Document:

exv10w4

Exhibit 10.4

AMENDED AND RESTATED

PROMISSORY NOTE

			
	 	 	 
	$350,000,000
	 	Dated August 10, 2010
	 
	 	Valencia, California

     This Amended and Restated Promissory Note (this “Amended Note”), dated as of August
10, 2010, amends, re-evidences, restates, and supersedes in full, but does not in any way satisfy
nor discharge the outstanding indebtedness, if any, owed under that certain Promissory Note dated
February 26, 2009 in the original principal amount of Three Hundred and Fifty Million Dollars
($350,000,000), made by the undersigned in favor of The Mann Group LLC (the “Original
Note”). The Original Note, as amended, re-evidenced, and restated by this Amended Note, is
referred to herein as the “Note.”

 

     For Value Received, MannKind Corporation, a Delaware corporation
(“Borrower”), hereby promises to pay to the order of The Mann Group LLC (“Lender”), in
lawful money of the United States of America and in immediately available funds, the principal sum
of up to Three Hundred and Fifty Million Dollars ($350,000,000) or the aggregate principal amount
of all Advances (as defined below) made hereunder, whichever is less (the “Loan”) together with
accrued and unpaid interest thereon, each due and payable on the dates and in the manner set forth
below.

     1. Principal Repayment. The outstanding principal amount of each Advance together with all
accrued and unpaid interest thereon shall be due and payable on December 31, 2012 (the “Maturity
Date”).

     2. Interest Rate. Borrower further promises to pay interest on the outstanding principal
amount of each Advance from the date thereof until payment in full, which interest shall be payable
at a rate equal to the one year London Interbank Offered Rate (LIBOR) reported by the Wall Street
Journal (or a comparable periodical if such periodical is no longer published) on the day of such
Advance plus 3% per annum, or the maximum rate permissible by law (which under the laws of the
State of California shall be deemed to be the laws relating to permissible rates of interest on
commercial loans), whichever is less. Interest shall be due and payable quarterly in arrears not
later than the first day of each calendar quarter for the preceding quarter, commencing on the
first day of the calendar quarter following the calendar quarter in which an Advance is made, and
shall be calculated on the basis of a 365/366-day year for the actual number of days elapsed.

     3. Place of Payment. All amounts payable hereunder shall be payable in lawful money of the
United States of America at the office of Lender, 28903 North Avenue Paine, Valencia, CA 91355,
unless another place of payment shall be specified in writing by Lender.

1.

 

     4. Application of Payments; Prepayment.

          4.1 Payment on this Note shall be applied first to accrued interest, and thereafter to the
outstanding principal balance hereof.

          4.2 This Note may be prepaid in whole or in part without penalty or premium. Any amount
prepaid pursuant to this Section 4.2 may be reborrowed subject to Section 5 hereof. Any partial
prepayment made pursuant to this Section 4.2 shall be applied to interest first and then to
principal, and shall be applied to the oldest outstanding Advance first. At the time of any
prepayment of principal hereunder, Borrower shall also pay all accrued and unpaid interest on the
amount prepaid through the date of prepayment.

          4.3 Pursuant to that certain Common Stock Purchase Agreement between Borrower and Lender dated
as of August 10, 2010 (the “Purchase Agreement”), Lender has agreed to purchase from Borrower, and
Borrower has agreed to issue and sell to Lender, at the Per Share Purchase Price (as defined in the
Purchase Agreement) a certain number of shares of Borrower’s common stock, $0.01 par value (the
“Common Stock”), at each Closing (as defined in that certain Common Stock Purchase Agreement
between Borrower and Seaside 88, LP dated as of August 10, 2010). At the time of each purchase and
sale of shares of Common Stock pursuant to the Purchase Agreement, Borrower shall cause its
transfer agent to deliver to Lender a certificate representing such shares against the cancellation
of indebtedness owed by Borrower under this Note, the amount of such indebtedness cancelled to be
equal to the number of shares of Common Stock being sold at such time multiplied by the Per Share
Purchase Price applicable to such sale; provided, however, that the cancellation of indebtedness
shall be applied only to the outstanding principal balance under this Note and not to any accrued
interest; provided further, that if cancellation of the outstanding principal balance under this
Note is insufficient to pay the entire consideration for the shares of Common Stock being sold at
such time, Lender shall pay the balance of the consideration in cash by wire transfer of
immediately available funds to an account designated by Borrower. In connection with the
cancellation of indebtedness, Lender shall record an appropriate notation on Exhibit A to this Note
to reflect such cancellation as a payment of principal on this Note. The cancellation of principal
indebtedness shall be applied to the oldest outstanding Advance first. Borrower shall pay all
accrued and unpaid interest on each amount of the principal indebtedness that is cancelled pursuant
to this Section 4.3 at the next quarterly interest payment date as provided in Section 2.

          4.4 At any time upon delivery of prior written notice (the “Call Notice”), Lender may require
Borrower to prepay Advances that have been outstanding for more than twelve months as of the date
of the notice. Lender may not require Borrower to prepay Advances in an aggregate amount exceeding
$200,000,000 (less the aggregate amount of principal indebtedness cancelled pursuant to Section
4.3) pursuant to this Section 4.4. If Lender exercises such call right, Borrower shall, on the
earlier of: (x) 90 days after delivery of the Call Notice or (y) the Maturity Date, prepay the
Advances in the amount set forth in the Call Notice. Any partial prepayment made pursuant to this
Section 4.4 shall be applied to interest first and then to principal. At the time of any prepayment
of principal hereunder, Borrower shall also pay all accrued and unpaid interest on the amount
prepaid through the date of prepayment.

2.

 

     5. Loan Requests. Provided that no Event of Default has occurred and is continuing, from and
after the date hereof and through and including December 31, 2011, Lender shall make available to
Borrower for borrowings by Borrower from time to time a principal amount of Three Hundred and Fifty
Million Dollars ($350,000,000) less the aggregate amount of principal indebtedness cancelled
pursuant to Section 4.3 (each, an “Advance”). Whenever Borrower desires an Advance hereunder,
Borrower shall notify Lender by facsimile with a transmission confirmation or by electronic mail as
long as a read receipt is requested and received no later than 4:00 p.m. Pacific time, sixty (60)
calendar days prior to the date on which the Advance is requested to be made. At the time of any
Advance (or at the time of receipt of any payment of principal), Lender shall make or cause to be
made, an appropriate notation on the Exhibit A attached hereto reflecting the amount of such
Advance (or the amount of such payment). The outstanding amount of this Note set forth on such
Exhibit A shall be prima facie evidence of the principal amount thereof outstanding, but the
failure to record, or any error in so recording, shall not limit or otherwise affect the
obligations of Borrower to make payments of principal of or interest on this Note when due.

     6. Representations and Warranties. The Borrower hereby represents and warrants to the Lender
as follows:

          6.1 The Borrower has the requisite power and authority to enter into this Note and to
consummate the transactions contemplated hereby. The execution and delivery of this Note by the
Borrower and the consummation by the Borrower of the transactions contemplated hereby have been
duly authorized by all necessary corporate action on the part of the Borrower. This Note has been
duly executed and delivered by the Borrower and constitutes the legal, valid and binding agreement
of the Borrower enforceable against the Borrower in accordance with its terms, except as may be
limited by (i) applicable bankruptcy, insolvency, reorganization, moratorium and other laws of
general application affecting enforcement of creditors’ rights generally and (ii) equitable
principles of general applicability relating to the availability of specific performance,
injunctive relief or other equitable remedies.

          6.2 No consent, approval, authorization, order, license, registration or qualification of or
with any Governmental Entity is required for the execution and delivery by the Borrower of this
Note or the transactions contemplated hereby, except such consents, approvals, authorizations,
orders, licenses, registrations or qualifications as have been obtained, or which, if not obtained,
would not, individually or in the aggregate, have a material adverse effect on the ability of the
Borrower to perform its obligations hereunder or consummate the transactions contemplated hereby on
a timely basis. As used in this Note, the term “Governmental Entity” means any agency, bureau,
commission, authority, department, official, political subdivision, tribunal or other
instrumentality of any government, whether (i) regulatory, administrative or otherwise (including,
without limitation, a self-regulatory organization or stock exchange); (ii) federal, state or
local; or (iii) domestic or foreign.

          6.3 The execution and delivery by the Borrower of this Note, the performance by the Borrower
of its obligations hereunder, and the consummation by the Borrower of the transactions contemplated
hereby, will not conflict with or result in a breach or violation of (i) any of the terms or
provisions of, or constitute a default (or an event which with notice or lapse of time or both
would become a default) under, or give to others any rights of termination,

3.

 

amendment, acceleration or cancellation of, any indenture, mortgage, deed of trust, loan
agreement or other agreement or instrument to which the Borrower or any of its subsidiaries is a
party or by which the Borrower or any of its subsidiaries is bound or to which any of their
property or assets is subject or (ii) any applicable law or statute or any order, rule or
regulation of any Governmental Entity having jurisdiction over the Borrower or any of its
subsidiaries or any of their respective properties, except for in the case of either clause (i) or
(ii) such conflicts, breaches or violations that would not prevent or delay the consummation of the
transactions contemplated by this Note or that would not be reasonably expected to have a material
adverse effect on the Borrower, nor will any such action result in any violation of the provisions
of the organizational documents of the Borrower.

     7. Default. Each of the following events shall be an “Event of Default” hereunder:

          (a) Borrower fails to pay timely any of the principal amount due under this Note or any
accrued interest or other amounts due under this Note on the date the same becomes due and payable
or within five (5) business days thereafter;

          (b) Borrower files any petition or action for relief under any bankruptcy, reorganization,
insolvency or moratorium law or any other law for the relief of, or relating to, debtors, now or
hereafter in effect, or makes any assignment for the benefit of creditors or takes any corporate
action in furtherance of any of the foregoing;

          (c) An involuntary petition is filed against Borrower (unless such petition is dismissed or
discharged within sixty (60) days) under any bankruptcy statute now or hereafter in effect, or a
custodian, receiver, trustee, assignee for the benefit of creditors (or other similar official) is
appointed to take possession, custody or control of any property of Borrower; or

          (d) Any representation or warranty made herein or in any other document delivered in
connection herewith shall be incorrect or misleading in any material respect when made or deemed
made (except where any such representation or warranty by the terms thereof is subject to a
materiality standard, in which case such representation or warranty shall be incorrect or
misleading in any respect).

Upon the occurrence of an Event of Default hereunder, all unpaid principal, accrued interest and
other amounts owing hereunder shall, at the option of Lender, and, in the case of an Event of
Default pursuant to (b) or (c) above, automatically, be immediately due, payable and collectible by
Lender pursuant to applicable law, the commitment of the Lender to lend shall, at the option of the
Lender, and in the case of an Event of Default pursuant to (b) or (c) above, automatically,
terminate, and the interest rate applicable to outstanding Advances upon an Event of Default shall
increase to LIBOR calculated on the date of the initial Advance or the date of the Event of Default
(whichever is greater) plus 5% per annum for the period after said Event of Default until payment,
or the maximum rate permissible by law as defined above, whichever is less.

     8. Waiver. Borrower waives presentment and demand for payment, notice of dishonor, protest
and notice of protest of this Note, and shall pay all costs of collection when incurred, including,
without limitation, reasonable attorneys’ fees, costs and other expenses.

4.

 

     The right to plead any and all statutes of limitations as a defense to any demands hereunder
is hereby waived to the full extent permitted by law.

     9. Governing Law. This Note shall be governed by, and construed and enforced in accordance
with, the laws of the State of New York, excluding conflict of laws principles that would cause the
application of laws of any other jurisdiction. Borrower consents to in personam jurisdiction of
the courts in the State of New York sitting in New York County and of the United States District
Court of the Southern District of New York for any legal action or proceeding with respect to this
Note. Borrower, by execution and delivery of this Note, hereby irrevocably accepts in respect of
its property, generally and unconditionally, the jurisdiction of the aforesaid courts.

     10. Successors and Assigns. This Note shall be binding upon and inure to the benefit of the
Borrower and Lender and their respective successors and assigns; provided that the Borrower may not
assign or otherwise transfer any of its rights or obligations hereunder without the prior written
consent of the Lender. Lender may assign to one or more other persons all or a portion of its
rights (but not its obligations) under this Note with respect to all or a portion of the Advances
made by it.

     11. Integration. This Note (together with the Purchase Agreement) reflects the entire
understanding of the parties with respect to the transactions contemplated hereby and shall not be
contradicted or qualified by any other agreement or instrument, oral or written, before or after
the date hereof.

     12. Amendments, Modification, Etc. No amendment, modification or waiver of any provision of
this Note, and no consent to any departure by Lender or Borrower and their assigns therefrom, shall
in any event be effective unless the same shall be in writing and signed by the Lender and
Borrower, and then such waiver or consent shall be effective only in the specific instance and for
the specific purpose for which given.

     13. No Waiver. No failure on the part of the Lender to exercise, and no delay in exercising,
any right hereunder shall operate as a waiver thereof; nor shall any single or partial exercise of
any right under this Note preclude any other or further exercise thereof or the exercise of any
other right. The rights of the Lender under this Note against Borrower are not conditional or
contingent on any attempt by the Lender to exercise any of its rights under this Note against
Borrower or any other person.

     14. Expenses. The Borrower agrees to reimburse, periodically and upon request, and at the
date of effectiveness of this Note or upon termination of this Note, (i) the Lender’s reasonable
expenses, including the reasonable fees and disbursements of the Lender’s attorneys, arising in
connection with the preparation, negotiation, execution, delivery, amendment and administration of
this Note and related transactions and (ii) the Lender’s expenses, including the fees and
disbursements of the Lender’s attorneys, in connection with the enforcement of this Note or the
protection of the Lender’s rights under this Note. In addition, the Borrower agrees to reimburse
the Lender for all reasonable expenses, including the reasonable fees and disbursements of the
Lender’s attorneys, incurred in connection with the licensing of the Lender as a finance lender
under the California Finance Lenders Law.

5.

 

     15. Indemnity. The Borrower shall indemnify, defend and hold harmless the Lender and its
agents and attorneys (collectively, the “Indemnitees”) from and against (i) any and all transfer
taxes, documentary taxes, assessments or charges made by any Governmental Entity by reason of the
execution and delivery of this Note or the making of the Advances, and (ii) any and all
liabilities, losses, damages, penalties, judgments, claims, costs and expenses of any kind or
nature whatsoever (including reasonable attorneys’ fees, and disbursements in connection with any
actual or threatened investigative, administrative or judicial proceeding, whether or not such
Indemnitee shall be designated a party thereto) that may be imposed on, incurred by or asserted
against such Indemnitee, in any manner relating to or arising out of this Note, the Advances or the
use or intended use of the proceeds of the Advances; provided that no Indemnitee shall have the
right to be indemnified or held harmless hereunder for its own gross negligence or willful
misconduct, as determined by a final judgment of a court of competent jurisdiction.

     16. Seniority. Amounts due under this Note shall rank pari passu with all of the Borrower’s
other senior unsecured obligations, including the Borrower’s 3.75% Senior Convertible Notes due
2013.

6.

 

	 	 	 	 	 	 	 

	Borrower:	 	MannKind Corporation
	 
	 	 	 	 	 	 
	 

	 	By:
	 	/s/ Matthew Pfeffer	 	 
	 

	 	 	 	 

Matthew Pfeffer
	 	 
	 

	 	 	 	Chief Financial Officer	 	 
	 
	 	 	 	 	 	 
	Acknowledged and Agreed:	 	The Mann Group LLC
	 
	 	 	 	 	 	 
	Lender:

	 	By:
	 	/s/ Alfred E. Mann	 	 
	 

	 	 	 	 

Alfred E. Mann
	 	 
	 

	 	 	 	Managing Member	 	 

Alfred E. Mann hereby affirms his intention that the Lender’s
obligations hereunder shall survive his death and be binding on
his estate, the trustee of any revocable trust he has
established for estate planning purposes, and his heirs and
successors. Alfred E. Mann further represents, warrants and
covenants that he has not included and will not include any
provision in any document he has established for estate planning
purposes that would defeat or purport to defeat his obligations
hereunder.

	 	 	 	 	 

	Acknowledged and Agreed:

	 	/s/ Alfred E. Mann	 	 
	 

	 	 

Alfred E. Mann
	 	 

7.exv10w1

Exhibit 10.1

	 

	n-___: , . , , 1. CONTRACT ID NO. PAGE OF PAGES AMENDMENT OF
SOLICITATION/MODIFICATION OF CONTRACT 1 2 ~2.
AMENDMENT/MODIFICATION NO. pT EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5.
PROJECT NO. fif applicable) Twenty-Seven (27) j            See Block 16C. [
6. ISSUED BY CODE 7. ADMINISTERED BY (ifotherthan Item 6) CODE
National institutes of Health National Heart, Lung, and Blood Institute BDR Contracts
Branch, OA, DERA, NHLBl 6701 Rockledge Drive (RKL2), MSC7902 ANN: 268987144 Bethesda, MD 20892-7902
OMB No. 0990-0115 I Program Name: NHLBl Repository 8. NAME AND
ADDRESS OF CONTRACTOR (No., Street, county. State and ZIP Code) (/) 9A. AMENDMENT OF
SOLICITATION NO. 9B. DATED (SEE ITEM 13) SeraCare Life Sciences, Inc. DBA
SeraCare BioServices 217 Perry Parkway I I ica. modification of contract^
Gaithersburg, MD 20877 order no. S N01-HB-87144 10B. DATED
(SEE ITEM 13) code facility code June 15,1998
11. THIS ITEM APPLIES TO AMENDMENTS OF SOLICITATIONS j [
Theabcvenumberedsclidtationisainendedasselforlriin Item 14. The hour and date specified for receipt
of oners \ is extended, j ] is not extended. Offerors must acknowledge receipt of this
amendment prior io the hour and date specified in the solicitation or as amended, by one of the
following methods: (a) By completing Items 3 and 15, and returning copies of trie
amendment; (b) By acknowledging receipt of Shis amendment on each copy of the offer submitted; or
(c) By separata latter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR
RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by
virtue of this amendment you desire to change an offer already submitted, such change may be
made by telenram or letter, provided each telegram or letter makes reference to lha
soiicilatlon and this amendment, and is received prior to the opening hour and dalB specified.
12. ACCOUNTING AND APPROPRIATION DATA (ifroquired) FY 2010 Funds Obligated$649,757
EIN1-330056054-A1 DOC. No. N1HB87144A O.C. 25.55 DUNS No. ###-##-#### NHLBl CAN
0-8470217 $649,757 13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,
___^ IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14. Z[ [A. THIS
CHANGE ORDER IS ISSUED PURSUANT TO: (Specifyauthority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN
THE CONTRACT ORDER NO. IN ITEM { ’ 10A. B. THE ABOVE
NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in
paying office, appropriation data, etc.) SET FORTH iN ITEM 14. PURSUANT TO THE
AUTHORITY OF FAR 43.103(b). * C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED
INTO PURSUANT TO AUTHORITY OF: FAR 1.602 and Mutual Agreement of the Parties
D. OTHER (Specify type of modification and authority) E. IMPORTANT:
Contractor Q is not, IXl is required to sign this document and return 1 copy to the issuing
office. 14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section
headings, including solicitation/contract subject matter where feasible.) PURPOSE: To
increase the total amount of the contract and provide incremental funding to cover contract
performance through April 30, 2011 CONTRACT AMOUNT: Estimated Cost
Fixed Fee Total Est Cost Plus Fixed Fee Previously Allotted
$17,935,183 $1,063,863 $18,999,046 Allotted by this
Modification 610,101 39,656 649,757 Amount
Remaining to be Obligated 0 0 0 Total Contract Amount
$18,545,284 $1,103,519 $19,648,803 (Changed)
EXPIRATION DATE: April 30, 2011 (Unchanged) CONTRACT TYPE: Cost Reimbursement (Completion)
Except as provided herein, all Hems and conditions of the document referenced in Item 9A
oMOA. as heretofore changed, remains unchanged and in full force and effect. 15A.
NAME AND TITLE OF SIGNERiType or print) f /}£?/*, 16A- NAME AND TITLE OF
CONTRACTING OFFICER (Type orprinfj t>\J<*ewi YMf-h- PstlxcLUit;
cu^) L^u Rick Phillips &£m Cjt^t Ay~£.
ffCA-l-^t <_&, /»<* Contracting Officer 1SB. CONTRACTOR/OFFEROR 15C.
DATE SIGNED 16B, UNITED STATES OF AMERICA 16C. DATE SIGNED (Signature of person
authorized to sign.) I Cfi*& (Signature of Contracting Officer) j
NSN 7540-01-152-8070 30-105 STANDARD FORM 30 (REV. 10-83) PREVIOUS EDITION UNUSABLE
Prescribed by GSA FAR (48 CFR) 53.243

 

 

	 	 	 

	AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT CONTINUATION PAGE

Contract No. N01-HB-87144

Modification No. 27

	 	Page 2 of 2 Pages

	1.	 	ARTICLE B.2. ESTIMATED COST AND FIXED FEE, is revised to read as follows:

	 	a.	 	The estimated cost of this contract is increased by $610,101 from $17,935,183 to
$18,545,284.
	 
	 	b.	 	The fixed fee for this contract is increased by $39,656 from $1,063,863
to $1,103,519. The fixed fee shall be paid
in installments based on the percentage of completion of work, as determined by the
Contracting Officer, and subject to the witholding provisions of the clauses ALLOWABLE COST AND PAYMENT and FIXED
FEE referenced in
the General Clause Listing in Part II, ARTICLE I.1. of this contract. Payment of
fixed fee shall not be made in less
than monthly increments.
	 
	 	c.	 	The Government’s obligation, represented by the sum of the estimated cost
plus fixed fee is increased by $649,757 from $18,999,046 to $19,648,803.
	 
	 	d.	 	Total funds currently available for payment and allotted to this contract are
increased by $649,757 from $18,999,046 to $19,648,803 of which $18,545,284 represents the estimated costs, and of
which $1,103,519 represents the fixed fee. For further provisions on funding, see the LIMITATION OF FUNDS
clause referenced in Part II, ARTICLE I.2. Authorized Substitutions of Clauses.
	 
	 	e.	 	It is estimated that the amount currently allotted will cover performance of the
contract through April 30, 2011.
	 
	 	f.	 	The Contracting Officer may allot additional funds to the contract without the
concurrence of the Contractor.
	 
	 	g.	 	Future increments to be allotted to this contract are estimated as follows: *NONE*

	2.	 	SECTION J. LIST OF ATTACHMENTS — Attachment 3., Financial Report of Individual
Project/Contract, NIH 2706, Page 1 is deleted in its entirety and the attached Page 1 is substituted thereof.

 

 

	 	 	 	 	 	 	 	 	 

	National Institutes of Health 

Financial Report of Individual 

Project/Contract

Complete this form in accordance with 
accompanying instructions

	 	Project Task:

	 	Contract No:	 	Date of Report:	 	0990-0134 
0990-0131
	 	Maintenance of NHLBI Biological Specimen Repository
	 	 N01-HB-87144
	 	
	 
	 	
Reporting Period:	 	
Contractor Name and Address:

	 	 	 	SeraCare Life Sciences, Inc. DBA SeraCare BioServices
 217 Perry
Parkway 
Gaithersburg, Maryland 20877

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	Cumulative	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Funded	 	 
	 	 	 	 	 	 	 	 	 	 	Incurred	 	 	 	 	 	 	 	 	 	 	 	 	 	Estimated	 	Contract	 	Variance
	 	 	Percentage of	 	Cost at End	 	Incurred	 	Cumulative	 	Estimated	 	Cost at	 	Amount	 	(Over or
	 	 	Effort/Hours	 	of Prior	 	Cost-Current	 	Cost to Date	 	Cost to	 	Completion	 	Through April	 	Under)
	Expenditure Category	 	Funded	 	Actual	 	Period	 	Period	 	(D + E)	 	Complete	 	(F + G)	 	30, 2011	 	(l - H)
	A	 	B	 	C	 	D	 	E	 	F	 	G	 	H	 	I	 	J
	Principal Investigator
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Laboratory Staff
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Data Entry
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Total Direct Labor
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	$	4,860,401	 	 	 	 	 
	Materials & Supplies
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	$	1,469,109	 	 	 	 	 
	Other Direct Costs
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	$	728,619	 	 	 	 	 
	Travel
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	$	13,059	 	 	 	 	 
	Freezers/Freezer Equipment
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	$	1,411,921	 	 	 	 	 
	Information Management Systems Subcontract
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	$	818,592	 	 	 	 	 
	Subcontract-2
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	$	1,000	 	 	 	 	 
	Subcontract-Office Movers
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	$	64,000	 	 	 	 	 
	Contract Generated Revenue
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	($14,000	)	 	 	 	 
	Subtotal
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	$	9,352,701	 	 	 	 	 
	Overhead @
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	$	7,562,394	 	 	 	 	 
	G&A@
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	$	1,630,189	 	 	 	 	 
	Total Costs Excluding Fixed Fee
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	18,545,284	 	 	 	 	 
	Fixed Fee
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	$	1,103,519	 	 	 	 	 
	Total Cost Plus Fixed Fee
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	$	19,648,803

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