Separation Agreement and General Release of Claims dated April 4, 2003


  EXHIBIT 10.4
 SEPARATION
AGREEMENT
AND
GENERAL RELEASE OF CLAIMS
 This Separation Agreement and General Release of
Claims (hereinafter “Agreement”) is entered into by and between Robert E. Sobol, M.D. (hereinafter “Employee”) and Corautus Genetics Inc. (hereinafter “Corautus” or “Company”).
 RECITALS
 A.
Corautus (formerly known as GenStar Therapeutics Corporation) is a corporation and is doing business in the State of California.
 B.
Employee has been employed by Corautus as President.

 C.
Effective March 31, 2003, Employee will
resign his position with Corautus to pursue other interests. 
 D.
Employee desires to settle and compromise any and all possible claims and disputes he has against Corautus arising out of their relationship to
date, and to provide for a General Release of any and all such claims. 
 AGREEMENT
 1.
Termination of Employment.
 a.
Employee agrees that his resignation from employment with
Corautus shall be effective and that his employment relationship with Corautus shall terminate as of March 31, 2003. 
 b.
Corautus shall pay Employee the sum of Ninety-Three Thousand Five Hundred Ninety-Three and 46/100 Dollars ($93,593.46) less applicable payroll taxes, on the eighth day after execution hereof in complete and full satisfaction of all accrued wages, salary and vacation pay owed by Corautus to Employee. 
 c.
Employee hereby resigns as President and Director of
Corautus effective March 31, 2003. 
 2.
Separation Pay/Consideration.
 Eight (8) days after Employee’s execution of this Agreement, Employee shall become eligible to receive the
following consideration:
 







  a.
In consideration of
the covenants and releases of all claims other than Age Discrimination in Employment Act of 1967 (“ADEA”) claims given herein, Corautus will provide the following consideration to Employee: 
 i.
Corautus will issue to Employee options for 50,000
shares of Common Stock of Corautus at an exercise price of $.01 per share. Shares of Common Stock issued pursuant to the exercise of such options will be subject to the GenStar Stockholders Agreement among GenStar Therapeutics Corporation, Employee
and others dated September 12, 2002. 
 ii.
Corautus will extend the time period to exercise vested Corautus stock options from 90 days from the termination of employment date as set forth in Section 1 of this Agreement, to two (2) years from the termination of employment date as set
forth in Section 1 of this Agreement. 
 iii.
Corautus will continue to provide the existing medical and life insurance coverage elected by Employee under Corautus’s group health insurance and life insurance plans or will provide comparable medical insurance coverage to Employee and
his spouse and eligible dependent children for a period of six (6) months from March 31, 2003, with Corautus to pay the entire premium for such coverage. 
 iv.
As additional consideration for the favorable provisions in this Agreement, Corautus agrees to assign to Employee or
an entity designated by him, to the extent assignable, all of its right, title and interest, if any, which Corautus now has, in and to the grants, pending grants, patents and patent applications listed on Exhibit A and the intellectual property or
inventions of Corautus which are solely associated therewith, together with all reasonably related written, graphic and/or machine readable materials, research and development documentation, grant related documents and reagents reasonably associated
therewith (collectively “Property”); provided that (A) all such assignments of the Property will be AS IS and without any representation or warranty of any kind, express or implied, and subject to all liabilities, defects or encumbrances
associated therewith; (B) Corautus is released in writing by all applicable parties from all obligations and liabilities, whenever arising, with respect to such grants, pending grants, patents, patent applications and licenses and as part of and as
a condition to such transfers, and such parties agree to look solely to Employee or the entity designated by him for all performance required in connection therewith; (C) Employee will have the burden and sole expense of obtaining all needed
consents and preparing all agreements and documents for all such transfers, which shall comply with the foregoing and shall be subject to Corautus’s review and approval.
 
2





  v.
Corautus agrees to
execute such reasonably required additional documents and perform such reasonable acts as are reasonably necessary to effectuate the intent of this Agreement, including without limitation the assignment set forth in subsection iv above, which are
not, in Corautus’ sole opinion, unduly burdensome. Further, effective immediately upon such assignment, Corautus shall have no right or obligation to: (1) continue prosecution of patent applications that are part of the Property; (2) maintain
any existing patents that are part of the Property; (2) enforce any patents; or (3) take any action in furtherance of prosecuting or exploiting patent applications, patents, grants or pending grants. 
 b.
In consideration of the covenants and releases of all
ADEA claims given herein, Corautus will issue to Employee options for 50,000 shares of common stock of Corautus at an exercise price of $.01 per share, such shares being in addition to the shares under 2(a)(i) above. Shares of Common Stock issued
pursuant to the exercise of such options will be subject to the GenStar Stockholders Agreement among GenStar Therapeutics Corporation, Employee and others dated September 12, 2002
 c.
Release of All Claims Except ADEA
Claims.
 a.
In consideration of the separation
payment/consideration described in Section 2a of this Agreement, which Employee would otherwise not be entitled to except for signing this Agreement, Employee does hereby unconditionally, irrevocably and absolutely release and discharge Corautus,
its owners, directors, officers, employees, agents, attorneys, stockholders, insurers, divisions, predecessors, successors and assigns, and any related holding, parent, sister or subsidiary corporations from any and all loss, liability, claims,
demands, causes of action or suits of any type, whether in law and/or in equity, related directly or indirectly, or in any way connected with any transaction, affairs or occurrences between them to date, including, but not limited to,
Employee’s employment with Corautus and the termination of said employment. This Agreement specifically applies, without limitation, to any and all contract or tort claims, claims for wrongful termination, and claims arising under Title VII of
the Civil Rights Act of 1991, the Americans with Disabilities Act, the Equal Pay Act, the California Fair Employment and Housing Act, the Fair Labor Standards Act, the Family and Medical Leave Act, the California Family Rights Act, the California
Labor Code, the Employee Retirement Income Security Act of 1974, and any and all federal or state statutes or provisions governing discrimination in employment except the federal statute specifically excluded hereafter. This release specifically
excludes any and all loss, liability, claims, demands, causes of action or suits of any type arising under the ADEA. Employee’s release of ADEA claims will be addressed separately in Section 2(d) of this Agreement.
 
3





  b.
Employee does expressly waive all of the benefits
and rights granted to him pursuant to California Civil Code section 1542, which reads as follows:
 A GENERAL RELEASE DOES NOT EXTEND TO
CLAIMS WHICH THE CREDITOR DOES NOT KNOW OF OR SUSPECT TO EXIST IN HIS FAVOR AT THE TIME OF EXECUTING THE RELEASE, WHICH IF KNOWN BY HIM MUST HAVE MATERIALLY AFFECTED HIS SETTLEMENT WITH THE DEBTOR.
 Employee does certify that he has read all of this Agreement, including the release provisions contained herein and the quoted Civil Code section, and that he fully understands all of the same.
Employee hereby expressly agrees that this Agreement shall extend and apply to all unknown, unsuspected and unanticipated injuries and damages, as well as those that are now disclosed.
 c.
Employee irrevocably and absolutely agrees that he will not prosecute nor allow to be
prosecuted on his behalf, in any administrative agency, whether federal or state, or in any court, whether federal or state, any claim or demand of any type related to the matters released above, it being the intention of the parties that with the
execution by Employee of this release, Corautus, its owners, directors, officers, employees, agents, attorneys, stockholders, insurers, divisions, predecessors, successors and assigns, and any related holding, parent, sister or subsidiary
corporations will be absolutely, unconditionally and forever discharged of and from all obligations to or on behalf of Employee related in any way to the matters discharged herein.
 d.
Release of All ADEA Claims.
 a.
This section of the Agreement exclusively addresses
Employee’s release of claims arising under federal law involving discrimination on the basis of age in employment (age forty and above). This section is provided separately, in compliance with federal law, including but not limited to the Older
Workers’ Benefit Protection Act of 1990, to ensure that Employee clearly understands his rights so that any release of age discrimination claims under federal law (the Age Discrimination in Employment Act of 1967 (“ADEA”)) is knowing
and voluntary on the part of Employee.
 b.
Employee represents,
acknowledges and agrees that Corautus has advised him, in writing, to discuss this Agreement with an attorney, and to that extent, if any, that Employee has desired, Employee has done so; that Corautus has given Employee forty-five (45) days from
receipt of this Agreement to review and consider this Agreement before signing it, and Employee
 
4





  understands that he may use as much of this forty-five (45) day period as he wishes prior to signing; and that no promise,
representation, warranty or agreements not contained herein have been made by or with anyone to cause him to sign this Agreement; that he has read this Agreement in its entirety, and fully understands and is aware of its meaning, intent, content and
legal effect; and that he is executing this release voluntarily and free of any duress or coercion.
 c.
Employee represents, acknowledges and agrees that he has reviewed Exhibit B, attached to this Agreement, which sets forth the
job titles and ages of employees whose current position have been impacted by the reorganization and the relevant job titles and ages of employees who were not impacted by the reorganization.
 d.
The parties acknowledge that for a period of seven (7) days following the
execution of this Agreement, Employee may revoke the Agreement, and the Agreement shall not become effective or enforceable until the revocation period has expired. This Agreement shall become effective eight (8) days after it has been signed
by Employee and Corautus, and in the event the parties do not sign on the same date, then this Agreement shall become effective eight (8) days after the date it is signed by Employee. 
 e.
In consideration of the separation payment made to Employee described in Section 2b
of this Agreement, which Employee would otherwise not be entitled to except for signing this Agreement, Employee does hereby unconditionally, irrevocably and absolutely release and discharge Corautus, its owners, directors, officers, employees,
agents, attorneys, stockholders, insurers, divisions, predecessors, successors and assigns, and any related holding, parent, sister or subsidiary corporations from any and all loss, liability, claims, demands, causes of action or suits of any type
arising under the ADEA and related directly or indirectly to Employee’s employment with Corautus and the termination of said employment. 
 f.
Employee does expressly waive all of the benefits and rights granted to him pursuant to California Civil Code section 1542, which reads as follows:
 A GENERAL RELEASE DOES NOT EXTEND TO CLAIMS WHICH THE CREDITOR DOES NOT KNOW OF OR SUSPECT TO EXIST IN HIS FAVOR AT THE TIME OF EXECUTING THE RELEASE, WHICH IF
KNOWN BY HIM MUST HAVE MATERIALLY AFFECTED HIS SETTLEMENT WITH THE DEBTOR.
 
5





  Employee does certify that he has read all of this Agreement, including the release provisions contained herein and the quoted Civil Code
section, and that he fully understands all of the same. Employee hereby expressly agrees that this Agreement shall extend and apply to all unknown, unsuspected and unanticipated ADEA injuries and damages, as well as those ADEA injuries and damages
that are now disclosed.
 e.
Confidentiality/Non-Disparagement.
 Employee agrees that all matters relative to this Agreement shall remain confidential.
Accordingly, Employee hereby agrees that, with the exception of his spouse, counsel and tax advisors, he shall not discuss, disclose or reveal to any other persons, entities or organizations, whether within or outside of Corautus, the terms and
conditions of this Agreement. Employee agrees not to make any derogatory or adverse statements, written or verbal, regarding Corautus or any of its present or former directors, officers or employees, to anyone. Additionally, Employee acknowledges
and reaffirms responsibility under the Confidential Information and Inventions Assignment Agreement signed upon employment with Corautus.
 f.
Entire Agreement. 
 The
Parties further declare and represent that no promise, inducement or agreement not herein expressed has been made to them and that this Agreement contains the full and entire agreement between and among the Parties, and that the terms of this
Agreement are contractual and not a mere recital.
 g.
Applicable Law. 
 The
validity, interpretation, and performance of this Agreement shall be construed and interpreted according to the laws of the State of California.
 h.
Dispute Resolution. 
 Any
dispute arising out of or related to this Agreement shall be resolved through binding arbitration through JAMS/Endispute in San Diego, California, under the then current applicable rules of JAMS/Endispute. Each party shall be responsible for its or
his own costs and attorneys’ fees in connection with the arbitration.
 i.
Complete Defense.
 This
Agreement may be pleaded as a full and complete defense against any action, suit or proceeding which may be prosecuted, instituted or attempted by either party in breach thereof.
 j.
Severability.


6





  If any provision of this Agreement, or part thereof, is held invalid, void or voidable as against public policy or otherwise, the
invalidity shall not affect other provisions, or parts thereof, which may be given effect without the invalid provision or part. To this extent, the provisions, and parts thereof, of this Agreement are declared to be severable. 
 k.
No Admission of Liability.
 It is understood that this Agreement is not an admission of any liability by any person, firm, association or corporation but is in compromise of a
disputed claim.
 l.
Successors and
Assigns.
 This Agreement shall be binding upon and inure to the benefit of the parties hereto and their respective heirs, legal
representatives, successors and assigns.
 IN WITNESS WHEREOF, the undersigned have executed this Agreement on the dates shown
below.
   

	  
 	  
 	  
 
	 
 Dated: April 4, 2003
 	  
 	 
 /s/ ROBERT E. SOBOL, M.D.
 
	  
 	  
 	 
 
	  
 	  
 	 Robert E. Sobol, M.D.
 

  

	  
 	  
 	 Corautus Genetics Inc.
 
 
 
	 
 Dated: April 4, 2003
 	  
 	 By: 
 	 
 /s/ RICHARD E. OTTO
 
	  
 	  
 	  
 	 
 
	  
 	  
 	 Richard E. Otto, Chief Executive Officer
 

 
7





  EXHIBIT A
 Grants
  

	  
 	  
 	  
 
	 
 	 
 	 
 
	 Number/Status/Duration
 	  
 	 Title/Purpose
 
	 
 	 
 	 
 
	 R43 A1054065-01
 	  
 	 PEGylation of Max-Ad Vectors to Enhance Gene Delivery
 
	 
 	 
 	 
 
	 R43 AI055121-01
 	  
 	 Liposome Enhancement of Max-Ad Vector Gene Delivery
 
	 
 	 
 	 
 
	 R43 AI50324-02
 	  
 	 A Max-Ad Vaccine for Mucosal Immunity to HIV
 
	 
 	 
 	 
 
	 R43 CA 83156
 	  
 	 Complimentary Adenoviral Vectors for Treatment of Prostate Cancer (Phase I)
 
	 
 	 
 	 
 
	 R44 CA 83156
 	  
 	 Complimentary Adenoviral Vectors for Treatment of Prostate Cancer (Phase II)
 
	 
 	 
 	 
 
	 R44 HL 63477-03
 	  
 	 A Max-Ad Vector for Treatment of Hemophilia Factor VIII Deficiency
 
	 
 	 
 	 
 

 
 Licenses to Cover the Following Patents and Patent Applications
  

	  
 
	 
 
	 INDEX TO FOREIGN PATENT FILES [MBHB]
 
	 
 
	 No.
 	  
 	 Case No.
 	  
 	 Title
 	  
 	 Inventor
 	  
 	 Serial No.
 	  
 	 Vol.
 	  
 	 Patent Issued
 	  
 	 Location
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 MINI-AD
 
	 
 
	 1
 	  
 	 96,2087-B
 (PCT)
 	  
 	 Mini Ad Vector
 Filed: 12/4/97
 	  
 	 Zhang et al
 	  
 	 PCT/US97/10218
 	  
 	  
 	  
 	  
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 1.1
 	  
 	 96,2087-B
 (PCT)
 	  
 	 References to #1
 	  
 	 Zhang et al
 	  
 	 PCT/US97/10218
 	  
 	  
 	  
 	  
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 1.2
 	  
 	 96,2087-B
 (PCT)
 	  
 	 References to #1
 	  
 	 Zhang et al
 	  
 	 PCT/US97/10218
 	  
 	  
 	  
 	  
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 1.3
 	  
 	 96,2087-B
 (PCT)
 	  
 	 References to #1
 	  
 	 Zhang et al
 	  
 	 PCT/US97/10218
 	  
 	  
 	  
 	  
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 2
 	  
 	 96,2087-D
 (PCT)
 	  
 	 Factor VIII Mini-Ad Vector
 Filed: 12/18/97
 CASE WITHDRAWN PER 
 	  
 	 Josephs, et al
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 

 
8






	  
 
	 
 
	 INDEX TO FOREIGN PATENT FILES [MBHB]
 
	 
 
	 No.
 	  
 	 Case No.
 	  
 	 Title
 	  
 	 Inventor
 	  
 	 Serial No.
 	  
 	 Vol.
 	  
 	 Patent Issued
 	  
 	 Location
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	  
 	  
 	  
 	  
 	 EMILY MAIO 1/14/98
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 3
 	  
 	 96,2087-E
 (PCT)
 	  
 	 Factor VIII Mini-Ad Vector
 Filed: 05/19/98
 	  
 	 Zhang et al
 	  
 	 PCT/US98/10330
 	  
 	  
 	  
 	  
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 4
 	  
 	 96,2087-F
 (EPO)
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 5
 	  
 	 96,2087-G
 (CAN)
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 6
 	  
 	 96,2087-H
 (JP)
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 7
 	  
 	 96,424-I
 (PCT)
 	  
 	 Mini-Adenoviral Vector System for Vaccination
 Filed: 7/20/01
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 8
 	  
 	 96,2087-O
 	  
 	 Mini-Ad Vector for Immunization
 Filed: 4/18/02
 	  
 	  
 	  
 	 PCT/US02/12237
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 CELL LINES
 
	 
 
	 9
 	  
 	 96,424-C
 (PCT)
 	  
 	 Adenovirus E-1
 Complimenting Cell Lines
 Filed: 2/23/98
 	  
 	 Ayares, et al
 	  
 	 PCT/US98/03473
 	  
 	  
 	  
 	  
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 10
 	  
 	 96,424-D
 (EPO)
 	  
 	 Adenovirus E-1
 Complimenting Cell Lines
 	  
 	 Ayares, et al.
 	  
 	 98 908 661.6
 	  
 	  
 	  
 	  
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 11
 	  
 	 96,424-E
 (CAN)
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 12
 	  
 	 96,424-F
 (JP)
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 DUAL-AD SYSTEM
 
	 
 
	 13
 	  
 	 97,087-A
 (PCT)
 	  
 	 AN ONCOLYTIC/IMMUNOGENIC
COMPLEMENTARY-ADENOVIRAL VECTOR SYSTEM
 	  
 	 Alemany et al.
 	  
 	 PCT/US98/01301
 	  
 	  
 	  
 	 WO
  98/35028
 08/13/98
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 14
 	  
 	 97,087-C
 (EPO)
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 15
 	  
 	 96,424-D
 (JP)
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 16
 	  
 	 96,424-E
 (CAN)
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 BASIC AD VECTORS
 
	 
 
	 17
 	  
 	 96,2088-A
 (PCT)
 	  
 	 Methods for Highly Efficient Generation of Adenoviral Vectors
 Filed: 12/19/97
 	  
 	 Dai
 	  
 	 PCT/US/97/23685
 	  
 	  
 	  
 	 WO
 98/32860
 07/30/98
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 

 
9






	  
 
	 
 
	 INDEX TO FOREIGN PATENT FILES [MBHB]
 
	 
 
	 No.
 	  
 	 Case No.
 	  
 	 Title
 	  
 	 Inventor
 	  
 	 Serial No.
 	  
 	 Vol.
 	  
 	 Patent Issued
 	  
 	 Location
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 17.1
 	  
 	 96,2088-A
 (PCT)
 	  
 	 References for #16
 	  
 	 Dai
 	  
 	 PCT/US/97/23685
 	  
 	  
 	  
 	 WO
 98/32860
 07/30/98
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 

  

	  
 
	 
 
	 INDEX TO RADIATION SENSITIZATION PATENTS
 [CAMPBELL & FLORES]
 
	 
 
	  
 	  
 	 UCLA
 Ref.
 	  
 	 C&F
 Docket
 	  
 	 Title
 	  
 	 Inventor
 	  
 	 Serial No.
 	  
 	 Patent
 	  
 	 Issued
 	  
 	 Location
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 1.
 	  
 	 LA 96-
 569-1
 	  
 	 P-UL-
 1932
 	  
 	 Tumor Radiosensitization using Gene Therapy; Filed: 2/2/96
 	  
 	 McBride
 	  
 	 US 08/597,524
 	  
 	 US 6,051,218
 	  
 	 4/18/00
 	  
 	 RES 3-3
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 2.
 	  
 	 LA 96-
 569-01
 	  
 	 P-UL-
 1932
 	  
 	 Tumor Radiosensitization using Gene Therapy [CIP 08/597,524; filed 1/23/98
 	  
 	 McBride
 	  
 	 08/597,524
 	  
 	 LA 96-569-01
 	  
 	  
 	  
 	 RES 3-3
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 3.
 	  
 	 LA 96-
 569-2
 	  
 	 P-UL 
 4032
 	  
 	 Tumor Radiosensitization using Gene Therapy; filed 3/24/00
 	  
 	 McBride
 	  
 	 09/535,654
 	  
 	 LA 96-569-2
 	  
 	  
 	  
 	 RES 3-3
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 4.
 	  
 	 LA 96-
 569-1
 	  
 	 FP-UL 
 2407
 	  
 	 Combined Radiotherapy and Immunotherapy to Treat Cancer [Filed: 1/31/97]
 	  
 	 McBride
 	  
 	 PCT/US97/01465
 	  
 	  
 	  
 	  
 	  
 	 RES 3-3
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 5.
 	  
 	 LA 96-
 569-1
 	  
 	 FP-UL 
 3204
 	  
 	 Combined Radiotherapy and Immunotherapy to Treat Cancer [Filed: 1/31/97]
 	  
 	 McBride
 	  
 	 Canada Pat. App: 2,244,841
 	  
 	  
 	  
 	  
 	  
 	 RES 3-3
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 6.
 	  
 	 LA 96-
 569-01
 	  
 	 FP-UL 
 3205
 	  
 	 Combined Radiotherapy and Immunotherapy to Treat Cancer [Filed: 1/31/97]
 	  
 	 McBride
 	  
 	 Europe Pat. App: 97904085.4
 	  
 	  
 	  
 	  
 	  
 	 RES 3-3
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 7.
 	  
 	 LA 96-
 569-1
 	  
 	 FP-UL 
 3206
 	  
 	 Combined Radiotherapy and Immunotherapy to Treat Cancer [Filed: 1/31/97]
 	  
 	 McBride
 	  
 	 Japanese Pat. App: 9-527808
 	  
 	  
 	  
 	  
 	  
 	 RES 3-3
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 8.
 	  
 	 LA 96-
 569-1
 	  
 	 FP-UL 
 3896
 	  
 	 Combined Radiotherapy and Immunotherapy to Treat Cancer [Filed: 1/31/97]
 	  
 	 McBride
 	  
 	 Hong Kong Pat. App. 99104559.7 (European Pat. No. 0 907 720)
 	  
 	  
 	  
 	  
 	  
 	 RES 3-3
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 

  

	  
 
	 
 
	 INDEX TO ADENOVIRAL VECTOR
 U.S. PATENT FILES [MBHB]
 
	 
 
	 No.
 	  
 	 Case No.
 	  
 	 Title
 	  
 	 Inventor
 	  
 	 Serial No.
 	  
 	 Vol.
 	  
 	 Dates
 	  
 	 Patent Issued
 	  
 	 Location
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 MINI-AD
 
	 
 
	 1.1
 	  
 	 96,424
 	  
 	 Mini-Adenoviral Vector System (parent) Filed 5/31/96
 	  
 	 Zhang, et al.
 	  
 	 08/658,961
 	  
 	 I
 	  
 	 5/31//96
 through
 6/10/98
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 1.2
 	  
 	 96,424
 	  
 	 Mini-Adenoviral Vector System (parent) 
 	  
 	 Zhang, et al.
 	  
 	 08/658,961
 	  
 	 II
 	  
 	 6/12/98
 through
 2/26/01
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 

 
10






	  
 
	 
 
	 INDEX TO ADENOVIRAL VECTOR
 U.S. PATENT FILES [MBHB]
 
	 
 
	 No.
 	  
 	 Case No.
 	  
 	 Title
 	  
 	 Inventor
 	  
 	 Serial No.
 	  
 	 Vol.
 	  
 	 Dates
 	  
 	 Patent Issued
 	  
 	 Location
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 1.3
 	  
 	 96,424
 	  
 	 Mini-Adenoviral Vector System (parent)
 	  
 	 Zhang, et al.
 	  
 	 08/658,961
 	  
 	 III
 	  
 	 8/25/00 to
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 2
 	  
 	 96,424-G
 	  
 	 Mini-Adenoviral Vector System for Vaccination (Continuation of 96,424)
 FILED:
7/20/00
 	  
 	 Zhang, et al
 	  
 	 08/619,938
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 3
 	  
 	 96,2087
 	  
 	 Factor VIII Mini-Ad Vector (CIP of 96,424)
 Filed 1/27/97
 ABANDONED
 	  
 	 Josephs et al
 	  
 	 08/791,021
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 4.1
 	  
 	 96,2087-A
 	  
 	 Factor VIII Mini-Ad Vector (CIP of 96,424)
 Filed 1/13/97
 	  
 	 Josephs, et al
 	  
 	 08/791,218
 	  
 	 I
 	  
 	 1/31/97 through 4/99
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 4.2
 	  
 	 96,2087-A
 	  
 	 Factor VIII Mini-Ad Vector (CIP of 96,424)
 Filed 1/13/97
 	  
 	 Josephs, et al
 	  
 	 08/791,218
 	  
 	 II
 	  
 	 4/99 to 2/16/01
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 5.1
 	  
 	 96,2087-C
 	  
 	 Mini-Ad Vector (CIP of 96,424 and 96,2087-A)
 Filed: 5/30/97; Amended 10/23/97
 	  
 	 Zhang, et al.
 	  
 	 08/866,403
 	  
 	 I
 	  
 	 8/21/97 to 1/19/99
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 5.2
 	  
 	 96,2087-C
 	  
 	 Mini-Ad Vector (CIP of 96,424 and 96,2087-A)
 Filed: 5/30/97; Amended 10/23/97
 	  
 	 Zhang, et al.
 	  
 	 08/866,403
 	  
 	 II
 	  
 	 8/19/99 to 12/26/00
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 6
 	  
 	 96,2087-I
 	  
 	 Minimal Adenoviral Vector System for FVIII Gene Therapy (Cont of 96,2087-C)
 Filed: 4/18/01
 	  
 	 Zhang et al
 	  
 	 09/837,079
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 7
 	  
 	 96,2087-J
 	  
 	 Development and Application of a Minimal- Adenoviral Vector System for Gene Therapy of Hemophilia A: Thrombosis and Haemostasis, 82(2): 562-571 (1999)
[Provisional APPLICATION WITH NEW DATA, incorporated into 96,2087-L
 Filed: 4/18/00
 	  
 	 Zhang, et al
 	  
 	 60,197,734
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 8
 	  
 	 96,2087-K
 	  
 	 Sustained High-Level Expression of Full-Length Human Factor VIII and Restoration of Clotting Activity in Hemophilic Mice Using Minimal Adenovirus Vector.
Blood, 95(3): 820 (2/1/00) [Provisional, incorporated into 96,2087-L] 
 	  
 	 Balague, et al
 	  
 	 60,198,501
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 

 
11






	  
 
	 
 
	 INDEX TO ADENOVIRAL VECTOR
 U.S. PATENT FILES [MBHB]
 
	 
 
	 No.
 	  
 	 Case No.
 	  
 	 Title
 	  
 	 Inventor
 	  
 	 Serial No.
 	  
 	 Vol.
 	  
 	 Dates
 	  
 	 Patent Issued
 	  
 	 Location
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	  
 	  
 	  
 	  
 	 Filed: 4/18/00
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 9
 	  
 	 96,2087-L
 	  
 	 Mini-Ad Vector and Methods of Using Same [Provisional Application; includes data from 96,2087 J & K, and the use of immunomodulators (i.e., anti-CD4 with
mini-AD.
 Filed: 5/1/01 
 	  
 	 Fang and
 Hariharan
 	  
 	 60/287,850
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 10
 	  
 	 MBHB00-
 1104
 	  
 	 Mini-Ad Mediated Recombinant Vaccine [Provisional App]
 Filed 10/10/00
 	  
 	 Fang
 	  
 	 Prov: 60/239,224
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 11
 	  
 	 MBHB00-
 1130
 	  
 	 HIV/HPV Mini-Ad Vaccine [Provisional App]
 Filed 10/19/00
 	  
 	 Fang 
 	  
 	 Prov: 60/241,625
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 CELL LINES
 
	 
 
	 12.1
 	  
 	 96,424-B
 	  
 	 Adenovirus E1-Complementing Cell Lines (CIP of 96,424)
 Filed: 3/4/97
 Unintentionally abandoned and revived as
96,424-H
 	  
 	 Ayares, et al.
 	  
 	 08/810,039
 	  
 	 I
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 12.2
 	  
 	 96,424-B
 	  
 	 Adenovirus E1-Complementing Cell Lines (CIP of 96,424)
 Filed: 3/4/97
 Unintentionally abandoned and revived as
96,424-H
 	  
 	 Ayares, et al.
 	  
 	 08/810,039
 	  
 	 II
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 13
 	  
 	 96,424-H
 	  
 	 Adenovirus E-1 Complementing Cell Lines (Continuation of 96,424-B, which was unintentionally abandoned Filed: 2/8/01 with request to revive 96,424-B, which
was granted
 	  
 	 Ayares, et al
 	  
 	 09/779,570
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 DUAL-AD SYSTEM
 
	 
 
	 14.1
 	  
 	 97,087
 	  
 	 Oncolytic/Immunogenic Complementary Adenoviral Vector System Filed: 2/10/97 
 	  
 	 Alemany, et al
 	  
 	 08/797,160
 	  
 	 I
 	  
 	 2/10/97
 through
 5/30/00
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 14.2
 	  
 	 97,087
 	  
 	 Oncolytic/Immunogenic Complementary Adenoviral Vector System
 Filed: 2/10/97; Cont. 5/22/02
 Patent issued
6/11/02
 	  
 	 Alemany, et al
 	  
 	 08/797,160
 	  
 	 II
 	  
 	 8/11/00
 through
 2/12/01
 	  
 	 US 6,403,370
 B1 
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 

 
12






	  
 
	 
 
	 INDEX TO ADENOVIRAL VECTOR
 U.S. PATENT FILES [MBHB]
 
	 
 
	 No.
 	  
 	 Case No.
 	  
 	 Title
 	  
 	 Inventor
 	  
 	 Serial No.
 	  
 	 Vol.
 	  
 	 Dates
 	  
 	 Patent Issued
 	  
 	 Location
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 15
 	  
 	 97,087-B
 	  
 	 Oncolytic/Immunogenic Complimentary Adenoviral Vector System [Adds new data related to liver and prostate cancer along with DNA sequences] (CIP of
97,087)
 Filed: 3/31/00
 	  
 	 Alemany, et al
 	  
 	 09/539,698
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 BASIC AD VECTORS
 
	 
 
	 16.1
 	  
 	 96,2088
 	  
 	 Methods for Highly Efficient Generation of Adenoviral Vectors
 Filed: 1/28/97
 	  
 	 Dai
 	  
 	 08/789,886
 	  
 	 I
 	  
 	 1/28/97 through 5/1/98
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 16.2
 	  
 	 96,2088
 	  
 	 Methods for Highly Efficient Generation of Adenoviral Vectors
 Filed: 1/28/97
 	  
 	 Dai
 	  
 	 08/789,886
 	  
 	 II
 	  
 	 6/4/98 through 2/1/01
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 17
 	  
 	 MBHB 01-
 1207
 	  
 	 Methods of Treatment with Viral Vectors (TGf-Beta blocker)
 Filed: 9/20/01
 	  
 	  
 	  
 	 60/323,644
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 18
 	  
 	 MBHB 01-
 1700
 	  
 	 Vaccine and Cancer Therapy Vectors (Genetic Dual Ad Contracts)
 Filed: 1/10/02
 	  
 	  
 	  
 	 60/347,707
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 19
 	  
 	 MBHB 02-
 308
 	  
 	 Materials and Methods for the Production of Biological Compositions (Liposomes / PEG)
 Filed: 4/29/02
 	  
 	  
 	  
 	 60/376,350
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 

 
13