Exhibit 10.17

 

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

[Execution Copy]

TUFTS UNIVERSITY LICENSE AGREEMENT

This Agreement is made and entered into as of February 1, 1997 ("the Effective
Date"), by and between Paratek Pharmaceuticals, Inc., a Delaware corporation
having an address of P.O. Box 1525, Boston, Massachusetts 02117-1525
("Licensee") and Tufts University, a/k/a Trustees of Tufts College, a
corporation duly organized and existing under the laws of the Commonwealth of
Massachusetts and having a principal office at Medford, Massachusetts 02155
("Tufts").

WHEREAS, Tufts possesses certain know-how, inventions and intellectual property
in the field of drug resistance;

WHEREAS, Tufts, acting through Dr. Stuart Levy, (the "Principal Investigator")
wishes to and is prepared to conduct additional research in this field under a
Sponsored Research Agreement of even date herewith;

WHEREAS, Licensee is prepared to provide support to Tufts for such research by
the Principal Investigator, providing it receives certain license rights under
inventions, biological materials, and/or know-how developed in the research
under the terms of this License Agreement; and

WHEREAS, Tufts wishes to have such inventions, biological materials, and/or
know- how perfected and marketed in order that products resulting therefrom
might be available for public use and benefit.

NOW THEREFORE, for valuable consideration, the receipt and adequacy of which are
hereby acknowledged, and intending to be legally bound, the parties hereto
mutually agree as follows:

ARTICLE I - DEFINITIONS.

1.1. "Patent Rights" shall mean rights owned or controlled by Tufts which arise
under United States or foreign patents or patent applications as described in
Exhibit A or any patents issuing from said applications that cover inventions
which were discovered or developed at Tufts by Dr. Stuart Levy, alone or in
conjunction with others, or which are discovered or developed in the Field of
Use pursuant to the Sponsored Research Agreement of even date herewith (the
"Research Agreement"), including any divisions, continuations,
continuations-in-part, re-examinations, extensions, renewals, or reissues
thereof.

1.2. "Technology" shall mean the trade secret, know-how, and other proprietary,
non-public information relating to the "Field of Use" and necessary or useful
for practicing the Patent Rights that was discovered or developed at Tufts by
Dr. Stuart Levy, alone or in conjunction with others, or is discovered or
developed pursuant to the Research Agreement and that has been revealed to
Licensee pursuant to the Research Agreement or that may hereafter be revealed to
Licensee pursuant to the requirements of this Agreement or the Research
Agreement. The

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

Technology shall not include the Patent Rights but shall include any non-public
information included in patent applications if and when it is subsequently
deleted therefrom before the patent is issued.

1.3. "Confidential Technology" shall mean all Technology, and all information in
or concerning patent applications included in the Patents, provided, however,
that Licensee need not keep confidential any information that:

(a)at the date of its disclosure by Tufts to Licensee was known to Licensee as
documented in Licensee's files and is revealed to Tufts within thirty (30) days
after Tufts' disclosure to Licensee; or

(b)at the date of disclosure by Tufts to Licensee was, or thereafter becomes,
through no fault of Licensee, publicly known through publication or so widely
known and used that it can be said to be generally available to the public.

1.4. "Field of Use" shall mean the prophylaxis, treatment or prevention of
bacterial or microbial diseases or medical conditions in humans or animals or
agriculture using (i) tetracycline derivatives or other compounds which affect
tetracycline resistance or (ii) compounds based on knowledge of the MAR operon
or (iii) compounds involving novel genes which affect antibiotic resistance or
microbial infectivity and which are derived from studies of the MAR operon or
(iv) compounds that affect any such genes.

1.5. "License Period" shall mean collectively the respective periods commencing
on the Effective Date and ending (unless sooner terminated) upon the later of
the expiration of the last to expire of the Patent Rights (treating pending
applications as issued patents for so long as they are pending) and fifteen (15)
years from the Effective Date.

1.6. "Licensed Products" shall mean all products that are within or made by a
process within the Field of Use and that embody or are made in accordance with
or using or are based upon or derived from any aspect of the Patent Rights or
the Technology.

1.7 "Gross Sales" shall mean the gross sales of Licensed Products subject to
royalty under this Agreement billed to customers by Licensee and its
Subsidiaries, less the following:

(a)[***];

(b)[***]; and

(c)[***].

Gross Sales shall also include and be deemed to have been made with respect to
any Licensed Products used by Licensee or any Subsidiary, for its own commercial
purposes, or transferred
to any third-party for less than the transferee is then charging in normal
arms-length sales transactions; and Gross Sales in all such cases shall be
deemed to have been made at the prices therefor at which such Licensed Products
are then being sold to the customers of such user or transferor (or of Licensee,
if a Subsidiary is a user but not a seller) in arms-length sales transactions.

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

In the event that a Licensed Product under this Agreement is sold in combination
with another active ingredient or component having independent therapeutic
effect or diagnostic utility, then "Gross Sales," for purposes of determining
royalty payments on the combination, shall be calculated using one of the
following methods:

 

(e)

By multiplying the Gross Sales of the combination by the fraction A/A+B,
where A is the gross selling price, during the royalty paying period in
question, of the Licensed Product sold separately, and B is the gross selling
price, during the royalty period in question, of the other active ingredients or
components
sold separately; or

 

 

(f)

In the event that no such separate sales are made of the Licensed Product or any
of the active ingredients or components in such combination package during the
royalty paying period in question, Gross Sales, for the purposes of determining
royalty payments, shall be calculated using the above formula where A is the
reasonably estimated commercial value of the Licensed Product sold separately
and B is the reasonably estimated commercial value of the other active
ingredients or components sold separately. Any such estimates shall be made in
good faith by Licensee and reported to Tufts with the reports to be provided to
Tufts pursuant to Section 3.7 hereof.

 

1.8. "Subsidiary" shall mean any corporation, partnership, or other business
organization that directly or indirectly controls, is controlled by, or is under
common control
with Licensee. For the purpose of this Agreement, "control" shall mean the
holding directly
or indirectly of fifty percent (50%) or more of the voting stock or other
ownership interest of
the corporation or other business organization invoiced.

1.9. "Territory" shall mean the world.

ARTICLE II - GRANT; SUBLICENSES.

2.1. Grant. Subject to the terms and conditions hereinafter set forth, Tufts
hereby grants to Licensee, to the extent that it lawfully may, a
royalty-bearing, exclusive license to practice the Patent Rights and use the
Technology in the Territory, only for the purpose of developing, making, using,
and selling Licensed Products (the "License"). The License shall exist as such
an exclusive, royalty-bearing license during and will terminate as such at the
end of the License Period, unless sooner terminated as hereinafter provided. If
the License does not terminate before the end of the License Period, then the
License to use the Technology shall continue in effect thereafter without
limitation of time as an exclusive, fully-paid-up license subject to termination
only as provided in Article IX.

2.2. Reserved Rights. During the License Period, Tufts shall have no right to
use the Patent Rights or Technology to make, use, or sell Licensed Products for
commercial purposes, but Tufts reserves to itself (a) the right at all times to
practice the Patent Rights and to use the Technology, and to make and use
Licensed Products for research purposes within Tufts, and (b) all other rights
not granted to Licensee, including the rights to use and permit the use of
Patent Rights and Technology for any purpose not in conflict with the provisions
of the License.

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

2.3. Sublicenses. Licensee shall also have the right to grant to its
Subsidiaries or other sublicensees, exclusive or non-exclusive sublicenses under
the License during the License Period; provided, however, and Licensee agrees
that:

(a)the terms and conditions of each sublicense shall be consistent with the
terms and conditions of this Agreement and shall contain, among other things (by
way of example but not limitation), provisions substantially similar to and
consistent with: the "Gross Sales" definition; Article III (providing, among
other things, that royalties shall be paid to Licensee in amounts at least equal
to those of Article III hereof, so that Licensee may in turn pay those royalties
to Tufts); Article V; Section 7.1 (so that no representations or warranties
inconsistent with that Article shall be extended to or by any sublicensee);
Article IX, but the sublicense must terminate not later than the end of the
License Period, or earlier if the License terminates earlier for any reason;
Article XI; and Article XII.

(b)each sublicense shall provide that the obligations to Tufts of Sections 3.8,
3.9, 3.10, 7.1, 8.1, 8.5, and 9.2, and Articles V, XI, and XII of this Agreement
shall be binding on the sublicensee and be enforceable both by Tufts and the
Licensee.

(c)if a proposed sublicensee is either (i) a Subsidiary or (ii) a company
engaged in the development, manufacture or distribution of health care products
with a net worth or market capitalization of at least $50 million, no approval
of Tufts shall be required for the proposed sublicense: in all other cases, the
sublicense may not be granted without Tufts' prior written approval (which may
not be unreasonably withheld or delayed);

(d)Licensee shall furnish to Tufts a true and complete copy of each sublicense
agreement and each amendment thereto, promptly after the sublicense or amendment
has been agreed upon;

(e)no Subsidiary or other sublicensee shall have the right to further license,
sublicense, or assign its rights without the prior approval of Licensee; and

(f)no sublicense shall relieve Licensee of any of its obligations hereunder, and
Licensee shall be responsible for the acts or omissions of its Subsidiaries and
sublicensees and for compliance by them with their obligations, and Licensee
shall take all steps necessary to enforce that compliance to the extent required
to allow Licensee to fully comply with all of its obligations under this
agreement.

2.4

During the term of this Agreement and so long as neither Licensee nor any
Subsidiary or sublicensee is in default with respect to any payment due to Tufts
hereunder, Tufts will not assert its rights under any Patent Rights to prevent
any party from using or selling any quantity of Licensed Product on which a
royalty has been paid hereunder.

ARTICLE III - PAYMENTS; RECORDS.

3.1. License Fee. As partial consideration for the licenses granted hereunder,
Licensee agrees to issue to Tufts and its designees, within thirty (30) days of
the Effective Date, 500,000 shares of Licensee's Common Stock, par value $0.001
per share, pursuant to the terms of a Stock Subscription and Right of First
Refusal Agreement.

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

3.2. Milestone Payments. Licensee agrees to pay to Tufts the following non-
refundable milestone payments:

Milestone

 

Payment Amount

Commencement of First Phase III Clinical Trials in The United States

 

50,000

First marketing application (NDA) submitted in the United States

 

100,000

[***]

 

[***]

3.3 Minimum Royalties. Licensee agrees to pay to Tufts a minimum royalty payment
of Twenty-Five Thousand Dollars ($25,000) in each twelve-month period commencing
on each anniversary of the Effective Date if during such period Licensee is not
sponsoring at least One Hundred Thousand Dollars ($100,000) in research at
Tufts. Minimum royalty payments shall be creditable against royalties due under
Section 3.4 during the same twelve-month period.

3.4. Running Royalties. Licensee agrees to pay to Tufts royalties of:

(a)[***] percent ([***]%) of the Gross Sales of Licensed Products, the making,
using, or selling of which infringes (were it not for the License) at least one
claim in an issued, unexpired and non-lapsed patent included in the Patent
Rights; or

(b)[***] percent ([***]%) of the Gross Sales of Licensed Products that do not
fall within the clause (a), above, but the manufacture, use or sale of which
would infringe (were it not for the License) at least one claim in a pending
application included in the Patent Rights, if such claim were to issue.

3.5 Sublicense Royalties. For each sublicense granted by Licensee, Licensee
shall pay to Tufts (a) fourteen percent (14%) of that portion of any sublicense
issue fees or license maintenance fees received by Licensee which are reasonably
attributable to sublicenses of rights granted to Licensee hereunder, and (b) the
lesser of (i) [***] percent ([***]%) of any royalty payments received under such
sublicense with respect to the Gross Sales by the sublicensee of Licensed
Products covered by a claim contained in an issued Patent Right or a claim
included in a pending application covering a Patent Right on a
country-by-country basis or (ii) the royalty which would be due if Licensee,
rather than the sublicensee, had sold the Licensed Product. Funds received by
Licensee from a sublicensee for research conducted by Licensee, achievement of
product development-related performance milestones, or for equity investments in
Licensee will not be subject to any royalties hereunder.

3.6 Royalty Reductions. In the event Licensee or a sublicensee of Licensee
incurs expenses in judicial or administrative proceedings based upon allegations
of infringement by Licensee or sublicensee of third-party patents or know-how
solely or primarily as a result of the sale of Licensed Products, Licensee may
withhold up to [***] percent ([***]%) of the royalties due hereunder for the
calendar year in which the expenses are incurred, and apply the same toward
reimbursement of its expenses in connection therewith.

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

3.7. Statements; Payments. After the first commercial sale of a Licensed
Product, Licensee shall, within sixty (60) days after the last days of March,
June, September, and December in each year or portion thereof during the License
Period, and within sixty (60) days after the end of the License Period, provide
Tufts with a statement accounting for the Gross Sales of Licensed Products by
Licensee, its Subsidiaries, and its sublicensees and all amounts described in
Section 3.5, all for the immediately preceding three (3) month period or portion
thereof, accompanied by payment for the full amount of royalties due under this
Article III for that period or portion thereof. Each such statement shall be
certified by the Chief Financial Officer of Licensee as being true, correct, and
complete.

3.8. Currencies. All payments to be paid to Tufts shall be computed and made in
United States Dollars, and Licensee shall use best efforts to convert royalty
payments payable on Gross Sales in any country to United States Dollars;
provided, however, that if conversion to and transfer of such Dollars cannot be
made by Licensee, its Subsidiaries, or its sublicensees in any country for any
reason, Licensee may pay such sums in the currency of the country in which such
Gross Sales are made, deposited in Tufts' name in a bank designated by Tufts in
any such country. The rate of exchange of local currencies to U.S. Dollars shall
be at the rate of exchange prevailing at the Bank of Boston (or such other bank
in Boston, Massachusetts or New York, New York as Tufts may designate in writing
from time to time), for currencies of the amounts involved, as such rate is
stated for the first business day after the end of the period with respect to
which the royalties are due.

3.9. Records; Audits. Licensee shall keep (and cause to be kept) and maintain
complete and accurate records of Gross Sales of the Licensed Products by
Licensee, its Subsidiaries, and its sublicensees, in accordance with generally
accepted accounting procedures. Such records shall be accessible to independent
certified public accountants selected by Tufts and reasonably acceptable to
Licensee, by audits conducted not more than once a year during the License
Period and for one year after the termination thereof, at any reasonable times
during business hours, for the purpose of verifying Gross Sales and any
royalties due thereon. Such accountants shall disclose to Tufts only information
relating to the accuracy of the records kept and the payments made, and shall be
under a duty to keep confidential any other information obtained from such
records. Licensee, its Subsidiaries, and its sublicensees shall not be required
to retain such records for more than three (3) years after the close of any
calendar quarter-year. No period shall be subject to audit under this Section
more than once as to any entity being audited.

3.10. Substantial Underpayment. If any such audit reveals that the aggregate of
royalties paid during any four consecutive calendar quarters was more than five
percent (5%) less than the amount that should have been paid, then the
reasonable expenses of the audit shall be borne by Licensee, which shall pay
those expenses within thirty (30) days after demand therefore by Tufts
accompanied by the accountants' statement therefor.

ARTICLE IV - TECHNOLOGY DISCLOSURE; PATENT PROSECUTION.

4.1. Demonstration. Within ninety (90) days of the Effective Date, Tufts
representative(s) having knowledge of the Technology and Patent Rights will
disclose them to Licensee personnel generally competent in the Field of Use, at
the premises of Tufts, or, if mutually agreed, at the premises of Licensee. Such
disclosure shall be scheduled at the mutual convenience of Tufts and Licensee
and shall be made in such ways as the parties mutually agree seems most likely
to enable those Licensee personnel to learn the Technology and Patent Rights.

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

4.2. Written Disclosure. Tufts may elect to prepare and furnish to Licensee one
or more written descriptions of the Technology and Patent Rights or portions
thereof. Licensee agrees to review the written descriptions promptly after
receiving them and indicate in writing to Tufts whether there are any details or
aspects with which Licensee does not concur. Absent a sufficiently detailed
objection by Licensee, those written descriptions will be deemed binding on the
parties for all purposes under this Agreement as to the description of the
Technology and Patent Rights so described.

4.3. Availability. Tufts shall perform its obligations under Sections 4.1 and
4.2 for no additional consideration. Tufts shall not be obligated to devote any
particular amount of time to the performance of those obligations as long as
Tufts makes its knowledgeable personnel available to competent Licensee
personnel as stated above, and devotes the amount of time reasonably required to
teach the necessary Technology to those Licensee personnel. Licensee agrees to
make those personnel available for instruction within the time period and
otherwise as stated in Section 4.1.

4.4. Patent Prosecution. Commencing on the Effective Date, Licensee shall have
the responsibility to apply for, seek prompt issuance of, and maintain while the
License is in effect, the Patent Rights in the United States, in the foreign
countries listed on Exhibit B hereto and in the foreign countries selected by
Licensee and Licensee will keep Tufts informed of the foregoing on a current
basis. Upon Tufts' request, Licensee will file and prosecute patent applications
corresponding to the Patent Rights in any one or more other countries, to the
extent commercially reasonable. Tufts shall cooperate fully with Licensee and
provide all such information and data and execute any documents reasonably
required in order to allow Licensee to conduct such prosecution and Tufts shall
have the opportunity to provide substantive review and comment on any such
filing or prosecution. The choice of patent counsel shall be reasonably
acceptable to Tufts.

4.5. Patent Expenses. Licensee shall pay all costs associated with the
preparation, filing, prosecution, and maintenance of all patent applications
filed and patents obtained, which are included in the Patent Rights.

4.6 Abandonment. In the event that Licensee desires to abandon any patent or
patent application within the Patent Rights in any country, Licensee shall
provide Tufts with reasonable prior written notice of such intended abandonment
or decline of responsibility, and Tufts shall have the right, at its expense, to
prepare, file, prosecute, and maintain the relevant Patent Rights. If Licensee
decides to abandon an issued patent (and all filed applications therefor)
throughout the world, or if Licensee determines not to file and prosecute in at
least one country a patent application that Tufts has requested Licensee to
file, then in any such event such patent and patent applications shall not
thereafter be included in "Patent Rights", and the non-public information
included in (or that would be included in) such patent and applications shall
not thereafter be included in "Technology". If Licensee decides to abandon an
issued patent (or a filed application therefor) in any country, or if Licensee
declines to file and prosecute a patent application in a country as requested by
Tufts herein, then in any such event each such country shall no longer be
included in the "Territory" for purposes of the claims covered by the relevant
patent or patent application or for purposes of the non-public information
included in (or that would be included in) such patent or application.

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

ARTICLE V - CONFIDENTIALITY.

5.1. Limitations on Use, Disclosure. Licensee agrees to treat as confidential,
and to use and disclose only in furtherance of this Agreement, all Confidential
Technology disclosed to it by Tufts. Licensee agrees that it will exercise every
reasonable precaution to prevent the unauthorized disclosure of Confidential
Technology by any of its directors, officers, employees, or agents to other
parties, other than to Subsidiaries and to Licensee sublicensees. Any
Confidential Technology disclosed to Subsidiaries or sublicensees shall be
disclosed on the basis of and subject to the confidentiality provisions of this
Agreement.

5.2. Cessation. Any information which is Confidential Technology at the date of
disclosure thereof to Licensee shall cease to be Technology, and Licensee, its
Subsidiaries, and its sublicensees shall be released from the provisions of
Section 5.1 as to such information on the date when, through no act or omission
on the part of Licensee, its Subsidiaries, or its sublicensees, such information
becomes (a) publicly known by way of a single publication in which such
Confidential Technology is disclosed in reasonable detail, (b) so widely known
and used in combination that it can be said to be generally available to the
public or (c) is subsequently rightfully obtained without restriction on use or
disclosure from sources other than Tufts having no confidential obligation in
favor of Tufts.

5.3. Time Limit. The provisions of this Article V shall continue to apply to any
information which is Confidential Technology for so long as it shall remain
such, notwithstanding any termination of this Agreement or the License or
expiration of the License Period, provided, however, that the obligations of
confidentiality under this Article shall in any event expire and cease to exist
ten years from the Effective Date.

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

ARTICLE VI - DILIGENCE.

Licensee agrees to use its best efforts to effect introduction of Licensed
Products into the United States commercial market as soon as practical,
consistent with sound and reasonable business practices and judgments. Prior to
the first commercial sale of a Licensed Product, Licensee shall provide annual
reports of such efforts to Tufts within sixty (60) days of each anniversary of
the Effective Date. Tufts shall have the right, at any time after eighteen (18)
months from the Effective Date, to terminate the License and Tufts' obligations
under this Agreement if Licensee, within ninety (90) days after written notice
from Tufts of such intended termination, fails to provide written evidence that
Licensee has commercialized or is actively attempting to commercialize Licensed
Products. Evidence that Licensee has, within eighteen months after the Effective
Date, (i) delivered to Tufts a business plan, (ii) taken all reasonable steps to
prosecute and maintain the Patent Rights in accordance with the provisions of
Section 4.4 hereof, (iii) made payment of all research support under the
Sponsored Research Agreement between the parties of even date herewith and (iv)
raised a total of $2 million through venture capital investors or strategic
partners shall be deemed, in and of itself, a sufficient showing of such active
attempts to commercialize Licensed Products during such period. Thereafter,
evidence that Licensee has achieved the following milestones as scheduled below
shall be deemed, in and of itself, a sufficient showing of such active attempts
to commercialize Licensed Products through such date:

 

(i)

raised a total of $5 million through venture capital investors or strategic
partners within three (3) years of the Effective Date; and

 

(ii)

filed an IND for a Licensed Product in the United States within five (5) years
of the Effective Date.

Tufts shall not unreasonably withhold its assent to any revision of such
milestones whenever requested in writing by Licensee and supported by evidence
of technical difficulties or delays that the parties could not have reasonably
avoided.

Notwithstanding the foregoing, Tufts shall have the right at any time after ten
(10) years from the Effective Date to convert the License hereunder to
non-exclusive if Licensee, its Subsidiaries, or its sublicensees have not by the
time of such conversion sold Licensed Products into the United States market.

If at any time Licensee decides to discontinue all programs relating to the MAR
operon or all programs relating to tetracycline derivatives, Licensee shall give
notice of such intent to Tufts and Tufts shall have the option to terminate the
License granted hereunder solely with respect to such discontinued programs on
thirty days notice to Licensee. Upon any such termination, responsibility for
the prosecution and maintenance of any Patent Rights on the discontinued
programs shall revert to Tufts.

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

ARTICLE VII - REPRESENTATIONS, WARRANTIES, AND LIMITATIONS.

7.1 Tufts Disclaimer. TUFTS MAKES NO REPRESENTATIONS, EXTENDS NO WARRANTIES OF
ANY KIND, EITHER EXPRESS OR IMPLIED (INCLUDING, WITHOUT LIMITATION, ANY
WARRANTIES OF MERCHANTABILITY OR FITNESS FOR PURPOSE), AND ASSUMES NO
RESPONSIBILITIES WHATSOEVER, WITH RESPECT TO THE PATENTS OR TECHNOLOGY OR THE
USE THEREOF, OR THE MANUFACTURE, POSSESSION, USE, MARKETING, SALE, OR OTHER
DISPOSITION BY TUFTS, LICENSEE, OR ANYONE ELSE, OF LICENSED PRODUCT(S) OR ANY
OTHER PRODUCTS OF SERVICES (INCLUDING, WITHOUT LIMITATION, PRODUCTS MADE BY
TUFTS, AND TUFTS SERVICES, THAT ARE OR WERE FURNISHED TO LICENSEE AT ANY TIME
BEFORE, ON, OR AFTER THE Effective Date), EXCEPT ONLY AS EXPRESSLY STATED BELOW
IN THIS ARTICLE VII. Without limitation of the foregoing generality, nothing
contained herein or in any disclosure of the Patents or Technology made by or on
behalf of Tufts shall be construed as extending any representation or warranty
with respect to the Patents or Technology or Licensed Products or the results to
be obtained by the use of the Patents or Technology or any Licensed Products, or
that anything made, used, or sold by use of the Patents or Technology or any
part thereof, alone or in combination, will be free from infringement of patents
of third parties. TUFTS SHALL NOT BE LIABLE TO LICENSEE, ITS SUBSIDIARIES, ITS
SUBLICENSEES, OR ANY OTHER PARTY, REGARDLESS OF THE FORM OR THEORY OF ACTION
(WHETHER CONTRACT, TORT, INCLUDING NEGLIGENCE, STRICT LIABILITY, OR OTHERWISE),
FOR ANY SPECIAL, INCIDENTAL, CONSEQUENTIAL, PUNITIVE, OR OTHER EXTRAORDINARY
DAMAGES ARISING OUT OF OR RELATED TO THIS AGREEMENT, PATENTS, THE TECHNOLOGY,
THE LICENSED PRODUCTS, OR ANY PRODUCTS OR SERVICES FURNISHED OR NOT FURNISHED BY
TUFTS, EVEN IF TUFTS HAS BEEN ADVISED OF THE POSSIBILITY THEREOF.

Licensee agrees that all warranties, if any, in connection with the sale or
other disposition of any Licensed Products (or any products made by Tufts and
furnished at any time to Licensee) by Licensee, its Subsidiaries, or its
sublicensees will be made by them and will not directly or impliedly obligate
Tufts.

7.2 Tufts Representations. Notwithstanding the first sentence of Section 7.1,
Tufts:

(a)Represents that Tufts is a corporation organized and existing under the laws
of the Commonwealth of Massachusetts and has the power and authority to enter
into this Agreement.

(b)Represents that Tufts has taken all necessary action to authorize its
execution and delivery of this Agreement by the representatives of Tufts who
carried out such execution and delivery, and to authorize the performance by
Tufts of its obligations hereunder.

(c)Represents that execution and delivery of this Agreement and its performance
by Tufts will not result in any breach or violation of, or constitute a default
under, any agreement, instrument, judgment, or order to which Tufts is a party
or by which it is bound.

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

7.3. Licensee Representations. Licensee represents and warrants to Tufts that:

(a)Licensee is a corporation organized and existing under the laws of Delaware
and has the power and authority to enter into this Agreement.

(b)Licensee has taken all necessary action to authorize its execution and
delivery of this Agreement by the representatives of Licensee who carried out
such execution and delivery, and to authorize the performance by Licensee of its
obligations hereunder.

(c)Execution and delivery of this Agreement and its Agreement and its
performance by Licensee will not result in any breach or violation of, or
constitute a default under, any agreement, instrument, judgment, or order to
which Licensee is a party or by which it is bound.

ARTICLE VIII - INDEMNITY; INSURANCE; INFRINGERS.

8.1. Indemnity. Licensee agrees to exonerate, indemnify, and hold harmless
Tufts, its trustees, officers, employees, and agents, from all costs, expenses
(including attorneys' fees), interest, losses, obligations, liabilities, and
damages paid or liability for which is incurred by any of said parties
("Losses"), and which arise out of or are in connection with or are for the
purpose of avoiding any and all claims, demands, actions, causes of action,
suits, appeals, and proceedings ("Claims"), all whether groundless or not, or
the settlement thereof, based on any actual or alleged injuries, damages, or
liability of any kind whatsoever (including, without limitation, personal
injury, death, property damage, breach of warranty, or breach of contract)
arising, directly or indirectly, out of any one or more of: any breach of
Licensee of its representations, warranties, or agreements hereunder; or out of
any manufacture, marketing, possession, use, sale, or other disposition of
Licensed Products or products furnished by Tufts to Licensee in connection
herewith or in connection with the Research Agreement (whether same occurs
during or after the License or during or after the License Period) by Licensee,
its Subsidiaries, its sublicensees, or anyone claiming by, through, or under any
of them; or any acquisition, possession, disclosure, or use of the Patents or
Technology, or any thereof, by Licensee, its Subsidiaries, its sublicensees, or
anyone claiming by, through, or under any of them or the presence of Licensee's
or its Subsidiaries' or sublicensee's officers, agents, employees, invitees or
property on Tufts' premises.

8.2. Defense; Settlement. Licensee shall defend and control negotiation of
settlement of any Claim, with counsel of Licensee's choosing approved in advance
by Tufts, which approval shall not be unreasonably withheld. Tufts agrees to
cooperate fully in the defense of any Claim and may participate in the defense
with counsel of Tufts' choosing, such separate counsel to be at Tufts' expense
unless a conflict of interest exists between Licensee and Tufts with respect to
the defense, in which case Tufts' separate counsel shall be at Licensee's
expense. Any settlement by which Tufts would incur any obligation or liability,
whether for the payment of money, the taking of any action, the refraining from
any action, or otherwise, shall require the advance written consent of Tufts,
which may be withheld in the sole discretion of Tufts without relieving Licensee
of any of its indemnification or other obligations hereunder.

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

8.3. Insurance. Not later than thirty (30) days before the time when Licensee,
any Subsidiary, or any Licensee sublicensee shall, on a commercial basis, make,
use, or sell any Licensed Products or any products furnished to Licensee by
Tufts at any time (before, on or after the Effective Date) in connection
herewith or in connection with the Research Agreement, and at all times
thereafter until the expiration of all applicable statutes of limitation
pertaining to any such manufacture, marketing, possession, use, sale or other
disposition of any Licensed Products or the aforesaid products furnished by
Tufts (whether same occurs or exists during or after the existence of the
License or during or after the License Period), Licensee will at Licensee's
expense, obtain and maintain in full force and effect, comprehensive general
liability insurance, including product liability insurance, protecting Tufts
against all claims, suits, obligations, liabilities, and damages, based upon or
arising out of actual or alleged bodily injury, personal injury, death, or any
other damage to or loss of persons or property, caused by any such manufacture,
marketing, possession, use, sale, or other disposition. Such insurance policy or
policies shall be issued by companies rated by A. M. Best as A VIII or better
(or other companies acceptable to Tufts), shall name Tufts as an additional
named insured, shall have limits of at least one million dollars ($1,000,000)
per occurrence with an aggregate of three million dollars ($3,000,000), shall be
non-cancelable except upon thirty (30) days prior written notice to Tufts, and
shall provide that as to any loss covered thereby and also by any policies
obtained by Tufts itself, Licensee's policies shall provide primary coverage for
Tufts and Tufts' policies shall be considered excess coverage for Tufts.

8.4. Certificates: Policies. Licensee will forthwith after the obtaining of such
insurance required by Section 8.3, obtain and deliver to Tufts certificates of
and copies of, and at all times thereafter deliver without further demand
replacement certificates and copies of, all such insurance policies that are in
force and effect. As requested by Tufts but in no event more than once per
calendar year, Licensee will furnish to Tufts a complete list, statement, and
description of all insurance called for in this Article, together with
certificates and copies of policies for each insurance company issuing any
thereof, that such insurance in is full force and effect, that all premiums have
been paid, and that such insurance will not be canceled except upon thirty (30)
days prior written notice to Tufts.

8.5. Infringers. Each party shall inform the other promptly in writing of any
alleged infringement of the Patent Rights in the Field of Use by a third party,
including all details then available. Licensee shall have the right, but shall
not be obligated, to prosecute at its own expense any such infringements, and
Tufts agrees that Licensee may join Tufts as a plaintiff at the expense of
Licensee. In any infringement action commenced solely by Licensee, all expenses
of Licensee shall first be reimbursed and all recovery for infringement shall be
shared [***]% to Tufts and [***]% to Licensee. Licensee shall indemnify Tufts
against any order for costs or other payments that may be made against Tufts in
such proceedings.

If Licensee has not taken legal action or been successful in obtaining cessation
of the infringement, within one-hundred eighty (180) days of written
notification from Tufts of such infringement, or if Licensee elects not to
continue prosecuting any legal action against an infringer, Tufts shall have the
right, but shall not be obligated, to prosecute at its own expense any such
infringement. Tufts may join Licensee as a plaintiff in any such infringement
suit at Tufts' expense. In any such action by Tufts, all expenses of Tufts shall
first be reimbursed and all recovery for infringement shall be shared [***]% to
Tufts and [***]% to Licensee.

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

No settlement, consent judgment or other voluntary final disposition of any suit
may be entered into without the consents of Tufts and Licensee, which consents
shall not be unreasonably withheld or delayed.

In any infringement suit that either party brings to enforce the Patent Rights,
the other party shall at the request and expense of the party bringing the suit,
cooperate in all reasonable respects, including, to the extent possible,
obtaining the testimony of its employees and making available physical evidence
in the possession of that party.

Licensee shall have the exclusive right in accordance with the provisions of
Section 2.2, to sublicense any alleged infringer in the Territory for the Field
of Use, for future use of the Patent Rights.

8.6 Declaratory Judgment. If any declaratory judgment action alleging invalidity
or non-infringement of any of the Patent Rights shall be brought against
Licensee, Tufts shall have the right at its election made within sixty (60) days
after commencement of that action, to intervene and take over the sole defense
of the action at its expense.

ARTICLE IX - LICENSE TERMINATION.

9.1. Events. The License granted hereunder may be terminated by Tufts pursuant
to Article VI or one of the following subsections:

(a)Material Default. If Licensee shall fail after thirty (30) days written
notice from Tufts to pay to Tufts any royalties or other payments and payable
hereunder, or shall fail in any material way to perform any other agreement
required to be performed by Licensee under this Agreement, or if any Subsidiary
or sublicensee shall be in material breach of any conditions or obligations
affecting Tufts and compliance with which Licensee is responsible for hereunder,
or if any representation or warranty of Licensee contained in this Agreement
shall prove to have been inaccurate or misleading in any material way when made
(referred to collectively and individually as a "material default"), then,
without limitation of and in addition to any and all other rights and remedies
available to Tufts with respect to such material default, Tufts may terminate
the License and Tufts' obligations hereunder by written notice to Licensee at
any time after the expiration of such thirty (30) day notice period if Licensee
has not cured the material default and the effects thereof before Tufts gives
such notice of termination to Licensee, unless Licensee commences arbitration
proceedings hereunder to contest such material default, in which event Tufts'
right to terminate the License shall be stayed until such arbitration
proceedings shall have been completed.

(b)Cessation of Business. If Licensee shall have commenced to carry on the
business of selling any Licensed Products (either directly or through any
Subsidiary or sublicensee) and shall at any time thereafter cease for a
consecutive period of ninety (90) days to carry on such business actively
(either directly or through any Subsidiary or sublicensee), other than as a
result of fire or other casualty or governmental action taken in the absence of
Licensee's fault, Tufts may at any time thereafter while that state of affairs
continues, terminate the License by written notice to Licensee.

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

9.2 Licensee shall have the option at any time to terminate this License upon
one- hundred and eighty (180) days' written notice to Tufts.

9.3. Effects. Upon termination of the License for any reason, nothing herein
shall be construed to release Licensee from any obligations hereunder except
those of Article VI, but all rights of Licensee and its Subsidiaries and its
sublicensees to make, use, or sell Licensed Products, or to practice the Patents
and use the Technology, shall cease immediately, except that Licensee, its
Subsidiaries, and its sublicensees may after the effective date of such
termination sell all Licensed Products that they may have on hand at the date of
termination, and may complete manufacture of Licensed Products then in the
process of manufacture, and sell them, provided that they pay all royalties due
thereon with respect to Gross Sales, as provided in this Agreement.

ARTICLE X - NOTICE.

Any notice or communication required to be given hereunder in writing shall be
given by registered or certified mail, return receipt requested, or delivered by
courier, return receipt requested, charges and postage prepaid, addressed to the
parties, respectively, at the following addresses:

In the case of Tufts to:

Joseph J. Byrne, Ph.D.
Associate Provost for Research
Tufts University
136 Harrison Avenue
Boston, MA 02111with a copy to:

Mason (Skip) Irving, III
Vice President, Commercial Development
Massachusetts Biotechnology Research Institute
One Innovation Drive
Worcester, MA 01605

with a second copy to:

Mary Lee Jacobs, Esq.
General Counsel
Tufts University
Ballou Hall
Medford, MA 02155

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

or in the case of Licensee to:

Walter Gilbert
Acting Chief Executive Officer
Paratek Pharmaceuticals, Inc.
P.O. Box 1525
Boston, MA 02117-1525

with a copy to:

Jeffrey M. Wiesen, Esq.
Mintz, Levin, Cohn, Ferris,
   Glovsky & Popeo P.C.
One Financial Center
Boston, MA 02111

or at such other respective substitute addresses as the addressee may designate
in writing to the other party.

ARTICLE XI - NON-USE OF NAMES.

Licensee, its subsidiaries and its sublicensees agree that it will not use the
name "Tufts University," or any variant thereof, or identify Tufts or any
portion of Tufts, or any inventor of any of the Patents or Technology, as a
party to this Agreement, or as a participant in inventing the inventions of the
Patents or creating the Technology, including, without limitation, in any
advertising or promotional sales literature, without the prior express written
consent of Tufts, which consent may be withheld or withdrawn by Tufts in its
complete and uncontrolled discretion for any reason whatsoever and at any time
or times. However, notwithstanding the foregoing, Tufts will make no objection
to any proper reference by Licensee to published technical publications by such
inventors or creators; and, subject to the confidentiality requirements hereof,
Tufts will make no objection to Licensee's making such disclosures as in the
reasonable opinion of legal counsel are required as a matter of law and such
general disclosures of this Agreement as may be desired by Licensee for purposes
of grant solicitations from governmental authorities or as reasonably necessary
(as reasonably determined by Licensee) for the purposes of obtaining financing
for Licensee or as reasonably necessary (as reasonably determined by Licensee)
for the conduct of its business, other than advertising or sales promotion.
Licensee shall impose and enforce the requirements of this Article on its
Subsidiaries and sublicensees.

ARTICLE XII - COMPLIANCE WITH LAWS.

12.1. Export Controls. The Export Control Regulations of the U. S. Department of
Commerce prohibit, except under special validated license, the exportation from
the United States of technical data relating to certain commodities (listed in
the Regulations), unless the exporter has received certain written assurance
from the foreign importer. In order to facilitate the exchange of technical
information under this Agreement, Licensee therefore hereby agrees and gives its
assurance to Tufts that Licensee will not, unless any required prior
authorization is obtained from the U. S. Office of Export Control, re-export
directly or indirectly any technical data received from

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

Tufts under this Agreement and will not export directly the Licensed Products or
such technical data to any country listed on either the Commodity Control List
or Militarily-Critical Technologies List. Tufts makes no representation as to
whether any such license is required or, if one is required, as to whether it
will be issued by the U. S. Department of Commerce.

12.2. Other Laws. In addition to the foregoing export control requirements,
Licensee agrees that it, its Subsidiaries, and its sublicensees will comply with
all applicable mandatory or permissive patent marking laws, rules, and
regulations and comply with all other laws, rules, and regulations of all
governmental authorities applicable to any of their activities contemplated by
this Agreement, and will comply with all necessary and desirable practices in
connection and compliance with safety recommendations of trade associations or
governmental authorities.

ARTICLE XIII - MISCELLANEOUS PROVISIONS.

13.1. Assignment. Licensee shall not assign the License or this Agreement
without the prior written consent of Tufts, which consent shall not be
unreasonably withheld; provided, however, that Licensee, without such consent,
may assign all of its rights hereunder to a wholly-owned Subsidiary or to the
acquiring party in connection with the transfer of all or substantially all of
its business and assets to an acquiring party or in the event of its merger or
consolidation with that acquiring party, if and only if the assignee shall
assume all obligations of Licensee under this Agreement. However, no assignment
or other transfer by Licensee shall relieve Licensee of any obligations
hereunder and Licensee shall continue to be primarily and jointly and severally
liable (along with such assignee or other transferee) for the performance of all
obligations of Licensee and such assignee or other transferee hereunder.

13.2. Independent Contractors. The parties hereto shall be independent
contractors with respect to each other, and nothing contained herein shall be
construed as constituting either of them as the agent, principal, employee,
servant, joint venturer, or partner of the other for any purpose whatsoever.

13.3 Governing Law. This Agreement shall be governed by and construed in
accordance with Massachusetts law, without regard to its conflict of laws
principles.

13.4. Sole Agreement. This Agreement and any Exhibits annexed hereto (each of
which is hereby made part hereof by this reference), and any other documents
which may be expressly incorporated by reference herein, constitute the entire
and only agreement between the parties concerning the subject matter hereof; and
all prior negotiations, representations, warranties, agreements, and
understandings related thereto are superseded hereby.

13.5. Severability. If any provision of this Agreement shall to any extent be
found to be invalid or unenforceable, the remainder of this Agreement shall-not
be affected thereby, and any such invalid or unenforceable provision shall be
reformed so as to be valid and enforceable to the fullest extent permitted by
law.

13.6. Headings. Headings of Articles, Sections, and subsections included herein
are for convenience of reference only and shall not be used to construe this
Agreement.

13.7. Financial Confidentiality. Both parties agree to keep the financial terms
of this Agreement confidential.

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

ARTICLE XIV - ARBITRATION.

14.1. Arbitration. Subject to Section 14.2 below, all disputes, controversies,
or differences which may arise between the parties out of or in relation to or
in connection with this Agreement, or for the breach thereof, which cannot be
resolved by mutual agreement, shall be finally settled by arbitration to be held
in accordance with the Commercial Arbitration Rules (the "Rules") of the
American Arbitration Association (the "Association") as the Rules then exist, in
Boston, Massachusetts, with the following deviations from the Rules. The
arbitrators shall consist of one Tufts nominee, one Licensee nominee, and a
third person jointly selected by those two nominees. The party requesting
arbitration shall designate its nominee in the request, which shall be addressed
to the Association with a simultaneous copy to the other party. If the other
party shall fail within thirty (30) days of the request for arbitration to
nominate the second arbitrator or if the two arbitrators are unable to agree
upon the third arbitrator within thirty (30) days after selection of the second
arbitrator, then in either case the arbitration panel will be completed
according to the Rules. Both legal and equitable remedies shall be available to
the arbitrators. The award of a majority of the arbitration panel shall be final
and binding on the parties hereto and shall be enforceable in any court having
jurisdiction. Tufts and Licensee each irrevocably consent and submit to the
jurisdiction of the courts of the Commonwealth of Massachusetts and the United
States District Court for the District of Massachusetts.

14.2. Judicial Relief. Claims, disputes, or controversies concerning the
validity, infringement, construction, or effect of any patent including, without
limitation, any patent licensed hereunder, shall be resolved in any court having
jurisdiction thereof, and the parties submit to the jurisdiction of the United
States District Court for the District of Massachusetts. In the event that, in
any arbitration proceeding, any issue shall arise concerning the validity,
infringement, construction, or effect of any patent licensed hereunder, the
arbitrators shall assume the validity of all claims as set forth in such patent.
In any case, the arbitrators shall not delay the arbitration proceeding for the
purpose of obtaining or permitting either party to obtain judicial resolution of
such an issue, unless an order staying such arbitration proceeding shall be
entered by a court of competent jurisdiction. Neither party shall raise any
issue concerning the validity, infringement, construction, or effect of any
patent licensed hereunder in any proceeding to enforce any arbitration award
hereunder in any proceeding otherwise arising out of any such arbitration award.
Nothing in Section 14.1 shall be construed to waive any rights or timely
performance of any obligations existing under this Agreement. Moreover, each
party acknowledges that appropriate cases (as determined by the courts of
competent jurisdiction) of a violation by either party of any of the provisions
of this Agreement may entitle the other party to equitable judicial relief, and
this relief shall be available in addition to, and shall not be unavailable by
reason of, the arbitration provisions of Section 14.1, above. Such equitable
judicial relief may be by temporary restraining orders, preliminary and
permanent injunctions, and such other equitable relief as any court of competent
jurisdiction may deem just and proper.

 

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

IN WITNESS WHEREOF, the parties hereto have duly executed and delivered this
License Agreement to be effective as of the Effective Date.

 

TUFTS UNIVERSITY

 

PARATEK PHARMACEUTICALS, INC.

 

 

 

 

 

 

 

By:

 

/s/ Steven S. Manos

 

By:

 

/s/ Walter Gilbert

 

 

Signature

 

 

 

 

 

 

 

 

 

 

 

 

 

Steven S. Manos

 

 

 

 

 

 

          Typed Name

 

 

 

          Typed Name

 

 

 

 

 

 

 

 

 

Executive Vice President

 

 

 

 

 

 

          Title

 

 

 

          Title

 

 

 

 

 

 

 

 

 

     3/19/97

 

 

 

     4/23/97

 

 

          Date

 

 

 

          Date

 

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

EXHIBIT A
TO
LICENSE AGREEMENT
BETWEEN
TUFTS UNIVERSITY AND PARATEK PHARMACEUTICALS, INC.

Existing Patent Rights (Including Existing Applications)

I. Issued Patents:

(See attached Patent Summary)

"Patent Rights" shall also include the patents to be applied for pursuant to the
terms of the License Agreement after the Effective Date, after such applications
are made.

 

 

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REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

Patent Summary
Stuart B. Levy, Ph.D.
January 1997

[***]

[***]

[***]

[***]

[***]

[***]

[***]

[***]

[***]

[***]

[***]

[***]

[***]

[***]

 

 

 

 

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REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

EXHIBIT B

List of Foreign Countries in which Patents are to be Filed.

United States
Canada
Japan

Europe (Germany, Belgium, France, Italy, Spain and United Kingdom)

 

 

 

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

TUFTS UNIVERSITY -- PARATEK PHARMACEUTICALS, INC.
AMENDMENT NO. 1
TO LICENSE AGREEMENT DATED FEBRUARY 1, 1997

Exhibit A is hereby amended to include:

•

Provisional patent application "[***]", Filed [***]

•

Patent application "[***]", Filed [***]

Section 1.4. "Field of Use" is hereby replaced by the following:

1.4. "Medical Field of Use" shall mean the prophylaxis, treatment or prevention
of bacterial or microbial diseases or medical conditions in humans or animals or
agriculture through the direct administration of (i) tetracycline derivatives or
other compounds which affect tetracycline resistance or (ii) compounds based on
knowledge of the MAR operon or (iii) compounds involving novel genes which
affect antibiotic resistance or microbial infectivity and which are derived from
studies of the MAR operon or (iv) compounds that affect any such genes.

"Disinfectant Field of Use" shall mean the use of compositions, including but
not limited to disinfectants and soaps, in any manner other than the direct
administration to humans or animals or agriculture, to kill or reduce the growth
rate of microorganisms, where such compositions include (i) tetracycline
derivatives or other compounds which affect tetracycline resistance or (ii)
compounds based on knowledge of the MAR operon or (iii) compounds involving
novel genes which affect antibiotic resistance or microbial infectivity and
which are derived from studies of the MAR operon or (iv) compounds that affect
any such genes.

"Field of Use" shall mean the Medical Field of Use and Disinfectant Field of
Use, collectively.

Section 1.7. Third paragraph is hereby amended to read: "In the event that a
Licensed Product in the Medical Field of Use under this Agreement is sold..."

Section 3.4 Running Royalties is hereby replaced by the following:

3.4.Running Royalties.

For the Medical Field of Use, Licensee agrees to pay to Tufts royalties of:

(a) [***] percent ([***]%) of the Gross Sales of Licensed Products, the making,
using, or selling of which infringes (were it not for the License) at least one
claim in an issued, unexpired and non-lapsed patent included in the Patent
Rights; or

(b) [***] percent ([***]%) of the Gross Sales of Licensed Products that do not
fall within the clause (a), above, but the manufacture, use or sale of which
would infringe (were it not for the License) at least one claim in a pending
application included in the Patent Rights, if such claim were to issue.

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

For the Disinfectant Field of Use, Licensee agrees to pay to Tufts royalties of:

[***] percent ([***]%) of the Gross Sales of Licensed Products, the making,
using, or selling of which infringes (were it not for the License) at least one
claim in an issued, unexpired and non-lapsed patent included in the Patent
Rights or would infringe (were it not for the License) at least one claim in a
pending application included in the Patent Rights, if such claim were to issue.

Section 3.5. Sublicense Royalties is hereby replaced by the following:

3.5. Sublicense Fees and Royalties. For each sublicense granted by Licensee,
Licensee shall pay to Tufts fourteen percent (14%) of that portion of any
sublicense issue fees or license maintenance fees received by Licensee which are
reasonably attributable to sublicenses of rights granted to Licensee hereunder.
Funds received by Licensee from a sublicensee for research conducted by
Licensee, achievement of product development-related performance milestones, or
for equity investments in Licensee will not be subject to any fees hereunder.

For the Medical Field of Use, for each sublicense granted by Licensee, Licensee
shall pay to Tufts the lesser of (i) [***] percent ([***]%) of any royalty
payments received under such sublicense with respect to the Gross Sales by the
sublicensee of Licensed Products covered by a claim contained in an issued
Patent Right or a claim included in a pending application covering a Patent
Right on a country-by-country basis or (ii) the royalty which would be due,
pursuant to Section 3.4, if Licensee, rather than the sublicensee, had sold the
Licensed Product.

For the Disinfectant Field of Use, for each sublicense granted by Licensee,
Licensee shall pay to Tufts the lesser of (i) [***] percent ([***]%) of any
royalty payments received under such sublicense with respect to the Gross Sales
by the sublicensee of Licensed Products covered by a claim contained in an
issued Patent Right or a claim included in a pending application covering a
Patent Right on a country-by-country basis or (ii) the royalty which would be
due, pursuant to Section 3.4, if Licensee, rather than the sublicensee, had sold
the Licensed Product.

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

All other provisions of the Agreement remain unchanged and in full force and
effect.

 

TUFTS UNIVERSITY

 

PARATEK PHARMACEUTICALS, INC.

 

 

 

 

 

 

 

By:

 

/s/ Philip G. Salem

 

By:

 

/s/ George C. Hillman

 

 

     (signature)

 

 

 

     (signature)

 

 

 

 

 

 

 

 

 

Philip G. Salem

 

 

 

George C. Hillman

 

 

Name

 

 

 

Name

 

 

 

 

 

 

 

 

 

Senior Director, University Development

 

 

 

Executive Vice President

 

 

Title

 

 

 

Title

 

 

 

 

 

 

 

 

 

12/23/97

 

 

 

12/29/97

 

 

Date

 

 

 

Date

 

 

 

--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

TUFTS UNIVERSITY -- PARATEK PHARMACEUTICALS, INC.
AMENDMENT NO. 2
TO LICENSE AGREEMENT DATED FEBRUARY 1, 1997

Exhibit A is hereby amended to include:

•

Patent application entitled: "[***]" Continuation in Part of U.S. patent No.:
[***], Filed [***], Notice of Allowance [***].

•

Provisional patent application entitled: "[***]", Serial No.: [***], Filed [***]

•

Patent application jointly owned with [***], entitled: "[***]", Serial No.:
[***], Filed [***]

•

Provisional patent application entitled: "[***]", Serial No.: [***], Filed [***]

•

Patent application entitled: "[***]", Serial No.: [***], Filed [***]

•

Patent application entitled: "[***]", U.S. patent No. [***], Issued [***],
Divisional Application of U.S. patent No. [***]

All other provisions of the Agreement remain unchanged and in full force and
effect.

 

TUFTS UNIVERSITY

 

PARATEK PHARMACEUTICALS, INC.

 

 

 

 

 

 

 

By:

 

/s/ Margaret Newell

 

By:

 

/s/ George C. Hillman

 

 

     (signature)

 

 

 

     (signature)

 

 

 

 

 

 

 

 

 

Margaret Newell

 

 

 

George C. Hillman

 

 

Name

 

 

 

Name

 

 

 

 

 

 

 

 

 

Executive Vice President and Associate Provost for Research

 

 

 

Chief Operating Officer

 

 

Title

 

 

 

Title

 

 

 

 

 

 

 

 

 

7/31/98

 

 

 

7/31/98

 

 

Date

 

 

 

Date

 

 

 

 

 

--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

TUFTS UNIVERSITY - PARATEK PHARMACEUTICALS, INC
AMENDMENT NO. 3
TO LICENSE AGREEMENT DATED FEBRUARY 1, 1997

 

Exhibit A and all amendments and modifications are deleted and replaced in their
entirety by the attached Exhibit A. Tufts’ ownership interests in all patents,
patent applications and disclosures listed in the attached Exhibit A are hereby
incorporated into the License Agreement dated February 1, 1997.

All other provisions of the Agreement as amended remain in full force and
effect.

 

IIN WITNESS WHEREOF, the parties hereto have duly executed and delivered this
Amendment to be effective as of the last date of signature below.

 

TUFTS UNIVERSITY

 

PARATEK PHARMACEUTICALS, INC.

 

 

 

 

 

 

 

By:

 

/s/ Margaret Newell

 

By:

 

/s/ George C. Hillman

Margaret Newell, Associate Provost for Research

 

George Hillman, Executive Vice President

 

 

 

 

 

 

 

Date:

 

6/3/99

 

Date:

 

6/3/99

 

 

 

 

 

 

 

 

 

 

 

 

--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

Amendment #3 - Exhibit A

PATENT SUMMARY AS OF MAY 27, 1999

Stuart B. Levy, M.D.

Compositions and Methods Related to Antibiotic Resistance

 

[***]

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--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

Amendment #3 - Exhibit A

 

PATENT SUMMARY AS OF MAY 27, 1999

 

Stuart B. Levy, M.D.

TETRACYLINE

 

[***]

[***]

[***]

[***]

[***]

[***]

 

 

 

--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

Amendment #3 - Exhibit A

 

PATENT SUMMARY AS OF MAY 27, 1999

 

Stuart B. Levy, M.D.

 

COMPOSITIONS AND METHODS RELATED TO ANTIBIOTIC RESISTANCE

DISCLOSURES

 

[***]

 

[***]

[***]

 

 

 

 

--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

Amendment #3 - Exhibit A

 

PATENT SUMMARY AS OF MAY 27, 1999

 

Stuart B. Levy, M.D.

 

TETRACYCLINE DISCLOSURES

 

[***]

 

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--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

TUFTS UNIVERSITY - PARATEK PHARMACEUTICALS, INC
AMENDMENT NO. 4
TO LICENSE AGREEMENT DATED FEBRUARY 1, 1997

Exhibit A and all amendments and modifications are deleted and replaced in their
entirety by the attached Exhibit A. Tufts’ ownership interests in all patents,
patent applications and disclosures listed in the attached Exhibit A are hereby
incorporated into the License Agreement dated February 1, 1997.  Exhibit A shall
hereafter be updated on an annual basis. Each new Exhibit A shall be dated and
appended hereto and by such action replace all prior versions of Exhibit A.

All other provisions of the Agreement as amended remain in full force and
effect.

IIN WITNESS WHEREOF, the parties hereto have duly executed and delivered this
Amendment to be effective as of the last date of signature below.

 

TUFTS UNIVERSITY

 

PARATEK PHARMACEUTICALS, INC.

 

 

 

 

 

 

 

By:

 

/s/ Margaret Newell

 

By:

 

/s/ George C. Hillman

Margaret Newell, Associate Provost for Research

 

George Hillman, Executive Vice President

 

 

 

 

 

 

 

Date:

 

8/9/00

 

Date:

 

8/14/00

 

 

 

 

 

 

 

 

 

 

 

 

--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

Updated August 8, 2000

Exhibit A

 

CONFIDENTIAL

ATTORNEY-CLIENT PRIVILEGED

 

PARATEK PHARMACEUTICALS, INC.

PATENT STATUS SHEET

 

Docket No.

(Firm of Record)

Serial No./

Patent No.

Title and Description

Inventors and/or

Contributors

(Owners)

Filing date/
Issue date

Status

[***]

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[***]

 

 

 

--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

CONFIDENTIAL

ATTORNEY-CLIENT PRIVILEGED

 

PARATEK PHARMACEUTICALS, INC.

PATENT STATUS SHEET

 

Docket No.

(Firm of Record)

Serial No./

Patent No.

Title and Description

Inventors and/or

Contributors

(Owners)

Filing date/
Issue date

Status

[***]

[***]

[***]

[***]

[***]

[***]

[***]

[***]

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--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

CONFIDENTIAL

ATTORNEY-CLIENT PRIVILEGED

 

PARATEK PHARMACEUTICALS, INC.

PATENT STATUS SHEET

 

Docket No.

(Firm of Record)

Serial No./

Patent No.

Title and Description

Inventors and/or

Contributors

(Owners)

Filing date/
Issue date

Status

[***]

[***]

[***]

[***]

[***]

[***]

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[***]

 

 

 

--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

CONFIDENTIAL

ATTORNEY-CLIENT PRIVILEGED

 

PARA TEK PHARMACEUTICALS, INC.

PATENT STATUS SHEET (FOREIGN)

 

Docket No.

(Firm of Record)

Region/ Country

Appln. No./ Patent No.

Title and Description

Appln. Date/ Grant date

Status

[***]

[***]

[***]

[***]

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[***]

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--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

CONFIDENTIAL

ATTORNEY-CLIENT PRIVILEGED

 

PARA TEK PHARMACEUTICALS, INC.

PATENT STATUS SHEET (FOREIGN)

 

Docket No.

(Firm of Record)

Region/ Country

Appln. No./ Patent No.

Title and Description

Appln. Date/ Grant date

Status

[***]

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--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

TUFTS UNIVERSITY - PARATEK PHARMACEUTICALS, INC
AMENDMENT NO. 5

TO LICENSE AGREEMENT DATED FEBRUARY 1, 1997

Exhibit A and all amendments and modifications are deleted and replaced in their
entirety by the attached Exhibit A. Tufts’ ownership interests in all patents,
patent applications and disclosures listed in the attached Exhibit A are hereby
incorporated into the License Agreement dated February 1, 1997. Exhibit A shall
hereafter be updated on an annual basis. Each new Exhibit A shall be dated and
appended hereto and by such action replace all prior versions of Exhibit A.

All other provisions of the Agreement as amended remain in full force and
effect.

IN WITNESS WHEREOF, the parties hereto have duly executed and delivered this
Amendment to be effective as of the last date of signature below.

 

TUFTS UNIVERSITY

 

PARATEK PHARMACEUTICALS,

INC.

 

 

 

 

 

 

 

 

 

By:

 

/s/ Margaret Newell

 

By:

 

/s/ George Hillman

Margaret Newell, Associate Provost for Research

 

George Hillman, Executive Vice President

 

 

 

 

 

 

 

Date:

 

9/10/01

 

Date:

 

9/10/01

 

 

 

 

 

 

 

 

 

 

 

 

--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

EXHIBIT A

 

CONFIDENTIAL

PATENT SUMMARY

 

L&C Docket No.

Title

Application No.

Patent No.

Filing date

Issue Date

Status

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--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

L&C Docket No.

Title

Application No.

Patent No.

Filing date

Issue Date

Status

[***]

[***]

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--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

L&C Docket No.

Title

Application No.

Patent No.

Filing date

Issue Date

Status

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--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

L&C Docket No.

Title

Application No.

Patent No.

Filing date

Issue Date

Status

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--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

TUFTS UNIVERSITY - PARATEK PHARMACEUTICALS, INC

AMENDMENT NO. 6

TO LICENSE AGREEMENT DATED FEBRUARY 1, 1997

Exhibit A and all amendments and modifications are deleted and replaced in their
entirety by the attached Exhibit A. Tufts’ ownership interests in all patents,
patent applications and disclosures listed in the attached Exhibit A are hereby
incorporated into the License Agreement dated February 1, 1997. Exhibit A shall
hereafter be updated on an annual basis. Each new Exhibit A shall be dated and
appended hereto and by such action replace all prior versions of Exhibit A.

All other provisions of the Agreement as amended remain in full force and
effect.

IN WITNESS WHEREOF, the parties hereto have duly executed and delivered this
Amendment to be effective as of the last date of signature below.

 

TUFTS UNIVERSITY

 

PARATEK PHARMACEUTICALS, INC.

 

 

 

 

 

 

 

By:

 

/s/ Margaret Newell

 

By:

 

/s/ George Hillman

 

 

George Hillman, Executive Vice President

 

 

 

 

 

 

 

Date:

 

12/11/02

 

Date:

 

12/11/02

 

 

 

 

 

 

 

 

 

 

 

--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

EXHIBIT A

 

CONFIDENTIAL

PATENT SUMMARY (TET)

 

 

L&C Docket No.

Title

Application No.

Patent No.

Filing Date

Issue Date

Status

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--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

EXHIBIT A

 

CONFIDENTIAL

PATENT SUMMARY (TET)

 

 

L&C Docket No.

Title

Application No.

Patent No.

Filing Date

Issue Date

Status

[***]

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--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

EXHIBIT A

 

CONFIDENTIAL

PATENT SUMMARY (TET)

 

 

L&C Docket No.

Title

Application No.

Patent No.

Filing Date

Issue Date

Status

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--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

EXHIBIT A

 

CONFIDENTIAL

PATENT SUMMARY (TET)

 

 

L&C Docket No.

Title

Application No.

Patent No.

Filing Date

Issue Date

Status

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--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

EXHIBIT A

 

CONFIDENTIAL

Patent Summary (MAR)

 

 

L&C Docket No.

Title

Application No.

Patent No.

Filing Date

Issue Date

Status

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--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

L&C Docket No.

Title

Application No.

Patent No.

Filing Date

Issue Date

Status

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--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

L&C Docket No.

Title

Application No.

Patent No.

Filing Date

Issue Date

Status

[***]

[***]

[***]

 

[***]

[***]

[***]

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

TUFTS UNIVERSITY — PARATEK PHARMACEUTICALS, INC.

AMENDMENT NO. 7

TO LICENSE AGREEMENT DATED FEBRUARY 1, 1997

Section 3.4 Running Royalties is hereby replaced by the following:

3.4 Running Royalties.

For the Medical Field of Use, Licensee agrees to pay to Tufts royalties of:

(a)[***] percent ([***]%) of the Gross Sales of Licensed Products, the making
using, or selling of which infringes (were it not for the License) at least one
claim in an issued, unexpired and non-lapsed patent included in the Patent
Rights; or

(b)[***] percent ([***]%) of the Gross Sales of Licensed Products that do not
fall within clause (a), above, but the manufacture, use, or sale of which would
infringe (were it not for the License) at least one claim in a pending patent
application included in the Patent Rights, if such claim were to issue.

For the Disinfectant Field of Use, Licensee agrees to pay to Tufts royalties of:

[***] percent ([***]%) of the Gross Sales of Licensed Products, the making
using, or selling of which infringes (were it not for the License) at least one
claim in an issued, unexpired and non-lapsed patent included in the Patent
Rights or would infringe (were it not for the License) at least one claim in a
pending patent application included in the Patent Rights, if such claim were to
issue.

Section 3.5 Sublicense Royalties is hereby replaced by the following:

3.5 Sublicense Fees and Royalties.

For the Medical Field of Use, Licensee agrees to make the following payments to
Tufts:

(a) Sublicense Fees. For the Medical Field of Use, for each sublicense granted
by Licensee, Licensee shall pay to Tufts ten percent (10%) of that portion of
any sublicense issue fees or license maintenance fees received by Licensee that
are reasonably attributable to sublicenses of rights granted to Licensee
hereunder. Funds received by Licensee from a sublicensee for research conducted
by Licensee, achievement of product development-related performance milestones,
or for equity investments in Licensee will not be subject to any fees hereunder.

(b) Sublicense Royalties. For the Medical Field of Use, for each sublicense
granted by Licensee, Licensee shall pay to Tufts the lesser of (i) [***] percent
([***]%) of any royalty payments received under such sublicense with respect to
sales by the sublicensee of Licensed Products covered by a claim contained in an
issued Patent Right or a claim included in a pending application covering a
Patent Right on a country-by-country basis or (ii) the royalty which would be
due, pursuant to Section 3.4, if Licensee, rather than the sublicensee, had sold
the Licensed Product.

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

For the Disinfectant Field of Use, Licensee agrees to make the following
payments to Tufts:

(c) Sublicense Fees. For the Disinfectant Field of Use, for each sublicense
granted by Licensee, Licensee shall pay to Tufts fourteen percent (14%) of that
portion of any sublicense issue fees or license maintenance fees received by
Licensee that are reasonably attributable to sublicenses of rights granted to
Licensee hereunder. Funds received by Licensee from a sublicensee for research
conducted by Licensee, achievement of product development- related performance
milestones, or for equity investments in Licensee will not be subject to any
fees hereunder.

(d) Sublicense Royalties. For the Disinfectant Field of Use, for each sublicense
granted by Licensee, Licensee shall pay to Tufts the lesser of (i) [***] percent
([***]%) of any royalty payments received under such sublicense with respect to
sales by the sublicensee of Licensed Products covered by a claim contained in an
issued Patent Right or a claim included in a pending application covering a
Patent Right on a country-by-country basis or (ii) the royalty which would be
due, pursuant to Section 3.4, if Licensee, rather than the sublicensee, had sold
the Licensed Product.

ARTICLE VI — DILIGENCE clause (ii) of the fifth sentence is hereby amended to
read:

(ii) filed an IND for a Licensed Product in the United States within seven (7)
years of the Effective Date.

ARTICLE VI — DILIGENCE Third paragraph is hereby amended to read:
“Notwithstanding the forgoing, Tufts shall have the right at any time after
twelve (12) years from the Effective Date to convert the License...”

Exhibit A and all amendments and modifications are deleted and replaced in their
entirety by the attached Exhibit A. Tufts’ ownership interests in all patents,
patent applications and disclosures listed in the attached Exhibit A are hereby
incorporated into the License Agreement dated February 1, 1997. Exhibit A shall
hereafter be updated on an annual basis. Each new Exhibit A shall be dated and
appended hereto and by such action replace all prior versions of Exhibit A.

All other provisions of the Agreement as amended remain in full force and
effect.

IN WITNESS WHEREOF, the parties hereto have duly executed and delivered this
Amendment to be effective as of the last date of signature below.

 

TUFTS UNIVERSITY

 

PARATEK PHARMACEUTICALS

 

 

 

 

 

 

 

By:

 

/s/ Margaret Newell

 

By:

 

/s/ Thomas J. Bigger

Margaret Newell Associate Provost for Research

 

Thomas J. Bigger President and Chief Executive Officer

 

 

 

 

 

 

 

Date:

 

7/1/03

 

Date:

 

6/17/03

 

 

 

 

 

 

 

 

 

 

 

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

EXHIBIT A

 

CONFIDENTIAL

Patent Summary (TET)

 

L&C Docket No.

Title

Application No.

Patent No.

Billing Date

Filing Date

Status

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

EXHIBIT A

 

CONFIDENTIAL

Patent Summary (TET)

 

L&C Docket No.

Title

Application No.

Patent No.

Billing Date

Filing Date

Status

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

EXHIBIT A

 

CONFIDENTIAL

Patent Summary (TET)

 

L&C Docket No.

Title

Application No.

Patent No.

Billing Date

Filing Date

Status

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

EXHIBIT A

 

CONFIDENTIAL

Patent Summary (TET)

 

L&C Docket No.

Title

Application No.

Patent No.

Billing Date

Filing Date

Status

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

EXHIBIT A

 

CONFIDENTIAL

Patent Summary (TET)

 

L&C Docket No.

Title

Application No.

Patent No.

Billing Date

Filing Date

Status

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

EXHIBIT A

 

CONFIDENTIAL

Patent Summary (TET)

 

L&C Docket No.

Title

Application No.

Patent No.

Billing Date

Filing Date

Status

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

EXHIBIT A

 

CONFIDENTIAL

Patent Summary (MAR)

 

L&C Docket No.

Title

Application No.

Patent No.

Billing Date

Filing Date

Status

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

EXHIBIT A

 

CONFIDENTIAL

Patent Summary (MAR)

 

L&C Docket No.

Title

Application No.

Patent No.

Billing Date

Filing Date

Status

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[***]

[***]

[***]

[***]

[***]

 

[***]

 

[***]

[***]

[***]

[***]

 

[***]

 

[***]

[***]

[***]

[***]

 

[***]

 

[***]

[***]

[***]

[***]

 

[***]

 

[***]

[***]

[***]

[***]

 

[***]

 

[***]

[***]

[***]

[***]

 

[***]

 

[***]

[***]

[***]

[***]

 

[***]

 

[***]

 

 

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

EXHIBIT A

 

CONFIDENTIAL

Patent Summary (MAR)

 

L&C Docket No.

Title

Application No.

Patent No.

Billing Date

Filing Date

Status

[***]

[***]

 

 

 

 

[***]

[***]

[***]

[***]

 

 

 

[***]

[***]

[***]

[***]

 

[***]

 

[***]

[***]

[***]

[***]

 

[***]

 

[***]

[***]

[***]

[***]

 

[***]

 

[***]

[***]

[***]

[***]

 

[***]

 

[***]

[***]

[***]

[***]

 

[***]

 

[***]

 

 

 

 

--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

AMENDMENT NO. 8 TO THE

TUFTS UNIVERSITY License Agreement

 

This Amendment No. 8 to the Tufts University License Agreement (this
“Amendment”), dated as of November 20, 2012 (the “Amendment Effective Date”) is
by and between Paratek Pharmaceuticals, Inc. (“Licensee”), and Tufts University,
a/k/a Trustees of Tufts College (“Tufts”).  Each of Licensee and Tufts is
sometimes referred to individually herein as a “Party” and collectively as the
“Parties”.

WHEREAS, the Parties entered into the Tufts University License Agreement,
effective as of February 1, 1997 and entered into amendments thereto: Amendment
No. 1 dated as of December 29, 1997, Amendment No. 2 dated July 31, 1998,
Amendment No. 3 dated June 3, 1999, Amendment No. 4 dated August 14, 2000,
Amendment No. 5 dated September 10, 2001, Amendment No. 6 dated December 11,
2002, Amendment No. 7 dated July 1, 2003 and the letter agreement dated
September 17, 2009 (the “Novartis Amendment”), as so amended, the “License
Agreement”; and

 

WHEREAS, the Parties now wish to further amend the License Agreement as set
forth herein.

 

NOW, THEREFORE, in consideration of the mutual covenants contained herein, and
for other good and valuable consideration, the receipt and adequacy of which are
hereby acknowledged, the Parties hereto, intending to be legally bound, hereby
agree as follows:

 

1.Amendments to Agreement.

(a)The definition of Field of Use in Section 1.4 of the License Agreement is
hereby deleted in its entirety and the following is hereby inserted in lieu
thereof:

“Medical Field of Use” shall mean the prophylaxis, treatment or prevention of
all diseases or medical conditions in humans, animals and/or agriculture,
including bacterial or microbial diseases, through the direct administration of
(a) tetracycline derivatives or (b) compounds which affect tetracycline
resistance or (c) compounds based on knowledge of the MAR operon or (d)
compounds involving novel genes which affect antibiotic resistance or microbial
infectivity and which are derived from studies of the MAR operon or (e)
compounds that affect any such genes.

“Disinfectant Field of Use” shall mean the use of compositions, including but
not limited to disinfectants and soaps, in any manner other than the direct
administration to humans or animals or agriculture, to kill or reduce the growth
rate of microorganisms, where such compositions include (a) tetracycline
derivatives or (b) compounds which affect tetracycline resistance or (c)
compounds based on knowledge of the MAR operon or (d) compounds involving novel
genes which affect antibiotic resistance or microbial infectivity and which are
derived from studies of the MAR operon or (e) compounds that affect any such
genes.

 

 

--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

“Field of Use” shall mean the Medical Field of Use and Disinfectant Field of
Use, collectively.

(b)The definition of Licensed Products in Section 1.6 of the License Agreement
is hereby amended by adding the following at the end of the definition:

“For purposes of clarity, the Parties hereby agree that [***] shall be treated
as Licensed Products.”  

(c)The first sentence of Section 3.3 of the License Agreement is hereby deleted
in its entirety and the following is hereby inserted in lieu thereof:  

 

“Licensee agrees to pay to Tufts a minimum royalty payment of Twenty Five
Thousand Dollars ($25,000) at the end of each twelve-month period commencing on
each anniversary of the Effective Date.”

(d)Section 3.4 of the License Agreement is hereby deleted in its entirety and
the following is hereby inserted in lieu thereof:

“3.4Running Royalties.

For the Medical Field of Use, Licensee agrees to pay to Tufts royalties of:

[***] percent ([***]%) of the Gross Sales of Licensed Products, (a) that are
comprised of or contain Licensed Compounds or (b) the making, using, or selling
of which infringes (were it not for the License) at least one claim in an
issued, unexpired and non-lapsed patent included in the Patent Rights or would
infringe (were it not for the License) at least one claim in a pending patent
application included in the Patent Rights, if such claim were to issue.

For the Disinfectant Field of Use, Licensee agrees to pay to Tufts royalties of:

[***] percent ([***]%) of the Gross Sales of Licensed Products, (a) that are
comprised of or contain Licensed Compounds or (b) the making, using, or selling
of which infringes (were it not for the License) at least one claim in an
issued, unexpired and non-lapsed patent included in the Patent Rights or would
infringe (were it not for the License) at least one claim in a pending patent
application included in the Patent Rights, if such claim were to issue.”

(e)The following new Section 3.6A of the License Agreement is hereby inserted
immediately before Section 3.6:

“3.6A Licensee Challenge.  In the event Licensee, its affiliates or
subsidiaries, directly or indirectly through a third party, initiates a
Challenge or assists any party in doing so then, commencing on the date that
such Challenge is initiated and continuing until such Challenge is irrevocably
withdrawn: (a) the [***] shall be [***] and (b) Licensee’s right to withhold any
royalty identified in Section 3.6 shall not be applicable, in the case of each
of (a), (b) and (c) of Section 3.6 until such Challenge has been withdrawn
irrevocably.  

 

 

--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

As used herein, the term “Challenge” shall mean any challenge to the validity or
enforceability of any patents or patent applications owned in whole or in part
by Tufts by: (a) filing a declaratory judgment action in which any such patents
or patent applications is alleged to be invalid or unenforceable; (b) filing a
request for re-examination of any of such patents or patent applications
pursuant to 35 U.S.C. §302 and/or §311, or provoking or becoming party to an
interference with an application for any such patents or patent applications
pursuant to 35 U.S.C. §135; or (c) filing or commencing any post grant review,
inter partes review, third party observation, derivation, opposition,
cancellation, nullity or similar proceedings against any of such patents or
patent applications.” 

(f)The fourth paragraph of Article VI of the License Agreement is hereby deleted
in its entirety and the following is hereby inserted in lieu thereof:

“Notwithstanding the foregoing, Tufts shall have the right at any time after
[***] to convert the License hereunder to non-exclusive if Licensee, its
Subsidiaries or its sublicensees have not by the time of such conversion met
each of the following milestones by the applicable date:

Milestone

Due By

[***]

[***]

[***]

[***]

 

(g)

The Novartis Amendment is hereby terminated and of no further force and effect.

2.Payment of Minimum Royalty Fee.  The $25,000 Minimum Royalty Fee for the
license period through the Amendment Effective Date shall be paid by Licensee to
Tufts within [***] days of the date that Licensee receives an invoice from Tufts
on and after the Amendment Effective Date.

3.Further Clarification of Terms. Tufts hereby agrees to cooperate with
Licensee, including by taking such actions reasonably requested by Licensee, to
enforce, commercialize products under, protect and/or maintain foreign patents
or patent applications included as Patent Rights under the License Agreement, as
amended by the Amendment, in each case including any divisions, continuations,
continuations-in-part, re-examinations, extensions, renewals, or reissues of
such patents or patent applications.  Licensee hereby agrees to cooperate with
Tufts to properly reflect the rights of Tufts in any patents or patent
applications covering any products that include or contain any compound
identified as a lead by Paratek, in each case including any divisions,
continuations, continuations-in-part, re-examinations, extensions, renewals, or
reissues of such patents or patent applications.  Licensee will file and
prosecute patent applications or claims to pending patent applications
corresponding to the Patent Rights as reasonably requested by Tufts.  Licensee
shall reimburse Tufts for its reasonable attorneys’ fees and out-of-pocket costs
incurred on and after the Amendment Effective Date in so doing, up to a maximum
amount equal to $[***] for the period commencing on the Amendment Effective Date
and ending on January 31, 2014 and $[***] each twelve (12) month period
thereafter, which shall be payable in arrears within [***] days upon submission
by Tufts to Licensee of an invoice evidencing such fees and costs.   

 

 

--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

4.Covenant.  The Parties hereby covenant and agree to use commercially
reasonable efforts to reach a mutually satisfactory agreement on an amendment to
Exhibit A to the License Agreement as soon as practicable after the Amendment
Effective Date and before [***].

5.Confirmation.  Tufts hereby confirms to Licensee that Licensee, as of the date
of the Amendment:  (a) has provided to Tufts all annual and any other reports
required pursuant to Article VI of the License Agreement; and (b) has made the
payments required by Sections 3.1, and 3.3 (including but not limited to
Sponsored Research Agreement payments) under the License Agreement.

6.Miscellaneous.  The Parties hereby confirm and agree that the License
Agreement, as amended hereby and as further provided in this Amendment, together
shall constitute the entire amended License Agreement among the parties, remains
in full force and effect and is a binding obligation of the Parties
hereto.  This Amendment may be executed in counterparts, each of which shall be
deemed an original, but all of which together shall constitute one and the same
instrument.

 

 

[Remainder of page intentionally left blank.]

 

 

--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

IN WITNESS WHEREOF, the Parties hereto have executed this Amendment as of the
Amendment Effective Date.

 

 

PARATEK PHARMACEUTICALS, INC.

 

 

 

By:

 

/s/ Dennis Molnar

 

Name:

 

Dennis Molnar

 

Title:

 

President and Chief Executive Officer

 

 

TUFTS UNIVERSITY A/K/A TRUSTEES OF TUFTS COLLEGE

 

 

 

 

 

By:

 

/s/ David R. Harris

 

Name:

 

David R. Harris

 

Title:

 

Provost & Senior Vice President

 

 

--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

AMENDMENT NO.9 TO THE
TUFTS UNIVERSITY LICENSE AGREEMENT

This Amendment No. 9 to the Tufts University License Agreement (this
“Amendment”), dated as of June 24th, 2014 (the “Amendment Effective Date”) is by
and between Paratek Pharmaceuticals, Inc. (“Licensee”), and Tufts University,
a/k/a Trustees of Tufts College (“Tufts”).  Each of Licensee and Tufts is
sometimes referred to individually herein as a “Party” and collectively as the
“Parties”.

WHEREAS, the Parties entered into the Tufts University License Agreement,
effective as of February 1, 1997 and entered into amendments thereto: Amendment
No. 1 dated as of December 29, 1997, Amendment No. 2 dated July 31, 1998,
Amendment No. 3 dated June 3, 1999, Amendment No. 4 dated August 14, 2000,
Amendment No. 5 dated September 10, 2001, Amendment No. 6 dated December 11,
2002, Amendment No. 7 dated July 1, 2003 and Amendment No. 8 dated November 20,
2012, as so amended, the “License Agreement”; and

WHEREAS, the Parties now wish to further amend the License Agreement as set
forth herein.

NOW, THEREFORE, in consideration of the mutual covenants contained herein, and
for other good and valuable consideration, the receipt and adequacy of which are
hereby acknowledged, the Parties hereto, intending to be legally bound, hereby
agree as follows:

1.Amendments to Agreement.

(a)The fourth paragraph of Article VI of the License Agreement is hereby deleted
in its entirety and the following is hereby inserted in lieu thereof:

“Notwithstanding the foregoing, Tufts shall have the right at any time after
[***] to convert the License hereunder to non-exclusive if Licensee, its
Subsidiaries or its sublicensees have not by the time of such conversion met
each of the following milestones by the applicable date:

Milestone

 

Due By

[***]

 

[***]

[***]

 

[***]

(b)The Covenant in Section 4 of Amendment No. 8 is hereby deleted in its
entirety and the following is hereby inserted in lieu thereof:

 

“4.  Covenant.  The Parties hereby covenant and agree to use commercially
reasonable efforts to reach a mutually satisfactory agreement on an amendment to
Exhibit A to the License Agreement as soon as practicable after the Amendment
Effective Date and before [***].”

 

 

 

--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

2.Payment of outstanding Minimum Royalty Fees due under Section 2 of Amendment
No. 8.  The $25,000 Minimum Royalty Fee described in the invoice dated [***] and
attached as Appendix A to this Amendment No. 9 shall be paid by Licensee to
Tufts by [***].  The $25,000 Minimum Royalty Fee described in the invoice dated
[***] and attached as Appendix B to this Amendment No. 9 shall be paid by
Licensee to Tufts within by [***].

3.Miscellaneous.  The Parties hereby confirm and agree that the License
Agreement, as amended hereby and as further provided in this Amendment, together
shall constitute the entire amended License Agreement among the parties, remains
in full force and effect and is a binding obligation of the Parties
hereto.  This Amendment may be executed in counterparts, each of which shall be
deemed an original, but all of which together shall constitute one and the same
instrument.

[Remainder of page intentionally left blank.]

 

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

IN WITNESS WHEREOF, the Parties hereto have executed this Amendment as of the
Amendment Effective Date.

 

 

PARATEK PHARMACEUTICALS, INC.

 

 

 

By:

 

/s/ Dennis Molnar

 

Name:

 

Dennis Molnar

 

Title:

 

President and Chief Executive Officer

 

 

 

TUFTS UNIVERSITY A/K/A TRUSTEES OF TUFTS COLLEGE

 

 

 

 

 

By:

 

/s/ Diane L. Souvaine

 

Name:

 

Diane L. Souvaine

 

Title:

 

Vice-Provost for Research

 

 

 

 

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THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

Appendix A

TUFTS UNIVERSITY

Office for Technology Licensing and Industry Collaboration

136 Harrison Avenue, Suite 75K-950

Boston, MA 02111

FEIN 04 210 3634

[***]
Tufts invoice 13/OTLIC/083 (revised)

By email to dmolnar@Paratekpharm.com

Dennis Molnar
President, Chief Executive Officer
Paratek Pharmaceuticals, Inc.
75 Kneeland Street
Boston, MA 02111

Re:

Tufts University—Paratek Pharmaceuticals License Agreement
effective February 1, 1997
Amendment 8 of November 20, 2012
Amendment to section 3.3

Minimum royalty payment of twenty five thousand dollars at the end of each
twelve month period commencing on each anniversary of effective date

INVOICE

Fee due for license period through the amendment 8 effective date

February 1, 2012, through January 31, 2013$25,000.00

Please make your check payable to Tufts University and send it to

Thomas McVarish

Tufts University

Office of the Vice Provost

Suite 75K-950

136 Harrison Avenue

Boston, MA 02111

Phone  ●  [***]E-mail  ●  [***]

 

 

--------------------------------------------------------------------------------

THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT
REQUEST. REDACTED MATERIAL IS MARKED WITH [* * *] AND HAS BEEN FILED SEPARATELY
WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

Appendix B

TUFTS UNIVERSITY

Office for Technology Licensing and Industry Collaboration

136 Harrison Avenue, Suite 75K-950

Boston, MA 02111

FEIN 04 210 3634

[***]
Tufts invoice 14/OTLIC/062

By email to dmolnar@Paratekpharm.com

Dennis Molnar
President, Chief Executive Officer
Paratek Pharmaceuticals, Inc.
75 Kneeland Street
Boston, MA 02111

Re:

Tufts University—Paratek Pharmaceuticals License Agreement
effective February 1, 1997
Amendment 8 of November 20, 2012
Amendment to section 3.3

Minimum royalty payment of twenty five thousand dollars at the end of each
twelve month period commencing on each anniversary of effective date

INVOICE

Fee due for license period

February 1, 2013, through January 31, 2014$25,000.00

Please make your check payable to Tufts University and send it to

Thomas McVarish

Tufts University

Office of the Vice Provost

Suite 75K-950

136 Harrison Avenue

Boston, MA 02111

Phone  ●  [***]E-mail  ●  [***]