EXECUTION COPY

     

    University of Pennsylvania

    


    
      Second Amendment to the
Amended and Restated Patent License Agreement

    

    


    This Second Amendment (the “Second
Amendment”) is made and entered into as of May 10, 2010 (the “Effective Date”) by
and between The Trustees of the University of Pennsylvania (hereinafter referred
to as “Penn”) and Advaxis, Inc., a corporation organized and existing under the
laws of Delaware (hereinafter referred to as “Company”) having a place of
business at Technology Centre of New Jersey, 675 U.S. Route 1, North Brunswick,
NJ 08902.

    


    WHEREAS, Penn and Company entered into
an Amended and Restated License Agreement dated February 13, 2007 (the
“Agreement”); and

    


    WHEREAS,
Penn and Company entered into a First Amendment to the Agreement dated March 26,
2007 (the “First Amendment”); and

    


    WHEREAS, Company desires to further
amend the Agreement to add docket numbers L2134,  Q3610, Q3614, R3702,
S4225, S4243, and U4810 (hereinafter referred to as “Additional Penn Dockets”)
developed under the supervision of, or in collaboration with Drs. Yvonne
Paterson and Fred Frankel;

    


    WHEREAS, Company owes $249,481of
unreimbursed patent expenses and Company desires to pay the patent expenses in
full; and

    


    WHEREAS, Company owes $129,598 under
the sponsored research agreement and Company desires to pay the SRA balance in
full.

    


    All terms
not specifically defined herein will have the meaning ascribed to them in the
Agreement.

    Now, therefore, in consideration of the
foregoing premises, and intending to be legally bound hereby, the parties hereto
agree as follows:

    


    
      
        	
              	
                1) 

              	
                 Attachment
      1- List of Intellectual Property is deleted in its entirety and replaced
      with Exhibit 1 to this Second Amendment, which includes the Additional
      Penn Dockets.

              


      

    

    


    
      
        	
              	
                2) 

              	
                 On
      the Effective Date of this Second Amendment Company shall pay to Penn,
      solely at Penn’s option, i) a non-refundable, non-assessable option
      exercise fee of $10,000 per Additional Docket ($70,000 total) in cash or
      ii) $140,000 in stock, or iii) a mix of cash and stock of which the stock
      component will be no less than twenty-five percent (25%) of the
      total.  The number of shares of stock to be issue to Penn will
      be calculated as follows: the percentage of the option exercise fee to be
      paid in stock multiplied by $140,000. The product of that calculation is
      then divided by the price per share of the most recently completed
      financing round to determine the number of shares of stock to be issued to
      Penn. Penn will be entitled to receive the same class of shares as the
      most recent round of financing. The issuance to Penn will entitle Penn to
      the same rights, preferences, warrant and/or option coverage, conversion
      privileges, etc. as granted to the participants in the most recent round
      of financing.

              


      

    

     

    
      
         


      

      
        1

        
          

        

      

      
         


      

    

     

    
      EXECUTION COPY



    For
illustrative purposes, if the most recently completed financing round by Company
priced shares at $0.20 and Penn opts to convert fifty percent (50%) of the
option exercise fee to stock, then to determine the number of shares Penn will
receive, take $70,000 (50% of the total amount Penn can convert to equity and
double it to achieve the 2:1 ratio of stock to cash) and divide it by $0.20. The
quotient yields 350,000 shares of stock. This calculation does not take into
consideration any preferential or other benefits afforded the investors in the
most recently completed round. Should Penn exercise its option to convert a
portion of the option exercise fee to equity, Penn will be entitled to receive
the same preferential or other benefits afforded the investors in the most
recently completed round. In this example, the remaining balance of the option
fee, $35,000 would be payable to Penn in cash.

     

    
      	
            	
                    
                3)  

              

            	
                    
                Company
      agrees to reimburse Penn for all outstanding expenses, associated with the
      Agreement and the First Amendment and the Sponsored Research Agreement
      (“SRA”), by wire transfer of immediately available funds, as
      follows:

              

            


    

     

    
      
        	
              	
                a) 

              	
                 Sixty-five
      thousand dollars ($65,000) on or before the first day of each month
      beginning May 1, 2010 and ending on September 1, 2010, inclusive. And
      fifty-four thousand seventy-nine dollars ($54,079) on or before September
      30, 2010.

              


      

    

     

    
      	
            	
                    
                4)  

              

            	
                    
                Company
      agrees to pay all historical patent expenses associated with this Second
      Amendment that adds Additional Dockets. These expenses include, but are
      not limited to, all historically accrued patent and licensing expenses,
      attorney’s fees, official fees and all other charges incident to the
      preparation, prosecution and maintenance of the Penn Patent Rights that
      were incurred and docketed by Penn relating to the Additional Penn Dockets
      on or before the Effective Date of this Second
      Amendment.  Company shall pay such expenses to Penn, in cash, in
      the following amounts:

              

            


    

     

    
      
        	
                
                

              	
                a) 

              	
                 at
      least twenty percent (20%) of any amount of funding raised on or after
      April 1, 2010 (whether or not the funding has been drawn), regardless of
      the form. Such payments will be paid to Penn within ten (10) days after
      the completion of each tranche of funding regardless of the form of the
      funding or the type of security and regardless of whether Company has
      drawn down funds. Notwithstanding the foregoing, Company is not precluded
      from paying a higher percentage of funding raised towards these
      obligations or paying the obligations in full at any
  time.

              


      

    

     

    Notwithstanding
the previous paragraph, regardless of the amounts of funding raised, all
outstanding patent expenses for all licensed dockets plus all SRA amounts must
be paid in full by September 30, 2010.

     

    
      
         


      

      
        2

        
          

        

      

      
         


      

    

     

    
      EXECUTION
COPY



    Any
amounts not paid by the applicable due date will incur interest at one and one
half percent (1.5%) per month back to April 1, 2010.

     

    
      	
            	
                    
                5)  

              

            	
                    
                This
      section reaffirms Company’s obligations to reimburse Penn for all
      documented attorneys fees, expenses, official fees and other charges
      incident to the preparation, prosecution, maintenance and licensing of
      Penn Patent Rights pursuant to the terms of the Agreement, as
      amended.

              

            


    

     

    
      	
            	
                    
                6)  

              

            	
                    
                Except
      as specifically modified or amended hereby, the Agreement, as amended by
      the First Amendment, shall remain in full force and
      effect.

              

            


    

     

    
      	
            	
                    
                7)  

              

            	
                    
                No
      provision of this Amendment may be modified or amended except expressly in
      a writing signed by all parties nor shall any term be waived except
      expressly in a writing signed by the party charged
      therewith.

              

            


    

     

    
      	
            	
                    
                8)  

              

            	
                    
                This
      Second Amendment may be executed in two or more counterparts, each of
      which shall be deemed an original but all of which taken constitute one
      and the same
instrument.

              

            


    

     

    IN
WITNESS WHEREOF, the parties, intending to be legally bound, have caused this
Second Amendment to be executed by their duly authorized
representatives.

     

    
      
        
          
            
              
                
                  
                    
                      
                        
                          
                            
                              
                                
                                  
                                    
                                      	
                                              THE
      TRUSTEES OF THE UNIVERSITY OF PENNSYLVANIA

                                            
	
                                              By:

                                            	/s/
      Michael J. Cleare, PhD	 
      
	
                                              Name:  Michael
      J. Cleare, PhD

                                            
	
                                              Title:   Executive
      Director

                                            
	
                                              Date:

                                            	5/11/2010	 
      
	 
      	 
      	 
      
	 
      	 
      	 
      
	
                                              ADVAXIS,
      INC.

                                            
	
                                              By:

                                            	/s/
      Thomas A. Moore	 
      
	
                                              Name:

                                            	Thomas
      A. Moore	 
      
	
                                              Title:

                                            	Chairman
      and CEO	 
      
	
                                              Date:

                                            	May
      7, 2010	 
      


                                    

                                  

                                

                              

                            

                          

                        

                      

                    

                  

                

              

            

          

        

      

    


    
      
         


      

      
        3

        
          

        

      

      
         


      

    

    EXECUTION COPY


     

    
      Exhibit 1

       

      List of Intellectual
Property

       

    

    
      
        
          
            
              
                	
                        D751

                      	
                        Live, Recombinant Listeria
      Monocytogenes Vaccines and Production of Cytotoxic T-Cell Response

                      


              

            

          

        

      

       

      
        
          
            
              	
                      Serial No.

                    	
                      Patent No.

                    	
                      Country

                    	
                      Issue Date

                    	
                      File Date

                    	
                      App Type

                    	
                      Status

                    
	
                      07/606,546

                    	 
      	
                      United
    States

                    	 
      	
                      10/31/1990

                    	
                      Utility

                    	
                      Abandoned

                    
	
                      08/192,857

                    	 
      	
                      United
    States

                    	 
      	
                      02/07/1994

                    	
                      CIP

                    	
                      Abandoned

                    
	
                      08/038,356

                    	 
      	
                      United
    States

                    	 
      	
                      03/26/1993

                    	
                      CIP

                    	
                      Abandoned

                    
	
                      08/366,477

                    	
                      5,830,702

                    	
                      United
    States

                    	
                      11/03/1998

                    	
                      12/30/1994

                    	
                      Continuation

                    	
                      Issued

                    


            

          

        

      

       

      
        	
                      
                  H1219

                

              	
                      
                  Specific Immunotherapy of Cancer
      Using a Live Recombinant Bacterial Vaccine
      Vector

                

              


      

      
         

      

      
        
          
            
              	
                      Serial No.

                    	
                      Patent No.

                    	
                      Country

                    	
                      Issue Date

                    	
                      File Date

                    	
                      App Type

                    	
                      Status

                    
	
                      2,204,666

                    	 
      	
                      Canada

                    	 
      	
                      11/03/1995

                    	
                      National
    Phase

                    	
                      Filed

                    
	
                      PCT/US1995/014741

                    	 
      	
                      World Patent
      Org

                    	 
      	
                      11/03/1995

                    	
                      PCT

                    	
                      Expired

                    
	
                      2007-125462

                    	 
      	
                      Japan

                    	 
      	
                      05/10/2007

                    	
                      National
    Phase

                    	
                      Filed

                    
	
                      95939926.2

                    	
                      0790835

                    	
                      Switzerland

                    	
                      08/04/2004

                    	
                      11/03/1995

                    	
                      EPO

                    	
                      Issued

                    
	
                      95939926.2

                    	
                      0790835

                    	
                      United
    Kingdom

                    	
                      08/04/2004

                    	
                      11/03/1995

                    	
                      EPO

                    	
                      Issued

                    
	
                      95939926.2

                    	
                      0790835

                    	
                      Belgium

                    	
                      08/04/2004

                    	
                      11/03/1995

                    	
                      EPO

                    	
                      Issued

                    
	
                      95939926.2

                    	
                      0790835

                    	
                      Ireland

                    	
                      08/04/2004

                    	
                      11/03/1995

                    	
                      EPO

                    	
                      Issued

                    
	
                      95939926.2

                    	
                      0790835

                    	
                      Germany

                    	
                      08/04/2004

                    	
                      11/03/1995

                    	
                      EPO

                    	
                      Issued

                    
	
                      95939926.2

                    	
                      0790835

                    	
                      France

                    	
                      08/04/2004

                    	
                      11/03/1995

                    	
                      EPO

                    	
                      Issued

                    
	
                      95939926.2

                    	
                      0790835

                    	
                      Liechtenstein

                    	
                      08/04/2004

                    	
                      11/03/1995

                    	
                      EPO

                    	
                      Issued

                    
	
                      95939926.2

                    	
                      0790835

                    	
                      European Patent
      Office

                    	
                      08/04/2004

                    	
                      11/03/1995

                    	
                      National
    Phase

                    	
                      Issued

                    
	
                      515534/96

                    	
                      3995712

                    	
                      Japan

                    	
                      08/10/2007

                    	
                      11/03/1995

                    	
                      National
    Phase

                    	
                      Filed

                    
	
                      08/336,372

                    	
                      6,051,237

                    	
                      United
    States

                    	
                      04/18/2000

                    	
                      11/08/1994

                    	
                      Utility

                    	
                      Issued

                    
	
                      10/441,851

                    	
                      7,135,188

                    	
                      United
    States

                    	
                      11/14/2006

                    	
                      05/20/2003

                    	
                      Continuation

                    	
                      Filed

                    


            

          

        

      

       

      
        
          
             


          

          
            4

            
              

            

          

          
             


          

        

      

    

    EXECUTION COPY

     

    
       

      
        Methods and compositions for
immunotherapy of cancer

      

       

      
        
          
            
              	
                      Serial No.

                    	
                      Patent No.

                    	
                      Country

                    	
                      Issue Date

                    	
                      File Date

                    	
                      App Type

                    	
                      Status

                    
	
                      09/535,212

                    	
                      6,565,852

                    	
                      United
    States

                    	
                      05/20/2003

                    	
                      03/27/2000

                    	
                      CIP

                    	
                      Issued

                    


            

             

          

        

      

    

    
      	
              
                
                  J1598

                

              

            	
              
                
                  Immunogenic Compositions
      Comprising DAL/DAT Double Mutant, Auxotrophic Attenuated Strains of Listeria and Their
      Methods of
Use

                

              

            


    

     

    
      
        
          
            	
                    Serial No.

                  	
                    Patent No.

                  	
                    Country

                  	
                    Issue Date

                  	
                    File Date

                  	
                    App Type

                  	
                    Status

                  
	
                    12/216,806

                  	 
      	
                    United
    States

                  	 
      	
                    07/10/2008

                  	
                    Continuation

                  	
                    Filed

                  
	
                    98957980.0

                  	 
      	
                    Germany

                  	 
      	
                    11/13/1998

                  	
                    EPO

                  	
                    Issued

                  
	
                    98957980.0

                  	 
      	
                    United
    Kingdom

                  	 
      	
                    11/13/1998

                  	
                    EPO

                  	
                    Issued

                  
	
                    98957980.0

                  	 
      	
                    France

                  	 
      	
                    11/13/1998

                  	
                    EPO

                  	
                    Issued

                  
	
                    2,309,790

                  	
                    05083948

                  	
                    Canada

                  	
                    07/06/2000

                  	
                    11/13/1998

                  	
                    National
    Phase

                  	
                    Filed

                  
	
                    98957980.0

                  	
                    1032417

                  	
                    European Patent
      Office

                  	
                    6-Jan-10

                  	
                    11/13/1998

                  	
                    National
    Phase

                  	
                    Issued

                  
	
                    08/972,902

                  	
                    6,099,848

                  	
                    United
    States

                  	
                    08/08/2000

                  	
                    11/18/1997

                  	
                    Utility

                  	
                    Issued

                  
	
                    14108/99

                  	
                    730296

                  	
                    Australia

                  	
                    13-Nov-98

                  	
                    11/13/1998

                  	
                    National
    Phase

                  	
                    Issued

                  


          

        

      

    

     

    
      
        
          	
                  Bacterial Vaccines Comprising
      Auxotrophic, Attenuated Strains of $I(Listeria) Expressing Heterologous
      Antigens

                


        

      

    

    

      
        
          
            	
                    Serial No.

                  	
                    Patent No.

                  	
                    Country

                  	
                    Issue Date

                  	
                    File Date

                  	
                    App Type

                  	
                    Status

                  
	
                    PCT/US1998/024357

                  	 
      	
                    World Patent
      Org

                  	 
      	
                    11/13/1998

                  	
                    PCT

                  	
                    Expired

                  


          

        

      

    

     

    
      
        	
                A Bacterial Vaccine Vector and
      Methods of Use Thereof

              


      

    

     

    
      
        
          
            	
                    Serial No.

                  	
                    Patent No.

                  	
                    Country

                  	
                    Issue Date

                  	
                    File Date

                  	
                    App Type

                  	
                    Status

                  
	
                    10/660,194

                  	
                    7,488,487

                  	
                    United
    States

                  	
                    02/10/2009

                  	
                    09/11/2003

                  	
                    Continuation

                  	
                    Issued

                  


          

        

      

    

     

    
      Isolated nucleic acids comprising
Listeria dal and dat genes

    

     

    
      
        
          
            	
                    Serial No.

                  	
                    Patent No.

                  	
                    Country

                  	
                    Issue Date

                  	
                    File Date

                  	
                    App Type

                  	
                    Status

                  
	
                    09/520,207

                  	
                    6,504,020

                  	
                    United
    States

                  	
                    01/07/2003

                  	
                    03/07/2000

                  	
                    Divisional

                  	
                    Issued

                  
	
                    10/136,253

                  	
                    6,635,749

                  	
                    United
    States

                  	
                    10/21/2003

                  	
                    05/01/2002

                  	
                    Divisional

                  	
                    Issued

                  


          

        

      

    

     

    
      
         


      

      
        5

        
          

        

      

      
         


      

    

    EXECUTION COPY


    	
            
              
                L2134

              

            

          	
            
              
                Compositions, Methods and Kits for
      Enhancing the Immunogenicity of a Bacterial Vaccine Vector

              

            

          



     

    
      
        
          
            	
                    Serial No.

                  	
                    Patent No.

                  	
                    Country

                  	
                    Issue Date

                  	
                    File Date

                  	
                    App Type

                  	
                    Status

                  
	
                    2006-500840

                  	 
      	
                    Japan

                  	 
      	
                    01/08/2008

                  	
                    National
    Phase

                  	
                    Abandoned

                  
	
                    04700858.6

                  	 
      	
                    European Patent
      Office

                  	 
      	
                    01/08/2004

                  	
                    EPO

                  	
                    Abandoned

                  
	
                    06104227 1

                  	 
      	
                    Hong Kong

                  	 
      	 
      	
                    National
    Phase

                  	
                    Abandoned

                  
	
                    169553

                  	 
      	
                    Israel

                  	 
      	 
      	
                    Unknown

                  	
                    Abandoned

                  
	
                    10/541,614

                  	 
      	
                    United
    States

                  	 
      	
                    04/27/2006

                  	
                    National
    Phase

                  	
                    Filed

                  
	
                    PCT/US2004/000366

                  	 
      	
                    World Patent
      Org

                  	 
      	
                    01/08/2004

                  	
                    PCT

                  	
                    Expired

                  
	
                    60/439,009

                  	 
      	
                    United
    States

                  	 
      	
                    01/09/2003

                  	
                    Provisional

                  	
                    Expired

                  
	
                    2,512,812

                  	 
      	
                    Canada

                  	 
      	 
      	
                    National
    Phase

                  	
                    Abandoned

                  
	
                    20044204751

                  	 
      	
                    Australia

                  	 
      	 
      	
                    National
    Phase

                  	
                    Abandoned

                  
	
                    60/259,738

                  	 
      	
                    United
    States

                  	 
      	
                    01/04/2001

                  	
                    Provisional

                  	
                    Expired

                  


          

        

      

    

     

    
      Compositions and Methods for Enhancing
Immunogenicity of Antigens

    

     

    
      
        
          
            	
                    Serial No.

                  	
                    Patent No.

                  	
                    Country

                  	
                    Issue Date

                  	
                    File Date

                  	
                    App Type

                  	
                    Status

                  
	
                    151942

                  	
                    151942

                  	
                    Israel

                  	
                    10/21/2009

                  	
                    03/26/2001

                  	
                    National
    Phase

                  	
                    Issued

                  
	
                    2,404,164

                  	 
      	
                    Canada

                  	 
      	 
      	
                    National
    Phase

                  	
                    Abandoned

                  
	
                    01928324.1

                  	 
      	
                    European Patent
      Office

                  	 
      	
                    03/26/2001

                  	
                    EPO

                  	
                    Filed

                  
	
                    01928324.1

                  	 
      	
                    Germany

                  	 
      	
                    03/26/2001

                  	
                    EPO

                  	
                    In
    Preparation

                  
	
                    01928324.1

                  	 
      	
                    France

                  	 
      	
                    03/26/2001

                  	
                    EPO

                  	
                    In
    Preparation

                  
	
                    2001-570290

                  	 
      	
                    Japan

                  	 
      	
                    03/26/2001

                  	
                    National
    Phase

                  	
                    Filed

                  
	
                    01928324.1

                  	 
      	
                    United
    Kingdom

                  	 
      	
                    03/26/2001

                  	
                    EPO

                  	
                    In
    Preparation

                  
	
                    PCT/US2001/009736

                  	 
      	
                    World Patent
      Org

                  	 
      	
                    03/25/2001

                  	
                    PCT

                  	
                    Expired

                  
	
                    09/735,450

                  	
                    6,767,542

                  	
                    United
    States

                  	
                    07/27/2004

                  	
                    12/13/2000

                  	
                    CIP

                  	
                    Issued

                  


          

        

      

    


    
      
         


      

      
        6

        
          

        

      

      
         


      

    

    EXECUTION COPY


    


    
      
        
          	
                  Fusion of Non-hemolytic, Truncated
      Form of Listeriolysin O to Antigens to Enhance Immunogenicity

                


        

      

    

     

    
      
        
          
            	
                    Serial No.

                  	
                    Patent No.

                  	
                    Country

                  	
                    Issue Date

                  	
                    File Date

                  	
                    App Type

                  	
                    Status

                  
	
                    10/239,703

                  	
                    7,635,479

                  	
                    United
    States

                  	
                    12/22/2009

                  	
                    03/26/2001

                  	
                    National
    Phase

                  	
                    Issued

                  
	
                    11/376,572

                  	 
      	
                    United
    States

                  	 
      	
                    03/16/2006

                  	
                    Divisional

                  	
                    Filed

                  
	
                    11/376,564

                  	 
      	
                    United
    States

                  	 
      	
                    03/16/2006

                  	
                    Divisional

                  	
                    Filed

                  
	
                    09/537,642

                  	
                    6,855,320

                  	
                    United
    States

                  	
                    02/15/2005

                  	
                    03/29/2000

                  	
                    Utility

                  	
                    Issued

                  
	
                    10/835,662

                  	
                    7,588,930

                  	
                    United
    States

                  	
                    09/15/2009

                  	
                    04/30/2004

                  	
                    CIP

                  	
                    Issued

                  


          

        

      

    

     

    
      	
              
                
                  O2876

                

              

            	
              
                
                  Compositions and Methods for
      Enhancing the Immunogenicity of
  Antigens

                

              

            


    

     

    
      	
              
                
                  Q3610

                

              

            	
              
                
                  Antibiotic Resistance Free DNA
      Vaccines

                

              

            


    

     

    
      
        
          
            	
                    Serial No.

                  	
                    Patent No.

                  	
                    Country

                  	
                    Issue Date

                  	
                    File Date

                  	
                    App Type

                  	
                    Status

                  
	
                    60/601,493

                  	 
      	
                    United
    States

                  	 
      	
                    08/13/2004

                  	
                    Provisional

                  	
                    Expired

                  
	
                    05810446.4

                  	 
      	
                    European Patent
      Office

                  	 
      	
                    08/15/2005

                  	
                    EPO

                  	
                    Filed

                  
	
                    2,577,270

                  	 
      	
                    Canada

                  	 
      	
                    08/15/2005

                  	
                    National
    Phase

                  	
                    Filed

                  
	
                    11/203,408

                  	 
      	
                    United
    States

                  	 
      	
                    08/15/2005

                  	
                    Utility

                  	
                    Filed

                  
	
                    2005271247

                  	 
      	
                    Australia

                  	 
      	
                    08/15/2005

                  	
                    National
    Phase

                  	
                    Abandoned

                  
	
                    PCT/US2005/028896

                  	 
      	
                    World Patent
      Org

                  	 
      	
                    08/15/2005

                  	
                    PCT

                  	
                    Expired

                  
	
                    2007-525862

                  	 
      	
                    Japan

                  	 
      	
                    08/15/2005

                  	
                    National
    Phase

                  	
                    Filed

                  


          

        

      

    

     


    
      
         


      

      
        7

        
          

        

      

      
         


      

    

    EXECUTION COPY

     

    
      	
              
                
                  Q3614

                

              

            	
              
                
                  Methods for Constructing
      Antibiotic Resistance Free
  Vaccines

                

              

            


    

     

    
      
        
          
            	
                    Serial No.

                  	
                    Patent No.

                  	
                    Country

                  	
                    Issue Date

                  	
                    File Date

                  	
                    App Type

                  	
                    Status

                  
	
                    11/203,415

                  	 
      	
                    United
    States

                  	 
      	
                    08/15/2005

                  	
                    Utility

                  	
                    Filed

                  
	
                    11/785,249

                  	 
      	
                    United
    States

                  	 
      	
                    04/16/2007

                  	
                    CIP

                  	
                    Filed

                  
	
                    11/818,965

                  	 
      	
                    United
    States

                  	 
      	
                    04/27/2007

                  	
                    CIP

                  	
                    Filed

                  
	
                    2,577,306

                  	 
      	
                    Canada

                  	 
      	
                    08/15/2005

                  	
                    National
    Phase

                  	
                    Filed

                  
	
                    05808671.1

                  	 
      	
                    European Patent
      Office

                  	 
      	
                    08/15/2005

                  	
                    EPO

                  	
                    Filed

                  
	
                    PCT/US2005/028895

                  	 
      	
                    World Patent
      Org

                  	 
      	
                    08/15/2005

                  	
                    PCT

                  	
                    Expired

                  
	
                    2007-525861

                  	 
      	
                    Japan

                  	 
      	
                    08/15/2005

                  	
                    National
    Phase

                  	
                    Filed

                  
	
                    60/601,492

                  	 
      	
                    United
    States

                  	 
      	
                    08/13/2004

                  	
                    Provisional

                  	
                    Expired

                  
	
                    2005271246

                  	 
      	
                    Australia

                  	 
      	
                    08/15/2005

                  	
                    National
    Phase

                  	
                    Abandoned

                  
	
                    PCT/US08/04861

                  	 
      	
                    World Patent
      Org

                  	 
      	
                    04/15/2008

                  	
                    PCT

                  	
                    Expired

                  
	
                    TBD

                  	 
      	
                    Japan

                  	 
      	
                    04/15/2008

                  	
                    National
    Phase

                  	
                    In
    Preparation

                  
	
                    60/924,033

                  	 
      	
                    United
    States

                  	 
      	
                    04/27/2007

                  	
                    Provisional

                  	
                    Unknown

                  
	
                    08742912.2

                  	 
      	
                    European Patent
      Office

                  	 
      	
                    04/15/2008

                  	
                    National
    Phase

                  	
                    Filed

                  


          

        

      

    

     

    
      
         


      

      
        8

        
          

        

      

      
         


      

    

    EXECUTION COPY


     

    
      	
              
                
                  R3702

                

              

            	
              Listeria-Based and Llo-Based
      Vaccines

            


    

    
       

    

    
      
        
          
            	
                    Serial No.

                  	
                    Patent No.

                  	
                    Country

                  	
                    Issue Date

                  	
                    File Date

                  	
                    App Type

                  	
                    Status

                  
	
                    05811815.9

                  	 
      	
                    European Patent
      Office

                  	 
      	
                    09/14/2005

                  	
                    EPO

                  	
                    Filed

                  
	
                    2005289957

                  	 
      	
                    Australia

                  	 
      	
                    09/14/2005

                  	
                    National
    Phase

                  	
                    Abandoned

                  
	
                    2007-533537

                  	 
      	
                    Japan

                  	 
      	
                    09/14/2005

                  	
                    National
    Phase

                  	
                    Filed

                  
	
                    2,581,331

                  	 
      	
                    Canada

                  	 
      	
                    09/14/2005

                  	
                    National
    Phase

                  	
                    Filed

                  
	
                    PCT/US2005/032682

                  	 
      	
                    World Patent
      Org

                  	 
      	
                    09/14/2005

                  	
                    PCT

                  	
                    Expired

                  
	
                    10/949,667

                  	 
      	
                    United
    States

                  	 
      	
                    09/24/2004

                  	
                    CIP

                  	
                    Filed

                  
	
                    PCT/US06/43987

                  	 
      	
                    World Patent
      Org

                  	 
      	
                    11/13/2006

                  	
                    PCT

                  	
                    Expired

                  
	
                    60/735,184

                  	 
      	
                    United
    States

                  	 
      	
                    11/10/2005

                  	
                    Provisional

                  	
                    Expired

                  
	
                    12/084,829

                  	 
      	
                    United
    States

                  	 
      	
                    11/13/2006

                  	
                    National
    Phase

                  	
                    Abandoned

                  
	
                    11/223,945

                  	 
      	
                    United
    States

                  	 
      	
                    09/13/2005

                  	
                    CIP

                  	
                    Filed

                  


          

        

      

    

     

    
      	
              
                
                  S4225

                

              

            	
              
                
                  Compositions and Methods for
      Enhancing the Immunogenicity of
  Antigens

                

              

            


    

    
       

    

    
      
        
          
            	
                    Serial No.

                  	
                    Patent No.

                  	
                    Country

                  	
                    Issue Date

                  	
                    File Date

                  	
                    App Type

                  	
                    Status

                  
	
                    08726578.1

                  	 
      	
                    European Patent
      Office

                  	 
      	
                    03/07/2008

                  	
                    EPO

                  	
                    Filed

                  
	
                    PCT/US2008/03067

                  	 
      	
                    United
    States

                  	 
      	
                    03/07/2008

                  	
                    PCT

                  	
                    Expired

                  
	
                    TBD

                  	 
      	
                    Japan

                  	 
      	
                    03/07/2008

                  	
                    National
    Phase

                  	
                    Filed

                  
	
                    PCT/US2007/10635

                  	 
      	
                    World Patent
      Org

                  	 
      	
                    05/02/2007

                  	
                    PCT

                  	
                    Expired

                  
	
                    11/715,497

                  	 
      	
                    United
    States

                  	 
      	
                    03/08/2007

                  	
                    CIP

                  	
                    Filed

                  
	
                    11/415,271

                  	 
      	
                    United
    States

                  	 
      	
                    05/02/2006

                  	
                    CIP

                  	
                    Filed

                  


          

        

      

    


    
      
         


      

      
        9

        
          

        

      

      
         


      

    

    EXECUTION COPY


    	
            S4243

          	
            
              
                Methods and Compositions for
      Treating IgE-Mediated
  Diseases

              

            

          



     

    
      
        
          
            	
                    Serial No.

                  	
                    Patent No.

                  	
                    Country

                  	
                    Issue Date

                  	
                    File Date

                  	
                    App Type

                  	
                    Status

                  
	
                    2009-523812

                  	 
      	
                    Japan

                  	 
      	
                    08/06/2007

                  	
                    National
    Phase

                  	
                    Filed

                  
	
                    11/882,782

                  	 
      	
                    United
    States

                  	 
      	
                    08/06/2007

                  	
                    Utility

                  	
                    Abandoned

                  
	
                    60/835,420

                  	 
      	
                    United
    States

                  	 
      	
                    08/04/2006

                  	
                    Provisional

                  	
                    Expired

                  
	
                    PCT/US2007/017479

                  	 
      	
                    World Patent
      Org

                  	 
      	
                    08/06/2007

                  	
                    PCT

                  	
                    Expired

                  
	
                    078111120.0

                  	 
      	
                    European Patent
      Office

                  	 
      	
                    08/06/2007

                  	
                    National
    Phase

                  	
                    Filed

                  


          

        

      

    

     

    
      	
              
                
                  U4810

                

              

            	
              
                
                  A
      listeria monocytogenes-based bacterial vaccine vector expressing mouse
      VEGFR2/Flk-1 for cancer
therapy

                

              

            


    

    
       

    

    
      
        
          	
                  Serial No.

                	
                  Patent No.

                	
                  Country

                	
                  Issue Date

                	
                  File Date

                	
                  App Type

                	
                  Status

                
	
                  61/157,367

                	 
      	
                  United
      States

                	 
      	
                  3/4/2009

                	
                  Provisional

                	
                  Filed

                


        

      

    

    



    
      
         


      

      
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