oled-ex101_517.htm



 

Exhibit 10.1

Note:  Throughout this document, certain confidential material contained herein has been omitted and has been separately filed with the Commission.  Each omission has been marked with an [***].

 

IP TRANSFER AGREEMENT

 

 

regarding the

sale and purchase of the

OLED Intellectual Property Rights 

of BASF

by and between

1.BASF SE, Carl-Bosch-Strasse 38, 67056 Ludwigshafen/Rhine, Germany

- hereinafter referred to as "Seller" -

2.UDC Ireland Limited, Blanchardstown Corporate Park 2, Ballycoolin, 

Dublin 15, Republic of Ireland 

- hereinafter referred to as "Purchaser"-

- Seller and Purchaser hereinafter also referred to individually as a "Party" and collectively as "Parties" -

 

 

 

 



 

TABLE OF CONTENTS

 


	
A.
	
DEFINITIONS
	
 
	
4

	
B.
	
SALE, PURCHASE AND ASSIGNMENT, PURCHASE PRICE
	
 
	
6

	
 
	
1.
	
Sold Assets
	
 
	
6

	
 
	
2.
	
R&D Agreements
	
 
	
6

	
 
	
3.
	
Purchase Price
	
 
	
8

	
C.
	
SIGNING DATE AND CLOSING
	
 
	
8

	
 
	
4.
	
Signing Date and Closing
	
 
	
8

	
D.
	
GUARANTEES, REMEDIES, INDEMNITIES AND COVENANTS
	
 
	
10

	
 
	
5.
	
Seller’s Guarantees
	
 
	
10

	
 
	
6.
	
Guarantees of Purchasers
	
 
	
11

	
 
	
7.
	
Remedies
	
 
	
12

	
 
	
8.
	
Invention Act Indemnities; Indemnities for Excluded Assets and Excluded Liabilities
	
 
	
13

	
 
	
9.
	
Seller’s Covenants
	
 
	
14

	
 
	
10.
	
Expiration of Claims / Limitation of Claims
	
 
	
15

	
 
	
11.
	
License Back
	
 
	
16

	
E.
	
MISCELLANEOUS
	
 
	
16

	
 
	
12.
	
Restriction of Announcement and Confidentiality
	
 
	
16

	
 
	
13.
	
Information, Records and Assistance Post-Closing
	
 
	
17

	
 
	
14.
	
Notices
	
 
	
17

	
 
	
15.
	
Miscellaneous
	
 
	
18

	
F.
	
LIST OF ANNEXES AND DISCLOSURE SCHEDULES
	
 
	
19




 

 

Page 2 of 19



 

RECITALS


	
(A)
	
WHEREAS, Seller is, among other activities, itself and through certain Affiliates, engaged in the research in the field of the OLED Technology (as defined below) and has developed patent rights and related materials in relation thereto.





	
(B)
	
WHEREAS, Seller, after a strategic review of its business portfolio, has concluded that it wishes to sell and transfer the IP Rights (as defined below) in connection with the OLED Technology to Purchaser upon the terms and conditions of this Agreement (as defined below). 





	
(C)
	
WHEREAS, Purchaser wishes to purchase and acquire the Sold Assets (as defined below) from Seller upon the terms and conditions of this Agreement.




Page 3 of 19



 

NOW, THEREFORE, the Parties agree as follows: 


	
A.
	
Definitions




"Affiliates" shall mean any company or other entity directly or indirectly controlled by Seller or Purchaser where "control" shall mean ownership of at least fifty percent (50%) of the share capital or voting rights;

"Agreement" shall mean this IP Transfer Agreement including all exhibits and schedules and any amendments made from time to time;

“Alternative Transfer” shall have the meaning as defined in Section 4.5;

“Assumed Liabilities” shall have the meaning as defined in Section 2.6;

“BASF Knowledge Persons” shall have the meaning as defined in Section 5.3;

“Best Knowledge of Seller” shall have the meaning as defined in Section 5.3;

“Business Days” shall be the banking days prevailing in Ludwigshafen/Rhine, Germany, excluding, for the avoidance of doubt, Saturdays;

“BMBF” shall have the meaning as defined in Section 4.4;

“[***]” shall have the meaning as defined in Section 4.4.3;

“Closing” shall have the meaning as defined in Section 4.1.2;

“Closing Date” shall be the date of the Closing;

“Closing Events” shall have the meaning as defined in Section 4.3;

“Confidential Information” shall have the meaning as defined in Section 12.2;

“Co-Owned IP Rights” shall have the meaning as defined in Section 1.2(ii);

“[***]” shall have the meaning as defined in Section 4.4.3:

“Deductible” shall have the meaning as defined in Section 10.3;

“De Minimis Claims” shall have the meaning as defined in Section 10.3;

“Due Date List” shall have the meaning as defined in Section 9.1.2

“Excluded Assets” shall have the meaning as defined in Section 1.3;

“Excluded Liabilities” shall have the meaning as defined in Section 2.1;

“Exclusively Owned IP Rights” shall have the meaning as defined in Section 1.2 (i);

“[***](s)” shall have the meaning as defined in Section 4.4;

“Final Resolution” means a resolution pursuant to a written settlement agreement, consent decree or other final non-appealable judgment of a court of competent jurisdiction;

“FRAND” shall have the meaning as defined in Section 5.1.8;

“Fundamental Reps” shall have the meaning as defined in Section 10.1.1;

“Funded IP Rights” shall have the meaning as defined in Section 4.4;

"Governmental Entity" shall mean any federal, state, local or foreign governmental or regulatory (including stock exchange) authority, agency, court, court commission or arbitral authority;

Page 4 of 19



 

“[***] IP” shall have the meaning as defined in Section 1.3;

“IP Co-Owner” shall have the meaning as defined in Section 4.5;

“IP Files” shall have the meaning as defined in Section 9.2;

“IP Rights” shall have the meaning as defined in Section 1.2(ii);

“Joint Development Agreement” shall have the meaning as defined in Section 2.7; 

“Know-How Packages” shall have the meaning as defined in Section 1.2(iii);

“Knowledge of Seller” shall have the meaning as defined in Section 5.3;

“Liability Cap” shall have the meaning as defined in Section 10.4;

“Losses” shall have the meaning as defined in Section 7.1;

“Non Assignable Co-Owned IP Rights” shall have the meaning as defined in Section 4.5;

“Non Covered Third Party Claim” shall have the meaning as defined in Section 9.3;

“Non-Transfer Event” shall have the meaning as defined in Section 4.5;

“OLED Technology” shall mean the composition of, development, manufacture and use of OLED materials, including, but not limited to, OLED lighting and display stacks; 

“Parties” shall mean the Seller and the Purchaser; 

“Purchaser” shall mean UDC Ireland Limited, Blanchardstown Corporate Park 2, Ballycoolin, Dublin 15, Republic of Ireland;

“Purchaser Claim” shall have the meaning as defined in Section 7.2;

“Purchase Price” shall have the meaning as defined in Section 3.1;

“Purchase Price Allocation” shall have the meaning as defined in Section 3.1;

“R&D Agreements” shall have the meaning as defined in Section 1.2.(iv);

“RAND” shall have the meaning as defined in Section 5.1.8;

“Records” shall have the meaning as defined in Section 13.1;

“Replacement Agreements” shall have the meaning as defined in Section 2.1;

“Sales Tax” shall have the meaning as defined in Section 3.2;

“Seller” shall mean BASF SE, a company organized, existing and doing business under and by virtue of the laws of Germany and the European Union with its office and principal place of business located at [***];

“Seller’s Account” shall have the meaning as defined in Section 3.4;

“Seller’s Guarantees” shall have the meaning as defined in Section 5.1;

“Signing Date” shall have the meaning as defined in Section 4.1.1;

“Sold Assets” shall have the meaning as defined in Section 1.2;

“Third Party” shall mean any person not being a party to this Agreement and not an Affiliate of a person who is a party to this Agreement; 

Page 5 of 19



 

“Third Party Claim” shall have the meaning as defined in Section 7.5;

“Third Party Claim Support” shall have the meaning as defined in Section 9.3; and

“Time Limitations” shall have the meaning as defined in Section 10.1.


	
B.
	
SALE, PURCHASE AND ASSIGNMENT, PURCHASE PRICE





	
1.
	
Sold Assets 





	
 
	
1.1
	
Seller, upon the terms and conditions of this Agreement, hereby sells, assigns and transfers all Sold Assets (as defined in Section 1.2 below) to Purchaser with in rem effect (mit dinglicher Wirkung) as of the Signing Date (as defined in Section 4.1.1 below). Purchaser hereby purchases the Sold Assets from Seller and hereby undertakes to accept the transfer of the Sold Assets from Seller.





	
 
	
1.2
	
The term “Sold Assets” as used in this Agreement shall mean and include the following items:  





	
 
	
(i)
	
all patents and patent applications (if any) as listed in Annex 1.2 A attached hereto (hereinafter the “Exclusively Owned IP Rights”); 





	
 
	
(ii)
	
the respective co-ownership title (Bruchteilseigentum) of Seller regarding all patents and patent applications (if any) as listed in Annex 1.2 B attached hereto (hereinafter the “Co-Owned IP Rights”; the Exclusively Owned IP Rights and the Co-Owned IP Rights hereinafter collectively the “IP Rights”);





	
 
	
(iii)
	
all trade secrets, inventions, know-how, formulae, processes, procedures, internal research protocols, extracts of internal lab journals, records of inventions, test data and the like relating to the IP Rights (hereinafter the “Know-How Packages”) as listed in Annex 1.2 C attached hereto; and 





	
 
	
(iv)
	
certain individual and limited rights and the corresponding obligations under three (3) written joint R&D agreements, the term of which already expired but certain rights and obligations will continue even after the expiration of the given term, known as “[***]”, “[***]” and “[***]” agreements (hereinafter the “R&D Agreements”) with respect to certain Co-Owned IP Rights to which the Seller or any of its Affiliates is a party, a list of such R&D Agreements and copies thereof are attached hereto as Annex 1.2 D.





	
 
	
1.3
	
Notwithstanding anything contained in this Agreement to the contrary, the Sold Assets shall only include those items specifically described and listed in Section 1.2 and the corresponding annexes and shall not include any other assets owned, used or held for use by Seller or its Affiliates, including but not limited to, any intellectual property rights jointly generated in the Joint Development Agreement and previously owned by Seller and [***] (hereinafter the “[***] IP”) as listed in Annex 1.3 and transferred and sold prior to the Signing Date by Seller to [***] (hereinafter the “Excluded Assets”).





	
2.
	
R&D Agreements 





	
 
	
2.1
	
Seller and Purchaser, upon the terms and conditions of this Agreement, hereby agree to reach out to the other parties of the R&D Agreements and to enter with them into Replacement Agreements that are materially identical to the versions attached as Annex 2.1 (hereinafter referred to as the “Replacement Agreements”). Seller shall retain and be responsible for paying, performing and discharging when due, any liability or obligation arising under any R&D Agreement with respect to (i) a breach or default under any R&D Agreement committed on or prior to the Closing Date or the signing of the Replacement Agreements (whichever is earlier), and (ii) any obligation required by the terms of any R&D Agreement to be performed on or prior to the Closing Date or the signing of the Replacement Agreements (whichever is earlier) (such liabilities and obligations hereinafter collectively the “Excluded Liabilities”). Purchaser shall be responsible for paying, performing and discharging when due, any liability or obligation arising under any R&D Agreement following the transfer of the respective R&D Agreements with respect to (i) a breach or default under any R&D Agreement committed after the Closing Date or the signing of the Replacement Agreements (whichever is earlier) and which are not the direct result of actions undertaken by Seller and (ii) any obligation required by the terms of any R&D Agreement to be performed by Purchaser and the Assignee after the Closing Date or the signing of the Replacement Agreements (whichever is earlier).




Page 6 of 19



 


	
 
	
2.2
	
To effect the entering into the Replacement Agreements, Seller will contact the respective parties to the R&D Agreements and seek the required consents having the effect that Seller is replaced by Purchaser as party to each of the R&D Agreements with commercial effect (mit wirtschaftlicher Wirkung) as of the Closing Date. Seller shall use its reasonable best efforts to obtain such consents as soon as practical. Moreover, Seller shall use its reasonable best efforts (with Purchaser’s reasonable assistance) to persuade the other parties to the R&D Agreements to agree to the Replacement Agreements. For purposes of this Section 2.2, "reasonable best efforts" shall not include any requirement of Seller to expend money in excess of US[***] commence or participate in any litigation or offer or grant any material accommodation (financial or otherwise) to any third Party to the R&D Agreements.  





	
 
	
2.3
	
Seller is not required to take any action to effect the assignment of certain individual rights under the R&D Agreements and the assumption of certain individual obligations under the R&D Agreements if an attempted direct or indirect assignment thereof, without the consent of a Third Party, would constitute a breach, default, violation or other contravention of the rights of such Third Party, would be ineffective with respect to any party to the respective R&D Agreement, or would in any way adversely affect the rights of Seller or, upon transfer, of Purchaser under the respective R&D Agreement.





	
 
	
2.4
	
Until (i) the Replacement Agreements by which Purchaser replaces Seller as party to each R&D Agreement with commercial effect (mit wirtschaftlicher Wirkung) as of the Closing Date have been concluded or (ii) in case that no such agreements will be reached with all relevant parties to the R&D Agreements, the Parties will treat each other internally as if all parties to the R&D Agreements had agreed to replace Seller by Purchaser as party to each of the R&D Agreements with commercial effect (mit wirtschaftlicher Wirkung) as of the Closing Date. To achieve this purpose, Seller could, e.g., hold the respective benefits under such R&D Agreement for which such consent or approval has not been obtained in trust for Purchaser (but only to the extent that holding such benefit in trust without first having obtained the consent or approval of the other contracting party does not constitute a breach of, or result in a default under the respective R&D Agreement) and use its reasonable best efforts to continue to comply with the remaining obligations under the respective R&D Agreement. All benefits derived under any such R&D Agreement after the Closing Date shall be for the benefit of Purchaser, and Seller shall take or cause to be taken all action that Purchaser may reasonably require to provide Purchaser with the benefit thereof.





	
 
	
2.5
	
Purchaser undertakes to assist Seller to the extent required or appropriate to enable Seller to obtain the necessary consents to replace Seller by Purchaser as party to the R&D Agreements or, respectively, to put Seller in a position that enables Seller to provide Purchaser with the benefits under the respective R&D Agreements. By way of example, Purchaser is, in particular, prepared to grant Seller a license back under any Co-Owned IP Rights following the transfer to Purchaser that enables Seller to grant the other parties to the R&D Agreements a sublicense under the Co-Owned IP Rights even after their transfer to Purchaser. It is, however, understood that Purchaser will only license back such Co-Owned IP Rights if another party to the R&D Agreement applying to such Co-Owned IP Right has a right to request such license under such R&D Agreement. To the extent that such sub-license is royalty-bearing, Seller will pass on any such royalties obtained to Purchaser without undue delay, provided nothing herein shall obligate, or be construed to obligate Purchaser to grant any rights in any other intellectual property owned or controlled by Purchaser beyond the Co-owned IP Rights.





	
 
	
2.6
	
Upon the terms and subject to the conditions of this Agreement, Purchaser shall, unless otherwise explicitly agreed upon herein, irrevocably assume, effective as of the Closing Date, and from and after the Closing Date, Purchaser shall pay, perform and discharge when due all obligations, liabilities and commitments of Seller arising after the Closing Date for acts not undertaken by Seller, relating to any of the Sold Assets, in particular, but not limited to, the R&D Agreements provided they have been assigned to Purchaser or to the extent otherwise benefiting Purchaser (collectively hereinafter the "Assumed Liabilities") and indemnify and hold Seller harmless from and against any and all cost suffered or incurred by Seller as a result of any failure by Purchaser to carry out, perform and discharge those obligations and liabilities. Seller shall indemnify Purchaser and hold Purchaser harmless for any liabilities arising from Seller’s breach of any obligations relating to the Sold Assets which occurred prior to the Closing Date or which survive the Closing Date, such as obligations to confidentiality under the R&D Agreements.




Page 7 of 19



 


	
 
	
2.7
	
Without limiting the generality of the foregoing, it is furthermore explicitly agreed and understood that Purchaser shall assume effective as of the Signing Date the obligation of Seller to conduct good faith discussions with [***] in relation with any potential request by [***] to obtain a license regarding certain of the transferred IP Rights which have a priority date before September 4, 2012 and which is necessary to exercise the results of the joint development work created under the Joint Development Agreement between Seller and [***] (hereinafter the “Joint Development Agreement”); an excerpt of the relevant provisions of this Joint Development Agreement is attached hereto as Annex 2.7. 





	
3.
	
Purchase Price





	
 
	
3.1
	
The Purchase Price for the Sold Assets sold and transferred hereunder to be paid by Purchaser shall be a fixed amount of EUR 86,750,000.00 (in words: Euro eighty-six million seven hundred fifty thousand) (hereinafter the “Purchase Price”). The Purchase Price shall be allocated to the different Sold Assets as set forth in Annex 3.1 (hereinafter the “Purchase Price Allocation Schedule”).





	
 
	
3.2
	
The Purchase Price shall be exclusive of Value Added Tax (Umsatzsteuer) or any other indirect tax due on the transaction contemplated by this Agreement (hereinafter collectively “Sales Tax”). Seller will invoice Purchaser all payments due under this Agreement in accordance with all applicable laws. To the extent the Purchase Price is subject to Sales Tax, the appropriate amount of such Sales Tax will be shown as a separate item on the invoice unless the Sales Tax is subject to the reverse charge procedure. In any event, Purchaser will pay and bear such amount of Sales Tax. Where legally possible, Seller will apply a tax exemption of zero percent (0%) rate or any other tax facility applicable in the relevant country. All payments due to Seller under this Agreement shall be made without deduction of any taxes, levies or other dues payable.





	
 
	
3.3
	
On the Signing Date, Purchaser shall pay to Seller, free of costs and charges, in immediately available funds (with value date as of the Signing Date), by wire transfer into Seller ́s Account (as defined in Section 3.4 below) the Purchase Price and any applicable Sales Tax.





	
 
	
3.4
	
All payments owed by Purchaser to Seller under this Agreement shall be paid by Purchaser by wire transfer to Seller's bank account kept with [***] (hereinafter "Seller’s Account").





	
C.
	
SIGNING DATE AND CLOSING





	
4.
	
Signing Date and Closing





	
 
	
4.1
	
Signing Date and Closing shall have the following meaning in this Agreement:





	
 
	
4.1.1
	
"Signing Date" shall be the day on which this Agreement has been duly executed by authorized representatives of the Parties and the Closing (as defined below) takes place.





	
 
	
4.1.2
	
"Closing" shall mean the closing (Erfüllen) of this Agreement, in particular the taking place of all Closing Events (as defined in Section 4.3 below). The signing of this Agreement and the Closing shall take place simultaneously.





	
 
	
4.2
	
Without delay, but not later than two (2) Business Days after the Closing Date, the Purchaser and the Seller shall send the mutually signed Replacement Agreements to the respective contract parties of the R&D Agreements and the IP Co-Owners (as defined in Section 4.5 below) in order (i) to obtain their acknowledgement of the transfer of the Co-Owned IP Rights and (ii) to seek their consent to Purchaser replacing Seller in the respective R&D Agreements in accordance with the terms of the Replacement Agreements. The Parties shall keep each other informed in a timely fashion of all developments with respect to the intended replacement of Seller by Purchaser in the R&D Agreements and shall actively cooperate with each other to obtain such replacement as soon as possible.





	
 
	
4.3
	
On the Closing Date, the following actions and events (hereinafter the "Closing Events") shall take place at the offices of Seller or at such place as agreed between the Parties:





	
 
	
4.3.1
	
Payment of the Purchase Price in immediately available funds into Sellers' Account;




Page 8 of 19



 


	
 
	
4.3.2
	
Execution of patent assignment agreements as attached hereto as Annex 4.3.2 (it being explicitly agreed and understood that such patent assignment agreements shall be executed to perform the legal transfer and the assignment of the IP Rights, but shall not constitute or create any further rights or claims of the Purchaser against Seller other than those set forth under this Agreement);  





	
 
	
4.3.3
	
Transfer of the Know-How Packages in accordance with the principles set forth in Annex 4.3.3;





	
 
	
4.3.4
	
Transfer of the BASF IP Files in accordance with Section 9.2.; and





	
 
	
4.3.5
	
Transfer of the Due Date List pursuant to Section 9.1.2.





	
 
	
4.4
	
Purchaser acknowledges that Seller obtained public funding from the German Federal Ministry of Education and Research (hereinafter the "BMBF") for the activities carried out under the R&D Agreements that resulted in the IP Rights marked in Annex 1.2.A and Annex 1.2.B respectively (hereinafter the “Funded IP Rights”). This funding was subject to certain Terms and Conditions issued by the BMBF, including the [***]. 





	
 
	
4.4.1
	
The Parties agree that Seller either met the conditions of the applicable [***] with which Seller had agreed to comply (i.e., the grant approvals (Zuwendungsbescheid) for the Projects [***] or the [***] became inapplicable because [***]. For the purpose of complying with the requirement of § [***] of the Terms and Conditions of the BMBF (Nebenbestimmungen), Purchaser for itself and for its successor in title shall irrevocably assume, effective as of the Closing Date, all obligations set forth in the Terms and Conditions of the BMBF (Nebenbestimmungen) applicable to the publicly funded R&D activities in relation to [***] and will be solely liable as of the Closing Date for the consequences of any noncompliance or violation of these terms and conditions committed by Purchaser or its Affiliates or attributable to Purchaser or any of its Affiliates.





	
 
	
4.4.2
	
The Parties undertake to mutually inform the BMBF as soon as practically possible (but in no event later than one (1) week after the Closing Date) in written form of the transfer of the Funded IP Rights pursuant to this Agreement and provide reasonable information (to the extent required) about such transaction.  [***]





	
 
	
4.4.3
	
[***]





	
 
	
4.4.4
	
For the avoidance of doubt, any additional financial burden for Purchaser which may be imposed by the BMBF as the result of the [***] that exceeds [***] shall be exclusively borne by Seller. For the sake of clarity, the Parties also agree that Seller shall remain liable vis-à-vis the BMBF regarding any potential liability regarding the grant approvals for the Funded IP Rights that relates to the time prior to the Closing Date. Moreover, the Parties agree that the liability of Seller resulting from this Section 4.4 is excluded from the De Minimis threshold provided for in Section 10.3 and the Liability Cap provided for in Section 10.4. [***]





	
 
	
4.5
	
Seller will use its reasonable best efforts to transfer its respective co-ownership title (Bruchteilseigentum) and all rights to the Co-Owned IP Rights listed in Annex 1.2 B to Purchaser as of the Closing Date. To the extent necessary, Seller will seek the consent or approval of the other Co-Owner(s) of the Co-Owned IP Rights (hereinafter the “IP Co-Owner”) to effect such transfer and the recordal of Purchaser as co-owner in the relevant registers. To the extent that after the Closing Date, one or more of the IP Co-Owner(s) challenges and objects in writing the valid legal transfer of the Co-Owned IP Rights from Seller to Purchaser and provided further that a Final Resolution does not result in the valid transfer of one or more of the Co-Owned IP Rights to Purchaser (hereinafter the “Non Assignable Co-Owned IP Rights”) and Seller is still the legal owner of such Non Assignable Co-Owned IP Rights (hereinafter the “Non-Transfer Event”) then Seller will (i) hold the title as well as the benefit of any such Non Assignable Co-Owned IP Rights in trust for Purchaser, whereby all benefits (including, but not limited to, financial and legal benefits) derived under any such Non Assignable Co-Owned IP Rights after the Closing Date shall be exclusively for the benefit of Purchaser, and Seller shall take or cause to be taken all action that Purchaser may reasonably require to provide Purchaser with the benefit thereof; and (ii) Seller shall, to the extent legally possible and to the extent that there are no negative tax consequences, grant Purchaser an exclusive and royalty free license with respect to such Non Assignable Co-Owned IP Rights and, if an exclusive license cannot be granted, to grant Purchaser a non-exclusive license or such right that comes closest to an exclusive license that can be legally granted to Purchaser (hereinafter the “Alternative Transfer”).




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4.6
	
Notwithstanding any of Seller ́s representations, warranties or covenants hereunder, it is explicitly agreed and understood by Purchaser that its sole and exclusive remedy for any damages of any nature whatsoever incurred by Purchaser arising out of, resulting from, by reason of, or incurred in connection with the inability of Seller to transfer the Non Assignable Co-Owned IP Rights shall be limited solely to the Alternative Transfer. Under no circumstances shall Purchaser be entitled to withdraw (zurücktreten) from this Agreement or to require the winding up of the transaction contemplated hereunder or thereunder, and (i) any claims for breach of pre-contractual obligations (culpa in contrahendo, including but not limited to claims arising under Sections 241 (2), 311 (2) (3) of the German Civil Code (BGB) or ancillary obligations (Nebenpflichten), including but not limited to claims arising under Section 280 of the German Civil Code (BGB), (ii) any claims based on frustration of contract pursuant to Section 313 of the German Civil Code (BGB) (Störung der Geschäftsgrundlage), (iii) all remedies of Purchasers for defects of the purchase object under Sections 437 through 441 of the German Civil Code (BGB), and (iv) any and all other statutory rights and remedies, if any, are hereby expressly excluded and waived (verzichtet) by Purchaser, except claims based on willful deceit (arglistige Täuschung). 





	
 
	
4.7
	
Each Party to this Agreement covenants and agrees that it will at all times after the Signing Date, at the expense of the requesting Party, promptly execute and deliver all such documents, including, without limitation, all such additional conveyances, transfers, consents and other assurances and do all such other acts and things as the requesting Party, acting reasonably, may from time to time request be executed or done in order to better evidence or perfect or effectuate any provision of this Agreement or of any agreement or other document executed pursuant to this Agreement (including, but not limited to, the transfer and assignment of the IP Rights) or any of the respective obligations intended to be created hereby or thereby. For the avoidance of doubt, the recording fees relating to the transfer and assignment of the IP Rights shall be paid by the Purchaser. 





	
D.
	
GUARANTEES, REMEDIES, INDEMNITIES AND COVENANTS





	
5.
	
Seller’s Guarantees





	
 
	
5.1
	
Seller hereby guarantees, subject where applicable to the limitations contained in this Agreement, in particular, but not limited to, the remedies set out in Section 7 below, the Time Limitations (as defined in Section 10.1 below), the exclusion of De Minimis Claims (as defined in Section 10.3 below), the Deductible (as defined in Section 10.3 below) and the Liability Cap (as defined in Section 10.4 below) by way of an independent guarantee pursuant to Section 311 (1) of the German Civil Code (BGB) that the statements set forth herein are true and correct as of the Signing Date (hereinafter collectively "Seller’s Guarantees"): 





	
 
	
5.1.1
	
Enforceability, No Conflict. This Agreement constitutes the legal, valid, and binding obligation of Seller, enforceable under German law against Seller in accordance with its terms. Seller has as of the Signing Date the absolute and unrestricted corporate power, authority, and capacity to execute this Agreement and to perform its obligations under this Agreement and all actions in connection with this Agreement have been duly authorized and approved by all necessary corporate action of Seller. Neither the execution of this Agreement nor the consummation or performance of any of the transactions contemplated thereby will violate the certificate of incorporation or by-laws of the Seller.





	
 
	
5.1.2
	
Existence of Seller ́s Authority. Seller is duly incorporated and validly existing as of the Signing Date under the laws of Germany. Seller has all requisite corporate power and authority to own and transfer the respective Sold Assets. 





	
 
	
5.1.3
	
Bankruptcy or Judicial Composition Proceedings. As of the Signing Date, no bankruptcy or judicial composition proceedings concerning Seller has been applied for and, to the Knowledge of Seller (as defined in Section 5.3 below), no circumstances exist which would require the application for any bankruptcy or judicial composition proceedings.





	
 
	
5.1.4
	
Registration Fees. Except as disclosed in Schedule 5.1.4, as of the Signing Date, all required filings and fees related to the IP Rights have been timely filed with and paid to the relevant Governmental Entities and authorized registrars, and all IP Rights are otherwise in good standing. 





	
 
	
5.1.5
	
Title. Seller is the sole beneficial owner of the Exclusively Owned IP Rights (as listed in Annex 1.2 A and Annex 5.1.5) and one of the legitimate co-owners (Bruchteilseigentümer) of the Co-Owned IP Rights (as listed in Annex 1.2 B), and otherwise absolutely entitled to each of the Sold Assets and the proceeds of the sale of them. All IP Rights owned by Seller (including such for which addi




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tional information is provided in Annex 5.1.5) are, entirely or in part, neither challenged in court nor in a dispute resolution nor arbitration procedure by any Third Party and can be transferred as part of the Sold Assets in a manner so that Purchaser upon the terms and conditions of this Agreement shall acquire full title to or can lawfully use the IP Rights as from the date of Closing. Annex 1.2 A and Annex 1.2 B each contain to the Knowledge of Seller, a true and complete list of the IP Rights.  





	
 
	
5.1.6
	
Proceedings Relating to IP Rights. Except as disclosed in Schedule 5.1.6, all IP Rights owned by Seller entirely or in part are neither subject to any pending nor, to the Knowledge of Seller, credibly threatened invalidations trials at court nor any dispute resolution or arbitration procedure by any Third Party, including claims or proceedings initiated or threatened by individual inventors who are or have been employed by the Seller or one of its Affiliates, in particular, but not limited to, under the German Act on Employee Inventions (Gesetz über Arbeitnehmererfindungen).





	
 
	
5.1.7
	
Encumbrances. The IP Rights are not charged with any security rights (Sicherungsrechte) of Third Parties including the transfer for security purposes (Sicherungsübereignungen).





	
 
	
5.1.8
	
Frand. To the Knowledge of Seller, none of the IP Rights is subject to an obligation to license royalty free, or to any fair, reasonable, and non-discriminatory (hereinafter “FRAND”) or reasonable and non-discriminatory (hereinafter “RAND”) conditions.





	
 
	
5.1.9
	
Compliance with R&D Agreements. Except as disclosed in Schedule 5.1.9, Seller and, to the Knowledge of Seller, each other party to the R&D Agreements, has complied with its obligations under the R&D Agreements.





	
 
	
5.1.10
	
License. As of the Signing Date, the Seller did not license any of the Exclusively Owned IP Rights to Third Parties or any of its Affiliates.





	
 
	
5.1.11
	
Litigation. There is no action, suit, investigation or proceeding pending against, or, to the Knowledge of Seller, credibly threatened in writing against or affecting Seller before any court or arbitrator or governmental body, agency or official which in any manner challenges or seeks to prevent, enjoin, alter or materially delay the transaction contemplated hereunder.





	
 
	
5.1.12
	
Finders' Fees. Except for the broker(s) named in Schedule 5.1.12, all fees and commissions to which are payable solely by the Seller, the Seller has no obligation or liability to pay any fees or commissions to any broker, finder or agent with respect to the transaction contemplated hereby for which Purchaser or any Affiliate of Purchaser could become wholly or partly liable. 





	
 
	
5.1.13
	
Accuracy of Certain Information. To the Best Knowledge of Seller, the information and matters referred to in Section 7.3.3 are accurate in all material respects and do not contain any untrue statement of a material fact, or omit to state a material fact necessary to make the statements contained therein, in light of the circumstances in which they are made, not misleading.





	
 
	
5.2
	
All Schedules referred to in Section 5.1 are collectively referred to as the "Disclosure Schedules". Seller does not give or assume any guarantees other than those set forth in Section 5.1 above, and none of Seller ́s Guarantees shall be construed as a guarantee or representation with respect to the quality of the Sold Assets within the meaning of Sections 276 (1), 443 of the German Civil Code (BGB) (Garantie für die Beschaffenheit der Sache).





	
 
	
5.3
	
For the purposes of this Agreement, "Knowledge of Seller" shall mean only the current and actual knowledge (positives Wissen) as of the Signing Date of the representatives and employees of Seller as identified in Schedule 5.3 (hereinafter the “BASF Knowledge Persons”). In case any of Seller’s guarantees is subject to best knowledge, best knowledge shall have the meaning of actual and current knowledge (positives Wissen) of the relevant BASF Knowledge Persons as well as the knowledge that each such person would have reasonably obtained as of the Signing Date after making due and appropriate inquiry with respect to the correctness of the statement in question made (fahrlässige Unkenntnis) (hereinafter “Best Knowledge of Seller”).





	
6.
	
Guarantees of Purchasers





	
 
	
6.1
	
Purchaser hereby guarantees by way of an independent guarantee pursuant to Section 311 (1) of the German Civil Code (BGB) that the statements set forth herein are true and correct as of the Signing Date or as of any other date explicitly referred to below:




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6.2
	
Enforceability, No Conflict. Purchaser is a company duly incorporated and validly existing under the laws of the Republic of Ireland. This Agreement constitutes the legal, valid and binding obligation of Purchaser, and is enforceable against Purchaser in accordance with its terms. Purchaser has as of the Signing Date the absolute and unrestricted corporate power, authority, and capacity to execute this and to perform its obligations under this Agreement, which actions have been duly authorized and approved by all necessary corporate actions of Purchaser. Neither the execution of this Agreement nor the consummation or performance of any of the transactions contemplated thereby will violate the certificate of incorporation or by-laws of Purchaser or violate any applicable law, rule, regulation, judgment, injunction, order or decree in any jurisdiction concerned under this Agreement. 





	
 
	
6.3
	
Litigation. There is no action, suit, investigation or proceeding pending against, or, to the knowledge of Purchaser as of the Signing Date, threatened against or affecting Purchaser before any court or arbitrator or governmental body, agency or official which in any manner challenges or seeks to prevent, enjoin, alter or materially delay the transaction contemplated hereunder.





	
 
	
6.4
	
Finders' Fees. Purchaser has no obligation or liability to pay any fees or commissions to any broker, finder or agent with respect to the transaction contemplated hereby for which Seller or any Affiliate of Seller could become wholly or partly liable.





	
7.
	
Remedies





	
 
	
7.1
	
In the event of any breach or non-fulfillment by Seller of any of Seller’s Guarantees or Seller ́s covenants contained in this Agreement, Seller shall be liable to put Purchaser into the same position that it would have been in if Seller ́s Guarantees or covenants contained in this Agreement had been correct or had not been breached (Naturalrestitution), or, at the election of Seller, to pay damages for non-performance. For purposes of determining the liability of Seller, only the actual direct losses, expenses or damages incurred by the Purchaser (including without limitation reasonable and properly documented legal fees), excluding any indirect or consequential damages (Folgeschäden) or lost profits (entgangener Gewinn), shall be taken into account (hereinafter "Losses"). Every payment of damages under this Section 7 shall be treated as a reduction of the Purchase Price. 





	
 
	
7.2
	
In the event of any breach or non-fulfilment by Seller of any of Seller ́s Guarantees or Seller’s covenants contained in this Agreement (hereinafter "Purchaser Claim"), Purchaser will give Seller written notice of such breach or non-fulfilment, with such notice stating the nature thereof and the amount involved, to the extent that such amount has been determined at the time when such notice is given promptly after discovery of such breach or non-fulfilment. Without prejudice to the validity of the Purchaser Claim or alleged claim in question, Purchaser shall allow Seller and its accountants and their professional advisors to investigate the matter or circumstance alleged to have given rise to such Purchaser Claim, and whether and to what extent any amount is payable in respect of such Purchaser Claim and, for such purpose, Purchaser shall give, subject to it being paid its reasonable out-of-pocket costs and expenses, such information and assistance, including access to Purchaser ́s premises and personnel and including the right to examine and copy or photograph documents and records, as Seller or its accountants or professional advisors may reasonably request. This provision shall also apply in cases of court or arbitration proceedings being pending between the Parties.





	
 
	
7.3
	
Seller shall not be liable for, and Purchaser shall not be entitled to bring, any Purchaser Claim or any other claim under or in connection with this Agreement if and to the extent that:





	
 
	
7.3.1
	
the full amount of the Purchaser Claim is actually recovered by the Purchaser or any of its Affiliates, including, without limitation, under any insurance policies in force on the Signing Date, it being understood that Purchaser shall use its commercially reasonable best efforts to recover under insurance policies or indemnity, contribution or similar agreements for any losses prior to seeking indemnification under this Agreement;





	
 
	
7.3.2
	
the Purchaser Claim results from a failure of Purchaser or any of its Affiliates to mitigate damages pursuant to Section 254 of the German Civil Code (BGB);




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7.3.3
	
the Purchaser Claim was known by Purchaser as of the Signing Date or could have been known by Purchaser by applying the usual care in its own matters (Sorgfalt in eigenen Angelegenheiten). By way of illustration, for all information in relation to the IP Rights that is contained in publicly available sources, it is assumed that such information could have been known to Purchaser. Without limiting the generality of the foregoing, Purchaser shall be deemed to have knowledge of all matters disclosed  





	
 
	
(i)
	
in the Information Memorandum prepared by [***] dated November 19, 2015; 





	
 
	
(ii)
	
the answers to information requests of Purchaser; 





	
 
	
(iii)
	
the documents and information made available in the electronic data room prior to signing which have been stored on two (2) DVD`s and delivered on the Signing Date to the Seller and Purchaser, respectively (attached hereto as Annex 7.3.3).





	
 
	
7.3.4
	
the procedures set forth in Sections 7.2 or 7.4 were not observed by Purchaser unless Seller was not materially prejudiced by the non-compliance with such procedures.





	
 
	
7.4
	
Seller shall not be liable for any Purchaser Claim if and to the extent Purchaser or any of its Affiliates has caused (mitverursacht) such Purchaser Claim after the Signing Date. When calculating the amount of the liability of Seller under this Agreement, all advantages in connection with the relevant matter shall be taken into account (Vorteilsausgleich) and Seller shall not be liable under this Agreement in respect of any Purchaser Claim for any Losses suffered by Purchaser or any of its Affiliates to the extent of any corresponding savings by or net benefit to Purchaser or any of its Affiliates arising therefrom.





	
 
	
7.5
	
If, with respect to matters that may give rise to a Purchaser Claim, (i) an order of any Governmental Entity is issued or threatened to be issued against Purchaser, or (ii) Purchaser is sued or threatened to be sued by a Third Party, including, without limitation, any Governmental Entity ((i) through (ii) hereinafter "Third Party Claim"), Purchaser shall give Seller written notice of such Third Party Claim without undue delay. Further, the following procedures shall apply: 





	
 
	
7.5.1
	
Purchaser shall provide Seller with all reasonable information and assistance, including access to all records to which Purchaser or any Affiliate of Purchaser has access to and which are reasonably required in order to determine the extent to which any such Third Party Claims are justified. If Seller so elects at any time, Seller shall be entitled to assume control of such administrative or judicial proceeding, audit or assessment or the defense of such claim employing its own counsel at its sole costs, expense and risk. As long as Seller is defending a claim, Purchaser shall provide or cause to be provided to Seller any information reasonably requested by Seller relating to such Third Party Claim, and Purchaser shall otherwise cooperate with and support Seller and its representatives in good faith in order to contest effectively such claim. Seller shall inform Purchaser of all developments and events relating to such claim and Purchaser shall be entitled, at its expense, to employ own counsel and to attend, but not to participate in or to control, all conferences, meetings and proceedings relating to such claim. After having given written notice to Purchaser of its election to assume control of defense of any such claim, Seller shall, however, not be liable to Purchaser for any legal expenses subsequently incurred by Purchaser in connection with the defense as long as Seller assumes and conducts such defense in a timely and diligent matter.





	
 
	
7.5.2
	
If Seller does not assume control of a defense of a specific Third Party Claim, Purchaser shall have full control of such defense and such proceedings, with Seller to be liable for all reasonable and properly documented legal expenses of Purchaser. Seller shall be entitled, at its sole expense, to employ its own counsel and to attend, but not to participate in or to control, all conferences, meetings and proceedings relating to such claim. 





	
8.
	
Invention Act Indemnities; Indemnities for Excluded Assets and Excluded Liabilities.





	
 
	
8.1
	
Seller shall indemnify, defend and hold fully harmless Purchaser from and against any and all claims, payment requests and other Losses to the extent arising or resulting from any claims of current or former employees of Seller or its Affiliates (as the case may be) under the applicable employee ́s invention act, including without limitation the German Act on Employee Inventions (Gesetz über Arbeitnehmererfindungen) and any other payments due to any Third Party triggered or caused by the sale of the IP Rights to Purchaser. Every payment of damages under this Section 8 shall be treated as an adjustment of the Purchase Price.




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8.2
	
Seller shall indemnify, defend and hold fully harmless Purchaser from and against any and all Losses incurred or sustained by, or imposed upon the Purchaser, based upon, arising out of, with respect to or by reason of: 





	
 
	
8.2.1
	
any Excluded Assets or any Excluded Liabilities; or





	
 
	
8.2.2
	
any claim of any Third Party based upon, resulting from or arising out of the business, operations, properties, assets or obligations of the Seller (other than the Sold Assets or Assumed Liabilities).





	
9.
	
Seller’s Covenants





	
 
	
9.1
	
Maintenance of IP Rights Registration 





	
 
	
9.1.1
	
Until the Closing Date, Seller shall pay all fees that are required to duly maintain the proper registration status of the IP Rights and use all reasonable efforts to maintain and preserve intact the status of the IP Rights consistent with past practice. After the Closing Date, Purchaser shall be fully responsible and liable for any costs which arise in connection with the maintenance and assignment of the IP Rights. 





	
 
	
9.1.2
	
Prior to the Closing Date, Seller will take all actions to ensure that until and within further two (2) months from the Closing Date no due dates for actions expire, the successful performance of which is necessary to maintain any IP Right, including National Phase entry of any PCT applications into US, EP, KR, CN and JP. As of the Closing Date until the transfer of the IP Rights to Purchaser, but no later than two (2) months after the Closing Date, Seller shall pay incoming invoices and debits and Purchaser is required to reimburse Seller such costs that Seller advances for Purchaser. Seller will, on the Closing Date, provide Purchaser furthermore with a documentation of all due dates until December 31, 2016 of which Seller is aware at the Closing Date relating to the IP Rights in line with Seller’s current practice as listed in Annex 9.1.2 (hereinafter the “Due Date List”). Such documentation shall be according to Sellers internal quality standards for the handling of its IP Rights.





	
 
	
9.1.3
	
Purchaser is responsible for the recordal of the change in legal ownership of the IP Rights in the relevant public registers and Seller hereby authorizes Purchaser to take all actions and to make all declarations on Seller’s behalf that are necessary or reasonable under the applicable laws of the relevant jurisdictions to effect the transfer of the IP Rights and the recordal of the change of legal ownership. Purchaser bears its own costs in connection with such recordal of the change of legal ownership of the IP Rights, in particular all fees necessary to effect the recordal or registrations of the IP Rights. Seller will fully and timely cooperate with Purchaser to effect such recordal or registration, provide all the necessary documents, and bears its own costs in connection with such recordal of the change of legal ownership of the IP Rights. Seller will fully and timely cooperate with Purchaser to effect such recordal or registration and provide all available documents that are necessary or reasonable to effect such recordal or registration (including, but not limited to, to use its reasonable efforts to obtain the consents of its current inventors). For the avoidance of doubt, any costs incurred by Seller or its Affiliates (as the case may be) in connection with such support and cooperation, shall be exclusively borne by Seller. The provisions set forth in Section 9.1.1 remain unaffected hereby.





	
 
	
9.1.4
	
Seller declares its consent to the recordal of the change of ownership in the registers. Seller will assist Purchaser to effect the recordal of Purchaser as new owner of the IP Rights in the relevant registers and will take all actions that Purchaser may reasonably request against reimbursement of Seller’s reasonable out of pocket expenses. Such actions do, in particular, encompass the delivery of a deed of assignment in such form as required in the relevant jurisdictions (e.g., confirmatory assignments) to perfect the transfer of ownership of the IP Rights. Seller will furthermore deliver to Purchaser all documentation as may be necessary or required to effect the recordation of the ownership change in the relevant registers to the extent that such information is not contained in the IP Files relating to the IP Rights that Seller will transfer to Purchaser.





	
 
	
9.1.5
	
Seller herby authorizes Purchaser to take all actions that are necessary to maintain the IP Rights to the extent necessary prior to the recordal of the change of ownership in the relevant registers.





	
 
	
9.2
	
Transfer of Files. Immediately on or after the Closing Date, but in any case within ten (10) Business Days after the Closing Date, Seller will (i) transfer to Purchaser all electronic files relating to the IP Rights prepared by the Global Intellectual Property Department of Seller (hereinafter the “IP Files”) and (ii) inform all outside counsels about the transfer of the IP Rights and instruct them to 




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act from the Closing Date onwards according to Purchasers instructions. As of the Closing Date, representation for the IP Rights handled internally by the Global Intellectual Property Department of Seller shall be taken over by the law firm(s) of choice of Purchaser. 





	
 
	
9.3
	
Support against Non Covered Third Party Claims. If a Third Party starts after the Signing Date any claim or action against the validity or existence of any of the transferred IP Rights for which no indemnity pursuant to Section 7 of this Agreement may be sought (hereinafter the “Non Covered Third Party Claim”), Purchaser shall promptly give written notice thereof to Seller. Such notice shall specify in as much detail as possible the issue for such Non Covered Third Party Claim and shall include a copy of any relevant correspondence so far exchanged in this matter. Seller shall provide or cause to be provided to Purchaser any information and assistance reasonably requested by Purchaser relating to such Non Covered Third Party Claim, and Seller shall otherwise cooperate with and support Purchaser and its representatives in good faith in order to contest effectively such claim (hereinafter the “Third Party Claim Support”) subject to reimbursement by Purchaser of all reasonable costs associated or incurred in connection with such support by Seller (including, but not limited to, travel costs and adequate representation allowances for Seller ́s employees). Purchaser shall inform Seller of all material developments and events relating to such claim and Seller shall be entitled to attend, but not to participate in or to control, all conferences, meetings and proceedings relating to such claim. It is explicitly agreed and understood that any Third Party Claim Support shall only be provided for a period of [***] following the date the patent being the subject matter of the Non Covered Third Party Claim has been officially granted by the respective Governmental Entity, however, at the latest until the end of [***].





	
10.
	
Expiration of Claims / Limitation of Claims





	
 
	
10.1
	
All claims of Purchaser arising under Section 5.1 of this Agreement shall be time-barred [***] after the Signing Date. Exempted therefrom are:





	
 
	
10.1.1
	
all claims of Purchaser for a breach of the representations and warranties in Sections arising under Section 5.1.1 to Section 5.1.5, Section 5.1.7, Section 5.1.10 and Section 5.1.13 (hereinafter collectively the “Fundamentals Reps”) which shall survive a period of [***] years as of the Signing Date;





	
 
	
10.1.2
	
all claims of Purchaser arising as a result of wilful or intentional breach of Seller ́s obligations under this Agreement which shall be time-barred in accordance with the statutory rules in Sections 195, 199 German Civil Code (BGB) as well as any possible claim pursuant to Section 4.4;





	
 
	
10.1.3
	
all obligations of Seller arising under the covenants set forth in Section 2.5 and Section 4.5 respectively, which shall be binding and applicable upon Seller until the property rights (Schutzrechte) of the respective Co-Owned IP Rights have expired pursuant to the applicable laws (hereinafter collectively "Time Limitations").





	
 
	
10.2
	
The expiry period for any claims of Purchaser under this Agreement shall be tolled (gehemmt) pursuant to Section 209 German Civil Code (BGB) by any timely demand for fulfillment pursuant to Section 7.2 above, provided that Purchaser commence judicial proceedings within three (3) months after the expiry of the relevant Time Limitations. Section 203 German Civil Code (BGB) shall not apply, unless the Parties agree in writing that the expiry period shall be tolled on the basis of pending settlement negotiations.





	
 
	
10.3
	
No liability shall attach to Seller under or in connection with this Agreement where the individual claim is less than EUR 100,000.00 (in words: one hundred thousand Euros) (hereinafter "De Minimis Claims") and until the aggregate amount of claims (excluding the De Minimis Claims) is more than EUR [***] ((Freibetrag) (hereinafter "Deductible"). If the aggregate liability of Seller under this Agreement is greater than [***], Seller ́s liability shall be the excess above [***]. This Section 10.3 shall not apply to any claims of Purchaser which arise as a result of willful or intentional behavior of Seller (Vorsatz) and any possible claim under Section 4.4.





	
 
	
10.4
	
The aggregate liability of Seller under this Agreement shall not exceed [***] of the Purchase Price (hereinafter "Liability Cap"). The Liability Cap shall not apply to claims for indemnifications arising from a breach of the Fundamental Reps where the aggregate amount of all Losses for which Seller shall be liable shall not exceed the Purchase Price. In addition, the Liability Cap shall not apply to claims being the result of willful or intentional behavior of Seller (Vorsatz) and any possible claim under Section 4.4.




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10.5
	
The Parties are in agreement that the remedies that Purchaser or any of Purchaser ́s Affiliates may have against Seller, or Seller may have against Purchaser for breach of obligations set forth in or in connection with this Agreement are solely governed by this Agreement, and the remedies provided for by this Agreement shall be the exclusive remedies available to the Parties in connection with this Agreement. Apart from the rights of Purchaser under Section 4.5, Section 5 and Section 7 through Section 8 above, any right of Purchaser (i) to withdraw (zurücktreten) from this Agreement or to require the winding up of the transaction contemplated hereunder or thereunder, (ii) any claims for breach of pre-contractual obligations (culpa in contrahendo, including but not limited to claims arising under Sections 241 (2), 311 (2) (3) of the German Civil Code (BGB)) or ancillary obligations (Nebenpflichten), including but not limited to claims arising under Section 280 of the German Civil Code (BGB), (iii) any claims based on frustration of contract pursuant to Section 313 of the German Civil Code (BGB) (Störung der Geschäftsgrundlage), (iv) all remedies of Purchasers for defects of the purchase object under Sections 437 through 441 of the German Civil Code (BGB), and (v) any and all other statutory rights and remedies, if any, are hereby expressly excluded and waived (verzichtet) by Purchaser, except claims based on willful deceit (arglistige Täuschung). 





	
11.
	
License Back 




At any time following the Closing Date, but in no case later than [***] following the Closing Date, Seller may request Purchaser in writing to enter (or, as the case may be, to cause its Affiliates to enter) into good faith negotiations with Purchaser or its Affiliates with the aim to conclude a non-exclusive, non sublicenseable license agreement with regards to the IP Rights (including, but not limited to the Know-How Packages) for use by Seller and its Affiliates in the research, development, production, manufacture and sale of products other than for the manufacture of OLED material. Any such license agreement shall be subject to commercial conditions reasonable and customary in the relevant industry and be subject to Purchaser ́s legal ability to grant such licenses, while avoiding negative tax consequences.


	
E.
	
MISCELLANEOUS





	
12.
	
Restriction of Announcement and Confidentiality





	
 
	
12.1
	
Each of the Parties undertakes that prior to the Signing Date it will not make, and will not cause any of its Affiliates to make, an announcement in connection with this Agreement unless (i) required by applicable law or regulations of any Governmental Entity, or (ii) the other Parties hereto have given their respective consent to such announcement, including the form of such announcement, which consents may not be unreasonably withheld or delayed and may be subject to conditions. If and to the extent any announcement or disclosure of information regarding the subject matter of this Agreement is to be made under applicable mandatory laws or any applicable stock exchange rules, the Party concerned shall, to the extent permissible under applicable law or regulations of any Governmental Entity, not disclose any such information without first informing the other Party thereof. The Parties shall, as of the Signing Date or at the latest within ten (10) Business Days thereafter, make a coordinated public announcement pertaining to the matters of this Agreement in the scope, content and form mutually agreed and set out in Annex 12.1 hereto.





	
 
	
12.2
	
The Parties understand and agree that all Confidential Information (as defined below) shall be treated as strictly confidential. "Confidential Information" shall mean the information created, transferred, recorded or employed as part of, or otherwise resulting from the activities undertaken pursuant to this Agreement which constitutes the confidential, proprietary or trade secret information of the disclosing Party (including, with respect to the Purchaser after the Signing Date, such information that is included in the Sold Assets). Such information may be of, but not limited to, a business, organizational, technical, financial, tax, marketing, operational, regulatory or sales nature and shall include, without limitation, any and all source codes and information relating to services, methods of operation, price lists, customer lists, technology, designs, specifications or other proprietary information of the business or affairs of a Party or its Affiliates. 





	
 
	
12.3
	
The receiving Party shall use the same degree of care as it uses with regard to its own Confidential Information to prevent disclosure, use or publication of the disclosing Party’s Confidential Information. Confidential Information of the disclosing Party shall be held confidential by the receiving Party above, unless the receiving Party is able to prove that the Confidential Information is or has been:





	
 
	
12.3.1
	
obtained legally and freely from a Third Party without restriction;




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12.3.2
	
independently developed by the receiving Party at a prior time or in a separate and distinct manner without benefit of any of the Confidential Information of the disclosing Party, and documented to be as such; 





	
 
	
12.3.3
	
made available by the disclosing Party for general release independent of the receiving Party;





	
 
	
12.3.4
	
made public as required by applicable law or regulations, proceedings of any Governmental Entity; or





	
 
	
12.3.5
	
within the public domain or later becomes part of the public domain as a result of acts by someone other than the receiving Party and through no fault or wrongful act of the receiving Party.





	
 
	
12.4
	
A receiving Party may disclose Confidential Information of a disclosing Party to directors, officers, and employees of the receiving Party or agents of the receiving Party including their respective brokers, lenders or insurance carriers who have specifically agreed in writing to non-disclosure of the terms and conditions hereof and who have a need to know such information in connection with the transactions contemplated by this Agreement. Any disclosure hereof required by legal process pursuant to this Section 12 shall only be made after providing the disclosing Party with notice thereof, in order to permit the disclosing Party to seek an appropriate protective order or exemption. Violation by a Party or its agents of the foregoing provisions shall entitle the disclosing Party, at its option, to obtain injunctive relief without a showing of irreparable harm or injury and without bond. The provisions of this Section 12 will be effective for a period of two (2) years after the Signing Date.





	
13.
	
Information, Records and Assistance Post-Closing





	
 
	
13.1
	
For a period of two (2) years following the Signing Date, Purchaser and Seller shall provide (and upon reasonable request procure that its respective Affiliates provide) the other with reasonable access to (and the right, at the cost of the Party making the request, to take copies of) the books and all other records held by Purchaser or its Affiliates and Seller or its Affiliates, respectively, after the Signing Date to the extent that such books, accounts, customer lists and records relate exclusively to the IP Rights and to the period up to the Signing Date (hereinafter "Records"). The foregoing obligation is subject to: 





	
 
	
13.1.1
	
the provisions of Section 12 above (Confidentiality); 





	
 
	
13.1.2
	
the person seeking access providing reasonable justification that the same is required; 





	
 
	
13.1.3
	
access being given only during working hours at a time acceptable to the holder of the relevant Records; 





	
 
	
13.1.4
	
the requested information not already being the subject of the Know-How Packages or the IP Files; and 





	
 
	
13.1.5
	
any restrictions on access imposed by law or the terms of any agreement. 





	
 
	
13.2
	
For a period of seven (7) years following the Signing Date, neither Purchaser nor Seller shall dispose of or destroy (and each shall procure that its respective Affiliates do not dispose of or destroy) any of the Records without first giving the other at least two (2) months' notice of its intention to do so and giving the other a reasonable opportunity to remove and retain any of them (at the other Party's expense).





	
14.
	
Notices




All notices and other communications hereunder shall be made in writing and shall be delivered or sent by registered mail or courier to the addresses below or to such other addresses which may be specified by a Party to the other Party in the future in writing:

If to Seller:

[***]

Page 17 of 19



 

If to Purchaser:

[***]

With copy to:

[***]


	
15.
	
Miscellaneous





	
 
	
15.1
	
All expenses, costs, fees and charges in connection with the transactions contemplated by this Agreement including, without limitation, legal services, shall be borne by the Party commissioning the respective costs, fees and charges. Purchaser shall bear any sales, transfer or stamp taxes or similar charges, payable by reason of the transactions contemplated by this Agreement in excess of the Sales Tax Amount. For the avoidance of doubt, each Party will be responsible for its own corporate income taxes.





	
 
	
15.2
	
All Annexes and Disclosure Schedules to this Agreement constitute an integral part of this Agreement.





	
 
	
15.3
	
This Agreement and the Annexes and Disclosure Schedules referred to under Section 15.2 above comprise the entire agreement between the Parties concerning the subject matter hereof and supersede and replace all oral and written declarations of intention made by the Parties in connection with the contractual negotiations. Changes or amendments to this Agreement (including this Section 15.3) must be made in writing by the Parties or in any other legally required form, if so required.





	
 
	
15.4
	
No Party shall be entitled to assign any rights or claims under this Agreement without the written consent of the other Party.





	
 
	
15.5
	
This Agreement shall not grant any rights to, and is not intended to operate for, the benefit of third parties unless otherwise explicitly provided for herein. Wherever under this Agreement any party other than Purchaser is to be indemnified by Seller, such other party is not entitled to bring any claims for indemnification against Seller (kein echter Vertrag zugunsten Dritter).





	
 
	
15.6
	
In this Agreement the headings are inserted for convenience only and shall not affect the interpretation of this Agreement; where a German term has been inserted in quotation marks and/or italics, it alone (and not the English term to which it relates) shall be authoritative for the purpose of the interpretation of the relevant English term in this Agreement.





	
 
	
15.7
	
No Party, except as provided otherwise herein, shall be entitled (i) to set-off (aufrechnen) any rights and claims it may have against any rights or claims any other Party may have under this Agreement, or (ii) to refuse to perform any obligation it may have under this Agreement on the grounds that it has a right of retention (Zurückbehaltungsrecht), unless the rights or claims of the relevant Party claiming a right of set-off (Aufrechnung) or retention (Zurückbehaltung) have been acknowledged (anerkannt) in writing by the relevant other Party or have been confirmed by final decision of a competent court (Gericht) or arbitration court (Schiedsgericht).





	
 
	
15.8
	
This Agreement shall be governed by, and be construed in accordance with, the laws of the Federal Republic of Germany, without regard to principles of conflicts of laws and without regard to the UN Convention on the Sale of Goods. All disputes resulting from, concerning the validity of or in connection with this Agreement shall be finally settled in accordance with the Arbitration Rules of the Deutsche Institution für Schiedsgerichtsbarkeit e.V. (German Institution of Arbitration). Arbitration shall be held in English in Frankfurt/Main, Germany before a panel of three (3) arbiters, pursuant to these Arbitration Rules after the parties have made at least one good-faith effort to resolve the issue(s) by mutual agreement. 





	
 
	
15.9
	
In the event that one or more provisions of this Agreement shall, or shall be deemed to, be invalid or unenforceable, the validity and enforceability of the other provisions of this Agreement shall not be affected thereby. In such case, the Parties hereto agree to recognize and give effect to such valid and enforceable provision or provisions, which correspond as closely as possible with the commercial intent of the Parties. The same shall apply in the event that the Agreement contains any gaps (Vertragslücken).




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Frankfurt, June 28, 2016
	
 
	
Frankfurt, June 28, 2016

	
 
	
 
	
 

	
 
	
 
	
 

	
BASF SE
	
 
	
UDC Ireland Limited





	
F.
	
List of Annexes and Disclosure Schedules





	
Annex 1.2 A 
	
Exclusively Owned IP Rights





	
Annex 1.2 B 
	
Co-Owned IP Rights





	
Annex 1.2 C 
	
[***]





	
Annex 1.2 D 
	
[***]





	
Annex 1.3 
	
[***]





	
Annex 2.1 
	
[***]





	
Annex 2.7 
	
[***]





	
Annex 3.1
	
[***]





	
Annex 4.3.2 
	
[***]





	
Annex 4.3.3
	
[***]





	
Annex 4.4
	
[***]





	
Annex 5.1.5
	
[***]





	
Annex 7.3.3 
	
[***]





	
Annex 9.1.2
	
[***]





	
Annex 12.1 
	
Coordinated Public Announcement




 


	
Schedule 5.1.4
	
[***]





	
Schedule 5.1.6
	
[***]





	
Schedule 5.1.9 
	
[***]





	
Schedule 5.1.12
	
[***]





	
Schedule 5.3
	
[***] 




 

 

Page 19 of 19



 

 


	
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Annex 1.2A – Exclusively Owned IP Rights
	
Status as of Jun-22-2016




 


	
[***]
	
 
	
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Filling Date
	
 
	
Filling No.
	
 
	
Publication No.
	
 
	
Grant Date
	
 
	
Patent No.
	
 
	
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CN
	
 
	
 
	
 
	
30.05.2003
	
 
	
03813119.6
	
 
	
1659931A
	
 
	
17.06.2009
	
 
	
ZL200303813119.6
	
 
	
 
	
 
	
 

	
 
	
 
	
EP
	
 
	
 
	
 
	
30.05.2003
	
 
	
10181289.9
	
 
	
2315502
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
EP
	
 
	
 
	
 
	
30.05.2003
	
 
	
03732510.7
	
 
	
1520450
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
EP
	
 
	
 
	
 
	
30.05.2003
	
 
	
10181324.4
	
 
	
2265092
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
30.05.2003
	
 
	
04/512463
	
 
	
05/529172
	
 
	
03.02.2012
	
 
	
4916661
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
30.05.2003
	
 
	
04/7019671
	
 
	
2005/0016499
	
 
	
17.02.2011
	
 
	
1017229
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
30.05.2003
	
 
	
10/517411
	
 
	
2005/175856
	
 
	
02.06.2009
	
 
	
7541096
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
21.10.2003
	
 
	
200380102532.6
	
 
	
1708485A
	
 
	
06.01.2010
	
 
	
ZL200380102532.6
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
21.10.2003
	
 
	
60318876.1
	
 
	
 
	
 
	
23.01.2008
	
 
	
1556360
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
21.10.2003
	
 
	
 
	
 
	
 
	
 
	
23.01.2008
	
 
	
1556360
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
21.10.2003
	
 
	
05/501808
	
 
	
18-510732
	
 
	
06.04.2012
	
 
	
4963357
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
21.10.2003
	
 
	
05/7007687
	
 
	
 
	
 
	
31.03.2011
	
 
	
1027635
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
21.10.2003
	
 
	
10/531780
	
 
	
2006/041126
	
 
	
06.09.2011
	
 
	
8012602
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
21.10.2003
	
 
	
13/654550
	
 
	
2013/079517
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
EP
	
 
	
 
	
 
	
20.06.2005
	
 
	
05761012.3
	
 
	
1893718
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
20.06.2005
	
 
	
07/518583
	
 
	
20-504342
	
 
	
25.05.2012
	
 
	
5000496
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
20.06.2005
	
 
	
07/7002145
	
 
	
 
	
 
	
30.05.2013
	
 
	
1272490
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
20.06.2005
	
 
	
12/794948
	
 
	
2010/244014
	
 
	
20.12.2011
	
 
	
8080667
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
20.06.2005
	
 
	
11/629573
	
 
	
2008-0015355
	
 
	
26.10.2010
	
 
	
7820828
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
14.12.2005
	
 
	
200580044163.9
	
 
	
101087863A
	
 
	
20.06.2012
	
 
	
ZL200580044163.9
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
14.12.2005
	
 
	
602005014391.2
	
 
	
 
	
 
	
06.05.2009
	
 
	
1841834
	
 
	
 
	
 
	
 

	
 
	
 
	
EP
	
 
	
 
	
 
	
14.12.2005
	
 
	
09153071.7
	
 
	
2080796
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
14.12.2005
	
 
	
 
	
 
	
 
	
 
	
06.05.2009
	
 
	
1841834
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
14.12.2005
	
 
	
 
	
 
	
 
	
 
	
06.05.2009
	
 
	
1841834
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
14.12.2005
	
 
	
 
	
 
	
 
	
 
	
06.05.2009
	
 
	
1841834
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
14.12.2005
	
 
	
07/547457
	
 
	
20-525366
	
 
	
05.10.2012
	
 
	
5100395
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
14.12.2005
	
 
	
07/7016762
	
 
	
 
	
 
	
24.05.2013
	
 
	
1269497
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
14.12.2005
	
 
	
11/793513
	
 
	
2011/114922
	
 
	
23.07.2013
	
 
	
8492749
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
14.12.2005
	
 
	
13/915745
	
 
	
2013/292660
	
 
	
21.04.2015
	
 
	
9012899
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
08.03.2006
	
 
	
200680008314.X
	
 
	
101142275A
	
 
	
11.07.2012
	
 
	
ZL200680008314.X
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
08.03.2006
	
 
	
602006009775.1
	
 
	
 
	
 
	
14.10.2009
	
 
	
1858976
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
08.03.2006
	
 
	
 
	
 
	
 
	
 
	
14.10.2009
	
 
	
1858976
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
08.03.2006
	
 
	
 
	
 
	
 
	
 
	
14.10.2009
	
 
	
1858976
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
08.03.2006
	
 
	
 
	
 
	
 
	
 
	
14.10.2009
	
 
	
1858976
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
08.03.2006
	
 
	
08/501273
	
 
	
20-538221
	
 
	
16.05.2014
	
 
	
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Page 1 of 14




	
FINAL
	
Annex 1.2A – Exclusively Owned IP Rights
	
Status as of Jun-22-2016




 


	
[***]
	
 
	
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[***]
	
 
	
Filling Date
	
 
	
Filling No.
	
 
	
Publication No.
	
 
	
Grant Date
	
 
	
Patent No.
	
 
	
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[***]

	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
08.03.2006
	
 
	
07/7023560
	
 
	
 
	
 
	
21.03.2013
	
 
	
1248047
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
08.03.2006
	
 
	
11/886138
	
 
	
2009/105447
	
 
	
21.05.2013
	
 
	
8445630
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
19.04.2006
	
 
	
200680014737.2
	
 
	
101171239A
	
 
	
14.08.2013
	
 
	
ZL200680014737.2
	
 
	
 
	
 
	
 

	
 
	
 
	
EP
	
 
	
 
	
 
	
19.04.2006
	
 
	
06743343.3
	
 
	
1874740
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
19.04.2006
	
 
	
08/508194
	
 
	
20-539192
	
 
	
22.11.2012
	
 
	
5138582
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
19.04.2006
	
 
	
07/7027653
	
 
	
 
	
 
	
27.05.2014
	
 
	
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US
	
 
	
 
	
 
	
19.04.2006
	
 
	
11/919105
	
 
	
2009/066231
	
 
	
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9113536
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
22.05.2006
	
 
	
200680019047.6
	
 
	
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26.11.2014
	
 
	
ZL200680019047.6
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
22.05.2006
	
 
	
201210028344.4
	
 
	
 
	
 
	
11/25/2015
	
 
	
102603688
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
22.05.2006
	
 
	
602006011734.5-08
	
 
	
 
	
 
	
13.01.2010
	
 
	
1885818
	
 
	
 
	
 
	
 

	
 
	
 
	
EP
	
 
	
 
	
 
	
22.05.2006
	
 
	
06777232.7
	
 
	
1885818
	
 
	
13.01.2010
	
 
	
1885818
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
22.05.2006
	
 
	
 
	
 
	
 
	
 
	
13.01.2010
	
 
	
1885818
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
22.05.2006
	
 
	
 
	
 
	
 
	
 
	
13.01.2010
	
 
	
1885818
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
22.05.2006
	
 
	
 
	
 
	
 
	
 
	
13.01.2010
	
 
	
1885818
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
22.05.2006
	
 
	
08/514060
	
 
	
20-545729
	
 
	
12.10.2012
	
 
	
5107237
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
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19.12.2013
	
 
	
1345104
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
22.05.2006
	
 
	
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25.07.2014
	
 
	
1425423
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
22.05.2006
	
 
	
14/252870
	
 
	
2014/217335
	
 
	
03.02.2015
	
 
	
8946984
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
22.05.2006
	
 
	
13/164016
	
 
	
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27.05.2014
	
 
	
8735610
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
22.05.2006
	
 
	
11/921050
	
 
	
2009/131673
	
 
	
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7989644
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
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200680049386.9
	
 
	
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18.09.2013
	
 
	
ZL200680049386.9
	
 
	
 
	
 
	
 

	
 
	
 
	
EP
	
 
	
 
	
 
	
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06841398.8
	
 
	
1966343
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
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08/547942
	
 
	
21-522228
	
 
	
05.04.2013
	
 
	
5234965
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
18.12.2006
	
 
	
08/7018462
	
 
	
 
	
 
	
21.10.2014
	
 
	
1455121
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
18.12.2006
	
 
	
12/086646
	
 
	
2009/062560
	
 
	
19.04.2011
	
 
	
7928242
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
31.01.2007
	
 
	
602007011396.2-08
	
 
	
 
	
 
	
22.12.2010
	
 
	
1981929
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
31.01.2007
	
 
	
 
	
 
	
 
	
 
	
22.12.2010
	
 
	
1981929
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
31.01.2007
	
 
	
 
	
 
	
 
	
 
	
22.12.2010
	
 
	
1981929
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
31.01.2007
	
 
	
 
	
 
	
 
	
 
	
22.12.2010
	
 
	
1981929
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
31.01.2007
	
 
	
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21-526111
	
 
	
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5553993
	
 
	
 
	
 
	
 

	
 
	
 
	
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200780026594.1
	
 
	
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ZL200780026594.1
	
 
	
 
	
 
	
 

	
 
	
 
	
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04.07.2007
	
 
	
07765779.9
	
 
	
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09/519898
	
 
	
 
	
 
	
20.12.2013
	
 
	
5438511
	
 
	
 
	
 
	
 

	
 
	
 
	
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04.07.2007
	
 
	
09/7003077
	
 
	
 
	
 
	
08.08.2014
	
 
	
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04.07.2007
	
 
	
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FINAL
	
Annex 1.2A – Exclusively Owned IP Rights
	
Status as of Jun-22-2016




 


	
[***]
	
 
	
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[***]
	
 
	
Filling Date
	
 
	
Filling No.
	
 
	
Publication No.
	
 
	
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Patent No.
	
 
	
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CN
	
 
	
 
	
 
	
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DE
	
 
	
 
	
 
	
04.09.2007
	
 
	
 
	
 
	
 
	
 
	
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JP
	
 
	
 
	
 
	
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CN
	
 
	
 
	
 
	
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GB
	
 
	
 
	
 
	
04.02.2008
	
 
	
 
	
 
	
 
	
 
	
14.08.2013
	
 
	
2139907
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
04.02.2008
	
 
	
 
	
 
	
 
	
 
	
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2139907
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
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FINAL
	
Annex 1.2A – Exclusively Owned IP Rights
	
Status as of Jun-22-2016




 


	
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19.05.2009
	
 
	
09757394.3
	
 
	
2297272
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
19.05.2009
	
 
	
11/512063
	
 
	
 
	
 
	
10.04.2015
	
 
	
5726069
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
19.05.2009
	
 
	
10/7027589
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
19.05.2009
	
 
	
12/994887
	
 
	
2011/086454
	
 
	
01.04.2014
	
 
	
8685541
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
23.06.2009
	
 
	
200980127590.1
	
 
	
 
	
 
	
24.09.2014
	
 
	
ZL200980127590.1
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
23.06.2009
	
 
	
201310652689.1
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
23.06.2009
	
 
	
602009009117.4
	
 
	
 
	
 
	
15.08.2012
	
 
	
2313472
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
23.06.2009
	
 
	
 
	
 
	
 
	
 
	
15.08.2012
	
 
	
2313472
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
23.06.2009
	
 
	
 
	
 
	
 
	
 
	
15.08.2012
	
 
	
2313472
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
23.06.2009
	
 
	
 
	
 
	
 
	
 
	
15.08.2012
	
 
	
2313472
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
23.06.2009
	
 
	
11/517842
	
 
	
 
	
 
	
09.05.2014
	
 
	
5535208
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
23.06.2009
	
 
	
13/260460
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
23.06.2009
	
 
	
11/7003646
	
 
	
2011-031389
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
23.06.2009
	
 
	
13/003614
	
 
	
2011/186821
	
 
	
05.06.2012
	
 
	
8193528
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
22.09.2009
	
 
	
200980148001.8
	
 
	
 
	
 
	
19.08.2015
	
 
	
ZL200980148001.8
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
22.09.2009
	
 
	
11/529503
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
22.09.2009
	
 
	
11/7009946
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
22.09.2009
	
 
	
13/121695
	
 
	
2011/177630
	
 
	
27.05.2014
	
 
	
8734963
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
11.06.2010
	
 
	
201080036475.6
	
 
	
 
	
 
	
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ZL201080036475.6
	
 
	
 
	
 
	
 




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Annex 1.2A – Exclusively Owned IP Rights
	
Status as of Jun-22-2016




 


	
[***]
	
 
	
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[***]
	
 
	
Filling Date
	
 
	
Filling No.
	
 
	
Publication No.
	
 
	
Grant Date
	
 
	
Patent No.
	
 
	
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DE
	
 
	
 
	
 
	
11.06.2010
	
 
	
602010015387.8
	
 
	
 
	
 
	
23.04.2014
	
 
	
2443213
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
11.06.2010
	
 
	
 
	
 
	
 
	
 
	
23.04.2014
	
 
	
2443213
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
11.06.2010
	
 
	
 
	
 
	
 
	
 
	
23.04.2014
	
 
	
2443213
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
11.06.2010
	
 
	
 
	
 
	
 
	
 
	
23.04.2014
	
 
	
2443213
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
11.06.2010
	
 
	
12/515438
	
 
	
 
	
 
	
08.08.2014
	
 
	
5591328
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
11.06.2010
	
 
	
12/7001305
	
 
	
2012-052936
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
11.06.2010
	
 
	
13/378878
	
 
	
2012/168731
	
 
	
12.05.2015
	
 
	
9028979
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
07.02.2003
	
 
	
50307111.0-08
	
 
	
 
	
 
	
25.04.2007
	
 
	
1345477
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
07.02.2003
	
 
	
 
	
 
	
 
	
 
	
25.04.2007
	
 
	
1345477
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
07.02.2003
	
 
	
 
	
 
	
 
	
 
	
25.04.2007
	
 
	
1345477
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
07.02.2003
	
 
	
 
	
 
	
 
	
 
	
25.04.2007
	
 
	
1345477
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
04.03.2003
	
 
	
11/077199
	
 
	
2005/159582
	
 
	
15.06.2010
	
 
	
7737236
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
04.03.2003
	
 
	
10/377788
	
 
	
030181617
	
 
	
01.11.2005
	
 
	
6960637
	
 
	
 
	
 
	
 

	
 
	
 
	
CNT1
	
 
	
 
	
 
	
18.08.2004
	
 
	
200910171989.1
	
 
	
 
	
 
	
27.11.2013
	
 
	
ZL200910171989.1
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
18.08.2004
	
 
	
200480030649.2
	
 
	
 
	
 
	
23.12.2009
	
 
	
Z1200480030649.2
	
 
	
 
	
 
	
 

	
 
	
 
	
EP
	
 
	
 
	
 
	
18.08.2004
	
 
	
04764255.8
	
 
	
1658349
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
18.08.2004
	
 
	
06/523602
	
 
	
 
	
 
	
31.07.2009
	
 
	
4351702
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
18.08.2004
	
 
	
06/7003352
	
 
	
 
	
 
	
21.09.2012
	
 
	
1186706
	
 
	
 
	
 
	
 

	
 
	
 
	
UST4
	
 
	
 
	
 
	
18.08.2004
	
 
	
14/540838
	
 
	
2015/073152
	
 
	
5/15/2015
	
 
	
9024308
	
 
	
 
	
 
	
 

	
 
	
 
	
US3
	
 
	
 
	
 
	
18.08.2004
	
 
	
12/905112
	
 
	
2011/049501
	
 
	
23.12.2014
	
 
	
8916853
	
 
	
 
	
 
	
 

	
 
	
 
	
US2
	
 
	
 
	
 
	
18.08.2004
	
 
	
12/904290
	
 
	
2011/049500
	
 
	
19.02.2013
	
 
	
8377740
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
18.08.2004
	
 
	
10/568344
	
 
	
2006/258043
	
 
	
07.12.2010
	
 
	
7846763
	
 
	
 
	
 
	
 

	
 
	
 
	
US1
	
 
	
 
	
 
	
18.08.2004
	
 
	
12/901610
	
 
	
2011/049499
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
09.09.2004
	
 
	
200480029854.7
	
 
	
 
	
 
	
16.06.2010
	
 
	
ZL200480029854.7
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
09.09.2004
	
 
	
502004010460.6-08
	
 
	
 
	
 
	
02.12.2009
	
 
	
1663919
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
09.09.2004
	
 
	
 
	
 
	
 
	
 
	
02.12.2009
	
 
	
1663919
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
09.09.2004
	
 
	
 
	
 
	
 
	
 
	
02.12.2009
	
 
	
1663919
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
09.09.2004
	
 
	
 
	
 
	
 
	
 
	
02.12.2009
	
 
	
1663919
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
09.09.2004
	
 
	
06/525768
	
 
	
 
	
 
	
05.03.2010
	
 
	
4469852
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
09.09.2004
	
 
	
06/7006916
	
 
	
 
	
 
	
22.05.2012
	
 
	
1151122
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
09.09.2004
	
 
	
10/571557
	
 
	
2007/063189
	
 
	
10.02.2009
	
 
	
7488856
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
28.09.2004
	
 
	
200480032309.3
	
 
	
 
	
 
	
26.05.2010
	
 
	
ZL200480032309.3
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
28.09.2004
	
 
	
502004006863.4-08
	
 
	
 
	
 
	
16.04.2008
	
 
	
1673322
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
28.09.2004
	
 
	
 
	
 
	
 
	
 
	
16.04.2008
	
 
	
1673322
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
28.09.2004
	
 
	
 
	
 
	
 
	
 
	
16.04.2008
	
 
	
1673322
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
28.09.2004
	
 
	
 
	
 
	
 
	
 
	
16.04.2008
	
 
	
1673322
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
28.09.2004
	
 
	
06/530032
	
 
	
 
	
 
	
14.05.2010
	
 
	
4510825
	
 
	
 
	
 
	
 




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Annex 1.2A – Exclusively Owned IP Rights
	
Status as of Jun-22-2016




 


	
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[***]
	
 
	
Filling Date
	
 
	
Filling No.
	
 
	
Publication No.
	
 
	
Grant Date
	
 
	
Patent No.
	
 
	
[***]
	
 
	
[***]

	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
28.09.2004
	
 
	
06/7008313
	
 
	
 
	
 
	
14.06.2012
	
 
	
1158593
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
28.09.2004
	
 
	
10/573803
	
 
	
2007/069198
	
 
	
15.03.2011
	
 
	
7906225
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
14.03.2005
	
 
	
502005008623.6
	
 
	
 
	
 
	
02.12.2009
	
 
	
1740673
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
14.03.2005
	
 
	
 
	
 
	
 
	
 
	
02.12.2009
	
 
	
1740673
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
14.03.2005
	
 
	
 
	
 
	
 
	
 
	
02.12.2009
	
 
	
1740673
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
14.03.2005
	
 
	
 
	
 
	
 
	
 
	
02.12.2009
	
 
	
1740673
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
14.03.2005
	
 
	
07/504304
	
 
	
 
	
 
	
24.10.2008
	
 
	
4204632
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
14.03.2005
	
 
	
06/7021782
	
 
	
 
	
 
	
21.11.2013
	
 
	
1333942
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
14.03.2005
	
 
	
10/594132
	
 
	
2007/188078
	
 
	
06.07.2010
	
 
	
7750556
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
20.09.2005
	
 
	
502005011136.2-08
	
 
	
 
	
 
	
16.03.2011
	
 
	
1794211
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
20.09.2005
	
 
	
 
	
 
	
 
	
 
	
16.03.2011
	
 
	
1794211
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
20.09.2005
	
 
	
 
	
 
	
 
	
 
	
16.03.2011
	
 
	
1794211
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
20.09.2005
	
 
	
 
	
 
	
 
	
 
	
16.03.2011
	
 
	
1794211
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
20.09.2005
	
 
	
07/532818
	
 
	
 
	
 
	
29.06.2012
	
 
	
5026976
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
20.09.2005
	
 
	
07/7008810
	
 
	
 
	
 
	
23.07.2013
	
 
	
1290841
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
20.09.2005
	
 
	
11/575554
	
 
	
2008/199731
	
 
	
28.12.2010
	
 
	
7858208
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
25.11.2005
	
 
	
200580047178.0
	
 
	
 
	
 
	
25.01.2012
	
 
	
ZL200580047178.0
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
25.11.2005
	
 
	
502005014464.3
	
 
	
 
	
 
	
30.07.2014
	
 
	
1817806
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
25.11.2005
	
 
	
 
	
 
	
 
	
 
	
30.07.2014
	
 
	
1817806
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
25.11.2005
	
 
	
 
	
 
	
 
	
 
	
30.07.2014
	
 
	
1817806
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
25.11.2005
	
 
	
 
	
 
	
 
	
 
	
30.07.2014
	
 
	
1817806
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
25.11.2005
	
 
	
07/541853
	
 
	
 
	
 
	
24.06.2011
	
 
	
4768746
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
25.11.2005
	
 
	
07/7014386
	
 
	
 
	
 
	
20.01.2014
	
 
	
1359770
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
25.11.2005
	
 
	
11/720274
	
 
	
2010/308714
	
 
	
04.10.2011
	
 
	
8029919
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
23.11.2005
	
 
	
200580040471.4
	
 
	
 
	
 
	
09.05.2012 
	
 
	
ZL200580040471.4
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
23.11.2005
	
 
	
502005007675.3-08
	
 
	
 
	
 
	
08.07.2009
	
 
	
1819717
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
23.11.2005
	
 
	
 
	
 
	
 
	
 
	
08.07.2009
	
 
	
1819717
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
23.11.2005
	
 
	
 
	
 
	
 
	
 
	
08.07.2009
	
 
	
1819717
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
23.11.2005
	
 
	
 
	
 
	
 
	
 
	
08.07.2009
	
 
	
1819717
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
23.11.2005
	
 
	
07/541832
	
 
	
 
	
 
	
25.05.2012
	
 
	
5001851
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
23.11.2005
	
 
	
07/7014428
	
 
	
 
	
 
	
23.07.2013
	
 
	
1290967
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
23.11.2005
	
 
	
14/314753
	
 
	
2014/309428
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
03.04.2006
	
 
	
200680023394.6
	
 
	
 
	
 
	
06.06.2012 
	
 
	
ZL200680023394.6
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
03.04.2006
	
 
	
502006006249.6-08
	
 
	
 
	
 
	
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1877518
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
03.04.2006
	
 
	
 
	
 
	
 
	
 
	
24.02.2010
	
 
	
1877518
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
03.04.2006
	
 
	
 
	
 
	
 
	
 
	
24.02.2010
	
 
	
1877518
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
03.04.2006
	
 
	
 
	
 
	
 
	
 
	
24.02.2010
	
 
	
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FINAL
	
Annex 1.2A – Exclusively Owned IP Rights
	
Status as of Jun-22-2016




 


	
[***]
	
 
	
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[***]
	
 
	
Filling Date
	
 
	
Filling No.
	
 
	
Publication No.
	
 
	
Grant Date
	
 
	
Patent No.
	
 
	
[***]
	
 
	
[***]

	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
03.04.2006
	
 
	
08/508187
	
 
	
 
	
 
	
22.06.2012
	
 
	
5021626
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
03.04.2006
	
 
	
07/7027609
	
 
	
 
	
 
	
05.08.2013
	
 
	
1295394
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
03.04.2006
	
 
	
11/912998
	
 
	
2008/213623
	
 
	
20.03.2012
	
 
	
8137822
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
13.06.2006
	
 
	
502006004749.7-08
	
 
	
 
	
 
	
02.09.2009
	
 
	
1899359
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
13.06.2006
	
 
	
 
	
 
	
 
	
 
	
02.09.2009
	
 
	
1899359
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
13.06.2006
	
 
	
 
	
 
	
 
	
 
	
02.09.2009
	
 
	
1899359
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
13.06.2006
	
 
	
 
	
 
	
 
	
 
	
02.09.2009
	
 
	
1899359
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
13.06.2006
	
 
	
11/916455
	
 
	
2008/200686
	
 
	
28.09.2010
	
 
	
7803948
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
09.01.2007
	
 
	
502007009998.8
	
 
	
 
	
 
	
06.06.2012
	
 
	
1993728
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
09.01.2007
	
 
	
502007011939.3
	
 
	
 
	
 
	
19.06.2013
	
 
	
2338593
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
09.01.2007
	
 
	
 
	
 
	
 
	
 
	
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2338593
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
09.01.2007
	
 
	
 
	
 
	
 
	
 
	
06.06.2012
	
 
	
1993728
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
09.01.2007
	
 
	
 
	
 
	
 
	
 
	
06.06.2012
	
 
	
1993728
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
09.01.2007
	
 
	
 
	
 
	
 
	
 
	
19.06.2013
	
 
	
2338593
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
09.01.2007
	
 
	
26878BE/2012
	
 
	
 
	
 
	
06.06.2012
	
 
	
1993728
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
09.01.2007
	
 
	
 
	
 
	
 
	
 
	
19.06.2013
	
 
	
2338593
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
09.01.2007
	
 
	
08/552765
	
 
	
 
	
 
	
15.02.2013
	
 
	
5199887
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
09.01.2007
	
 
	
13/778262
	
 
	
2013/178621
	
 
	
04.11.2014
	
 
	
8877937
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
09.01.2007
	
 
	
12/162863
	
 
	
2009/018330
	
 
	
02.04.2013
	
 
	
8410280
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
03.04.2007
	
 
	
502007010543.0
	
 
	
 
	
 
	
12.09.2012
	
 
	
2007781
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
03.04.2007
	
 
	
 
	
 
	
 
	
 
	
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2007781
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
03.04.2007
	
 
	
 
	
 
	
 
	
 
	
12.09.2012
	
 
	
2007781
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
03.04.2007
	
 
	
 
	
 
	
 
	
 
	
12.09.2012
	
 
	
2007781
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
03.04.2007
	
 
	
12/295999
	
 
	
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8383828
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
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200780020631.8
	
 
	
 
	
 
	
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ZL200780020631.8
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
03.04.2007
	
 
	
502007009524.9
	
 
	
 
	
 
	
21.03.2012
	
 
	
2007779
	
 
	
 
	
 
	
 

	
 
	
 
	
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03.04.2007
	
 
	
 
	
 
	
 
	
 
	
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2007779
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
03.04.2007
	
 
	
 
	
 
	
 
	
 
	
21.03.2012
	
 
	
2007779
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
03.04.2007
	
 
	
 
	
 
	
 
	
 
	
21.03.2012
	
 
	
2007779
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
03.04.2007
	
 
	
09/503568
	
 
	
 
	
 
	
23.08.2013
	
 
	
5345519
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
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2044169
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
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25.11.2009
	
 
	
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Annex 1.2A – Exclusively Owned IP Rights
	
Status as of Jun-22-2016




 


	
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[***]
	
 
	
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Publication No.
	
 
	
Grant Date
	
 
	
Patent No.
	
 
	
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[***]

	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
25.06.2007
	
 
	
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08.08.2014
	
 
	
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12/306533
	
 
	
2009/326237
	
 
	
21.08.2012
	
 
	
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EP
	
 
	
 
	
 
	
25.06.2007
	
 
	
07765609.8
	
 
	
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US
	
 
	
 
	
 
	
25.06.2007
	
 
	
12/306791
	
 
	
2011/034699
	
 
	
27.01.2015
	
 
	
8940904
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
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30.05.2012
	
 
	
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EP
	
 
	
 
	
 
	
13.09.2007
	
 
	
07803464.2
	
 
	
2082447
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
13.09.2007
	
 
	
09/7006991
	
 
	
 
	
 
	
26.09.2011
	
 
	
1069302
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
13.09.2007
	
 
	
12/441909
	
 
	
2009/278119
	
 
	
14.08.2012
	
 
	
8241764
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
04.04.2008
	
 
	
200880018693.X
	
 
	
 
	
 
	
22.05.2013
	
 
	
ZL200880018693.X
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
04.04.2008
	
 
	
502008004682.8
	
 
	
 
	
 
	
31.08.2011
	
 
	
2134807
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
04.04.2008
	
 
	
 
	
 
	
 
	
 
	
31.08.2011
	
 
	
2134807
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
04.04.2008
	
 
	
 
	
 
	
 
	
 
	
31.08.2011
	
 
	
2134807
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
04.04.2008
	
 
	
 
	
 
	
 
	
 
	
31.08.2011
	
 
	
2134807
	
 
	
 
	
 
	
 

	
 
	
 
	
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04.04.2008
	
 
	
13/238049
	
 
	
 
	
 
	
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5818864
	
 
	
 
	
 
	
 

	
 
	
 
	
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US
	
 
	
 
	
 
	
04.04.2008
	
 
	
13/863407
	
 
	
2013/231489
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
04.04.2008
	
 
	
12/594429
	
 
	
2010127215
	
 
	
04.06.2013
	
 
	
8455112
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
21.04.2008
	
 
	
200880022144.X
	
 
	
 
	
 
	
22.01.2014
	
 
	
ZL200B80022144.X
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
21.04.2008
	
 
	
502008002309.7-08
	
 
	
 
	
 
	
12.01.2011
	
 
	
2150556
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
21.04.2008
	
 
	
 
	
 
	
 
	
 
	
12.01.2011
	
 
	
2150556
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
21.04.2008
	
 
	
 
	
 
	
 
	
 
	
12.01.2011
	
 
	
2150556
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
21.04.2008
	
 
	
 
	
 
	
 
	
 
	
12.01.2011
	
 
	
2150556
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
21.04.2008
	
 
	
10/504652
	
 
	
 
	
 
	
09.01.2015
	
 
	
5677836
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
21.04.2008
	
 
	
09/7024738
	
 
	
 
	
 
	
06.03.2015
	
 
	
1502187
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
21.04.2008
	
 
	
12/597651
	
 
	
2010/187980
	
 
	
02.08.2011
	
 
	
7989091
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
26.06.2008
	
 
	
200880023458.1
	
 
	
 
	
 
	
16.07.2014
	
 
	
ZL200880023458.1
	
 
	
 
	
 
	
 

	
 
	
 
	
EP
	
 
	
 
	
 
	
26.06.2008
	
 
	
08774381.1
	
 
	
2173834
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
26.06.2008
	
 
	
10/513923
	
 
	
 
	
 
	
9/11/2015
	
 
	
5804703
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
26.06.2008
	
 
	
10/7002733
	
 
	
 
	
 
	
10/1/2015
	
 
	
101558623
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
26.06.2008
	
 
	
12/667765
	
 
	
2011/031477
	
 
	
15.04.2014
	
 
	
8697255
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
25.06.2008
	
 
	
200880104631.0
	
 
	
101878552
	
 
	
15.07.2015
	
 
	
ZL200880104631.0
	
 
	
 
	
 
	
 

	
 
	
 
	
EP
	
 
	
 
	
 
	
25.06.2008
	
 
	
08774297.9
	
 
	
2165377
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
25.06.2008
	
 
	
10/513911
	
 
	
 
	
 
	
09.01.2015
	
 
	
5675349
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
25.06.2008
	
 
	
10/7002592
	
 
	
 
	
 
	
12/8/2015
	
 
	
1577465
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
25.06.2008
	
 
	
12/667619
	
 
	
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12.02.2013
	
 
	
8373159
	
 
	
 
	
 
	
 




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Filling Date
	
 
	
Filling No.
	
 
	
Publication No.
	
 
	
Grant Date
	
 
	
Patent No.
	
 
	
[***]
	
 
	
[***]

	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
26.09.2008
	
 
	
502008009029.0
	
 
	
 
	
 
	
02.01.2013
	
 
	
2195868
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
26.09.2008
	
 
	
 
	
 
	
 
	
 
	
02.01.2013
	
 
	
2195868
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
26.09.2008
	
 
	
 
	
 
	
 
	
 
	
02.01.2013
	
 
	
2195868
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
26.09.2008
	
 
	
21393BE/2013
	
 
	
 
	
 
	
02.01.2013
	
 
	
2195868
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
26.09.2008
	
 
	
10/527422
	
 
	
 
	
 
	
06.06.2014
	
 
	
5553758
	
 
	
 
	
 
	
 

	
 
	
 
	
KR
	
 
	
 
	
 
	
26.09.2008
	
 
	
10/7009710
	
 
	
 
	
 
	
12/8/2015
	
 
	
1577468
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
26.09.2008
	
 
	
12/681023
	
 
	
2010/219406
	
 
	
26.02.2013
	
 
	
8384068
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
17.10.2008
	
 
	
200880120186.7
	
 
	
 
	
 
	
08.04.2015
	
 
	
ZL200880120186.7
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
17.10.2008
	
 
	
502008007018.4
	
 
	
 
	
 
	
18.04.2012
	
 
	
2205615
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
17.10.2008
	
 
	
 
	
 
	
 
	
 
	
18.04.2012
	
 
	
2205615
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
17.10.2008
	
 
	
 
	
 
	
 
	
 
	
18.04.2012
	
 
	
2205615
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
17.10.2008
	
 
	
 
	
 
	
 
	
 
	
18.04.2012
	
 
	
2205615
	
 
	
 
	
 
	
 

	
 
	
 
	
JP
	
 
	
 
	
 
	
17.10.2008
	
 
	
10/529402
	
 
	
 
	
 
	
19.09.2014
	
 
	
5615178
	
 
	
 
	
 
	
 

	
 
	
 
	
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US
	
 
	
 
	
 
	
17.10.2008
	
 
	
12/738104
	
 
	
2010/264405
	
 
	
04.09.2012
	
 
	
8258297
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
17.10.2008
	
 
	
200880120200.3
	
 
	
101896494
	
 
	
08.04.2015
	
 
	
ZL200880120200.3
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
17.10.2008
	
 
	
502008004477.9
	
 
	
 
	
 
	
10.08.2011
	
 
	
2203461
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
17.10.2008
	
 
	
 
	
 
	
 
	
 
	
10.08.2011
	
 
	
2203461
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
17.10.2008
	
 
	
 
	
 
	
 
	
 
	
10.08.2011
	
 
	
2203461
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
17.10.2008
	
 
	
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10.08.2011
	
 
	
2203461
	
 
	
 
	
 
	
 

	
 
	
 
	
[***]
	
 
	
 
	
 
	
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US
	
 
	
 
	
 
	
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12/738467
	
 
	
2010/213834
	
 
	
20.05.2014
	
 
	
8728632
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
09.06.2009
	
 
	
502009004429.1
	
 
	
 
	
 
	
15.08.2012
	
 
	
2288671
	
 
	
 
	
 
	
 

	
 
	
 
	
FR
	
 
	
 
	
 
	
09.06.2009
	
 
	
 
	
 
	
 
	
 
	
15.08.2012
	
 
	
2288671
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
09.06.2009
	
 
	
 
	
 
	
 
	
 
	
15.08.2012
	
 
	
2288671
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
09.06.2009
	
 
	
 
	
 
	
 
	
 
	
15.08.2012
	
 
	
2288671
	
 
	
 
	
 
	
 

	
 
	
 
	
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US
	
 
	
 
	
 
	
09.06.2009
	
 
	
12/997378
	
 
	
2011/098473
	
 
	
19.02.2013
	
 
	
8377332
	
 
	
 
	
 
	
 

	
 
	
 
	
EP
	
 
	
 
	
 
	
09.06.2009
	
 
	
09761714.6
	
 
	
2297800
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
[***]
	
 
	
 
	
 
	
[***]
	
 
	
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US
	
 
	
 
	
 
	
09.06.2009
	
 
	
12/997000
	
 
	
2011/087026
	
 
	
02.04.2013
	
 
	
8410270
	
 
	
 
	
 
	
 

	
 
	
 
	
US
	
 
	
 
	
 
	
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13/768356
	
 
	
2013/158268
	
 
	
26.11.2013
	
 
	
8592586
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
13.10.2010
	
 
	
201080056465.9
	
 
	
 
	
 
	
11/25/2015
	
 
	
ZL201080056465.9
	
 
	
 
	
 
	
 

	
 
	
 
	
EP
	
 
	
 
	
 
	
13.10.2010
	
 
	
10773002.0
	
 
	
2488540
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
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Filling Date
	
 
	
Filling No.
	
 
	
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13.12.2010
	
 
	
201080063772.X
	
 
	
 
	
 
	
11/25/2015
	
 
	
102762582
	
 
	
 
	
 
	
 

	
 
	
 
	
DE
	
 
	
 
	
 
	
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502010008167.4
	
 
	
 
	
 
	
29.10.2014
	
 
	
2513125
	
 
	
 
	
 
	
 

	
 
	
 
	
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13.12.2010
	
 
	
 
	
 
	
 
	
 
	
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2513125
	
 
	
 
	
 
	
 

	
 
	
 
	
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29.10.2014
	
 
	
2513125
	
 
	
 
	
 
	
 

	
 
	
 
	
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13.12.2010
	
 
	
 
	
 
	
 
	
 
	
29.10.2014
	
 
	
2513125
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
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2513125
	
 
	
 
	
 
	
 

	
 
	
 
	
PL
	
 
	
 
	
 
	
13.12.2010
	
 
	
 
	
 
	
 
	
 
	
29.10.2014
	
 
	
2513125
	
 
	
 
	
 
	
 

	
 
	
 
	
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15.04.2011
	
 
	
602011014208.9
	
 
	
 
	
 
	
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2558476
	
 
	
 
	
 
	
 

	
 
	
 
	
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2558476
	
 
	
 
	
 
	
 

	
 
	
 
	
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15.04.2011
	
 
	
 
	
 
	
 
	
 
	
25.02.2015
	
 
	
2558476
	
 
	
 
	
 
	
 

	
 
	
 
	
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15.04.2011
	
 
	
 
	
 
	
 
	
 
	
25.02.2015
	
 
	
2558476
	
 
	
 
	
 
	
 

	
 
	
 
	
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15.04.2011
	
 
	
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15.04.2011
	
 
	
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8691401
	
 
	
 
	
 
	
 

	
 
	
 
	
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11795282.0
	
 
	
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US
	
 
	
 
	
 
	
16.06.2011
	
 
	
13/162244
	
 
	
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9142792
	
 
	
 
	
 
	
 

	
 
	
 
	
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2582769
	
 
	
 
	
 
	
 

	
 
	
 
	
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KR
	
 
	
 
	
 
	
16.06.2011
	
 
	
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07.12.2011
	
 
	
 
	
 
	
 
	
 
	
12.11.2014
	
 
	
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13/424892
	
 
	
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07.11.2012
	
 
	
 
	
 
	
 
	
 
	
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2776443
	
 
	
 
	
 
	
 

	
 
	
 
	
GB
	
 
	
 
	
 
	
07.11.2012
	
 
	
 
	
 
	
 
	
 
	
2/3/2016
	
 
	
2776443
	
 
	
 
	
 
	
 

	
 
	
 
	
IT
	
 
	
 
	
 
	
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CN
	
 
	
 
	
 
	
09.01.2013
	
 
	
201380005027.3
	
 
	
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EP
	
 
	
 
	
 
	
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09.01.2013
	
 
	
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09.01.2013
	
 
	
14/371064
	
 
	
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13786274.4
	
 
	
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US
	
 
	
 
	
 
	
06.11.2013
	
 
	
14/440637
	
 
	
2015318501
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
CN
	
 
	
 
	
 
	
17.07.2013
	
 
	
201380037906.4
	
 
	
104470937
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
EP
	
 
	
 
	
 
	
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17.07.2013
	
 
	
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13828031.8
	
 
	
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201380034671.3
	
 
	
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18.09.2013
	
 
	
15/7009777
	
 
	
2015 056829
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
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18.09.2013
	
 
	
102133988
	
 
	
201412747
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
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18.09.2013
	
 
	
14/427134
	
 
	
2015-243907
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
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14712243.6
	
 
	
2976795
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
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14711506.7
	
 
	
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CN
	
 
	
 
	
 
	
28.04.2014
	
 
	
201480019239.1
	
 
	
105518013
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
EP
	
 
	
 
	
 
	
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14719783.4
	
 
	
3016960
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
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02.07.2014
	
 
	
201480048191.7
	
 
	
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EP
	
 
	
 
	
 
	
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14734488.1
	
 
	
3016960
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
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02.07.2014
	
 
	
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TW
	
 
	
 
	
 
	
02.07.2014
	
 
	
103122869
	
 
	
2015/12202
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
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2014/80043364
	
 
	
105431442
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
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FINAL
	
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103144654
	
 
	
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104125837
	
 
	
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FINAL
	
Annex.1.2B Co-Owned IP rights
	
Status as of Jun-22-2016




 


	
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Page 1 of 1



 

 

 

 

FINALAnnex 12.1 - Coordinated public announcement

 

Annex 12.1 is comprised of two coordinated public announcements with titles as indicated below:

 


	
 
	
·
	
“Universal Display Corporation Acquires BASF’s OLED Intellectual Property Assets”





	
 
	
·
	
“Universal Display Corporation erwirbt das OLED- Patentporfolio der BASF”







 



 

 


		
	

	





 


					
	
Universal Display Contact:
	
 
	
 
	
BASF SE Contact:

	
Darice Liu
	
 
	
 
	
 
	
Birgit Lau

	
investor@oled.com

 
	
 
	
 
	
 
	
birgit.lau@basf.com

	
media@oled.com

 
	
 
	
 
	
 
	
+49 621 60-20732

	
609-671-0980 x570
	
 
	
 
	
 
	
 




 

Universal Display Corporation Acquires 
BASF’s OLED Intellectual Property Assets

 

Ewing, New Jersey & Ludwigshafen, Germany – June 29, 2016 - Universal Display Corporation (Nasdaq: OLED), enabling energy-efficient displays and lighting with its UniversalPHOLED® technology and materials, announced yesterday that through its wholly-owned subsidiary UDC Ireland Limited, it has acquired the OLED Intellectual Property (IP) assets of BASF SE (XETRA: BAS), the world’s leading chemical company. Representing 15 years of research and development, the assets include over 500 issued and pending patents around the world, in 86 patent families. Largely consisting of phosphorescent materials and technologies, BASF’s OLED portfolio has an average lifetime of 10 years. The purchase price for the acquisition is approximately €87 million. 

 

“We are pleased to enhance our extensive key patents in phosphorescent materials with BASF’s complementary OLED IP portfolio,” said Steven V. Abramson, President and Chief Executive Officer of Universal Display. “One of our key objectives is to develop and deliver an all-phosphorescent emissive stack. We believe that this acquisition will help further these research efforts, principally in the development of commercial blue emissive systems. As a leading player in the OLED ecosystem with 20+ years of know-how and experience in emissive materials and technologies, we believe that we are best positioned to incorporate and leverage BASF’s IP assets into our existing broad and robust portfolio of 3,600+ issued and pending pa

 



 

tents worldwide. We expect this acquisition to strengthen our commercial development pipeline of new and next-generation OLED systems and bring additional value to our customers and shareholders.”

 

BASF ceased its OLED research activities at the end of 2015 after a careful strategic examination. With the sale of the OLED IP assets, the withdrawal is finalized. “We are pleased that UDC will take forward the development and marketing of our OLED materials and technologies. We believe our IP and know-how fits perfectly into UDC’s patent portfolio and competencies and that UDC will be able to generate the most value for the OLED industry out of these combined phosphorescent technologies,” said Felix Goerth, Director Organic Electronics at BASF New Business GmbH.

 

Since its inception in 1994, Universal Display has invested close to $400 million in research and development to advance the company from a start-up to a leading player in the global OLED ecosystem. The Company continues to invest heavily in a number of strategic programs and is working with customers on developmental and commercial phosphorescent materials and OLED technologies. Universal Display continues to make progress on new and next-generation red, green, yellow and blue emitters and hosts, as well as expanding its core competencies of phosphorescent OLEDs (PHOLED) and other OLED technologies including OLED manufacturing processes and equipment. UDC expects the acquisition of BASF’s IP assets to further fortify its expansive global OLED intellectual property framework.

 

About BASF

At BASF, we create chemistry for a sustainable future. We combine economic success with environmental protection and social responsibility. The approximately 112,000 employees in the BASF Group work on contributing to the success of our customers in nearly all sectors and almost every country in the world. Our portfolio is organized into five segments: Chemicals, Performance Products, Functional Materials & Solutions, Agricultural Solutions and Oil & Gas. BASF generated sales of more than €70 billion in 2015. BASF 

 



 

shares are traded on the stock exchanges in Frankfurt (BAS), London (BFA) and Zurich (AN). Further information at www.basf.com.

 

About Universal Display Corporation

Universal Display Corporation (Nasdaq: OLED) is a leader in developing and delivering state-of-the-art, organic light emitting diode (OLED) technologies, materials and services to the display and lighting industries.  Founded in 1994, the Company currently owns or has exclusive, co-exclusive or sole license rights with respect to more than 4,100 issued and pending patents worldwide.  Universal Display licenses its proprietary technologies, including its breakthrough high-efficiency UniversalPHOLED® phosphorescent OLED technology that can enable the development of low power and eco-friendly displays and white lighting.  The Company also develops and offers high-quality, state-of-the-art UniversalPHOLED materials that are recognized as key ingredients in the fabrication of OLEDs with peak performance.  In addition, Universal Display delivers innovative and customized solutions to its clients and partners through technology transfer, collaborative technology development and on-site training.

 

Based in Ewing, New Jersey, with international offices in Ireland, South Korea, Hong Kong, Japan and Taiwan, Universal Display works and partners with a network of world-class organizations, including Princeton University, the University of Southern California, the University of Michigan, and PPG Industries, Inc.  The Company has also established relationships with companies such as AU Optronics Corporation, BOE Technology, DuPont Displays, Inc., Innolux Corporation, Kaneka Corporation, Konica Minolta Technology Center, Inc., LG Display Co., Ltd., Lumiotec, Inc., OLEDWorks LLC, OSRAM, Pioneer Corporation, Samsung Display Co., Ltd., Sumitomo Chemical Company, Ltd. and Tohoku Pioneer Corporation. To learn more about Universal Display, please visit http://www.oled.com.

 

 



 

Universal Display Corporation and the Universal Display logo are trademarks or registered trademarks of Universal Display Corporation.  All other company, brand or product names may be trademarks or registered trademarks.

 

# # #

 

All statements in this document that are not historical, such as those relating to Universal Display Corporation’s technologies and potential applications of those technologies, the Company’s expected results as well as the growth of the OLED market and the Company’s opportunities in that market, are forward-looking financial statements within the meaning of the Private Securities Litigation Reform Act of 1995. You are cautioned not to place undue reliance on any forward-looking statements in this document, as they reflect Universal Display Corporation’s current views with respect to future events and are subject to risks and uncertainties that could cause actual results to differ materially from those contemplated. These risks and uncertainties are discussed in greater detail in Universal Display Corporation’s periodic reports on Form 10-K and Form 10-Q filed with the Securities and Exchange Commission, including, in particular, the section entitled “Risk Factors” in Universal Display Corporation’s annual report on Form 10-K for the year ended December 31, 2015. Universal Display Corporation disclaims any obligation to update any forward-looking statement contained in this document.

 

 

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Universal Display Corporation erwirbt das 
OLED-Patentportfolio der BASF

Ewing, New Jersey, USA und Ludwigshafen, Deutschland: 29.06.2016

 

Universal Display Corporation (NASDAQ: OLED), gab gestern (28.6.2016) bekannt, dass sie über ihre hundertprozentige Tochtergesellschaft UDC Ireland Limited das OLED-Patentportfolio der BASF SE, dem weltweit führenden Chemieunternehmen, erworben hat. UDC ermöglicht mit ihrer UniversalPHOLED®-Technologie und –Materialen energieeffiziente Bildschirme und Beleuchtung. Nach 15 Jahren Forschung und Entwicklung, umfasst das OLED-Patentportfolio der BASF mehr als 500 angemeldete und erteilte Patente in 86 Patentfamilien weltweit. Das hauptsächlich aus Technologien für phosphoreszente Materialien bestehende Portfolio hat eine durchschnittliche Restlaufzeit von 10 Jahren. Der Kaufpreis beträgt ca. 87 Millionen €. 

 

„Wir freuen uns, dass wir unsere umfangreichen Schlüsselpatente für phosphoreszente Materialien durch das komplementäre OLED-Patentportfolio der BASF ergänzen können“, sagt Steven V. Abramson, President und Chief Executive Officer von Universal Display. „Eines unserer wichtigsten Ziele ist die Entwicklung und Vermarktung eines vollphosphoreszenten Emitter-Systems. Wir glauben, dass der Erwerb uns bei diesen Forschungsbemühungen, insbesondere bei der Entwicklung von marktreifen blauen Emittern, helfen wird. Als ein führendes Unternehmen im OLED-Geschäft mit mehr als 20 Jahren Erfahrung und Wissen bei emittierenden Materialien und Technologie glauben wir, dass wir sehr gut positioniert sind, um die BASF-

 



 

Patente in unser umfangreiches Portfolio aus mehr als 3,600 erteilten und angemeldeten Patenten weltweit zu integrieren und nutzbar zu machen. Wir erwarten, dass dieser Erwerb unsere kommerzielle Entwicklungspipeline für die nächsten Generationen von OLED-Systemen stärkt und zusätzlichen Wert für unsere Kunden und Aktionäre schafft.“ 

 

BASF hat nach sorgfältiger strategischer Prüfung ihre Forschungsaktivitäten im Bereich OLED Ende 2015 eingestellt. Mit dem Verkauf des OLED-Patentportfolios ist der Rückzug aus dem Arbeitsgebiet abgeschlossen. „Wir freuen uns, dass nun Universal Display Corporation die Entwicklung und Vermarktung unserer OLED-Materialien und -Technologien voranbringen wird. Wir glauben, dass unsere Patente und unser Know-how perfekt zu dem Patentportfolio und den Kompetenzen von UDC passen. UDC sollte aus dieser kombinierten Phosphoreszenz-Technologie den größten Wert für die OLED-Industrie generieren können”, erklärt Felix Goerth, Director Organic Electronics bei der BASF New Business GmbH.

 

Seit ihrer Gründung im Jahr 1994 hat Universal Display fast 400 Millionen US$ in die Forschung und Entwicklung investiert, um das Unternehmen von einem Start-up zu einem führenden Unternehmen im weltweiten OLED-Geschäft zu entwickeln. Das Unternehmen investiert weiterhin stark in eine Reihe von strategischen Programmen und arbeitet zusammen mit Kunden an der Entwicklung und Vermarktung von phosphoreszierenden Materialien und OLED-Technologien. Darüber hinaus verzeichnet Universal Display Fortschritte bei neuen roten, grünen, gelben und blauen Emittern und Matrixmaterialien der nächsten Generation, sowie bei der Erweiterung ihrer Kernkompetenzen hinsichtlich phosphoreszenten OLEDs (PHOLED) und anderer OLED-Technologien. Das gilt auch für OLED-Herstellprozesse und Ausrüstung. UDC erwartet, dass der Erwerb des BASF-Patentportfolios ihr umfassendes globales Patentportfolio weiter verstärkt.

 

Über BASF

BASF steht für Chemie, die verbindet – für eine nachhaltige Zukunft. Wir verbinden wirtschaftlichen Erfolg mit dem Schutz der Umwelt und gesellschaftlicher Verantwortung. Rund 112.000 Mitarbeiter arbeiten in der 

 



 

BASF-Gruppe daran, zum Erfolg unserer Kunden aus nahezu allen Branchen und in fast allen Ländern der Welt beizutragen. Unser Portfolio haben wir in den Segmenten Chemicals, Performance Products, Functional Materials & Solutions, Agricultural Solutions und Oil & Gas zusammengefasst. BASF erzielte 2015 weltweit einen Umsatz von mehr als 70 Milliarden €. BASF ist börsennotiert in Frankfurt (BAS), London (BFA) und Zürich (AN). Weitere Informationen unter www.basf.com.

 

About Universal Display Corporation

Universal Display Corporation (Nasdaq: OLED) ist ein führendes Unternehmen in der Entwicklung von Technologien nach dem modernsten Stand der Technik. Darunter Materialien und Services für organische Leuchtioden (OLED) für die Display- und Beleuchtungsindustrie. Das Unternehmen wurde 1994 gegründet und besitzt Eigentums- sowie Lizenzrechte (exklusiv und teilexklusiv) an mehr als 4,100 erteilten oder angemeldeten Patenten weltweit. Universal Display lizensiert ihre firmeneigenen Technologien, einschließlich ihrer bahnbrechenden hoch-effizienten UniversalPHOLED® phosphoreszente OLED-Technologie zur Ermöglichung von energiesparenden und umweltfreundlichen Displays und Beleuchtungslösungen. Das Unternehmen entwickelt weltweit anerkannte UniversalPHOLED®-Materialien nach dem neusten Stand der Technik, die als Schlüsselmaterialien bei der Herstellung von OLEDs mit Spitzenleistungen angeboten werden. Zusätzlich ermöglicht Universal Display innovative, maßgeschneiderte Lösungen für ihre Kunden und Partner durch Technologietransfer, gemeinschaftliche Technologie-Entwicklung und Vor-Ort-Schulung.

Weitere Informationen unter: http://www.oled.com.