	Finisar Corporation	 	Method and apparatus for a polarization beam splitter/combiner with an integrated
optical isolator
	 	 	1350133	 	 	10-Jan-2002
	United Kingdom	 	Finisar Corporation	 	Method and apparatus for a polarization beam splitter/combiner with an integrated
optical isolator
	 	 	1350133	 	 	10-Jan-2002
	United Kingdom	 	Finisar Corporation	 	Compensation of timing jitter
	 	 	2422076	 	 	28-Jan-2005
	China	 	Finisar Corporation	 	Method and apparatus for a polarization beam splitter/combiner with an integrated
optical isolator
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	European Patent Office	 	Finisar Corporation	 	Laser production & product qualification via accelerated life testing based on
statistical modeling
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	France	 	Finisar Corporation	 	Laser production & product qualification via accelerated life testing based on
statistical modeling
	 	 	1509796	 	 	20-May-2003
	Germany	 	Finisar Corporation	 	Laser production & product qualification via accelerated life testing based on
statistical modeling
	 	 	60309315.9	 	 	20-May-2003
	United Kingdom	 	Finisar Corporation	 	Laser production & product qualification via accelerated life testing based on
statistical modeling
	 	 	1509796	 	 	20-May-2003
	Japan	 	Finisar Corporation	 	METHOD OF MODE DETECTION AND CONTROL IN SEMICONDUCTOR LASERS
	 	 	3878286	 	 	0l-Jul-1997
	Taiwan	 	Finisar Corporation	 	Compact optical transceivers
	 	 	1266492	 	 	22-Apr-2005
	Sweden	 	Finisar Corporation	 	Driving circuit for electro absorption modulator
	 	 	528443	 	 	13-May-2004
	European Patent Office	 	Finisar Corporation	 	Transmitter and/or receiver arrangement for optical signal transmission
	 	 	1425618	 	 	14-Sep-2001
	Germany	 	Finisar Corporation	 	Transmitter and/or receiver arrangement for optical signal transmission
	 	 	50111658	 	 	14-Sep-2001
	France	 	Finisar Corporation	 	Transmitter and/or receiver arrangement for optical signal transmission
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	United Kingdom	 	Finisar Corporation	 	Transmitter and/or receiver arrangement for optical signal transmission
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	Republic of Korea	 	Finisar Corporation	 	Method and apparatus for compensating a photo-detector
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	United Kingdom	 	Finisar Corporation	 	Control of peaking of laser driver current to improve eye quality
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	European Patent Office	 	Finisar Corporation	 	Configuration for multiplexing and/or demultiplexing the signals of at least two
optical wavelength channels
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	Singapore	 	Finisar Corporation	 	Method and apparatus for compensating a photo-detector
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	European Patent Office	 	Finisar Corporation	 	Techniques for biasing lasers
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	Germany	 	Finisar Corporation	 	Techniques for biasing lasers
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	France	 	Finisar Corporation	 	Techniques for biasing lasers
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	United Kingdom	 	Finisar Corporation	 	Techniques for biasing lasers
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	China	 	Finisar Corporation	 	Transmitter and/or receiver arrangement for optical signal transmission
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	Hong Kong	 	Finisar Corporation	 	Method and apparatus for a polarization beam splitter/combiner with an integrated
optical isolator
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	Japan	 	Finisar Corporation	 	Laser with selectively changed current confining layer
	 	 	3928883	 	 	04-Mar-1998
	United Kingdom	 	Finisar Corporation	 	Age compensation in optoelectronic modules with integrated temperature control
	 	 	2410606	 	 	05-Nov-2003
	Singapore	 	Finisar Corporation	 	Laser monitoring and control in a transmitter optical subassembly having a ceramic
feedthrough header assembly
	 	 	109583	 	 	27-Aug-2004
	China	 	Finisar Corporation	 	Method and system for releasing a pluggable module
	 	 	02827924.7	 	 	05-Dec-2002
	Republic of Korea	 	Finisar Corporation	 	Modular optical device that interfaces with external controller
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	United Kingdom	 	Finisar Corporation	 	Control of peaking of laser driver current using carrier extraction
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	Singapore	 	Finisar Corporation	 	Transciever with programmable signal parameters
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	United Kingdom	 	Finisar Corporation	 	Method and apparatus for monitoring a photodetector
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	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	United Kingdom	 	Finisar Corporation	 	Age Compensation in Optoelectronic Modules with Integrated Temperature Control
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	European Patent Office	 	Finisar Corporation	 	System and method for controlling spectral passband profile
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	Germany	 	Finisar Corporation	 	System and method for controlling spectral passband profile
	 	 	1399768	 	 	27-Jun-2002
	European Patent Office	 	Finisar Corporation	 	Optoelectronic transmitter module & method for the production thereof
	 	 	1379905	 	 	14-Mar-2002
	Germany	 	Finisar Corporation	 	Optoelectronic transmitter modules and method for the production thereof
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	European Patent Office	 	Finisar Corporation	 	Connection system
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	Republic of Korea	 	Finisar Corporation	 	System & method for transmitting data on return path of a cable television system
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	Germany	 	Finisar Corporation	 	Waveguide
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	France	 	Finisar Corporation	 	Maintaining Desirable Performance of Optical Emitters at Extreme Temperatures
	 	 	1485736	 	 	11-Feb-2003
	United Kingdom	 	Finisar Corporation	 	Maintaining Desirable Performance of Optical Emitters at Extreme Temperatures
	 	 	1485736	 	 	11-Feb-2003
	China	 	Finisar Corporation	 	Method and apparatus for precision tuning an optical filter using a ball-end joint
	 	 	02816930.1	 	 	26-Aug-2002
	European Patent Office	 	Finisar Corporation	 	Honeywell transfer file—pending applications II
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	Germany	 	Finisar Corporation	 	Method and system for releasing a pluggable module
	 	 	1452079	 	 	05-Dec-2002
	France	 	Finisar Corporation	 	Method and system for releasing a pluggable module
	 	 	1452079	 	 	05-Dec-2002
	United Kingdom	 	Finisar Corporation	 	Method and system for releasing a pluggable module
	 	 	1452079	 	 	05-Dec-2002
	European Patent Office	 	Finisar Corporation	 	Electrically connecting integrated circuits and transducers
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	Germany	 	Finisar Corporation	 	Unit multiplexing or demultiplexing optical data channels of differing
wavelengths, includes series of
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	European Patent Office	 	Finisar Corporation	 	Multiple width transceiver host board system
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70

 

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	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	Germany	 	Finisar Corporation	 	Multiple Width Transceiver Host Board System
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	France	 	Finisar Corporation	 	Multiple Width Transceiver Host Board System
	 	 	1438882	 	 	21-Oct-2002
	United Kingdom	 	Finisar Corporation	 	Multiple Width Transceiver Host Board System
	 	 	1438882	 	 	21-Oct-2002
	China	 	Finisar Corporation	 	Electrical arrangement and method for producing an electrical arrangement
	 	 	ZL031011836	 	 	25-Nov-2003
	Republic of Korea	 	Finisar Corporation	 	Configurable input/output terminals
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	United Kingdom	 	Finisar Corporation	 	Optical and Electrical Channel Feedback in Optical Transceiver Module
	 	 	2419055	 	 	21-Jul-2004
	Republic of Korea	 	Finisar Corporation	 	Optical and Electrical Channel Feedback in Optical Transceiver Module
	 	 	766030	 	 	21-Jul-2004
	Republic of Korea	 	Finisar Corporation	 	Two-wire interface having dynamically adjustable data fields depending on
operation code
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	Mexico	 	Finisar Corporation	 	System & method for transmitting data on return path of a cable television system
	 	 	250158	 	 	13-Dec-2000
	United Kingdom	 	Finisar Corporation	 	Temperature and jitter compensation controller circuit and method for fiber
optics device
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	Germany	 	Finisar Corporation	 	Bezeichnung der erfindung: vorrichtung zum multiplexen and/oder demultiplexen
optischer
	 	 	10227428	 	 	14-Jun-2002
	China	 	Finisar Corporation	 	Method and apparatus for compensating a photo-detector
	 	 	ZL038010457	 	 	03-Oct-2003
	Germany	 	Finisar Corporation	 	Module for multiplexing and/or demulitplexing optical signals
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	Germany	 	Finisar Corporation	 	Arrangement for multiplexing and/or demultiplexing optical signals
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	European Patent Office	 	Finisar Corporation	 	Resonant reflector for improved optoelectronic device performance and
enhanced applicability
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	Republic of Korea	 	Finisar Corporation	 	Methods of conducting wafer level burn-in of electronic devices
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	European Patent Office	 	Finisar Corporation	 	Optical isolator with reduced insertion loss and minimized polarization mode
dispersion
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71

 

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	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	United Kingdom	 	Finisar Corporation	 	Optical Isolator with Low Insertion Loss and Minimized Polarization Mode
Dispersion
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	European Patent Office	 	Finisar Corporation	 	Change-over of receiver circuits
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	Germany	 	Finisar Corporation	 	Reciever circuit with an optical receiving device and bandwidth dependent
amplification.
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	France	 	Finisar Corporation	 	Reciever Circuit with an optical receiving device and bandwidth dependent amplification
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	United Kingdom	 	Finisar Corporation	 	Reciever Circuit with an optical reeiving device and bandwidth dependent amplification.
	 	 	1575195	 	 	09-Mar-2005
	Germany	 	Finisar Corporation	 	Compact Polarization Insensitive Circulators with Simplified Structure and Low
Polarization Mode Dispersion
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	United Kingdom	 	Finisar Corporation	 	Compact Polarization Insensitive Circulators with Simplified Structure and Low
Polarization Mode Dispersion
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	Germany	 	Finisar Corporation	 	Cable television return link system
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	France	 	Finisar Corporation	 	Cable television return link system with high date-rate side-band communication channels
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	United Kingdom	 	Finisar Corporation	 	Cable television return link system with high data-rate side-band communication channels
	 	 	1468563	 	 	14-Jul-2004
	Austria	 	Finisar Corporation	 	Cable Television Return Link System with High Data-Rate Side-Band Communication Channels
	 	 	E389.300	 	 	14-Jul-2004
	Belgium	 	Finisar Corporation	 	cable television return link system with high data-return sideband communication
channels
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	Switzerland	 	Finisar Corporation	 	cable television return link system with high data-rate side-band communication channels
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72

 

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	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	Luxembourg	 	Finisar Corporation	 	cable television return link system with high data-rate side-band communication channels
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	Romania	 	Finisar Corporation	 	Cable television return link system with high data-rate side-band communication channels
	 	 	1468563	 	 	14-Jul-2004
	Liechtenstein	 	Finisar Corporation	 	Cable television return link system with high data-rate side-band communication channels
	 	 	1468563	 	 	13-Jan-2003
	Republic of Korea	 	Finisar Corporation	 	Dual segment molded lead frame connector for optical transceiver modules
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	European Patent Office	 	Finisar Corporation	 	Digital optical receiving module, and a method for monitoring
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	Germany	 	Finisar Corporation	 	Digital optical receiving module, and a method for monitoring
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	France	 	Finisar Corporation	 	Digital optical receiving module, and a method for monitoring
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	United Kingdom	 	Finisar Corporation	 	Digital optical receiving module, and a method for monitoring
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	Germany	 	Finisar Corporation	 	Electroabsorption modulator, modulator laser and method for producing
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	Germany	 	Finisar Corporation	 	Refractive index grating and mode coupler having refractive index grating
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	Canada	 	Finisar Corporation	 	Method & apparatus for an optical filter
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	Republic of Korea	 	Finisar Corporation	 	Modular optical device package
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	Republic of Korea	 	Finisar Corporation	 	Laser production & product qualification via accelerated life testing based on
statistical modeling
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	Singapore	 	Finisar Corporation	 	XFP Transceiver with 8.5G CDR Bypass
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	Germany	 	Finisar Corporation	 	Pluggalbe transceiver latching mechanism
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	Japan	 	Finisar Corporation	 	ASYMMETRIC DISTRIBUTE BRAGG REFLECTOR FOR VERTICAL CAVITY SURFACE EMITTING LASERS
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	European Patent Office	 	Finisar Corporation	 	Optoelectronic transceiver for a bidirectional optical signal transmission
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	Germany	 	Finisar Corporation	 	Optoelectronic Transceiver for a Bidirectional Optical Signal Transmission
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73

 

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	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	France	 	Finisar Corporation	 	Optoelectronic Transceiver for a Bidirectional Optical Signal Transmission
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	United Kingdom	 	Finisar Corporation	 	Optoelectronic Transceiver for a Bidirectional Optical Signal Transmission
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	Germany	 	Finisar Corporation	 	Waveguide crossing
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	European Patent Office	 	Finisar Corporation	 	Methods of conducting wafer level burn-in of electronic devices
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	China	 	Finisar Corporation	 	Dual segment molded lead frame connectro for optical transceiver modules
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	France	 	Finisar Corporation	 	Methods of Conducting Wafer Level Burn-In of Electronic Devices
	 	 	1417500	 	 	12-Aug-2002
	Germany	 	Finisar Corporation	 	Methods of Conducting Wafer Level Burn-In of Electronic Devices
	 	 	1417500	 	 	12-Aug-2002
	Ireland	 	Finisar Corporation	 	Methods of Conducting Wafer Level Burn-In of Electronic Devices
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	Japan	 	Finisar Corporation	 	Resonant reflector for improved optoelectronic device performance and
enhanced applicability
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	European Patent Office	 	Finisar Corporation	 	Integrated post-amplifier and laser driver assembly with digital control interface
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	European Patent Office	 	Finisar Corporation	 	Attentuation device for attenuating electromagnetic radiation
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	Germany	 	Finisar Corporation	 	Attentuation Device for Attenuating Electromagnetic Radiation
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	European Patent Office	 	Finisar Corporation	 	Laser production and product qualification via accelerated life testing based on
statistical modeling
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	China	 	Finisar Corporation	 	Laser monitoring and control in a transmitter optical subassembly having a ceramic
feedthrough header assembly
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	China	 	Finisar Corporation	 	A laser driver circuit for reducing electromagnetic interference
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	Japan	 	Finisar Corporation	 	PASSIVATED VERTICAL CAVITY SURFACE EMITTING LASER
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	China	 	Finisar Corporation	 	Methods of conducting wafer level burn-in of electronic devices
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	China	 	Finisar Corporation	 	Power Source for a Dispersion Compensation Fiber Optic System
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74

 

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	 	 	 	 	 	 	Patent No. /	 	 
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	China	 	Kailight Photonics, Inc.	 	ALL-OPTICAL, TUNABLE REGENERATOR, RESHAPER AND WAVELENGTH CONVERTER
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INTERFERENCE MODE CONVERTERS
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	France	 	Kailight Photonics, Inc.	 	COMPACT OPTICAL-OPTICAL SWITCHES AND WAVELENGTH CONVERTS BY MEANS OF MULTIMODE
INTERFERENCE MODE CONVERTERS
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	Great Brittan	 	Kailight Photonics, Inc.	 	COMPACT OPTICAL-OPTICAL SWITCHES AND WAVELENGTH CONVERTS BY MEANS OF MULTIMODE
INTERFERENCE MODE CONVERTERS
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	Canada	 	Finisar Corporation	 	Integrated Memory Controller Circuit for Fiber Optics Transceiver
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	China	 	Finisar Corporation	 	Integrated Memory Controller Circuit for Fiber Optics Transceiver
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	Czhech Republic	 	Finisar Corporation	 	Integrated Memory Controller Circuit for Fiber Optics Transceiver
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	European Patent Office	 	Finisar Corporation	 	Integrated Memory Controller
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	Hong Kong	 	Finisar Corporation	 	Integrated Memory Mapped Controller Circuit for Fiber Optics Transceivers
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	Israel	 	Finisar Corporation	 	Integrated Memory Mapped Controller Circuit for Fiber Optics Transceivers
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	Japan	 	Finisar Corporation	 	Integrated Memory Controller Circuit for Fiber Optics Transceiver
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	Korea	 	Finisar Corporation	 	Integrated Memory Controller Circuit for Fiber Optics Transceiver
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	Singapore	 	Finisar Corporation	 	Integrated Memory Mapped Controller Circuit for Fiber Optics Transceiver
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	Malaysia	 	Finisar Corporation	 	Optoelectronic Transceiver Having Dual Access to Onboard Diagnostics
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75

 

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	 	 	 	 	 	 	Patent No. /	 	 
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	Taiwan	 	Finisar Corporation	 	Optoelectronic Transceiver Having Dual Access to Onboard Diagnostics
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	European Patent Office	 	Finisar Corporation	 	Integrated Memory Controller Circuit for Fiber Optics Transceiver
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	Hong Kong	 	Finisar Corporation	 	Integrated Memory Controller Circuit for Fiber Optics Transceiver
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	European Patent Office	 	Finisar Corporation	 	Integrated Memory Controller Circuit for Fiber Optics Transceiver
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	Japan	 	Finisar Corporation	 	Electro-Absorption Modulated Laser with High Operating Temperature Tolerance
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	European Patent Office	 	Finisar Corporation	 	Optical Transmitter with SBS Suppression
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	Germany	 	Finisar Corporation	 	Optical Transmitter with SBS Suppression
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	Denmark	 	Finisar Corporation	 	Optical Transmitter with SBS Suppression
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	France	 	Finisar Corporation	 	Optical Transmitter with SBS Suppression
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	Great Brittan	 	Finisar Corporation	 	Optical Transmitter with SBS Suppression
	 	 	1597845	 	 	3-Feb-04
	Italy	 	Finisar Corporation	 	Optical Transmitter with SBS Suppression
	 	 	1597845	 	 	3-Feb-04
	China	 	Optium Corporation	 	Wavelength Manipulation System and Method
	 	 	ZL200480038990.2	 	 	26-Oct-04
	France	 	Finisar Corporation	 	Optical transmission system for transmission of signals with a continuous application
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	Japan	 	Finisar Corporation	 	Optical Fiber Module
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	Germany	 	Finisar Corporation	 	Fiber Optic Module
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	Germany	 	Finisar Corporation	 	Fiber Optic Module
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	Germany	 	Finisar Corporation	 	Fiber Optic Module
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	Germany	 	Finisar Corporation	 	Optical switch
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	Japan	 	Finisar Corporation	 	Mechanical stabilization of lattice mismatched quantum wells
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	European Patent Office	 	Finisar Corporation	 	Optical MUX/DEMUX
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76

 

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	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	Hong Kong	 	Finisar Corporation	 	OPTICAL MUX/DEMUX
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	Japan	 	Finisar Corporation	 	Connecting Device
	 	 	2000-376439	 	 	11-Dec-2000
	Germany	 	Finisar Corporation	 	Housing for plug connected electrical component and method for housing such a housing on a printed circuit board
	 	 	10102459.2	 	 	15-Jan-2001
	Germany	 	Finisar Corporation	 	Arrangement and method for the channel — dependant attenuation for the levels of
	 	 	10102460.6	 	 	15-Jan-2001
	European Patent Office	 	Finisar Corporation	 	Optomodule and connection configuration
	 	 	01250221.7	 	 	15-Jun-2001
	European Patent Office	 	Finisar Corporation	 	Amplifier circuit
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	Germany	 	Finisar Corporation	 	Optical filter and optical filtering method
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	European Patent Office	 	Finisar Corporation	 	Optical coupling systems and optical connectors
	 	 	01980174.5	 	 	14-Sep-2001
	Japan	 	Finisar Corporation	 	Versatile method and system for single mode VCSELS
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	European Patent Office	 	Finisar Corporation	 	Method & apparatus for an optical filter
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	European Patent Office	 	Finisar Corporation	 	Optical polarization beam splitter/combiner with isolation in the backward optical path
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	Japan	 	Finisar Corporation	 	Optical Fiber Module
	 	 	20020114540	 	 	17-Apr-2002
	Japan	 	Finisar Corporation	 	Optical Fiber Module
	 	 	20020114541	 	 	17-Apr-2002
	Japan	 	Finisar Corporation	 	Optical Fiber Module
	 	 	20020114542	 	 	17-Apr-2002
	Japan	 	Finisar Corporation	 	Optical Fiber Module
	 	 	20020114543	 	 	17-Apr-2002
	Japan	 	Finisar Corporation	 	Optical Fiber Module
	 	 	20020114544	 	 	17-Apr-2002
	Germany	 	Finisar Corporation	 	Thin film solar cell configuration and fabrication method
	 	 	10227544.0	 	 	17-Jun-2002
	Malaysia	 	Finisar Corporation	 	Method & apparatus for an optical filter
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	European Patent Office	 	Finisar Corporation	 	Sysems for wafer level burn-in of electronic devices
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77

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
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	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	Japan	 	Finisar Corporation	 	Methods of conducting wafer level burn-in of electronic devices
	 	 	2003-522136	 	 	12-Aug-2002
	Japan	 	Finisar Corporation	 	Sysems for wafer level burn-in of electronic devices
	 	 	2003-522145	 	 	12-Aug-2002
	European Patent Office	 	Finisar Corporation	 	Method & apparatus for precision tuning an optical filter using ball-end joint
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	European Patent Office	 	Finisar Corporation	 	Compact laser package with integrated temperature control
	 	 	02256144.3	 	 	04-Sep-2002
	Japan	 	Finisar Corporation	 	Compact laser package with integrated temperature control and Optoelectronic Module
	 	 	2002-301099	 	 	06-Sep-2002
	Germany	 	Finisar Corporation	 	Planar optical circuit
	 	 	10253440.3	 	 	12-Nov-2002
	European Patent Office	 	Finisar Corporation	 	ASYMMETRIC DISTRIBUTE BRAGG REFLECTOR FOR VERTICAL CAVITY SURFACE EMITTING LASERS
	 	 	02798511.8	 	 	13-Dec-2002
	Canada	 	Finisar Corporation	 	cable television return link system with high data-rate side-band communication channels
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	European Patent Office	 	Finisar Corporation	 	Control circuit for optoelectronic module with integrated temperature control
	 	 	03709056.0	 	 	11-Feb-2003
	Malaysia	 	Finisar Corporation	 	Techniques for biasing lasers
	 		PI20031708	 	 	06-May-2003
	Thailand	 	Finisar Corporation	 	Techniques for biasing lasers
	 	 	0301001810	 	 	16-May-2003
	Germany	 	Finisar Corporation	 	Transceiver module and integrated circuit with dual eye openers
	 	 	10392928.2	 	 	25-Jun-2003
	Japan	 	Finisar Corporation	 	Transceiver having programmable signal parameters
	 	 	2005-506086	 	 	31-Jul-2003
	China	 	Finisar Corporation	 	Transciever having programmable signal parameters
	 	 	03823191.3	 	 	31-Jul-2003
	Republic of Korea	 	Finisar Corporation	 	Transceiver having programmable signal parameters
	 	 	10-2005-7001944	 	 	31-Jul-2003
	Hong Kong	 	Finisar Corporation	 	Compact Laser Package With Integrated Temperature Control
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	European Patent Office	 	Finisar Corporation	 	Method and apparatus for compensating a photo-detector
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	Japan	 	Finisar Corporation	 	Method and apparatus for compensating a photo-detector
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	Canada	 	Finisar Corporation	 	Method and apparatus for compensating a photo-detector
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78

 

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	China	 	Finisar Corporation	 	Optical transceiver module with multipurpose internal serial bus
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	China	 	Finisar Corporation	 	Production of an optical arrangement used in optical telecommunications comprises
	 	 	 	 	 	17-Oct-2003
	 	 	 	 	arranging an adjusting unit with an auxiliary waveguide between
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	Germany	 	Finisar Corporation	 	Age compensation in optoelectronic modules with integrated temperature control
	 	 	10393677.7	 	 	05-Nov-2003
	Canada	 	Finisar Corporation	 	Power Source for a Dispersion Compensation Fiber Optic System
	 	 	2510352	 	 	05-Nov-2003
	Canada	 	Finisar Corporation	 	Age compensation in optoelectronic modules with integrated temperature control
	 	 	2504691	 	 	05-Nov-2003
	Japan	 	Finisar Corporation	 	Power Source for a Dispersion Compensation Fiber Optic System
	 	 	2004-551835	 	 	05-Nov-2003
	China	 	Finisar Corporation	 	Devices for reflection reduction in optical devices
	 	 	200380109230.1	 	 	24-Nov-2003
	Germany	 	Finisar Corporation	 	Method and apparatus for monitoring a photo-detector
	 	 	112004000794.1	 	 	10-May-2004
	China	 	Finisar Corporation	 	Method and apparatus for monitoring a photo-detector
	 	 	200480012587.2	 	 	10-May-2004
	Canada	 	Finisar Corporation	 	Modular optical device that interfaces with external controller
	 	 	2528989	 	 	14-Jun-2004
	Canada	 	Finisar Corporation	 	Laser monitoring and control in a transmitter optical subassembly having a ceramic
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	 	 	 	 	feedthrough header assembly
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	Hong Kong	 	Finisar Corporation	 	Precision optical filter with a ball shaped coupling joint
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	European Patent Office	 	Finisar Corporation	 	Optical signal equalizer with adjustable linear filter
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	China	 	Finisar Corporation	 	Optical signal equalizer with adjustable linear filter
	 	 	200480028861.5	 	 	07-Oct-2004
	Germany	 	Finisar Corporation	 	Transceiver with controller for authentication
	 	 	04090433.5	 	 	17-Nov-2004
	France	 	Finisar Corporation	 	Transceiver with controller for authentication
	 	 	04090443.5	 	 	17-Nov-2004
	United Kingdom	 	Finisar Corporation	 	Transceiver with controller for authentication
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	European Patent Office	 	Finisar Corporation	 	Transceiver with controller for authentication
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79

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
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	China	 	Finisar Corporation	 	Transceiver with controller for authentication
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	European Patent Office	 	Finisar Corporation	 	Dual configuration transceiver housing
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	European Patent Office	 	Finisar Corporation	 	Heatsinking of optical subassembly and method of assembling
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	European Patent Office	 	Finisar Corporation	 	Circuit and method for correction of the duty cycle value of a digital data signal
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	Canada	 	Finisar Corporation	 	Non-linear compensation of timing jitter
	 	 	2495363	 	 	31-Jan-2005
	Japan	 	Finisar Corporation	 	TEMPERATURE CONTROL FOR COARSE WAVELENGTH DIVISION MULTIPLEXING SYSTEMS
	 	 	2006-554282	 	 	22-Feb-2005
	China	 	Finisar Corporation	 	TEMPERATURE CONTROL FOR COARSE WAVELENGTH DIVISION MULTIPLEXING SYSTEMS
	 	 	200580005559.2	 	 	22-Feb-2005
	India	 	Finisar Corporation	 	Methods for polarization control in VCSELs
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	China	 	Finisar Corporation	 	Optical System Comprising an FM Source and a Spectral Reshaping Element
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	Japan	 	Finisar Corporation	 	Dual segment molded lead frame connector for optical transceiver modules
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	European Patent Office	 	Finisar Corporation	 	Optical System Comprising an FM Source and a Spectral Reshaping Element
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	China	 	Finisar Corporation	 	Dual Segment Molded Lead Frame Connector for Optical Transceiver Modules
	 	 	200810173575.8	 	 	28-Feb-2005
	Japan	 	Finisar Corporation	 	Optical System Comprising an FM Source and a Spectral Reshaping Element
	 	 	2007-500803	 	 	28-Feb-2005
	European Patent Office	 	Finisar Corporation	 	An integrated post-amplifier, laser driver, and controller
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	China	 	Finisar Corporation	 	An integrated post-amplifier, laser driver, and controller
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	Japan	 	Finisar Corporation	 	An integrated post-amplifier, laser driver, and controller
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	European Patent Office	 	Finisar Corporation	 	A laser driver circuit for reducing electromagnetic interference
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	China	 	Finisar Corporation	 	Method and apparatus for transmitting a signal using thermal chrip management of a
directly modulated transmitter
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	European Patent Office	 	Finisar Corporation	 	Method and apparatus for transmitting a signal using thermal chrip management of a
directly modulated transmitter
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80

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
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	Canada	 	Finisar Corporation	 	Method and apparatus for transmitting a signal using thermal chrip management of a directly modulated transmitter
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	European Patent Office	 	Finisar Corporation	 	Out-of-band data communication between network transceivers
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	China	 	Finisar Corporation	 	Out-of-band data communication between network transceivers
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	Japan	 	Finisar Corporation	 	Out-of-band data communication between network transceivers
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	China	 	Finisar Corporation	 	Modular optical device package
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	European Patent Office	 	Finisar Corporation	 	Modular optical device package
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	Japan	 	Finisar Corporation	 	Modular optical device package
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	European Patent Office	 	Finisar Corporation	 	Method and apparatus for transmitting a signal using thermal chrip management of a directly modulated transmitter
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	China	 	Finisar Corporation	 	Optical interleaver, filter cell, and component design with reduced chromatic dispersion
	 	 	200510078136.5	 	 	13-Jun-2005
	European Patent Office	 	Finisar Corporation	 	Semiconductor laser with side mode suppression
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	European Patent Office	 	Finisar Corporation	 	Calibration of Digital Diagnostics Information in an Optical Transceiver Prior to Reporting to Host
	 	 	05770131.0	 	 	01-Jul-2005
	China	 	Finisar Corporation	 	Calibration of Digital Diagnostics Information in an Optical Transceiver Prior to Reporting to Host
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	China	 	Finisar Corporation	 	Filtering Digital Diagnostics Information in an Optical Transceiver Prior to Reporting to Host
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	Japan	 	Finisar Corporation	 	Calibration of Digital Diagnostics Information in an Optical Transceiver Prior to Reporting to Host
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	European Patent Office	 	Finisar Corporation	 	Transimpedance amplifier with integrated filtering and reduced parasitic capacitance
	 	 	05783467.3	 	 	09-Aug-2005
	Japan	 	Finisar Corporation	 	Transimpedance amplifier with integrated filtering and reduced parasitic capacitance
	 	 	2007-523904	 	 	09-Aug-2005
	China	 	Finisar Corporation	 	Transimpedance amplifier with integrated filtering and reduced parasitic capacitance
	 	 	200580021627.4	 	 	09-Aug-2005
	Hong Kong	 	Finisar Corporation	 	Method and system for releasing a pluggable module
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81

 

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	European Patent Office	 	Finisar Corporation	 	Optical cables for consumer electronics
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	Japan	 	Finisar Corporation	 	Optical cables for consumer electronics
	 	 	2007-534650	 	 	19-Sep-2005
	China	 	Finisar Corporation	 	Vertical cavity surface emitting laser having multiple top-side contacts
	 	 	200580032469.2	 	 	29-Sep-2005
	European Patent Office	 	Finisar Corporation	 	Combined laser transmitter and photodetector receiver package
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	European Patent Office	 	Finisar Corporation	 	Systems and methods for providing diagnostic information using EDC transceivers
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	Japan	 	Finisar Corporation	 	Systems and methods for providing diagnostic information using EDC transceivers
	 	 	2007-539007	 	 	20-Oct-2005
	Republic of Korea	 	Finisar Corporation	 	Programmable Loss of Signal Detect Hardware and Method
	 	 	10-07-7017435	 	 	29-Dec-2005
	Hong Kong	 	Finisar Corporation	 	Optical interleaver filter cell and component design with reduced chromatic dispersion
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	European Patent Office	 	Finisar Corporation	 	XFP Transceiver with 8.5G CDR Bypass
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	Germany	 	Finisar Corporation	 	Optical Identification Chips
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	China	 	Finisar Corporation	 	Optical Identification Chips
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	European Patent Office	 	Finisar Corporation	 	Molded lead frame connector with one or more passive components
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	Japan	 	Finisar Corporation	 	Molded lead frame connector with one or more passive components
	 	 	2008-506833	 	 	0l-May-2006
	India	 	Finisar Corporation	 	Molded lead frame connector with one or more passive components
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	Republic of Korea	 	Finisar Corporation	 	Molded lead frame connector with one or more passive components
	 	 	10-2007-7024935	 	 	0l-May-2006
	Australia	 	Finisar Corporation	 	Molded lead frame connector with one or more passive components
	 	 	2006242334	 	 	0l-May-2006
	China	 	Finisar Corporation	 	Molded lead frame connector with one or more passive components
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	European Patent Office	 	Finisar Corporation	 	Pattern-Dependent Phase Detector for Clock Recovery
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82

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	Japan	 	Finisar Corporation	 	Pattern-Dependent Phase Detector for Clock Recovery
	 	 	2008-513809	 	 	24-May-2006
	China	 	Finisar Corporation	 	Pattern-Dependent Phase Detector for Clock Recovery
	 	 	200680018250.1	 	 	24-May-2006
	Taiwan	 	Finisar Corporation	 	Optical transceiver module having a dual segment molded lead frame connector
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	Germany	 	Finisar Corporation	 	Optical transceiver with custom logging mechanism
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	China	 	Finisar Corporation	 	Optical transceiver with custom logging mechanism
	 	 	200680038499.9	 	 	08-Sep-2006
	China	 	Finisar Corporation	 	Optical Transceiver Module Having a Dual Segment Molded Lead Frame Connector
	 	 	200680035497.4	 	 	15-Sep-2006
	European Patent Office	 	Finisar Corporation	 	Optical Transceiver Module having a Dual Segment Molded Lead Frame Connector
	 	 	06814781.8	 	 	15-Sep-2006
	Japan	 	Finisar Corporation	 	Optical Transceiver Module Having a Dual Segment Molded Lead Frame Connector
	 	 	2008-532293	 	 	15-Sep-2006
	Taiwan	 	Finisar Corporation	 	Pool-based network diagnostic systems and methods
	 	 	095141806	 	 	10-Nov-2006
	Japan	 	Finisar Corporation	 	Laser with selectively changed current confining layer
	 	 	2006-309919	 	 	16-Nov-2006
	Taiwan	 	Finisar Corporation	 	Surface gratings on VCSELS for polarization pinning
	 	 	095142716	 	 	17-Nov-2006
	China	 	Finisar Corporation	 	Optical bus
	 	 	200680045142.3	 	 	30-Nov-2006
	Germany	 	Finisar Corporation	 	Surface gratings on VCSELS for polarization pinning
	 	 	112006003384.0	 	 	12-Dec-2006
	Germany	 	Finisar Corporation	 	Modular Transistor Outline Can with Internal Components
	 	 	112006003458.8	 	 	12-Dec-2006
	China	 	Finisar Corporation	 	Surface gratings on VCSELS for polarization pinning
	 	 	200680046769.0	 	 	12-Dec-2006
	China	 	Finisar Corporation	 	Modular Transistor Outline Can with Internal Components
	 	 	200680048426.8	 	 	12-Dec-2006
	Taiwan	 	Finisar Corporation	 	Modular transistor ouline can iwht internal components
	 	 	095146773	 	 	13-Dec-2006
	China	 	Finisar Corporation	 	Automated characterization system for laser chip on a submount
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	European Patent Office	 	Finisar Corporation	 	Discrete bootstrapping in an optical receiver to prevent signal feedback
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83

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
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	China	 	Finisar Corporation	 	Discrete bootstrapping in an optical receiver to prevent signal feedback
	 	 	200780005677.2	 	 	19-Feb-2007
	Japan	 	Finisar Corporation	 	Discrete bootstrapping in an optical receiver to prevent signal feedback
	 	 	2008-555534	 	 	19-Feb-2007
	Malaysia	 	Finisar Corporation	 	Discrete bootstrapping in an optical receiver to prevent signal feedback
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	Malaysia	 	Finisar Corporation	 	Measuring signal propagation and adjustable delays in electronic devices
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	China	 	Finisar Corporation	 	Directly modulated laser with integrated optical filter
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	China	 	Finisar Corporation	 	Electromagnetic interference containment in a transceiver module
	 	 	200780010236.1	 	 	22-Mar-2007
	Taiwan	 	Finisar Corporation	 	Active optical cable with electrical connector
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	European Patent Office	 	Finisar Corporation	 	Versatile Compact Transmitter for Generation of Advanced Modulation Formats
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	Republic of Korea	 	Finisar Corporation	 	Versatile Compact Transmitter for Generation of Advanced Modulation
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	Israel	 	Finisar Corporation	 	Versatile compact transmitter for generation of advanced modulation formats
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	Japan	 	Finisar Corporation	 	Versatile Compact Transmitter for Generation of Advanced Modulation Formats
	 	 	2009-504345	 	 	06-Apr-2007
	Germany	 	Finisar Corporation	 	Active optical cable with electrical connector
	 	 	112007001202.1	 	 	13-Apr-2007
	China	 	Finisar Corporation	 	Active optical cable with electrical connector
	 	 	200780018055.3	 	 	13-Apr-2007
	India	 	Finisar Corporation	 	Active Optical Cable with Electrical Connector
	 	 	9446/DELNP/2008	 	 	13-Apr-2007
	Malaysia	 	Finisar Corporation	 	Active Optical Cable With Electrical Connector
	 	 	PI20084603	 	 	13-Apr-2007
	United Kingdom	 	Finisar Corporation	 	Active optical cable with electrical connector
	 	 	0820337.4	 	 	13-Apr-2007
	Taiwan	 	Finisar Corporation	 	Low inductance optical transmitter submount
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	United Kingdom	 	Finisar Corporation	 	Low inductance optical transmitter submount assembly
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84

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
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	Republic of Korea	 	Finisar Corporation	 	Low Inductance Optical Transmitter Submount Assembly
	 	 	10-2008-7028988	 	 	27-Apr-2007
	Germany	 	Finisar Corporation	 	Low inductance optical transmitter submount assembly
	 	 	112007001048.7	 	 	27-Apr-2007
	China	 	Finisar Corporation	 	Low Inductance Optical Transmitter Submount Assembly
	 	 	200780015287.3	 	 	27-Apr-2007
	Japan	 	Finisar Corporation	 	Low inductance optical transmitter submount assembly
	 	 	2009-507983	 	 	27-Apr-2007
	India	 	Finisar Corporation	 	Low Inductance Optical Transmitter Submount Assembly
	 	 	8723/DELNP/2008	 	 	27-Apr-2007
	Taiwan	 	Finisar Corporation	 	Electronic Dispersion Compensation Systems and Methods
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	Taiwan	 	Finisar Corporation	 	Optical Coupler Including Module-Mixing
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	China	 	Finisar Corporation	 	Optical Coupler Including Mode-Mixing
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	Malaysia	 	Finisar Corporation	 	Efficient Carrier Injection in a Semiconductor Device
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	Taiwan	 	Finisar Corporation	 	Efficient Carrier Injection in a Semiconductor Device
	 	 	096123245	 	 	27-Jun-2007
	China	 	Finisar Corporation	 	Efficient Carrier Injection in a Semiconductor Device
	 	 	200710126012.9	 	 	29-Jun-2007
	Taiwan	 	Finisar Corporation	 	Linear Amplifier for Use with Laser Driver Signal
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	European Patent Office	 	Finisar Corporation	 	Linear Amplifier for Use With Laser Driver Signal
	 	 	07813772.6	 	 	03-Aug-2007
	China	 	Finisar Corporation	 	Linear Amplifier for Use With Laser Driver Signal
	 	 	200780036876.X	 	 	03-Aug-2007
	European Patent Office	 	Finisar Corporation	 	Optical Transmission Using Semiconductor Optical Amplifier (SOA)
	 	 	07837107.7	 	 	20-Aug-2007
	China	 	Finisar Corporation	 	Optical Transmission Using Semiconductor Optical Amplifier (SOA)
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	PCT	 	Finisar Corporation	 	Active Optical Cable with Electrical Connector
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	Taiwan	 	Finisar Corporation	 	Asymmetric rise/fall time and duty cycle control circuit
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	Taiwan	 	Finisar Corporation	 	Insertable EMI shield clip for use in optical transceiver modules
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85

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
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	European Patent Office	 	Finisar Corporation	 	Insertable EMI Shield Clip for Use in Optical Transceiver Modules
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	China	 	Finisar Corporation	 	Insertable EMI Shield Clip for Use in Optical Transceiver Modules
	 	 	200780042620.X	 	 	28-Sep-2007
	Taiwan	 	Finisar Corporation	 	Managing backreflection in an optical sub-assembly
	 	 	096137160	 	 	03-Oct-2007
	European Patent Office	 	Finisar Corporation	 	Surface Warp Resistant Optical Devices
	 	 	07843851.2	 	 	04-Oct-2007
	European Patent Office	 	Finisar Corporation	 	Managing Backreflection
	 	 	07843853.8	 	 	04-Oct-2007
	China	 	Finisar Corporation	 	Surface Warp Resistant Optical Devices
	 	 	200780035805.8	 	 	04-Oct-2007
	China	 	Finisar Corporation	 	Managing Backreflection
	 	 	200780044636.4	 	 	04-Oct-2007
	PCT	 	Finisar Corporation	 	SURFACE WARP RESISTANT OPTICAL DEVICES
	 	 	PCT/US2007/080461	 	 	04-Oct-2007
	Taiwan	 	Finisar Corporation	 	Serializer/Deserializers for use in Optoelectronic Devices
	 	 	096142119	 	 	07-Nov-2007
	European Patent Office	 	Finisar Corporation	 	Serializer/Deserializers for Use in Optoelectronic Devices
	 	 	07864151.1	 	 	08-Nov-2007
	China	 	Finisar Corporation	 	Serializer/Deserializers for Use in Optoelectronic Device
	 	 	200780047351.6	 	 	08-Nov-2007
	China	 	Finisar Corporation	 	Latching Mechanism for a Module
	 	 	200710168192.	 	 	28-Nov-2007
	European Patent Office	 	Finisar Corporation	 	Latching Mechanism for a Module
	 	 	07864924.1	 	 	29-Nov-2007
	Malaysia	 	Finisar Corporation	 	Latching Mechanism for a Module
	 	 	PI20092232	 	 	29-Nov-2007
	Taiwan	 	Finisar Corporation	 	Latching Mechanism for a Module
	 	 	096145815	 	 	30-Nov-2007
	Taiwan	 	Finisar Corporation	 	Widely Tunable Chirp Managed Laser
	 	 	096149737	 	 	24-Dec-2007
	European Patent Office	 	Finisar Corporation	 	Temperature Stabilizing Packaging for Optoelectronic Components in a Transmitter Module
	 	 	08728964.1	 	 	04-Feb-2008
	China	 	Finisar Corporation	 	Temperature Stabilizing Packaging for Optoelectronic Components in a Transmitter Module
	 	 	 	 	 	04-Feb-2008
	European Patent Office	 	Finisar Corporation	 	Single Piece Triplexer Housing
	 	 	08743445.2	 	 	08-Feb-2008

86

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	China	 	Finisar Corporation	 	Single Piece Diplexer and Triplexer Housing
	 	 	 	 	 	08-Feb-200S
	European Patent Office	 	Finisar Corporation	 	Collimated Ball Lenses for Optical Triplexers
	 	 	08729911.1	 	 	14-Feb-2008
	China	 	Finisar Corporation	 	Collimated Ball Lenses for Optical Triplexers
	 	 	 	 	 	14-Feb-2008
	Taiwan	 	Finisar Corporation	 	Printed Circuit Board Positioning Mechanism
	 	 	097106932	 	 	27-Feb-2008
	Taiwan	 	Finisar Corporation	 	Multi-Mode Integrated Circuit for Use in Optoelectronic Devices
	 	 	097106939	 	 	27-Feb-2008
	European Patent Office	 	Finisar Corporation	 	Collar Clip for an Electronic Module
	 	 	08731009.0	 	 	28-Feb-2008
	European Patent Office	 	Finisar Corporation	 	Printed Circuit Board Positioning Mechanism
	 	 	08731018.1	 	 	28-Feb-2008
	European Patent Office	 	Finisar Corporation	 	Multi-Mode Integrated Circuit for Use in Optoelectronic Devices
	 	 	08743611.9	 	 	28-Feb-2008
	Taiwan	 	Finisar Corporation	 	Collar Clip for an Electronic Module
	 	 	097106929	 	 	29-Feb-2008
	Taiwan	 	Finisar Corporation	 	Laser driver bias current calibration
	 	 	097109164	 	 	14-Mar-2008
	PCT	 	Finisar Corporation	 	Electrical Device with Electrical Interface that is Compatible with Optical Cables
	 	 	PCT/US2008/059579	 	 	07-Apr-2008
	PCT	 	Finisar Corporation	 	Eye Safety and Interoperability of Active Cable Devices
	 	 	PCT/US2008/062081	 	 	30-Apr-2008
	European Patent Office	 	Finisar Corporation	 	optical bus
	 	 	06846426.2	 	 	14-May-2008
	PCT	 	Finisar Corporation	 	Linear trans-impedance amplifier with multiplexed gain stage
	 	 	PCT/US2008/064124	 	 	19-May-2008
	Taiwan	 	Finisar Corporation	 	Optimization of Laser Parameters to Achieve Desired Performance
	 	 	097120313	 	 	30-May-2008
	PCT	 	Finisar Corporation	 	Optimization of Laser Parameters to Achieve Desired Performance
	 	 	PCT/US2008/065380	 	 	30-May-2008
	Taiwan	 	Finisar Corporation	 	Task Scheduling of Fiber-Optic Transceiver Firmware
	 	 	097129476	 	 	04-Aug-2008
	PCT	 	Finisar Corporation	 	Task Scheduling of Fiber-Optic Transceiver Firmware
	 	PCT/US2008/072133	 	04-Aug-2008
	Taiwan	 	Finisar Corporation	 	Asymmetric Scheduling of Multiple Analog Inputs Using a Single AID Converter for
Fiber-Optic Transceivers
	 	 	097130841	 	 	13-Aug-2008

87

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	Taiwan	 	Finisar Corporation	 	Optical Network Unit Transceiver Module Having Direct Connect RF Pin
Configuration
	 	 	097130844	 	 	13-Aug-2008
	PCT	 	Finisar Corporation	 	Optical Network Unit Transceiver Module Having Direst Connect RF Pin
Configuration
	 	 	PCT/US2008/072992	 	 	13-Aug-2008
	PCT	 	Finisar Corporation	 	Asymmetric Scheduling of Multiple Analog Inputs Using a Single A/D Converter
for Fiber-Optic Transceivers
	 	 	PCT/US2008/072983	 	 	13-Aug-2008
	Singapore	 	Finisar Corporation	 	AC Differential Connection Assembly Between a Trans-Impedance Amplifier and a
Post Amplifier for Burst Mode Receiving
	 	 	200806264-8	 	 	22-Aug-2008
	PCT	 	Finisar Corporation	 	Integrated Optical Interconnect
	 	 	PCT/US2008/074454	 	 	27-Aug-2008
	Taiwan	 	Finisar Corporation	 	Integrated Optical Interconnect
	 	 	097133189	 	 	29-Aug-2008
	Taiwan	 	Finisar Corporation	 	Receptacle with multiple contact sets each for different connector types
	 	 	097135712	 	 	17-Sep-2008
	PCT	 	Finisar Corporation	 	Receptacle with multiple contact sets each for different connector types
	 	 	PCT/US2008/076721	 	 	17-Sep-2008
	Taiwan	 	Finisar Corporation	 	Monolithic shell for optical electrical device
	 	 	097138265	 	 	03-Oct-2008
	Taiwan	 	Finisar Corporation	 	Printed Circuit Board Carrier For Optical Electrical Device
	 	 	097138266	 	 	03-Oct-2008
	PCT	 	Finisar Corporation	 	Monolithic Shell for an Optical Electrical Device
	 	 	PCT/US2008/078918	 	 	06-Oct-2008
	PCT	 	Finisar Corporation	 	Printed Circuit Board Carrier for Optical Electrical Device
	 	 	PCT/US2008/079222	 	 	08-Oct-2008
	PCT	 	Finisar Corporation	 	Anticounterfeiting Means for Optical Communications Components
	 	 	PCT/US2008/082300	 	 	03-Nov-2008
	Singapore	 	Finisar Corporation	 	Electromagnetic Shielding Configuration
	 	 	200808378-4	 	 	10-Nov-2008
	Singapore	 	Finisar Corporation	 	ONU Transceiver Design
	 	 	200808465-9	 	 	13-Nov-2008
	PCT	 	Finisar Corporation	 	Tranceiver Module with Dual Printed Circuit Boards
	 	 	PCT/US2009/044740	 	 	20-May-2009
	PCT	 	Finisar Corporation	 	Bail Release Mechanism for Communications Module
	 	 	PCT/US2009/046486	 	 	05-Jun-2009
	PCT	 	Finisar Corporation	 	High-Power Optical Burn-In
	 	 	PCT/US2009/053781	 	 	13-Aug-2009

88

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	PCT	 	Finisar Corporation	 	CFP Mechanical Platform
	 	 	PCT/US2009/053933	 	 	14-Aug-2009
	United Kingdom	 	Finisar Corporation	 	Electro-Optical Interconnection Module
	 	 	2288939	 	 	 
	United Kingdom	 	Finisar Corporation	 	Electro-Optical Interconnection Module
	 	 	 	 	 	 
	United Kingdom	 	Finisar Corporation	 	Electro-Optical Interconnection Module
	 	 	 	 	 	 
	United Kingdom	 	Finisar Corporation	 	Electro-Optical Interconnection Module
	 	 	 	 	 	 
	Malaysia	 	Finisar Corporation	 	Module Cleaning Fixture for Sensitive Optical Services
	 	 	PI20082610	 	 	14-Jul-2008
	European Patent Office	 	Kailight Photonics, Inc.	 	ALL-OPTICAL, TUNABLE REGENERATOR, RESHAPER AND WAVELENGTH CONVERTER
	 	 	04778143.0	 	 	14-Jul-2004
	Hong Kong	 	Finisar Corporation	 	ALL-OPTICAL, TUNABLE REGENERATOR, RESHAPER AND WAVELENGTH CONVERTER
	 	 	06111655.7	 	 	14-Jul-2004
	Israel	 	Kailight Photonics, Inc.	 	ALL-OPTICAL, TUNABLE REGENERATOR, RESHAPER AND WAVELENGTH CONVERTER
	 	 	173226	 	 	14-Jul-2004
	Canada	 	Kailight Photonics, Inc.	 	ALL-OPTICAL, 3R REGENERATION USING THE SAGNAC AND MACH-ZEHNDER VERSIONS OF THE TERAHERTZ
OPTICAL ASYMMETRIC DEMULTIPLEXER (TOAD)
	 	 	2551032	 	 	09-Dec-2004
	European Patent Office	 	Kailight Photonics, Inc.	 	ALL-OPTICAL, 3R REGENERATION USING THE SAGNAC AND MACH-ZEHNDER VERSIONS OF THE TERAHERTZ
OPTICAL ASYMMETRIC DEMULTIPLEXER (TOAD)
	 	 	04813760.8	 	 	09-Dec-2004
	China	 	Kailight Photonics, Inc.	 	SYSTEMS AND METHODS FOR ALL-OPTICAL SIGNAL REGENERATION BASED ON FREE SPACE OPTICS
	 	 	200710165417.3	 	 	25-Oct-2007
	European Patent Office	 	Kailight Photonics, Inc.	 	SYSTEMS AND METHODS FOR ALL-OPTICAL SIGNAL REGENERATION BASED ON FREE SPACE OPTICS
	 	 	07254226.9	 	 	24-Oct-2007
	Japan	 	Kailight Photonics, Inc.	 	SYSTEMS AND METHODS FOR ALL-OPTICAL SIGNAL REGENERATION BASED ON FREE SPACE OPTICS
	 	 	2007-276086	 	 	24-Oct-2007
	China	 	Kailight Photonics, Inc.	 	SYSTEMS AND METHODS FOR POLARIZATION MODE DISPERSION MITIGATION
	 	 	200710165627.2	 	 	23-Oct-2007
	European Patent Office	 	Kailight Photonics, Inc.	 	SYSTEMS AND METHODS FOR POLARIZATION MODE DISPERSION MITIGATION
	 	 	07254201.2	 	 	23-Oct-2007
	Japan	 	Kailight Photonics, Inc.	 	SYSTEMS AND METHODS FOR POLARIZATION MODE DISPERSION MITIGATION
	 	 	2007-275245	 	 	23-Oct-2007

89

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	China	 	Kailight Photonics, Inc.	 	OPTICAL TRANSPONDERS WITH REDUCED SENSITIVITY TO POLARIZATION MODE DISPERSION (PMD) AND
CHROMATIC DISPERSION (CD)
	 	 	200710165630.4	 	 	23-Oct-2007
	European Patent Office	 	Kailight Photonics, Inc.	 	OPTICAL TRANSPONDERS WITH REDUCED SENSITIVITY TO POLARIZATION MODE DISPERSION (PMD) AND
CHROMATIC DISPERSION (CD)
	 	 	07254202.0	 	 	23-Oct-2007
	Japan	 	Kailight Photonics, Inc.	 	OPTICAL TRANSPONDERS WITH REDUCED SENSITIVITY TO POLARIZATION MODE DISPERSION (PMD) AND
CHROMATIC DISPERSION (CD)
	 	 	2007-275619	 	 	23-Oct-2007
	China	 	Finisar Corporation	 	Optical Transceiver Module with Host Accessible Onboard Diagnostics
	 	 	200480015650.8	 	 	9-Apr-04
	Hong Kong	 	Finisar Corporation	 	Optical Transceiver Module with Host Accessible Onboard Diagnostics
	 	 	07100354.3	 	 	10-Jan-07
	China	 	Finisar Corporation	 	Optoelectronic Transceiver Having Dual Access to Onboard Diagnostics
	 	 	200480025341.9	 	 	27-Feb-06
	European Patent Office	 	Finisar Corporation	 	Optoelectronic Transceiver Having Dual Access to Onboard Diagnostics
	 	 	04777655.4	 	 	30-Jun-04
	Hong Kong	 	Finisar Corporation	 	Optoelectronic Transceiver Having Dual Access to Onboard Diagnostics
	 	 	06111755.6	 	 	25-Oct-06
	China	 	Finisar Corporation	 	Optical Transceiver and Host Adapter with Memory Mapped Monitoring Circuit
	 	 	200580020425.8	 	 	20-Dec-06
	European Patent Office	 	Finisar Corporation	 	Optical Transceiver and Host Adapter with Memory Mapped Monitoring Circuit
	 	 	05737559.4	 	 	17-Nov-06
	Hong Kong	 	Finisar Corporation	 	Optical Transceiver and Host Adapter with Memory Mapped Monitoring Circuit
	 	 	07108062.9	 	 	25-Jul-07
	Japan	 	Finisar Corporation	 	Optical Transceiver and Host Adapter with Memory Mapped Monitoring Circuit
	 	 	2007-509647	 	 	20-Oct-06
	China	 	Finisar Corporation	 	Analog to Digital Signal Conditioning in Optoelectronic Transceivers
	 	 	200580017209.8	 	 	22-Nov-06
	Hong Kong	 	Finisar Corporation	 	Analog to Digital Signal Conditioning in Optoelectronic Transceivers
	 	 	07109480.1	 	 	31-Aug-07
	Japan	 	Finisar Corporation	 	Analog to Digital Signal Conditioning in Optoelectronic Transceivers
	 	 	2007-506374	 	 	29-Sep-06
	Japan	 	Finisar Corporation	 	Integrated Memory Controller Circuit for Fiber Optics Transceiver
	 	 	2006-015985	 	 	25-Jan-06
	Hong Kong	 	Finisar Corporation	 	Integrated Memory Controller Circuit for Fiber Optics Transceiver
	 	 	07104119.1	 	 	28-Nov-03

90

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	Japan	 	Finisar Corporation	 	Integrated \Memory\ Controller Circuit for Fiber Optics Transceiver
	 	 	2006-082501	 	 	24-Mar-06
	China	 	Finisar Corporation	 	Integrated Memory Mapped Controller Circuit for Fiber Optics Transceiver
	 	 	200610149558.1	 	 	16-Nov-06
	Hong Kong	 	Finisar Corporation	 	Integrated Memory Mapped Controller Circuit for Fiber Optics Transceiver
	 	 	07113306.5	 	 	5-Dec-07
	Malaysia	 	Finisar Corporation	 	Internal Memory for Transistor Outline Packages
	 	 	PI 20082504	 	 	7-Jul-08
	Canada	 	Finisar Corporation	 	Integrated Memory Mapped Controller Circuit for Fiber Optics Transceiver
	 	unknown	 	14-Apr-09
	European Patent Office	 	Finisar Corporation	 	Electro-Absorption Modulated Laser with High Operating Temperature Tolerance
	 	 	02744691.3	 	 	9-Feb-04
	PCT	 	Finisar Corporation	 	Optical Receiver with Threshold Voltage Compensation
	 	PCT/US09/55382	 	28-Aug-09
	PCT	 	Finisar Corporation	 	Method and Apparatus for Demodulating and Regenerating Phase Modulated Optical Signals
	 	PCT/US09/34919	 	23-Feb-09
	PCT	 	Finisar Corporation	 	Method and Apparatus for Dispersion Mitigation in Optical Links
	 	PCT/US08/05093	 	19-Apr-2008
	Australia	 	Optium Corporation	 	Wavelength Manipulation System and Method
	 	 	2004290090	 	 	26-Oct-04
	Canada	 	Optium Corporation	 	Wavelength Manipulation System and Method
	 	 	2543867	 	 	26-Oct-04
	European Patent Office	 	Optium Corporation	 	Wavelength Manipulation System and Method
	 	 	04761467.2	 	 	26-Oct-04
	India	 	Optium Corporation	 	Wavelength Manipulation System and Method
	 	2549/DELNP/2006	 	26-Oct-04
	Japan	 	Optium Corporation	 	Wavelength Manipulation System and Method
	 	 	2006-538592	 	 	26-Oct-04
	European Patent Office	 	Optium Corporation	 	Dual-Source Optical Wavelength Processor
	 	 	05749258.9	 	 	14-Jun-05
	Canada	 	Optium Corporation	 	Optical Calibration System and Method
	 	 	2586586	 	 	8-Nov-05
	European Patent Office	 	Optium Corporation	 	Optical Calibration System and Method
	 	 	05801209.7	 	 	8-Nov-05
	Japan	 	Optium Corporation	 	Optical Calibration System and Method
	 	 	2007-539422	 	 	8-Nov-05
	European Patent Office	 	Optium Corporation	 	Wavelength Selective Reconfigurable Optical Cross-Connect
	 	 	05787093.3	 	 	23-Sep-05

91

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Patent No. /	 	 
	Country	 	Grantor	 	Patent Name	 	Serial No.	 	Filing Date
	Japan	 	Optium Corporation	 	Optical Communications System
	 	 	2007-557274	 	 	22-Feb-06

92

 

 CONFIDENTIAL TREATMENT REQUESTED

Schedule 4.15

Deposit Accounts and Securities Accounts

Foreign Cash and Investment Accounts

	 	 	 	 	 	 	 	 	 
	Country	 	Account Owner	 	Bank Name	 	Account Number	 	Purpose
	China
	 	Finisar Shanghai Inc	 	Bank of Communications, Shanghai Branch Zhangjiang Sub-Branch	 	[****]	 	Trade Account
	China
	 	Finisar Shanghai Inc	 	Industrial and Commercial Bank of China, No.1 Sub-branch Shanghai	 	[****]	 	Social Insurance
	China
	 	Finisar Shanghai Inc	 	Construction Bank of China Shanghai Branch LuWan Sub Brach	 	[****]	 	Social Insurance
	China
	 	Finisar Shanghai Inc	 	Construction Bank of China Shanghai Branch LuWan Sub Brach	 	[****]	 	Social Insurance
	China
	 	Finisar Shanghai Inc	 	Construction Bank of China Shanghai Branch LuWan Sub Brach	 	[****]	 	Social Insurance
	China
	 	Finisar Shanghai Inc	 	Shanghai PuDong Development Bank	 	[****]	 	Tax Account
	China
	 	Finisar Shanghai Inc	 	Bank of Communications	 	[****]	 	Trade Account
	China
	 	Finisar Shanghai Inc	 	Bank of Communications, Shanghai Branch Xinqu Sub-Branch(USD)	 	[****]	 	Trade Account
	China
	 	Finisar Shanghai Inc	 	Bank of Communications, Shanghai Branch Xinqu Sub-Branch(USD)	 	[****]	 	Trade Account
	China
	 	Shenzhen Office	 	China Citic Bank Citizen Centre Subbranch	 	[****]	 	Tax Account
	China
	 	Shenzhen Office	 	China Merchants Bank An Lian Subbranch	 	[****]	 	Trade Account
	Malaysia
	 	Finisar Malaysia	 	Malayan Banking Berhad	 	[****]	 	General Checking
	Malaysia
	 	Finisar Malaysia	 	Malayan Banking Berhad	 	[****]	 	Genera Checking
	Malaysia
	 	Finisar Malaysia	 	Malayan Banking Berhad	 	[****]	 	Time Deposit
	Malaysia
	 	Finisar Malaysia	 	HSBC Bank Malaysia Berhad	 	[****]	 	General Checking
	Malaysia
	 	Finisar Malaysia	 	HSBC Bank Malaysia Berhad	 	[****]	 	General Checking
	Malaysia
	 	Finisar Malaysia	 	HSBC Bank Malaysia Berhad	 	[****]	 	Time Deposit
	Malaysia
	 	Finisar Malaysia	 	HSBC Bank Malaysia Berhad	 	[****]	 	Time Deposit
	Singapore
	 	Finisar Singapore	 	The Hongkong and Shanghai Banking Corporation Limited	 	[****]	 	General Checking
	Singapore
	 	Finisar Singapore	 	DBS Bank Limited	 	[****]	 	General Checking
	 
	 	 	 	 	 	 	 	 
	Italy
	 	Finisar Corporation	 	SanPaolo IMI	 	[****]	 	General Checking
	Japan
	 	Finisar Japan Ltd	 	Sumitomo Mitsui Bank	 	[****]	 	General Checking
	UK
	 	Finisar Sales Inc	 	Royal Bank of Scotland PLC	 	[****]	 	General Checking
	 
	 	 	 	 	 	 	 	 
	Israel
	 	Finisar Israel Ltd.	 	Bank Leumi	 	[****]	 	General
	Israel
	 	Finisar Israel Ltd.	 	Bank Leumi	 	[****]	 	General
	Israel
	 	Finisar Israel Ltd.	 	Bank Leumi	 	[****]	 	General
	 
	 	 	 	 	 	 	 	 
	Australia
	 	Finisar Australia Pty Ltd	 	National Australia Bank	 	[****]	 	Trade Account
	Australia
	 	Finisar Australia Pty Ltd	 	National Australia Bank	 	[****]	 	Trade Account
	Australia
	 	Finisar Australia Pty Ltd	 	National Australia Bank	 	[****]	 	Term Deposit
	 
	 	 	 	 	 	Total:	 	28 Accounts

32

 

 CONFIDENTIAL TREATMENT REQUESTED

US Cash and Investment Accounts

	 	 	 	 	 	 	 	 	 	 	 
	Country	 	Account Owner	 	Bank Name	 	Account#	 	Purpose/Type	 	Bank Address
	US
	 	Finisar Corporation	 	Silicon Valley Bank	 	[****]	 	GENERAL OPERATING ACCOUNT (Include
Flex Spending acct)	 	3003 Tasman Drive, Santa Clara, CA 95054
	US
	 	Finisar Corporation	 	Silicon Valley Bank	 	[****]	 	Payroll Account	 	3003 Tasman Drive, Santa Clara, CA 95054
	US
	 	Finisar Corporation	 	Silicon Valley Bank	 	[****]	 	Horsham Operating ACCOUNT	 	3003 Tasman Drive, Santa Clara, CA 95054
	US
	 	Finisar Corporation	 	Silicon Valley Bank	 	[****]	 	Multi Currency Account	 	3003 Tasman Drive, Santa Clara, CA 95054
	US
	 	Finisar Corporation	 	SVB Securities	 	[****]	 	SVB Money Market Account	 	3003 Tasman Drive, Santa Clara, CA 95054
	US
	 	Finisar Corporation	 	SVB Asset Management	 	[****]	 	SVB Asset Management Account	 	185 Berry Street, Suite 3000, San Francisco, CA 94107
	US
	 	Finisar Corporation	 	Silicon Valley Bank	 	[****]	 	Horsham Flex Spending-linked to 3300585722	 	3003 Tasman Drive, Santa Clara, CA 95054
	US
	 	Finisar Corporation	 	Wells Fargo	 	[****]	 	Control Account	 	Wells Fargo
	US
	 	Finisar Corporation	 	Wells Fargo	 	[****]	 	Operating Account	 	Wells Fargo
	US
	 	Finisar Corporation	 	Wells Fargo	 	[****]	 	Flex Spending Account	 	Wells Fargo
	US
	 	Finisar Corporation	 	Wells Fargo	 	[****]	 	Payroll Account	 	Wells Fargo
	US
	 	Finisar Corporation	 	Silicon Valley Bank	 	[****]	 	Multi Currency Account - No Activity	 	3003 Tasman Drive, Santa Clara, CA 95054
	 
	 	 	 	 	 	 	 	Total	 	12 Accounts

33

 

 CONFIDENTIAL TREATMENT REQUESTED

Schedule 4.17

Material Contracts

Loan and Security Agreement by and between Silicon Valley Bank and Finisar Corporation dated March
14, 2008 and related agreements and amendments

Indenture,
by and between Finisar and U.S. Bank Trust National Association, dated October 15, 2003

Indenture, by and between Finisar and U.S. Bank Trust National Association, dated October 12, 2006

Note and Security Agreement by and between Banc of America Leasing and Capital, LLC and Finisar
dated December 27, 2005

Lease, by and between Optium Corporation and 200 Precision Drive Investors, LLC, dated September
29, 2006, as amended by First Amendment to Lease dated January 4, 2009

Lease Agreement, by and between Finisar and Finisar (CA-TX) Limited Partnership, dated February 4,
2005

License Agreement, by and between Board of Trustees of the Univ. of Illinois and Honeywell, dated
February 22, 2000

License, Settlement and Release Agreement, by and between Picolight, Inc. and Honeywell
Intellectual Properties, Inc. (via its VCSEL Optical Products business), dated November 20,
2003

34

 

 CONFIDENTIAL TREATMENT REQUESTED

Schedule 4.19

Indebtedness

$16,900,000
in principal amount of outstanding 21/2% Convertible Subordinated Notes due 2010 issued
by Finisar

$62,396,000 principal amount of outstanding 21/2% Convertible Senior Subordinated Notes due 2010
issued by Finisar

$2,816,327.23 in outstanding obligations under that certain Note and Security Agreement by and
between Banc of America Leasing and Capital, LLC and Finisar dated December 27, 2005 and Contract
054-0119981-000 by and between Finisar and Banc of America Leasing & Capital, LLC

$16.75 million in outstanding debt pursuant to the agreements by and between Finisar Malaysia Sdn
Bhd and HSBC Bank Malaysia Berhad

$68,000 in outstanding obligations under that certain Agreements by and between Finisar and U.S.
Bancorp regarding certain copiers and printers; Lease #5598322 HP LJ 9050MFP1 by and between
Finisar and U.S. Bancorp; Lease #6162312 HP LJ 4345MFP by and between Finisar and U.S. Bancorp and
Lease #619936 HP LJ 4345MFP by and between Finisar and U.S. Bancorp

$92,000 in outstanding obligations under that certain Agreement by and between Finisar and CIT
Technology Financing Services, Inc. regarding Certain office equipment and products

35

 

 CONFIDENTIAL TREATMENT REQUESTED

Schedule 4.24

Employee and Labor Matters

     Finisar Australia Pty Lt. has a Collective Agreement in place with respect to its employees.

36

 

 CONFIDENTIAL TREATMENT REQUESTED

Schedule 4.28

Locations of Inventory and Equipment

The Loan Parties and their Subsidiaries have inventory and/or equipment located at the following
locations:

	 	 	 
	36 Jonspin Rd.

Wilmington, MA 01887

	 	 
	200 Precision Road

Horsham, PA 19044
	 	 
	1389 Moffett Park Drive

Sunnyvale, CA 94089-1134
	 	 
	600 Millennium Drive

Allen, TX 75013
	 	 
	41762 Christy St

Fremont, CA 94538
	 	 
	2004 Fox Drive

Champaign, IL 61820
	 	 
	No. 66 Huiqing Rd.

East Zhangjiang Hi-Tech Park

Shanghai China 201201
	 	 
	Plot 1 Kinta Free Industrial Zone,

Off Jalan Tunku Abdul Rahman,

31200 Chemor, Perak, Malaysia
	 	 
	10, Ang Mo Kio Street 65

#05-01/02 Techpoint

Singapore 569059

Unit #01-01, Block 1A, Cyber Pearl,

Hi-Tech City, Madhapur

Hyderabad-500 081

India
	 	 
	244 Young Street

Waterloo, NSW 2017

Australia
	 	 

37

 

 CONFIDENTIAL TREATMENT REQUESTED

3 Golda Meir St.

Lev Hakongresim, Nitzan Building

Nes-Ziona Science Industrial Park

P.O. Box 4102

Nes Ziona 74140

Israel

Approximately $5,000,000 worth of customer managed inventory is located at Finisar’s Malaysian
office at Plot 1 Kinta Free Industrial Zone, Off Jalan Tunku Abdul Rahman, 31200 Chemor, Perak,
Malaysia.

Approximately $5,000,000 worth of consigned inventory is located at approximately 30 different
customer locations in the U.S. and in foreign countries.

Finisar Malaysia Sdn Bhd stores approximately $9.57 million in inventory with eight different
subcontractors in the U.S., China, Thailand, Ipoh, Malaysia and Penang, Malaysia.

Finisar Malaysia Sdn Bhd consigns approximately $3 million worth of equipment to certain of its
suppliers in Penang, Taiwan, China, Singapore, Japan, California, Thailand and Dallas, TX.

Finisar Australia Pty Ltd stores approximately $29,000 worth of equipment with three different
suppliers

38

 

 CONFIDENTIAL TREATMENT REQUESTED

Schedule 5.1

     Deliver to Agent, with copies to each Lender, each of the financial statements, reports, or
other items set forth below at the following times in form satisfactory to Agent:

	 	 	 
	as soon as available, but in
any event within 30 days (45
days in the case of a month
that is the end of one of
Parent’s fiscal quarters) after
the end of each month during
each of Parent’s fiscal years,

	 	(a) an unaudited consolidated and
consolidating balance sheet, income
statement, and statement of cash flow
covering Parent’s and its Subsidiaries’
operations during such period,
setting forth in each case in
comparative form (i) the corresponding
figures for the corresponding periods of
the previous Fiscal Year and (ii) on a
quarterly basis only, the corresponding
figures from the most recent budget and
Projections delivered to Agent for the
then current Fiscal Year, and

(b) a Compliance Certificate.
	 
	 	 
	as soon as available, but in
any event within 90 days after
the end of each of Parent’s
fiscal years,

	 	(c) consolidated and consolidating
financial statements of Parent and its
Subsidiaries for each such fiscal year,
audited by independent certified public
accountants reasonably acceptable to
Agent and certified, without any
qualifications (including any (A) “going
concern” or like qualification or
exception, (B) qualification or
exception as to the scope of such audit,
or (C) qualification which relates to
the treatment or classification of any
item and which, as a condition to the
removal of such qualification, would
require an adjustment to such item, the
effect of which would be to cause any
noncompliance with the provisions of
Section 7), by such accountants to have
been prepared in accordance with GAAP
(such audited financial statements to
include a balance sheet, income
statement, and statement of cash flow
and, if prepared, such accountants’
letter to management), and
	 
	 	 
	 

	 	(d) a Compliance Certificate.
	 
	 	 
	as soon as available, but in
any event within 30 days prior
to the start of each of
Borrower’s fiscal years,

	 	(e) copies of Parent’s Projections, in
form and substance (including as to
scope and underlying assumptions)
satisfactory to Agent, in its Permitted
Discretion, for the forthcoming 3 years,
year by year, and for the forthcoming
fiscal year, quarter by quarter,
certified by the chief financial officer
of Parent as being such officer’s good
faith estimate of the financial
performance of Parent and its
Subsidiaries during the period covered
thereby.
	 
	if and when filed by Parent or
any of its Subsidiaries,

	 	(f) Form 10-Q quarterly reports, Form
10-K annual reports, and Form 8-K
current reports,
	 

	 	(g) any other filings made by
Parent or any of its Subsidiaries
with the SEC, and
	 
	 	 
	 

	 	(h) any other information that is
provided by Parent or any of its
Subsidiaries to their respective
shareholders generally.

-1-

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 
	promptly, but in any event within 5
days after Parent or any of its
Subsidiaries has knowledge of any event
or condition that constitutes a Default
or an Event of Default,

	 	(i) notice of such event or
condition and a statement of the
curative action that Borrowers
propose to take with respect
thereto.
	 
	 	 
	promptly after the commencement
thereof, but in any event within 5 days
after the service of process with
respect thereto on Parent or any of its
Subsidiaries,

	 	(j) notice of all actions, suits,
or proceedings brought by or
against Parent or any of its
Subsidiaries before any
Governmental Authority which
reasonably could be expected to
result in a Material Adverse
Change.
	 
	 	 
	promptly, but in any event within 5
days after Parent or any of its
Subsidiaries has knowledge thereof,

	 	(k) the termination of any
Material Contract and, to the
extent that such contract is not
a Material Contract, any contract
with Cisco Systems International
B.V., Huawei Technologies Co.,
Ltd. or their respective
Affiliates, and

(l) any notices, waivers,
modifications, amendments or
other documents received or
executed by Borrowers in
connection with the Subordinated
Notes (it being understood that
nothing contained in this clause
(1) shall permit Borrowers to
modify or amend the Subordinated
Notes in violation of Section
6.7(b)).
	 
	 	 
	upon the request of Agent,

	 	(m) any other information
reasonably requested relating to
the financial condition of Parent
or its Subsidiaries.

-2-

 

 CONFIDENTIAL TREATMENT REQUESTED

Schedule 5.2

     Provide Agent (and if so requested by Agent, with copies for each Lender) with each of the
documents set forth below at the following times in form satisfactory to Agent:

	 	 	 	 
	Immediately upon
occurrence or
receipt of

	 	(a)	any decrease or termination of insurance coverage on any credit
insured account,

	 
	 		 
	 

	 	(b)	any claim for payment under any credit insurance policy, and
	 
	 		 
	 

	 	(c)	copies of all reports as required under any credit insurance policy.
	 
	 		 
	Weekly

	 	(d)	an Account roll-forward with supporting details supplied from sales
journals, collection journals, credit registers and any other records,
	 
	 		 
	 

	 	(e)	a detailed aging, by total, of Borrowers’ Accounts, together with a
reconciliation and supporting documentation for any reconciling items
noted (delivered electronically in an acceptable format),
	 
	 		 
	 

	 	(f)	a detailed report regarding Parent’s and its Subsidiaries’ cash and
Cash Equivalents, including an indication of which amounts constitute
Qualified Cash, and
	 
	 		 
	 

	 	(g)	notice of all claims, offsets, or disputes asserted by Account
Debtors with respect to each Borrower’s and its Subsidiaries’ Accounts.
	 
	 		 
	Monthly (no later
than the 15th day
of each month)

	 	(h)	a Borrowing Base Certificate,

	

	 	(i)	a detailed aging, by total, of
Borrowers’ Accounts, together with a reconciliation and supporting
documentation for any reconciling items noted (delivered electronically
in an acceptable format),
	 
	 		 
	 

	 	(j)	a detailed Inventory system/perpetual report specifying cost of
each Borrower’s and its Subsidiaries’ Inventory, by category, together
with a reconciliation to each Borrower’s and its Subsidiaries’ general
ledger accounts (delivered electronically in an acceptable format),
	 
	 		 
	 

	 	(k)	a monthly Account roll-forward, in a format acceptable to Agent in
its discretion, tied to the beginning and ending account receivable
balances of each Borrower’s general ledger,
	 
	 		 
	 

	 	(1)	a summary aging, by vendor, of each Borrower’s and its
Subsidiaries’ accounts payable and any book overdraft, and accrued
expenses, together with a reconciliation to each Borrower’s general
ledger accounts (delivered electronically in an acceptable format), and
an aging, by vendor, of any held checks, and
	 
	 		 
	 

	 	(m)	a detailed listing of any Equipment that was sold or disposed of by
Parent or any of its Subsidiaries.
	 
	 		 
	Monthly (no later
than the 30th day
of each month)

	 	(n)	a reconciliation of Accounts, trade accounts payable, and Inventory
of each Borrower’s general ledger accounts to its monthly financial
statements including any book reserves related to each category, and

	 
	 		 
	 
	 	(o)	a detailed listing of any write-downs or adjustments to each
Borrower’s Inventory

 

 

 CONFIDENTIAL TREATMENT REQUESTED

	 	 	 	 
	Quarterly

	 	(p)	a report regarding Parent’s and its
Subsidiaries’ accrued, but unpaid, ad valorem taxes,
and
	 
	 		 
	 

	 	(q)	A detailed report of each Borrower’s and its
Subsidiaries’ deemed dividend tax liability.
	 
	 		 
	Annually

	 	(r)	 a detailed list of Parent’s and its
Subsidiaries’ customers, with address and contact
information.
	 
	 		 
	Upon request by Agent

	 	(s)	 copies of purchase orders and invoices for
Inventory and Equipment acquired by Parent or its
Subsidiaries,
	 
	 		 
	 

	 	(t)	 copies of invoices together with corresponding
shipping and delivery documents, and credit memos
together with corresponding supporting
documentation, with respect to invoices and credit
memos, and
	 
	 		 
	 

	 	(u)	 any other information or reports as to the
Collateral or the financial condition of Parent or
its Subsidiaries, as Agent may reasonably request.

-2-

 

 CONFIDENTIAL TREATMENT REQUESTED

Schedule 6.6

Nature of Business

     Provider of optical subsystems and components.

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