EX-10.5 10 a2169408zex-10_5.htm EXHIBIT 10.5

 

Exhibit 10.5

 

 

NEWPORT FAB, LLC CONTRIBUTION AGREEMENT

 

between:

 

CONEXANT SYSTEMS, INC.,

a Delaware corporation

 

and

 

NEWPORT FAB, LLC,

a Delaware limited liability company.

 


 

Dated as of February 23, 2002

 


 

 

 

Confidential treatment is being requested for portions of this document.  This copy of the document filed as an exhibit omits the confidential information subject to the confidentiality request.  Omissions are designated by the symbol [...***...].  A complete version of this document has been filed separately with the Securities and Exchange Commission.

 



 

NEWPORT FAB, LLC CONTRIBUTION AGREEMENT

 

THIS NEWPORT FAB, LLC CONTRIBUTION AGREEMENT (this “Agreement”) is entered into as of February 23, 2002, by and between:  CONEXANT SYSTEMS, INC., a Delaware corporation (“Conexant”); and NEWPORT FAB, LLC, a Delaware limited liability company (“the Company”). Certain capitalized terms used in this Agreement are defined in Exhibit A.

 

RECITALS

 

WHEREAS, Conexant currently conducts, and historically has conducted, semiconductor wafer fabrication and manufacturing operations at Conexant’s Newport Beach California facilities (the “Wafer Fabrication Operations”), which operations include (i) the semiconductor wafer fabrication and probing operations located at the facilities surrounding, or physically housed, either in part or in whole, in Buildings 501, 503 and 505 located at 4311 Jamboree Road, Newport Beach, California (buildings 503 and 505 being referred to collectively as the “El Capitan Buildings”) and (ii) certain research and development, design support service and other support operations (“Wafer Fabrication Support Operations”); and

 

WHEREAS, Conexant wishes to contribute to the Company and the Company wishes Conexant to contribute to the Company certain assets related to the Wafer Fabrication Operations, in exchange for all the membership and other ownership interests in the Company (the “Membership Interests”).

 

AGREEMENT

 

NOW, THEREFORE, the parties to this Agreement, intending to be legally bound, agree as follows:

 

1.                                      CONTRIBUTION OF ASSETS; RELATED TRANSACTIONS.

 

1.1                               Contributions by Conexant.

 

(a)                                  Conexant shall contribute, assign, transfer, convey and deliver to the Company, and the Company shall accept from Conexant, at the Closing (as defined in Section 1.4), good and valid title to the Contributed Assets, free and clear of any Encumbrances, other than Permitted Encumbrances, on the terms and subject to the conditions set forth in this Agreement. For purposes of this Agreement, “Contributed Assets” shall mean all right, title, and interest of Conexant in and to only the following assets and properties:

 

(i)                                    except as set forth on Schedule 1.1(a)(i)(1), all equipment, machinery, computers, tools, trade fixtures, improvements (including waste treatment and pollution control systems, raised floors, walls, HEPA filters, exhaust ductwork, gas and liquid lines, etc.) supplies, materials, furniture, and other tangible personal property used or held for use in the conduct of the Wafer Fabrication Operations and that are physically located within the blue shaded areas on the floor plan building schematics for Buildings 503 and 505 located at 4311 Jamboree Road, Newport Beach, California attached hereto as Schedule 1.1(a)(i)(2) (the “Identified WFO Property”), and all furniture, personal computers, calculators and other

 

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personal property used by or held for use by the Transferred Employees (the “Transferred Employees’ Property”);

 

(ii)                                all equipment, machinery, computers, tools, fixtures, supplies, materials, furniture, and other tangible property related to the Wafer Fabrication Support Operations that are specifically listed on Schedule 1.1.(a)(ii) (together with the Identified WFO Property and the Transferred Employees’ Property, the “Tangible Personal Property”);

 

(iii)                            the Inventory owned by Conexant as of the Closing Date (as defined in Section 1.4);

 

(iv)                               the spare parts used in the Wafer Fabrication Operations and owned by Conexant as of the Closing Date;

 

(v)                                   all contracts listed on Schedule 1.1(a)(v), including any purchase orders related to such contracts (the “Transferred Contracts”);

 

(vi)                               except as set forth on Schedule 1.1(a)(vi)(1) and except for any patent and patent applications not listed on Schedule 1.1(a)(vi)(1) that are primarily related to the Product Technology (collectively, the “Excluded Patent Rights”), the patent and patent applications set forth on Schedule 1.1(a)(vi)(2) and all other patents, patent applications and worldwide patent rights to all invention disclosures (which invention disclosures have been submitted to Conexant in writing as of the date of the Closing) primarily related to the Process Technology (collectively, the “Transferred Patents”). Notwithstanding the foregoing, the Excluded Patent Rights shall not include any patents, patent applications or disclosures set forth on Schedule 1.1(a)(vi)(2);

 

(vii)                           the know-how, trade secrets and other intellectual property primarily related to the Process Technology, including, without limitation, the know how, trade secrets, and other intellectual property rights described on Schedule 1.1(a)(vii) (collectively, the “Transferred Know-How”);

 

(viii)                       all Governmental Authorizations primarily relating to the operation of the Wafer Fabrication Operations, to the extent such Governmental Authorizations are transferable by Conexant in connection with the transactions contemplated by this Agreement (the “Transferred Permits”);

 

(ix)                              all claims, causes of action and rights of set-off relating to any of the Contributed Assets, other than claims, causes of action and rights of set-off for infringement, misappropriation or violation of the Transferred Intellectual Property that occurred prior to the Closing Date; and

 

(x)                                  (a) all records and lists of Conexant primarily relating to the Wafer Fabrication Operations and the assets described in clauses (i) through (ix) of this Section 1.1, including without limitation all records and lists pertaining to all external customers and suppliers of and to the Wafer Fabrication Operations, (b) all product, business, and marketing plans of Conexant primarily pertaining to the Wafer Fabrication Operations, (c) all books, ledgers, files, reports, plans, drawings, and operating records related primarily to the Wafer

 

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Fabrication Operations or the assets described in clauses (i) through (ix) of this Section 1.1, and (d) to the extent permitted by applicable Legal Requirements, personnel records for all Transferred Employees (collectively, the “Books and Records”); provided that Conexant shall be entitled to retain a copy of such Books and Records for internal use.

 

(b)                                  Notwithstanding anything in this Agreement to the contrary, (i) all assets of Conexant not specifically identified as a Contributed Asset under Section 1.1(a) (including but not limited to those assets set forth in Schedule 1.1(a)(i)(1) and all assets physically located in the unshaded areas on the floor plan building schematics for Buildings 503 and 505 located at 4311 Jamboree Road, Newport Beach, California, attached hereto as Schedule 1.1(a)(i)(2)) above and (ii) the assets listed on Schedule 1.1(b) and the assets physically located in the unshaded area on the floor plan attached to Schedule 1.1(b) (the assets listed on Schedule 1.1(b) being referred to as the “Specified Excluded Assets”) shall not be contributed or transferred hereunder, shall be excluded from the definition of Contributed Assets and shall remain the property of Conexant.

 

(c)                                  Following the Closing, and for a period of eighteen (18) months thereafter, the parties shall cooperate with each other to identify any assets that were (i) not designated as part of the Contributed Assets at the Closing but which relate primarily to the Wafer Fabrication Operations (the “Nontransferred WFO Assets”), and (ii) designated as part of the Contributed Assets but which do not relate to the Wafer Fabrication Operations and which should not have been transferred to the Company (the “Transferred Conexant Assets”). To the extent that any Transferred Conexant Assets are identified and the Company is legally and contractually permitted to transfer such assets, then the Company shall, at the cost and expense of Conexant, promptly take all actions to transfer the Transferred Conexant Assets to Conexant. In the event that the Company is required to obtain the consent or approval of any Person prior to the transfer of any Transferred Conexant Assets, then the Company shall, at Conexant’s expense, use commercially reasonable efforts to obtain such approval or consent, and upon obtaining such approval or consent, shall promptly transfer such Transferred Conexant Assets to Conexant. To the extent any Nontransferred WFO Assets are identified and Conexant is legally and contractually permitted to transfer such assets, Conexant shall, at no cost to the Company, promptly take all actions to transfer such Nontransferred WFO Assets to the Company. In the event Conexant is required to obtain the consent or approval of any Person prior to the transfer of any Nontransferred WFO Asset, then Conexant shall, at its own expense, use its commercially reasonable efforts to promptly obtain such approval or consent, and upon obtaining such approval or consent, shall promptly transfer such Nontransferred WFO Asset to the Company. In the event Conexant is unable to obtain such approval or consent, then Conexant and the Company shall discuss in good faith an appropriate resolution for the disposition of such Nontransferred WFO Asset. In the event Conexant and the Company are unable within a reasonable period of time to agree upon an appropriate resolution with respect to the transfer of any Transferred Conexant Asset or Nontransferred WFO Asset as the case may be, then such dispute shall be resolved in accordance with the arbitration procedures set forth in Section 2.7. Notwithstanding the foregoing, Conexant shall not be obligated to transfer to the Company any Nontransferred WFO Asset unless the Company shall make arrangements to provide Conexant with the benefit of such asset to the extent such asset is used in Conexant’s other operations. Notwithstanding any provision of this Agreement to the contrary, nothing herein shall be deemed to constitute an agreement to assign any Transferred Contract or any right or privilege arising

 

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thereunder if an attempted assignment thereof, without the consent of the other party or parties thereto, would constitute a breach thereof unless such consent has been obtained.

 

1.2                               Consideration for Contributed Assets.

 

(a)                                  As consideration for the contribution of the Contributed Assets by Conexant to the Company set forth in Section 1.1 above, the Company shall:

 

(i)                                    at the Closing, issue to Conexant 100% of the Membership Interests in the Company; and

 

(ii)                                at the Closing, assume the Assumed Liabilities (as defined in Section 1.2(b)) and be responsible for their timely discharge or satisfaction.

 

(b)                                  For purposes of this Agreement “Assumed Liabilities” shall mean only the following liabilities:

 

(i)                                    all Liabilities arising under or out of the Transferred Contracts (other than Liabilities arising out of breaches or violations by Conexant occurring prior to the Closing Date) for performance of or payments to be made under the Transferred Contracts that accrue in respect of events following the Closing Date; provided however, that any payment obligations arising under the Transferred Contracts for products or services received by Conexant prior to the Closing Date shall not be deemed an Assumed Liability, and Conexant shall remain liable for any such payments;

 

(ii)                                all employment related liabilities set forth on Schedule 1.2(b)(ii);

 

(iii)                            all Liabilities arising, accruing or occurring under or out of that certain Labor Agreement, effective May 1, 1998 between Conexant and Local Union No. 2295 of the International Brotherhood of Electrical Workers (the “Collective Bargaining Agreement”) on or after May 1, 2002 to the extent provided in the Employee Matters Agreement;

 

(iv)                               all Liabilities other than Excluded Liabilities arising on or after the Closing Date out of the ownership or use of the Contributed Assets or the conduct of the Wafer Fabrication Operations by the Company on or after the Closing Date;

 

(v)                                   all Liabilities related to the capital expenditures and other acquisition commitments identified on Schedule 1.2(b)(v);

 

(c)                                  Except as specifically set forth in Section 1.2(b), the Company shall not assume any Liabilities of Conexant, whether arising out of the Wafer Fabrication Operations or otherwise (the “Excluded Liabilities”), including without limitation any liabilities related to or arising from employment, employee benefits and employee benefit plans, the ownership of the Contributed Assets, Taxes, compliance with Legal Requirements, or any breaches or violations under the Transferred Contracts, in each case, accruing, arising out of, or relating to events and occurrences prior to the Closing.

 

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1.3                               Sales Taxes.  Conexant shall be responsible for, and shall pay and reimburse the Company, and/or its Affiliates, as applicable, for, any sales taxes, use taxes, transfer taxes, documentary charges, recording fees, stamp taxes or similar taxes, charges, fees or expenses (collectively “Sales and Transfer Taxes”) that may become payable in connection with the contribution of the Contributed Assets, assumption of the Assumed Liabilities, and issuance of the Membership Interests as contemplated hereby. The Company and Conexant shall cooperate with each other in timely making all filings, returns, report and forms as may be required in connection with the payment of all Sales and Transfer Taxes, including but not limited to delivering all instruments and certificates as are necessary to minimize such Sales and Transfer Taxes and enable the other to timely comply with the filing of any Tax Return that relates to Sales and Transfer Taxes.

 

1.4                               Closing.

 

(a)                                  The closing of the transactions contemplated by Sections 1.1, 1.2 and 1.3 and the other transactions contemplated hereby (the “Closing”) shall take place at the offices of Cooley Godward LLP, located at 4401 Eastgate Mall, San Diego, California, at 9:00 a.m. (Pacific Standard Time) concurrently with the execution of this Agreement. For purposes of this Agreement, “Closing Date” shall mean the date as of which the Closing actually takes place.

 

(b)                                  At the Closing:

 

(i)                                    Conexant shall execute and deliver to the Company such bills of sale, endorsements, assignments and other documents as may be necessary or appropriate to assign, convey, transfer and deliver to the Company the Contributed Assets;

 

(ii)                                Conexant and the Company shall execute and deliver to each other the Assignment and Assumption Agreement in a form reasonably acceptable to Conexant and the Company (the “Assignment and Assumption Agreement”); and

 

(iii)                            the Company shall issue to Conexant certificates evidencing the Membership Interests contemplated by Section 1.2(a)(i).

 

2.                                      MISCELLANEOUS PROVISIONS.

 

2.1                               Further Assurances.  Each party hereto shall execute and/or cause to be delivered to each other party hereto such instruments and other documents, and shall take such other actions, as such other party may reasonably request (prior to, at or after the Closing) for the purpose of carrying out or evidencing any of the transactions.

 

2.2                               Governing Law.  This Agreement shall be construed in accordance with, and governed in all respects by, the internal laws of the State of Delaware (without giving effect to principles of conflicts of laws).

 

2.3                               Successors and Assigns; Parties in Interest.  This Agreement shall be binding upon and inure to the benefit of the Company and Conexant, and the respective successors and assigns (if any) of the foregoing.

 

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2.4                               Remedies Cumulative; Specific Performance.  The rights and remedies of the parties hereto shall be cumulative (and not alternative). The parties hereto agree that: (a) in the event of any breach or threatened breach by any party of any covenant, obligation, or other provision of this Agreement applicable to such party, the other party shall be entitled (in addition to any other remedy that may be available) to (i) a decree or order of specific performance or mandamus to enforce the observance and performance of such covenant, obligation or other provision, and (ii) an injunction restraining such breach or threatened breach; and (b) such other party shall not be required to provide any bond or other security in connection with any such decree, order or injunction or in connection with any related action or Proceeding.

 

2.5                               Waiver.

 

(a)                                  No failure on the part of any Person to exercise any power, right, privilege or remedy under this Agreement, and no delay on the part of any Person in exercising any power, right, privilege or remedy under this Agreement, shall operate as a waiver of such power, right, privilege or remedy; and no single or partial exercise of any such power, right, privilege or remedy shall preclude any other or further exercise thereof or of any other power, right, privilege or remedy.

 

(b)                                  No Person shall be deemed to have waived any claim arising out of this Agreement, or any power, right, privilege or remedy under this Agreement, unless the waiver of such claim, power, right, privilege or remedy is expressly set forth in a written instrument duly executed and delivered on behalf of such Person; and any such waiver shall not be applicable or have any effect except in the specific instance in which it is given.

 

2.6                               Construction.

 

(a)                                  For purposes of this Agreement, whenever the context requires:  the singular number shall include the plural, and vice versa; the masculine gender shall include the feminine and neuter genders; the feminine gender shall include the masculine and neuter genders; and the neuter gender shall include the masculine and feminine genders.

 

(b)                                  The parties hereto agree that any rule of construction to the effect that ambiguities are to be resolved against the drafting party shall not be applied in the construction or interpretation of this Agreement.

 

(c)                                  All monetary amounts referenced herein are denominated in United States Dollars.

 

(d)                                  As used in this Agreement, the words “include” and “including,” and variations thereof, shall not be deemed to be terms of limitation, but rather shall be deemed to be followed by the words “without limitation.”

 

(e)                                  Except as otherwise indicated, all references in this Agreement to “Sections” and “Exhibits” are intended to refer to Sections of this Agreement and Exhibits to this Agreement.

 

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2.7                               Dispute Resolution; Arbitration.

 

(a)                                  The parties hereto will act in good faith and use commercially reasonable efforts to promptly resolve any claim, dispute, controversy or disagreement arising out of or relating to or in connection with this Agreement or the breach, termination or validity hereof (each a “Dispute”) between the parties or any of their respective subsidiaries or affiliates under or related to this Agreement or any of the transactions contemplated hereby.

 

(b)                                  Upon the written request (a “Request”) of any party, the relevant parties shall commence good faith negotiations with the goal of resolving the Dispute on a mutually satisfactory basis. If the Dispute has not been resolved to the satisfaction of all relevant parties within fifteen (15) calendar days after the date on which the Request is delivered, the Dispute shall immediately be referred to senior officers of each relevant party. The senior officers of each party (e.g., chief executive officer and/or chief financial officer or senior or executive vice president) shall meet immediately, and in no case later than 30 calendar days after the date on which the Request is delivered, for a minimum of two business days with a mutually selected mediator and attempt in good faith to negotiate a resolution of the Dispute. If the parties are unable to resolve the Dispute within 35 calendar days after the date on which the Request is delivered, then any relevant party may submit the Dispute to arbitration as the exclusive means of resolving it in accordance with the procedures set forth in this Section.

 

(c)                                  Except as otherwise specified in this Section, any Dispute not resolved through the procedure set forth above shall be finally settled by arbitration in accordance with the Rules and Procedures of the American Arbitration Association (the “Arbitration Rules”), which are deemed to be incorporated by reference herein except as otherwise modified herein.

 

(d)                                  The arbitration situs shall be Wilmington, Delaware, and the laws of the State of Delaware shall be applied.

 

(e)                                  In the event of an arbitration involving two parties, there shall be one arbitrator who shall be jointly nominated by such parties. In the event of an arbitration involving more than two parties, there shall be three arbitrators who shall be jointly nominated by the parties. If the parties fail to so nominate the arbitrators within 30 days from the date when the Dispute is submitted to arbitration pursuant to this Section, at the request of any party, the arbitrator(s) shall be appointed in accordance with the Arbitration Rules.

 

(f)                                    The arbitration hearing shall commence no later than 30 days following the appointment of the sole arbitrator or after the appointment of the last of the three arbitrators, as the case may be, and the final award shall be rendered no later than 30 calendar days following the close of the hearing.

 

(g)                                 Consistent with the expedited nature of arbitration, each party will, upon the written request of the other party, provide the other with copies of documents relevant to the issue raised by any claim or counterclaim. Other discovery may be ordered by the panel to the extent the panel deems additional discovery relevant and appropriate, and any dispute regarding discovery, relevance or scope thereof, shall be determined by the panel, which determination shall be conclusive.

 

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(h)                                 By agreeing to arbitration, the parties do not intend to deprive any court of its jurisdiction to issue a pre-arbitral injunction, pre-arbitral attachment, injunctive or other equitable relief or an order in aid of arbitration proceedings and the enforcement of any award. Without prejudice to such provisional remedies in aid of arbitration as may be available under the jurisdiction of a national court, the arbitral tribunal shall have full authority to grant provisional remedies and to award damages for the failure of any party to respect the arbitral tribunal’s orders to that effect.

 

(i)                                    The award shall be final and binding upon the parties, and shall be the sole and exclusive remedy between the parties regarding any claims, counterclaims, issues, or accounting presented to the arbitral tribunal in connection with the Dispute. Judgment upon any award may be entered in any court having competent jurisdiction thereof.

 

(j)                                    The costs of the arbitration shall be borne as determined in accordance with the Arbitration Rules; provided, however, that to the extent a party is non-prevailing or unsuccessful on a claim in an arbitration proceeding under this Section, as determined by the arbitrator(s), that party shall pay the prevailing or successful party’s costs and expenses incurred in connection with the arbitration of that Dispute, including attorneys’ fees and arbitration expenses, whether or not such Dispute is prosecuted to award or judgment.

 

(k)                                Subject to the receipt of any applicable governmental approval, any monetary award shall be made and promptly payable in U.S. dollars if due in U.S. dollars, free of any deduction or offset, and the arbitral tribunal shall be authorized in its discretion to grant pre-award and post-award interest at commercial rates. The arbitral tribunal shall have the authority to award any remedy or relief proposed by the claimants or respondents pursuant to this Agreement, including without limitation, a declaratory judgment, specific performance of any obligation created under this Agreement or the issuance of an injunction.

 

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The parties to this Agreement have caused this Agreement to be executed and delivered as of the date first above written.

 

 

CONEXANT SYSTEMS, INC.,

 

a Delaware corporation

 

 

 

 

 

By:

\s\ Dwight Decker

 

 

Name: Dwight Decker

 

Title: Chief Executive Officer

 

 

 

 

 

NEWPORT FAB, LLC

 

a Delaware limited liability company

 

 

 

 

 

By:

\s\ Scott Silcock

 

 

Name: Scott Silcock

 

Title: Director of Operations

 

 

[SIGNATURE PAGE TO NEWPORT FAB, LLC CONTRIBUTION AGREEMENT]

 



 

EXHIBIT A

 

CERTAIN DEFINITIONS

 

For purposes of the Agreement (including this Exhibit A):

 

“Affiliate” shall mean, with respect to any Entity, any other Entity controlled by, controlling, or under common control with such first Entity.

 

Agreement” shall mean the Asset Contribution Agreement to which this Exhibit A is attached (including the Conexant Disclosure Schedule and the Carlyle Disclosure Schedule), as it may be amended from time to time.

 

Contract” shall mean any written agreement, contract, instrument, note, guaranty, indemnity, representation, warranty, deed, assignment, power of attorney, certificate, purchase order, work order, insurance policy, benefit plan or commitment of any nature.

 

Encumbrance” shall mean any lien, pledge, hypothecation, mortgage, security interest, encumbrance, claim, lease, license, Order, imperfection of title, condition or restriction  (including any restriction on the transfer of any asset, any restriction on the receipt of any income derived from any asset, any restriction on the use of any asset and any restriction on the possession, exercise or transfer of any other attribute of ownership of any asset).

 

Entity” shall mean any corporation (including any non-profit corporation), general partnership, limited partnership, limited liability partnership, joint venture, estate, trust, cooperative, foundation, society, political party, union, company (including any limited liability company or joint stock company), firm or other enterprise, association, organization or entity.

 

Governmental Authorization” shall mean any permit, license, certificate, franchise, approval, consent, certification, designation, registration, qualification or authorization issued or granted by any Governmental Body.

 

Governmental Body” shall mean any: (a) nation, principality, state, commonwealth, province, territory, county, municipality, district or other jurisdiction; (b) federal, state, local, municipal or foreign government (including any agency, department, bureau, division, court, or other administrative or judicial body thereof); or (c) governmental or quasi-governmental authority of any nature.

 

Intellectual Property” shall mean any and all worldwide (a) rights associated with works of authorship, including copyrights, moral rights, and mask works; (b) trademark and trade name rights and similar rights; (c) trade secret rights; (d) patents and patent rights; (e) other proprietary rights in know-how, inventions, ideas, algorithms, formula, methods, processes, techniques, proprietary information, software, semiconductor devices, and other types of technology; and (f) all registrations, applications, renewals, extensions, combinations, divisions, or reissues of the foregoing.

 

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Inventory shall mean those items of raw materials and work-in-process used to manufacture semiconductor wafers at the Newport Beach Fab Facility or otherwise related to the Wafer Fabrication Operations.

 

Legal Requirement” shall mean any federal, state, foreign, local or municipal law, statute, legislation, constitution, ordinance, code, edict, rule, regulation, ruling, directive, pronouncement, or interpretation issued, enacted, adopted, passed, approved, promulgated, made, implemented or otherwise put into effect by or under the authority of any Governmental Body.

 

Liability” shall mean any debt, obligation, duty or liability of any nature (including any unknown, undisclosed, unmatured, unaccrued, unasserted, contingent, indirect, conditional, implied, vicarious, derivative, joint, several or secondary liability).

 

“Newport Beach Fab Facility” shall mean Conexant’s semiconductor wafer manufacturing facility located in buildings 501, 503 and 505 at 4311 Jamboree Road, Newport Beach, California, together with any other real property used in the Wafer Fabrication Operations.

 

Order” shall mean any order, judgment, injunction, edict, decree, ruling, pronouncement, determination, decision, opinion, verdict, sentence, subpoena, writ or award issued, made, entered, rendered or otherwise put into effect by or under the authority of any  Governmental Body or any arbitrator or arbitration panel.

 

Permitted Encumbrance” shall mean (i) any Encumbrance for Taxes not yet due and payable or which are being contested in good faith through appropriate proceedings for which adequate reserves have been established in accordance with GAAP on the financial statements, (ii) any Encumbrance with respect to leased equipment that exists under the express terms of any equipment lease included in the Contributed Assets, and (iii) liens of landlords and liens of carriers, warehousemen, mechanics and materialmen and other like liens arising in the ordinary course of business for sums not yet due and payable or which are being contested in good faith through appropriate proceedings for which adequate reserves have been established in accordance with GAAP on the financial statements.

 

Person” shall mean any individual, Entity or Governmental Body.

 

Proceeding” shall mean any action, suit, litigation, arbitration, or investigation (including any civil, criminal or administrative) commenced, brought, conducted or heard by or before, or otherwise involving, any Governmental Body or any arbitrator or arbitration panel.

 

“Process Technology” shall mean: (a) a non-device-specific step or sequence of steps carried out in the Newport Beach Fab Facility used to fabricate wafers, including, without limitation, technology relating to (i) the use, development or application of new materials in building devices, such as conductors, dielectrics, semiconductors, organics, or inorganics; (ii) the process of materials deposition (either fixed or sacrificial) by CVD, PVD, APCVD, or ALCVD; (iii) transformation of materials, including thermal treatment, chemical or plasma exposure, and implantation; (iv) the patterning of materials using organic or inorganic masking layers including multi-stacked materials and various chemistries or plasmas; (v) the removal of materials,

 

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whether partially or completely, by dry etch, plasma etch or wet etch or (vi) the cleaning of the wafer to remove unwanted materials by wet cleans, dry cleans, and plasma cleans; (b) an improvement or new design of the manufacturing tools used in the Newport Beach Fab Facility to enhance throughput and yield; and (c) layout optimization carried out in the Newport Beach Fab Facility to enhance yield and performance by design for manufacturing rules, optical proximity correction, and other photo techniques. Notwithstanding the foregoing, Process Technology shall not include either Product Technology or technology specifically relating to the GaAs processes used in Conexant’s Newbury Park fabrication facility.

 

“Product Technology” shall mean (a) the design, structure, architecture and layout of semiconductor devices or components thereof (such as, for example, “IP cores” (as such term is commonly understood in the semiconductor industry) and individual circuits or circuit elements); (b) software or firmware embedded in or used in conjunction with a semiconductor device; (c) combinations of semiconductor devices and the design or layout of such combinations; (d) semiconductor packaging technology; (e) algorithms, functions, methods, and processes performed by or embodied in semiconductor devices, components or combinations thereof, or software or firmware embedded therein or used in conjunction therewith; and (f) products designed, developed, implemented, marketed or sold (in the past, present or future) by Conexant’s product line businesses, including the broadband business, Mindspeed business, wireless business and personal imaging business.

 

Representatives” shall mean officers, directors, employees, shareholders, agents, attorneys, accountants, advisors and representatives.

 

Tax” shall mean any tax (including any income tax, franchise tax, capital gains tax, estimated tax, gross receipts tax, value-added tax, surtax, excise tax, ad valorem tax, transfer tax, stamp tax, sales tax, use tax, property tax, business tax, occupation tax, inventory tax, occupancy tax, withholding tax or payroll tax), levy, assessment, tariff, impost, imposition, toll, duty (including any customs duty), deficiency or fee, and any related charge or amount (including any fine, penalty or interest), that is, has been or may in the future be (a) imposed, assessed or collected by or under the authority of any Governmental Body, or (b) payable pursuant to any tax-sharing agreement or similar Contract.

 

“Tax Return” shall mean any return, declaration, report, claim for refund, or information return or statement relating to Taxes, including any schedule or attachment thereto, and including any amendment thereof.

 

“Transferred Employees” shall mean those employees of Conexant who become employees of the Company.

 

“Transferred Intellectual Property” shall mean collectively the Transferred Patents and the Transferred Know-How.

 

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TABLE OF CONTENTS

 

 

 

PAGE

 

 

 

1.

CONTRIBUTION OF ASSETS; RELATED TRANSACTIONS

1

 

 

 

 

1.1

Contributions by Conexant

1

 

 

 

 

 

1.2

Consideration for Contributed Assets

4

 

 

 

 

 

1.3

Sales Taxes

5

 

 

 

 

 

1.4

Closing

5

 

 

 

 

2.

MISCELLANEOUS PROVISIONS

5

 

 

 

 

 

2.1

Further Assurances

5

 

 

 

 

 

2.2

Governing Law

5

 

 

 

 

 

2.3

Successors and Assigns; Parties in Interest

5

 

 

 

 

 

2.4

Remedies Cumulative; Specific Performance

6

 

 

 

 

 

2.5

Waiver

6

 

 

 

 

 

2.6

Construction

6

 

 

 

 

 

2.7

Dispute Resolution; Arbitration

7

 

i



 

DISCLOSURE SCHEDULE

to

NEWPORT FAB, LLC CONTRIBUTION AGREEMENT

Dated as of February 23, 2002

by and among

CONEXANT SYSTEMS, INC. and NEWPORT FAB, LLC

 

This disclosure schedule (“Disclosure Schedule”) is being furnished by Conexant Systems, Inc., a Delaware corporation (“Conexant”) to Newport Fab, LLC, a Delaware limited liability company (“Newport Fab”), in connection with the execution and delivery of that certain Newport Fab, LLC Contribution Agreement dated as of February 23, 2002 by and between Conexant and Newport Fab (the “Agreement”). Unless the context otherwise requires, all capitalized terms used in this Disclosure Schedule shall have the respective meanings assigned to them in the Agreement.

 

No reference to or disclosure of any item or other matter in this Disclosure Schedule shall be construed as an admission or indication that such item or other matter is material or that such item or other matter is required to be referred to or disclosed in this Disclosure Schedule. No disclosure in this Disclosure Schedule relating to any possible breach or violation of any agreement, law or regulation shall be construed as an admission or indication that any such breach or violation exists or has actually occurred.

 

This Disclosure Schedule and the information and disclosures contained in this Disclosure Schedule are intended only to qualify and limit the representations, warranties and covenants of Conexant contained in the Agreement and shall not be deemed to expand in any way the scope or effect of any such representation, warranties or covenants.

 

The bold-faced headings contained in this Disclosure Schedule are included for convenience only, and are not intended to limit the effect of the disclosures contained in this Disclosure Schedule or to expand the scope of the information required to be disclosed in this Disclosure Schedule.

 



 

SCHEDULE 1.1(a)(i)(1)

 

EXCLUDED ASSETS

 

See attached spreadsheet titled Excluded Asset Summary.

 



 

Schedule 1.1(a)(i)(1)

Newport Beach Wafer Fab

Excluded Detailed Asset Listing (Probe Floor Only)

 

Co

 

CC

 

Cost Cent

 

Hyperion C

 

Asset No.

 

Location

 

Class

 

Class Des.

 

Asset Description

 

Cap Date

 

Curr.net bk.val

[…***…]

 



 

SCHEDULE 1.1(a)(i)(2)

 

MAP

 

See attached map.

 



 

[Map]

 



 

SCHEDULE 1.1(a)(ii)

 

TANGIBLE PERSONAL PROPERTY

 

See attached spreadsheet titled Tangible Personal Property.

 



 

Newport Beach Wafer Fab

Assets Located Outside of El Capitan (503) and the Pad (505)

 

Co.

 

CC

 

Asset No.

 

Location

 

Class

 

Class
Description

 

Asset
Description

 

Cap. Date

 

[…***… 4 pages omitted]

 

 


 

SCHEDULE 1.1(a)(v)

 

Document

 

Parties

 

Date

Surplus Material Sales Agreement

 

[…***…]

Conexant Systems, Inc. (“Consignor”)

 

11/27/01 (Effective Date)

 

 

 

 

 

Bulk Gas Purchase Agreement
(P.O. No. C2CJ-737000) (as amended)

Purchase Order No.
NB 18420404

Purchase Order No. NB18420232

 

[…***…]

Rockwell International Corporation (“Buyer”)

 

8/27/91
(Effective 1/24/92)

Letter Am. No. 1 10/19/98

P.O. #NB 18420404 10/31/00

P.O. #NB 18420232 10/31/00

 

 

 

 

 

Support Services Agreement (as amended)

Purchase Order No. NB363182,
Change Order #3

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

11/5/98

Letter Am. 2/4/99
Purchase Order 10/10/00

 

 

 

 

 

Nitrogen/Oxygen Supply Agreement No. BN98140030 (as amended)

Purchase Order #NB98140030

Purchase Order #NB98140030,
Change Order # 1

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

12/01/98

Am. No. 19/17/00

P.O. #NB 98140030 12/1/98
P.O. #NB 98140030,
Change Order # 1: 9/17/00

 

 

 

 

 

Specialty Gas Supply Agreement

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

1/15/01

 

1



 

Document

 

Parties

 

Date

Bailment Agreement
No. E200400016

(Attachment 3 to P.O.
NB08330111

Purchase Order No.
NB08330111

 

[…***…]

Conexant Systems, Inc. (“Bailee”)

 

3/2/00

Purchase Order 2/29/00

 

 

 

 

 

License to Purchase and Use the Electraclean Cleaning Solution

 

[…***…]

Conexant Systems, Inc. (“Conexant”)

 

7/27/00

 

 

 

 

 

Commercial Terms Agreement No. C203124

Purchase Order #NB28650030

Purchase Order #NB28600001

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

11/1/01 (Effective Date)

P.O. #NB 28650030 10/16/01

P.O. #NB 28600001 10/6/01

 

 

 

 

 

Total Parts Management Agreement

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

5/24/00

 

 

 

 

 

Purchase Order No. NB 18240007

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

Change Order #1
7/13/01

 

 

 

 

 

Conexant/[…***…] Master Business Agreement Revision A.1

 

[…***…]

Conexant Systems, Inc. (“Conexant”)

 

10/17/00

 

 

 

 

 

Service and Maintenance Agreement

Purchase Order #
NB 18600047

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

10/10/01

Purchase Order 10/02/01

 

 

 

 

 

Purchase Order #
NB98240013

 

[…***…]

Conexant Systems, Inc.

 

12/8/98

 

 

 

 

 

Purchase Order # NB98240013,
Change Order #6

 

[…***…]

Conexant Systems, Inc.

 

10/10/01

 

2



 

Document

 

Parties

 

Date

Purchase Order #NB28600006

Quotation #3715E

 

[…***…]

Conexant Systems, Inc. (“Conexant”)

 

10/10/01

Quotation 9/26/01

 

 

 

 

 

[…***…] and Conexant Systems, Inc. Maintenance Agreement

Purchase Order #
NB 18600046

 

Conexant Systems, Inc. (“Conexant”)

 

10/10/01

Purchase Order 9/28/01

 

 

 

 

 

Support Services Agreement

Purchase Order #
NB07140159,
Change Order # 1

 

[…***…]

Conexant Systems (“Buyer”)

 

10/1/99

Purchase Order 12/16/99

 

 

 

 

 

Support Services Agreement

Service Contract
Agreement (Quotation No.
112098-TRK
ROCKSERCON)

 

[…***…]

Rockwell Semiconductor Systems (Conexant Systems, Inc.) (“Buyer”)

 

1/11/99

Service Contract 11/20/98

 

 

 

 

 

Purchase Order #
NB28600050

 

[…***…]

Conexant Systems, Inc. (“Customer”)

 

10/02/01

 

 

 

 

 

Support Services Agreement

 

[…***…]

Rockwell Semiconductor Systems (“Buyer”)

 

12/9/98

 

 

 

 

 

Purchase Order
#NB98000503

Support Services Agreement No. NB98000503
(Attach 1 to P.O. #NB98000503)

Firm Fixed-Price Commercial Terms and Conditions (Attach 2 to
P.O. #NB9800503)

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

7/8/99

Support Services Agreement 7/1/99

 

3



 

Document

 

Parties

 

Date

Purchase Order
NB08240014,
Change Order #2

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

5/30/01

 

 

 

 

 

Master Lease Agreement (as amended)

Interim Equipment Schedule No. 1

Electronic Test Equipment Schedule No. 1

Amendment to Schedule No. 1

Certificate of Acceptance

 

[…***…]

Conexant Systems, Inc. (“Lessee”)

 

3/3/00

Interim Equipment Schedule 7/25/00

Electronic Test & Equipment Schedule 7/25/00

Am. to Schedule # 1 12/19/00

Acceptance Certificate 12/19/00

 

 

 

 

 

Household Goods Agreement for United States and Canada No. 8209-94 (as amended)

 

[…***…]

Rockwell International Corporation (“Shipper”)

 

2/26/94

Am. No. 2
2/26/96

Am. No. 3
3/15/96

 

 

 

 

 

Software License Agreement

 

[…***…]

 

Not executed

 

 

 

 

 

Purchase Order
#NB98240015, Change
Order # 1

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

11/7/00

 

 

 

 

 

Purchase Order
#NB98320081

 

[…***…]

Conexant Systems, Inc.

 

6/22/99

 

 

 

 

 

Purchase Order
#NB28660105

Firm Fixed-Price
Commercial Terms and Conditions (Attach. 1)

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

12/5/01

 

 

 

 

 

Purchase Order No. NBO8500470

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

5/25/00

 

4



 

Document

 

Parties

 

Date

Standard Non-Disclosure Agreement

Confidential Information Transmittal Record

Support Services Agreement

 

[…***…]

Conexant Systems, Inc.

[…***…]

 

12/14/99

12/14/99

9/20/01

 

 

 

 

 

Support Services
Agreement No. 
NB98240087

Purchase Order
#NB98240087

Purchase Order
#NB98240087, Change
Order #6

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

4/6/99

P.O. #NB
98240087
4/6/99

P.O. #NB
98240087, Change Order #6: 5/7/01

 

 

 

 

 

Purchase Order
#NB28600019

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

10/24/01

 

 

 

 

 

Purchase Order
#NB8660073

 

[…***…]

Conexant Systems, Inc.

 

11/12/01

 

 

 

 

 

Quotation # 9496- RI regarding renewal of […***…] Software Support Contract

 

[…***…]

Conexant Systems

 

9/28/01

 

 

 

 

 

Field Service Maintenance Support Agreement (“FSMS Agreement’)

Framework Order No. NBF9800013 Quotation # CS-3629

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

9/6/01

Framework Order 9/28/01

 

 

 

 

 

Purchase Order
#NB 18600048

 

[…***…]

Conexant Systems, Inc. (“Conexant”)

 

10/2/01

 

5



 

Document

 

Parties

 

Date

Memorandum of. Understanding No. 2001-01927

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

9/6/01

Framework Order 9/28/01

 

 

 

 

 

Purchase Order
#NB18200399

 

[…***…]

Conexant Systems, Inc.

 

2/19/01

 

 

 

 

 

Process Development and Evaluation Agreement No. 2001-00809

 

[…***…]

Conexant Systems, Inc. (“Conexant”)

 

1/31/01

 

 

 

 

 

Purchase Order
#NB 18600045,
Change Order # 1


Service Quotation
#SC-1700, Rev. B

Service Contract
Service Quotation
#SC-1699

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

10/09/01

Quotation #SC-1700, Rev. B Service Contract 9/14/01

Quotation #SC-1699 9/14/01

 

 

 

 

 

Purchase Order
NB98240021,
Change Order # 5

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

6/29/01

 

 

 

 

 

Purchase Order N1308330052, Change Order #1

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

12/6/99

 

 

 

 

 

Equipment Lease Agreement

Purchase Order
#NB28600049

 

[…***…]

Conexant Systems, Inc. (“Lessee”)

 

9/28/01

Purchase Order
10/2/01

 

 

 

 

 

Strategic Technology
Alliance and Exclusive
Supply Agreement

 

[…***…]

Conexant Systems, Inc. (“Conexant”)

 

8/22/01
(Effective Date)

 

 

 

 

 

Asset Purchase Agreement

 

[…***…]

Conexant Systems, Inc. (“Conexant”)

 

8/7/01

 

6



 

Document

 

Parties

 

Date

Conexant Laundry Service Agreement
(Revision 1/24/00)


Purchase Order
#NB07140350

 

[…***…]

Conexant Systems, Inc.

 

1/24/00

Purchase Order
3/31/00

 

 

 

 

 

Wafer Qualification and Purchase Agreement No. 2001-01182

 

[…***…]

Conexant Systems, Inc. (“Conexant”)

 

6/5/01

 

 

 

 

 

Wafer Purchase Agreement

 

[…***…]

Conexant Systems, Inc. (“Conexant”)

 

8/24/01 (Effective Date)

 

 

 

 

 

License Agreement
(Attach No. I to P.O. NB98060016)


Purchase Order No.
NB98060016

 

[…***…]

Rockwell Semiconductor Systems, Inc. (“Rockwell”)

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

10/30/98

Purchase Order 10/20/98

 

 

 

 

 

Funds-In Agreement
No. SNL-00FI-0170120
(as amended)


Purchase Order
#NB08320092

 

[…***…]

Conexant, Inc. (“Sponsor”)

 

6/2/00

Am. No. 1
12/19/00

Am. No. 2
3/30/01

Purchase Order 5/31/00

 

 

 

 

 

Conexant Systems, Inc.
[…***…]


Rental Contract No. NP08140087 (Attach
No. 1 to Contract No. 
NB 18392083)

[…***…] Letter Proposal

 

[…***…]

Conexant Systems, Inc. (“Conexant”)

 

5/1/01

Letter
11/12/01

 

 

 

 

 

Amended and Restated
[…***…]
Participation Agreement

 

[…***…]

Conexant Systems, Inc. (“Member”)

 

3/25/99

 

7



 

Document

 

Parties

 

Date

Joint Development and
License Agreement

 

[…***…]

Conexant Systems, Inc. (“Conexant”)

 

6/27/99

 

 

 

 

 

Joint Development and
License Agreement

 

[…***…]

Conexant Systems, Inc. (“Conexant”)

 

1/10/00

 

 

 

 

 

System Integration
Services Agreement

 

[…***…]

Conexant Systems, Inc. (“Conexant”)

 

9/17/99

 

 

 

 

 

Standard Non-Disclosure Agreement No. 00SNDA0111

(Exhibit H to Sale and Purchase Agreement
dated 9/1/01)

Confidential Information Transmittal Record (“CITR”)

 

[…***…]

Conexant Systems, Inc.

 

11/1/99

 

 

 

 

 

Sale and Purchase Agreement

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

9/1/01

 

 

 

 

 

Purchase Order #NB98240023,
Change Order #10

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

5/22/01

 

 

 

 

 

[…***…] Conexant Consignment Inventory Agreement

 

[…***…]

Conexant Systems

 

8/28/00

 

8



 

Document

 

Parties

 

Date

Conexant Systems
Purchasing Agreement


P.O. #NB18420315
P.O. #NB1842031
P.O. #NB18420321
P.O. #NB18420033
P.O. #NB18420314
P.O. #NB18420317
P.O. #NB18420318
P.O. #NB18420319
P.O. #NB18420142
P.O. #NB18420143
P.O. #NB18420144
P.O. #NB 18420322

 

[…***…]

Conexant Systems, Inc. (“Buyer”)

 

Revised 11/1/01

Amended
12/4/01

P.O.s #NB 18420315,
316, 321 10/18/00

P.O.s #NB 18420033, 314, 317, 318, 319, 142, 143, 144, 322 10/17/00

 

 

 

 

 

[…***…] Letter and Rate Sheet

 

[…***…]

 

Undated

 

 

 

 

 

[…***…]
Software Site License and Support Agreement

 

[…***…]

Conexant Systems, Inc. (“Licensee”)

 

9/29/00

 

 

 

 

 

[…***…] End User Software License Agreement

 

[…***…]

 

Unexecuted; undated

 

 

 

 

 

Products Supply and Services Agreement

 

[…***…]

Rockwell Semiconductor Systems

 

9/13/96

 

 

 

 

 

Support Services Agreement

 

[…***…]

Conexant Systems, Inc.

 

Undated

 

9



 

Document

 

Parties

 

Date

Purchase Order
#NB18190460


Purchase Order
#NB08260733

Purchase Order
#NB18560512

Purchase Agreement

Support Services
Agreement

 

[…***…]

Conexant Systems, Inc.

 

6/26/01

3/28/00

3/6/01

5/18/01

3/8/01

 

 

 

 

 

Member Confidential Information Agreement

 

[…***…]

Conexant Systems, Inc.

 

5/21/01

 

10



 

SCHEDULE 1.1(a)(vi)(1)

 



 

Schedule 1.1(a)(vi)(1)

Mindspeed Exclusions

 

Docket ID

 

Short Title

 

Grant No.

 

Grant Date

[…***… 14 pages omitted]

 

 



 

Schedule 1.1(a)(vi)(1)

CMOS Imager Exclusions

 

CMOS Imager Patents, Applications and Disclosures

 

Docket No.

 

Patent No./Serial No.

 

Filing Issue Date

 

Title

[…***… 9 pages omitted]

 



 

Schedule 1.1(a)(vi)(1)

LeaderCo Packing Exclusions

 

LeaderCo Packing Patents, Applications and Disclosures

 

Docket No.

 

PN/SN

 

Title

[…***… 3 pages omitted]

 



 

Schedule 1.1(a)(vi)(1)

LeaderCo Wireless Exclusions

 

LEADERCO PATENTS, APPLICATIONS AND DISCLOSURES

 

Case Number

 

App Title

 

Status

 

App. Number

 

Pat Number

 

Issue Date

[…***… 25 pages omitted]

 



 

SCHEDULE 1.1(a)(vi)(2)

 

PATENTS, APPLICATIONS AND DISCLOSURES BEING TRANSFERRED TO COMPANY

 



 

Patents, Applications and Disclosures Being Transferred to Company

 

Docket Number

 

Serial #/
Patent #

 

Title

 

Inventory

 

Filing Date

 

Status

00CXT001T

 

 

 

Ultra-Low-K Materials and Fabrication for High Performance Ics

 

Bin Zhao; Maureen R. Brongo; QZ Liu

 

 

 

Unfiled – Assigned 11/22/99

00CXT0058T

 

 

 

Vapor Phase Doping as a Technique to Form Extrinsic Base and Base Contact

 

Pankaj N. Joshl

 

 

 

Innovation

00CXT0088T/

 

4698417

 

Production of Oxy-Metallo-Organic Polymer

 

 

 

 

 

Granted

00CXT0222T

 

 

 

Circuit/Layout Technique for Realizing a High Gain, Low Noise Gate Controlled Lateral PNP Bipolar Transistor in a Standard CMOS Process

 

Chih-Chelh King; Matloubian, Mishel; Sandeep D’Souza; Surya S Bhattacharya

 

 

 

Unfiled – On Hold 10/00.Assigned 4/6/00

00CXT0253T

 

 

 

Pad Aluminum Metal Fuses in Dual Damascene Copper Flow

 

Arjun KarRoy

 

 

 

Unfiled – On Hold 10/00.Assigned 5/31/00

00CXT0269TRCE

 

09/002,326

 

Damascene Metalization Process and Structure

 

Bin Zhao

 

1/2/1998

 

Licensed to Sematech

00CXT0271T

 

6309922

 

Method for Fabrication of On-Chip Inductors and Related Structure

 

Bin Zhao; David Howard; QZ Liu

 

7/28/2000

 

Issued to Sematech

00CXT0271T-DIV

 

09/754,806

 

Method for Fabrication of On-Chip Inductors and Related Structure

 

Bin Zhao; David Howard; QZ Liu

 

1/2/2001

 

Divisional Pending

00CXT0280T

 

 

 

Deep Trench Isolation Integration Scheme Using Highly Anisotropic and Selective Pad TEOS Hardmask Dry Removal

 

Kevin Q. YinKlaus Schuegraf

 

 

 

Approved to file 8/1/00

00CXT0313T

 

09/668,790

 

Method for Increasing Inductance of On-Chip Inductors and Related Structure

 

David Howard; QZ Liu

 

9/22/2000

 

Pending

00CXT0314T

 

09/649,442

 

Method for Fabrication of High Inductance Inductors and Related Structure

 

David Howard; QZ Liu

 

8/25/2000

 

Pending – PCT Pending

00CXT0324T

 

 

 

An Improved Fabrication Method for Dual Damascene Interconnects

 

Bin Zhao

 

 

 

Unfiled – On Hold 10/00.Assigned 8/25/00

00CXT0344T

 

 

 

Highly Conductive Interconnects and Fabrication

 

Bin Zhao; Maureen R. Brongo; QZ Liu

 

 

 

Unfiled – On Hold 10/00.Assigned 8/21/00

00CXT0345T

 

09/658,483

 

Method for Fabricating On-chip Inductors and Relates structure

 

Bin Zhao; David Howard; QZ Lin

 

9/8/2000

 

Pending

00CXT0564T

 

09/653,982

 

Method for Reducing Base Resistance and Related Structure

 

Marco Racanelli

 

9/1/2000

 

Pending

 



 

00CXT0565T

 

09/721,551

 

Method for controlling Critical Dimension in a Polycrystalline Silicon Emitter and Related Structure

 

Klaus Schnegraf

 

11/17/2000

 

Pending

00CXT0568T

 

09/677,707

 

Structure for Reduction of Base and Emitter Resistance and Related Method

 

Marco Racanelli

 

9/30/2000

 

Pending

00CXT0571T

 

 

 

Doped Poly With Buffer Layer for Emitter Poly Application

 

Klaus Schuegraf

 

 

 

Approved to file 8/1/00

00CXT0572T

 

09/677,708

 

Method for Reducing Contamination Prior to Epitaxial Growth and Related Structure

 

David L. Chapek; Klaus Schuegraf

 

9/30/2000

 

Pending

00CXT0576T

 

09/833,953

 

Low Cost High Value Resistor Formation

 

Marco Racanelli

 

4/11/2001

 

Pending

00CXT0577T

 

09/667,274

 

Method for Independence Control of Poly in a non-selective SiGe Epitaxial Process

 

Greg D U’Rea

 

9/22/2000

 

Pending/Allowed

00CXT0578T

 

09/667,660

 

Method for Elimination Contaminants Prior to Epitaxy and Related Structure

 

Greg D U’Rea

 

9/22/2000

 

Pending

00CXT0580T

 

09/721,128

 

Method for Fabricating Interfacial Oxide in a Transistor and Related Structure

 

Klaus Schuegraf; Pankaj N Joshi

 

11/17/2000

 

Pending

00CXT0587T

 

09/811,321

 

High-Performance, High-Breakdown, Super Narrow Emitter Finger SiGe

 

Klaus Schuegraf; Paul Kempf; Peter Asbeck; Peter J Zampardi

 

3/17/2001

 

Pending

00CXT0597T

 

09/851,228

 

Method for Shaping CMOS Region to Avoid Formation of Polysilicon Stringers

 

Marco Racanelli; Klaus Schuegraf

 

5/8/2001

 

Pending

00CXT0598T

 

09/852,183

 

Method To Improve Npn Performance by Reducing Parasitic Base-Emitter Capacitance

 

Klaus Schuegraf

 

5/9/2001

 

Pending

00CXT0599T

 

09/850,028

 

Method to Improve Cbe by patterning CMOS Spacer Around Npn Device

 

Klaus Schuegraf

 

5/7/2001

 

Pending

00CXT0600T

 

09/853,735

 

Method to Form Lateral PnP Device with SiGe Epi Process

 

Klaus Schuegraf

 

5/10/2001

 

Pending

00CXT0675T

 

 

 

Damascene Trench Capacitor for Mixed-Signal/RF IC Applications

 

Bin Zhao

 

 

 

Unfiled – Assigned 1/31/01

00CXT0678T

 

 

 

Embedded Damascene Inductors

 

Bin Zhao; Maureen R Brongo

 

 

 

Approved to file 9/14/00;

00CXT0688T

 

09/721,244

 

Method for Fabricating Self-Aligned Emitter in a Bipolar Transistor

 

Marco Racanelli

 

11/22/2000

 

Pending

00CXT0694T

 

 

 

Fabrication of High Density MIM Capacitor for Mixed-Signal/RF Circuits

 

Bin Zhao; Maureen R Brongo

 

 

 

Unfiled – Assigned 1/31/01

 



 

00CXT0730T

 

 

 

Method of forming inductors with Stacked Metal and Continuously Slotted via Layers

 

 

 

 

 

 

00CXT0734T

 

 

 

New Layout of On-Chip Inductors to Minimize Coupling Loss to Substrates at High Frequencies

 

 

 

 

 

Closed and Combined with 00CXT0678T

00CXT0824T

 

 

 

Techniques to Reduce the Electroplated Metal Overburden in Inlaid Metal Processes; Selective Plating

 

David Howard

 

 

 

Innovation

01CXT0008T

 

 

 

A Process for Doping the Intrinsic Base of a SIGe NPN Transistor by Using Vapor Phase Doping Source

 

Pankaj N. Joshi

 

 

 

Innovation

O1CXT0009T

 

 

 

Methods for Incorporating P Type Dopants in a SiGe NPN by Ex-situ Processes

 

Klaos Schuegraf; David L. Chapek; David Howard

 

 

 

Innovation

01CXT0025T-PRO

 

60/276,277

 

Method of Integrating Metal Resistor into a Subtractive Aluminum Metallization Flow

 

KarRoy, Arjun; David Howard; Q Z Liu

 

3/15/2001

 

Pending-provisional

01CXT0027T

 

 

 

Method of Fabricating Thin Film Resistors for High-Speed Electronic Circuits

 

Q.Z. Liu; David Howard

 

 

 

Innovation

01CXT0031T

 

 

 

Lateral PNP Structure with Hole Burrier Layer on Emitter for Improving Beta

 

Jiw Zheng Peihua YeMarco Racanelli

 

 

 

Innovation

01CXT0046T

 

 

 

Technique to Achieve Thick ILD and Thick Vias for Metal Isolation from VLSI Wafer Substrates

 

David Howard

 

 

 

Innovation

01CXT0090T

 

 

 

High Performance Varactors for Wireless Applications

 

Chun Hu

 

 

 

Innovation

01CXT0105T

 

 

 

A Method of Nitride Spacer Etch for Submicron BiCMOS Application

 

Kevin Q. Yin

 

 

 

Innovation

01CXT0146T

 

 

 

Highly Scalable Self-Aligned Bipolar Transistor

 

Amol Kalburge; Kevin Q. Yin; Klaus Schuegraf

 

 

 

Assigned-unfiled

01CXT0175T

 

 

 

Selective Epitaxial SiGe HBT Emitter

 

Greg U’Rea; Marco Racanelli; Klaus Schuegraf

 

 

 

Assigned-unfiled

01CXT0194T

 

 

 

Method of Fabricating Self-Aligned Bipolar/BiCXMOS Semiconductor Devices

 

Frank F. Wang

 

 

 

Innovation

01CXT0221T

 

 

 

Strain Compensated SiGeC drift field transistor

 

Marco Racanelli; Greg U’Rea; Klaus Schuegraf

 

 

 

Assigned/Unfiled

 



 

01CXT0244T

 

 

 

Design and Integration of SiGeC Into a SiGe Drift Field NPN Transistor

 

Marco Racanelli; Greg U’Rea; Klaus Schuegraf

 

 

 

Assigned/unfilled

01CXT0269T

 

 

 

Two-step HF Last Cleaning Method

 

Klaus Schuegraf; Greg D. U’Rea; David L. Chapek

 

 

 

Approved to File

01CXT0271T

 

 

 

Method of forming L-shaped ‘oxide-nitride-oxide” spacer on CMOS for SiGe BiCMOS Application

 

Klaus Schuegraf

 

 

 

Closed

01CXT0273T

 

 

 

Temp Insensitive Resistors for Semiconductors

 

Marco Racanelli; Chun Hu; Bruce Shen

 

 

 

Approved to File

01CXT0277T

 

 

 

Method to Improve Alignment Tolerance for Self-Aligned SiGe NPN Device

 

Klaus Schuegraf

 

 

 

Approved to File

01CXT0278T

 

 

 

Method to Improve Emitter Dimension Control for Self-Aligned SiGe/SiGeC NPN Device

 

Klaus Schuegraf

 

 

 

Assigned-unfiled

01CXT0280T

 

 

 

Structure for Selective Emitter for Self-Aligned SiGe/SiGeC NPN

 

 

 

 

 

Closed/Combined w/01CXT0175T

01CXT0281T

 

 

 

Emitter bandgap Engineering to Reduce Operating Voltages for Silicon NPN Devices

 

Klaus Schuegraf

 

 

 

Closed (11/28/01)

01CXT0284T

 

 

 

A Method of Forming CMOS Nitride Spacer for SiGe BiCMOS Applications

 

Kevin Q. Yin; Amol Kalburge; Klaus Schuegraf

 

 

 

Approved to File

77E095/5

 

4506437

 

Proc.f/Fabricationo/HiDensty VLSI Crets Having Self-Aligned Gtes & Contcts f/Fets &

 

 

 

 

 

Granted

77E095/6

 

4477962

 

Proc.f/Fabrication o/HiDensty VLSI Crets Having Self-Aligned Gtes & Contcts F/Fets &

 

 

 

 

 

Granted

78E073/2

 

4459937

 

High Rate Resist Polymereization Method

 

 

 

 

 

Granted

79E030/1

 

4396479

 

Ion Etching Process w/Minimized Redeposition

 

 

 

 

 

Granted

82E032/

 

4507852

 

Method f/Making a Reliable Ohmic Contact Between Two Layers of Integrated Circuit Metallizations

 

 

 

 

 

Granted

83E090/

 

4639142

 

Dimension Monitoring Technique for Semiconductor Fabrication

 

 

 

 

 

Granted

86E018/

 

467867

 

Planarization Process f/Double Metal MOS Using Spin-On Glass as Sacrificial Layer

 

 

 

 

 

Granted

 



 

88E060/

 

5017199

 

Spent Solvent Recovery in Circuit Processing

 

 

 

 

 

Granted

94E064

 

 

 

Improved Performance CMOS Process

 

Bob L. Zwingman; R A Williams; Richard A Mann

 

 

 

Abandoned 3/28/99

97RSS017

 

 

 

Improved Method for Shallow Trench Formation

 

 

 

 

 

Innovation

97RSS109

 

 

 

Interconnect with Embedded Low Dielectric Constant Insulators for Semiconductor IC Manufacturing

 

Bin Zhao; Maureen R Brongo

 

 

 

Closed

97RSS256

 

618672

 

Interconnect with Low Dielectric Constant Insulators for Semiconductor Integrated Circuit Manufacturing

 

Bin Zhao; Maureen R Bronzo

 

2/13/2001

 

Issued

97RSS256 DIV

 

09/317,536

 

Interconnect with Low Dielectric Constant insulators for Semiconductor Integrated Circuit Manufacturing

 

Bin Zhao; Maureen R Brongo

 

5/24/1999

 

Pending

97RSS330

 

09/210,965

 

PECVD Inorganic Dielectric Layer for Photo Anti-Reflection Coating or Hard mask or Etch Stop for Metal or Oxide Etch or use it as a CMP Stop

 

Maureen R Brongo; Shao-Wen Hsia

 

 

 

Abandoned 11/14/00

97RSS340

 

629361

 

High Resolution In-Situ Inorganic ARC/Metal Etch Process

 

Maureen R Brongo; Michael J Berg; Shao-Wen Hsia

 

9/18/2001

 

Issued – Taiwan, Japan Singapore pending

97RSS340 DIV-1

 

6328848

 

Apparatus for High-Resolution IN-Situ Plasma Etching of Inorganic and Metal Films

 

Maureen R Brongo; Michael J Berg; Shao-Wen Hsia

 

 

 

Issued

97RSS357

 

 

 

Methods and Apparatus for Manufacturing Semiconductors

 

Lee Chung; Abhijit B Joshi; Kwong

 

 

 

Abandoned 12/11/00

97RSS358

 

6180976

 

Damascene Bottom Plate Metal-Insulator-Metal Capacitor

 

KarRoy, Arjun

 

1/30/2001

 

Issued

97RSS358 DIV

 

09/772,726

 

Thin-Film Capacitors and Methods for Forming the Same

 

Arjun Kar Roy

 

1/30/2001

 

Divisional Pending

97RSS359

 

6245663

 

IC Interconnect Structures and Methods for Making Same

 

Bin Zhao; Maureen R Brongo

 

6/30/2001

 

Issued

97RSS378

 

6255192

 

Improved Method for Barrier Layer Deposition or Selective Metallization of Trenches and Vias

 

Dornisch, Deiter

 

7/3/2001

 

Issued – EP & JP pending

97RSS402

 

6119368

 

Apparatus for Reducing Cool Chamber particles

 

Sean P. Masterson

 

9/19/2000

 

Issued

 



 

97RSS433

 

6211561

 

Interconnect Structure and Method Employing Air Gaps Between Metal lines and Between Metal Layers

 

Bin Zhao

 

4/3/2001

 

Issued

97RSS433

 

6211561

 

Interconnect Structure and Method Employing Air Gaps Between Metal lines and Between Metal Layers

 

Bin Zhao

 

4/3/2001

 

Issued

97RSS433DIV

 

09/686,323

 

Interconnect Structure and Method Employing Air Gaps Between Metal lines and Between Metal Layers

 

Bin Zhao

 

10/9/2000

 

Divisional Pending

97RSS434

 

09/665.422

 

A Damascene Interconnect Structure and Fabrication Method Having Air Gaps Between Metal Lines and Metal Layers

 

Bin Zhao; Maureen R Brongo

 

9/20/2000

 

Pending

97RSS515

 

09/162,579

 

Dummy Fill Cell for Reducing Layer-to-Layer Interaction

 

Bob L Zwingman; Abhijit B Joshi

 

 

 

Abandoned 5/21/01

97RSS527

 

6239026

 

Nitride-Etch Stop for Poisoned Unlanded Vias

 

David Feller; Qz Lui

 

5/29/2001

 

Issued

97RSS543

 

6143593

 

Elevated Channel MOSFET

 

Carlos J Augusto

 

11/7/2000

 

Issued – EP pending

97RSS543 RCE

 

09/616,233

 

Elevated Channel Mosfet

 

Carlos J Augusto

 

7/14/2000

 

RCE Pending

97RSS546

 

6251568

 

Advanced Dry Strip of Sub-Quarter MicroInterconnect

 

Shao-Wen Hsia; Peter Y Huang

 

6/26/2001

 

Issued

98RSS036

 

09/149,910

 

Dual Damascene Interconnect Structures Employing Low-K Dielectric Materials

 

Bin Zhao; Maureen R Brongo

 

9/9/1998

 

Pending – EP pending

98RSS039

 

09/224,339

 

Structures and Fabrication of Dual Damascene Interconnect with Improved Reliability

 

Bin Zhao

 

12/31/1998

 

Pending – Final

98RSS063

 

6284623

 

Control of STI Narrow Width Effect with Nitride Undercut Etch and Self-Aligned Corner Implant

 

Ping Zhang; Richard A Mann

 

9/4/2001

 

Issued

98RSS098

 

09/247/201

 

Innovative Flourine-Based Dry Strip Process Flow On Sub-Quarter-Micron

 

Peter Huang; Shao-Wen Hsia

 

2/9/1999

 

Pending

98RSS217

 

09/370,508

 

Anti-Reflective Coating and Process Using an Anti-Reflective Coating

 

Hong J Wu; Kevin Q Yin; Surya S Bhattacharya; Umesh ShRma; Xiaoming Li

 

8/6/1999

 

Pending

98RSS237

 

09/369,982

 

Semiconductor Device Having a Passivation Layer and Method for its Fabrication

 

Umesh Sharma; Marrina Mei

 

8/6/1999

 

Pending

98RSS240

 

6071809

 

High Performance Dual-Damascene Interconnect Structures

 

Bin Zhao

 

6/62000

 

Issued – EP and Taiwan pending

 



 

98RSS265

 

6271127

 

Method and Apparatus for Dual Damascene Process

 

Bin Zhao; David Feiler; Maureen R Brongo; Q S Liu

 

8/7/2001

 

Issued

99RSS011

 

6280794

 

Method for Producing Intermetal Dielectric Material for Ultra Large Scale Integration Devices

 

Bin Zhao; King-Ning Tu; Yuhuan Zu

 

8/28/2001

 

Issued

99RSS059

 

6225681

 

Microelectric Interconnect Structures and Methods for Forming the Same

 

Craig Davidson; S. Chungpaiboonpatana

 

5/1/2001

 

Issued – TW pending

99RSS075

 

6207551

 

Method and Apparatus Using Formic Acid Vapor as Reducing Agent for Copper Wirebonding

 

Craig Davidson; S. Chungpaiboonpatana

 

3/27/2001

 

Issued

99RSS110

 

09/721,342

 

Method for Fabrication of an MIM Capacitor and Related Structure

 

Phil Sherman; Arjun KarRoy; Marco Racanelli

 

11/22/2000

 

Pending

99RSS110

 

09/721,342

 

Method for Fabrication of an MIM Capacitor and Related Structure

 

Arjun KarRoy; Marco Racanelli; Phil N Sherman

 

11/22/2000

 

Pending

99RSS126

 

09/411/807

 

Stepper Alignment Mark Design for Metal Layers When CMP Process is Used

 

 

 

 

 

 

99RSS131

 

 

 

High Density Capacitor Formation

 

Marco Racanelli; Zhe Zhang

 

 

 

Assigned 6/00 Unfiled –

99RSS140

 

09/590,462

 

Double-Implant High Performance Varactor and Method for Manufacturing Same

 

Chun Hu; Marco Racanelli; Phil N Sherman

 

6/9/2000

 

Pending

99RSS145

 

09/594,851

 

Selective Air Dielectric Technology for High Performance Interconnects

 

Bin Zhao

 

6/15/2000

 

Pending

99RSS145-DIV

 

09/967,115

 

Selective Air Dielectric Technology for High Performance Interconnects

 

Bin Zhao

 

9/28/2001

 

Pending

99RSS156

 

09/575,055

 

A Novel Cu/Low-k Process for Mixed Signal Circuits

 

Bin Zhao; David Feiler; Maureen R Brongo; Phil N Sherman; Q Z Liu

 

5/19/2000

 

Pending

99RSS184

 

09/512,396

 

Fabrication Method and Structures for Damascene Interconnects

 

Bin Zhao

 

2/24/2000

 

Pending – PCT and Taiwan pending

99RSS235

 

6251796

 

TaN Film as a Dielectric Material

 

David T Young; Hadi Abdul-Ridha; Maureen R Brongo

 

6/26/2001

 

Issued

99RSS235DIV

 

09/61,489

 

TaN Film as a Dielectric Material

 

David T Young; Hadi Abdul-Ridha; Maureen R Brongo

 

1/12/2001

 

Divisional Pending

99RSS248

 

09/578,229

 

Structure and Method for Fabrication of an Improved Capacitor

 

Arjun KarRoy; Phil N Sherman

 

5/24/2000

 

Pending – PCT Pending

 



 

99RSS287

 

09/569,890

 

Method for Fabrication of Damascene Interconnects and Related Structures

 

Lawrence Camilletti; Q Z Liu

 

5/11/2000

 

Pending

99RSS302

 

09/430,729

 

Improved Tungsten Plug for Deep-Submicron Contact and Vias

 

David T Young; Hadi Abdul-Ridha; Maureen R Brongo; Shao-Wen Hsia

 

10/29/1999

 

Pending – NOA dated 7/17/01 – IF paid 10/17/01

99RSS303

 

09/583,593

 

Method and Apparatus for Improving a Dark Field Inspection Environment

 

Hao Zhou; Travis L Smith; William D Jimenez

 

5/31/2000

 

Pending

99RSS344

 

09/606,778

 

Technique for Reducing 1/F Noise in Mosfets

 

Anridduha B Joshi; Li-Ming Hwang; Sandeep D’Souza; Surya S Bhattacharya

 

 

 

Divisional – to be filed (12/6/01)

99RSS349

 

619870

 

Cu Pads Structures for Cu Chips

 

Bin Zhao

 

3/6/2001

 

Issued–PCT and Taiwan pending

99RSS349 CON

 

09/716,350

 

Bonding pad and Support Structure and Method for their Fabrication

 

Bin Zhao

 

11/20/2000

 

Pending PCT Pending

99RSS416

 

09/559,292

 

Fabrication Method and Structures of Low-K Damascene Interconnects

 

Bin Zhao; Q.Z. Liu

 

4/25/2000

 

Pending

99RSS442

 

 

 

High Throughput Trench Fill with Improved Surface Morphology and Reduced Voiding

 

Marco Racanelli; Michael A Todd

 

 

 

Unfiled–

99RSS451

 

09/497,360

 

Pre-Clean Chamber

 

Sean P Masterson

 

2/3/2000

 

Pending –

99RSS452

 

09/498,169

 

Wafer Detection Apparatus

 

Sean P Masterson

 

2/4/2000

 

Pending

 



 

SCHEDULE 1.1(a)(vii)

 

KNOW-HOW

 

The Transferred Know How shall include such proprietary, non-public information including the processes, formulae, designs, methods, techniques, procedures, concepts, developments, technologies and improvements, whether or not patented, that are primarily related to, but not limited to, (i) the types of processes listed in Table A attached to this Schedule 1.1(a)(vii) that have been or are being produced or that have been or are under development, and (ii) the circuit blocks listed in Table B attached to this Schedule 1.1(a)(vii). For the purpose of clarity, the Transferred Know How shall exclude all know how, trade secrets and other intellectual property rights primarily related to the Product Technology.

 



 

Table A

 

Process

 

Document

[…***…]

 



 

Table B

 

Type

 

Description

 

Process

 

 

 

 

 

[…***…]

 

 

 

 

 



 

SCHEDULE 1.1(b)

 

Excluded Assets

 



 

Excluded assets.xls

 

Newport Beach Wafer Fab

Schedule 1.1(b)

Includes CIP

 

Co.

 

CC

 

Asset No.

 

Location

 

Class

 

Class Description

 

Asset Description

 

[…***…]

 

 



 

[Map]

 



 

SCHEDULE 1.2(b)(ii)

 

Employment Related Liabilities to be Assumed by the Joint Venture

 

Employment Related Liabilities

 

Title

 

Amount(1)

 

Cut-Off Date

 

Description

 

Vacation

 

1,747,708

 

5/1/02

 

Employees’ balances as of cut-off date

 

Sick

 

262,470

 

5/1/02

 

Employees’ balances as of cut-off date

 

CSSIP (Collins Significant Service Plan)

 

515,600

 

5/1/02

 

Total liability as of cut-off date (balance is all union employees)

 

 

 

2,525,778

 

 

 

 

 

 


(1)                                  Actual amounts will be computed as of May 1, 2002.

 



 

SCHEDULE 1.2(b)(v)

 

ASSUMED LIABILITIES RELATED TO CAPITAL EXPENDITURES AND

 

OTHER ACQUISITION COMMITMENTS

 

DESCRIPTION

 

DOLLAR AMOUNT OF LIABILITY

 

AMAT SiGe Deposition Tool
Installed & accepted Currently on bailment, payable on Oct. 1, 2002

 

$

2,155,000