definiens: ) and are covered by Regents Patent Rights as defined below.1.1 Regents Patent Rights " means any subject matter claimed or disclosed in any of the following : [ Case U.S. Patent Application Filing Date Number I Patent Number 1992 - C96 - A 08/593,554 6/7/1996 ( US abandoned but foreign filings active ) 1997 - B38- PCTIUS97/19004 ; WO 10/0911997 ( pCT which is the 2PCT 98116247 basis for US and foreign family ) 1992 - C96 - I ? 09/265,191 3/10/99 ( abandoned but derivative filings active ) I 992 - C96 - 0 ? 09/947,209 9/04/2001 ( abandoned but derivative filings active ) 2 [ 1 = Certain confidential infonnation contained in this document, marked by brackets . is filed with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange ACI of 1934 . as amended . 1992 - C96 - C 08/927,120 915/97 ( US abandoned but foreign filings active)In petition for revival 1992 - C96 - H 6,498,148 112111999 1992 - C96 - P 10/099,379 3112/2002 1992 - C96 - S 10/229,208 8126/2002 1992 - C96 - T 10/402,100 8126/2003 1992 - C96 - V 111834,206 8/6/2007 1997 - B38 - 2 6,610,661 10/9/97 1997 - B38 - 3 10/394,092 3120/2003 1997 - 838 - 5 7,208,478 3/20/03 ] by Inventors and assigned to The Regents ; and continuation applications thereof, and divisions, substitutions, and continuations - in - part application, but only to the extent claims in any such continuation - in - part application contain subject matter included in the foregoing listed applications as originally filed in the U.S. Patent and Trademark Office ( HUSPTO " ) ; any patents issuing on said applications including reissues, reexaminations and extension ; and any corresponding foreign applications or patents ( including inventor 's certi fi cates ) . means the following types of income received by Licensee [ after June 1, 2006 ) from granting rights, granting an option to certain rights or forbearing the exercise of any rights granted to LICENSEE under this Agreement : upfront licensing fees paid to Licensee by third parties ( e.g., corporate partners and sublicensees of Licensee ) and licensing and/or research and development ( R&D ) milestone payments made to Licensee for the development of Licensed Products which milestone payments are payable prior to ( but not after ) the commencement of clinical trials for a Licensed Product to which the income is attributable . Attributed Income does not include amounts received by Licensee from third parties for the purchase of an equity interest in Licensee ( except amounts in excess of the fair market value of Licensee 's stock at the time such purchase is made ), amounts received to fund Licensee 's research and development efforts ( charged at cost ), amounts received by Licensee as a loan subject to repayment, or reimbursement of patent costs, or amounts received by Licensee for R&D and/or licensing of patents not dominated by Regents Patent Rights . For the sake of clarity, 3 r 1 = Cenain confidential infonnation contained in this document . marked by brackets . is filed with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended . Attributed Income shall include amounts received by Licensee whether or not Dynavax ' patents that are also licensed.6 . LICENSE MAINTENANCE FEE The Licensee shall also pay to The Regents a license maintenance fee on February 28 of each year, in the amount of [ Fifty Thousand Dollars ( $ 50,000.00 ) ] for each of calendar years 2010,2011 and 2012 and [ Seventy - five Thousand Dollars ( $ 75,000 ) ] annually each February 28th thereafter . except that that the maintenance fee is not due on any February 28th if on that date the Licensee is commercially selling a Licensed Product and paying an earned royalty or a minimum annual royalty to The Regents on the sales of that Licensed Product exceeding such maintenance fee amount of [ Seventy - five Thousand Dollars ( $ 75,0.0.0.00 ) ] for the preceding year . License maintenance fees are non - refundable and are not an advance against earned royalties . " Paragrapb 8.1 shall be deleted and restated as follows : ~'8.1 Clinical Milestone Payment : Licensee shall pay to The Regents : 8.1.1 [ Fifty Thousand Dollars ( 550.,000 .. 00 ) ] within thirty ( 30 ) days of the filing of each [ Investigational New Drug Application ( IND ) ] with the [ US FDA ], which is [ filed ] after 4th Amendment Effective Date ; 8.1.2 [ Three Hundred and Seventy - five Thousand Dollars ( $ 375,000.00 ) ] within thirty days of [ treatment ] of the [ third patient ] in each [ Phase II clinical trial ] which is initiated after the 4th Amendment Effective Date and [ conducted ] in the [ United States ] ; 8.1.3 [ Seven Hundred and Fifty Thousand Dollars ( $ 750,000.00 ) ] within thirty ( 30 ) days of thee treatment ] of the [ third patient ) in a [ Phase III clinical trial ] in the [ United States ] . Such payment shall be made for each of the first three Licensed Products ; 8.1.4 [ Three Hundred and Seventy - five Thousand Dollars ( $ 375,000.00 ) ] within thirty ( 30 ) days of the treatment of the [ third patient ] in a [ Phase III clinical trial ] in the 4 [ 1 " " Cenain confidential infonnation contained in this document, marked by brackets . is filed with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of ) 934, as amended . [ United States ] . Such payment shall be made for each of the next seven Licensed Products ; 8.1.5 [ One Million Dollars ( $ 1,000,000.00 ) ] within thirty ( 30 ) days after receiving [ notification]of [ FDA marketing approval ] of each of the first three Licensed Products ; and 8.1.6 [ Five Hundred Thousand Dollars ( $ 500,000.00 ) ] within thirty ( 30 ) days after receiving [ notification ] of [ FDA marketing approval ] for each of the next seven ( 7 ) Licensed Products.n Paragraph 9.S shall be deleted and restated as follows : " 9.S The Licensee or its sublicense shall : 9.5.1 by [ March 26,2000 submit ] an [ IND ( 1st IND)]covering [ Licensed Products ] to the [ United States FDA ( FDA ) ] ; 9.5.2 by [ March 26,2000 ] demonstrate the [ efficacy ] of a [ Licensed Product ] in a [ scientifically valid animal model ] for at last [ wo additional therapeutic applications ] ; 9.5.3 by [ December 31,2009 ], complete [ precliilical studies ] sufficient to [ support a second IND ( 2nd IND ) ] covering a [ Licensed Product ] different from the [ Licensed Product ] specified in the [ 1st IND ] ; 9.5.4 by [ December 31,2010 ], submit to the [ FDA or foreign equivalent a 2nd IND ] ; 9.5.5 by [ June 30, 2011, treat ] the [ first patient ] in the earlier of a [ Phase I ] or a [ later Ph ~ e clinical trial ] under the [ IND ] other than·the [ 1st INO ] ; 9.5.6 by [ December 31,2013, treat ] the [ first patient ] in the earlier of a[Phase II or a Phase III clinical trial ] under an [ IND ] other than the [ 1 st ! NO ] ; 9.5.7 by [ December 31,2014 ; treat ] the [ first patient ] in a [ Phase III clinical trial ] under an [ IND ] other than the [ 1 st IND ] ; 9.5.8 by [ December 31,2016 .. submit ] a [ Biologic License - Application ( BLA ) ] with the [ FDA or foreign equivalent ] ; 9.5.9 market Licensed Products in the United States within [ six ( 6 ) months ] of receiving approval of such Licensed Product 's BLA from the FDA ; and 5 [ 1 ; : : ; Certain confidential infonnation contained in this document . marked by brackets . is filed with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934 . as amended . .