Document:

exv10w2

 

Exhibit 10.2

Confidential materials omitted and filed separately with the Securities and Exchange Commission.
Asterisks denote omissions.

FIRST AMENDMENT

TO COLLABORATION AND LICENSE AGREEMENT

     This First Amendment to Collaboration and License Agreement (the “Amendment”) is
entered into effective as of the last date set forth on the signature page hereof (the
“Effective Date”) by and between Lexicon Genetics Incorporated, a Delaware corporation
(“Lexicon”) and Bristol-Myers Squibb Company, a Delaware corporation (“BMS”).

R E C I T A L S

     WHEREAS, Lexicon and BMS are parties to that certain Collaboration and License Agreement dated
December 17, 2003 (the “Collaboration Agreement”);

     WHEREAS, BMS desires to exercise its option to extend the Target Discovery Program Term under
Section 2.2.2(a) of the Collaboration Agreement; and

     WHEREAS, Lexicon and BMS desire to amend the Collaboration Agreement as set forth in this
Amendment.

     NOW, THEREFORE, in consideration of the premises and the mutual covenants contained herein,
Lexicon and BMS hereby agree as follows:

     1. The terms in this Amendment with initial letters capitalized shall have the meaning set
forth in this Amendment and if not defined in this Amendment shall have the meaning set forth in
the Collaboration Agreement. Unless otherwise expressly stated, the Sections referred to herein
refer to the Sections in the Collaboration Agreement.

     2. BMS hereby provides notice to Lexicon in accordance with Section 2.2.2 that BMS hereby
exercises its option to extend the Target Discovery Program Term under Section 2.2.2 subsection (a)
of the Collaboration Agreement.

     3. Section 2.2 of the Collaboration Agreement is hereby amended such that the decision to
carry out Level 2 Phenotypic Analysis with respect to a Target may be based on information, other
than or in addition to Level 1 Phenotypic Analysis, that is suggestive, as determined by [**], of
the potential utility of the Target in the CNS Field. Any such determination by [**] with respect
to a given Target shall be [**]. In accordance with the foregoing, Sections 2.2.1 and 2.2.2 of the
Collaboration Agreement are deleted in their entirety and replaced with the following:

     2.2.1 Generation and Analysis of Mutant Mice. In the Target Discovery Program,
Lexicon shall complete (a) the development and Level 1 Phenotypic Analysis of [**] lines of
Mutant Mice and (b) Level 2 Phenotypic Analysis of such lines of Mutant Mice, from the first
[**] lines of Mutant Mice for which Level 1 Phenotypic Analysis was completed, (1) that
displayed a phenotype suggestive, as determined by [**], of the potential utility of the
corresponding Target in the CNS Field or (2) with respect to which any other information is
identified, including but not limited to expression levels in brain tissues, that is
suggestive, as determined by [**], of the

 

 

potential utility of the corresponding Target in the CNS Field. All lines of Mutant Mice
developed by Lexicon [**] shall be [**]. Lexicon shall use Diligent Efforts to complete such
work by the end of the third Contract Year of the Research Term and, if necessary, shall
continue to use Diligent Efforts thereafter until such work is complete [**]. The Target
Discovery Program Term shall continue until such work is complete.

     2.2.2 Target Discovery Program Term. The Target Discovery Program shall
continue until the end of the third Contract Year of the Research Program Term (and
thereafter until the work set forth in Section 2.2.1 is completed) (the “Target Discovery
Program Term”); provided that BMS shall have the option to extend the Target Discovery
Program Term for an additional two Contract Years (which two-year period may be further
extended as set forth below) on the terms set forth below:

     (a) BMS may extend the Target Discovery Program to include the completion by
Lexicon in the Target Discovery Program of (i) the development and Level 1 Phenotypic
Analysis of [**] lines of Mutant Mice (to the extent not already completed by the end of
the third Contract Year of the Research Program Term) and (ii) Level 2 Phenotypic
Analysis of such lines of Mutant Mice, from such [**] lines of Mutant Mice, (1) that
displayed a phenotype suggestive, as determined by [**], of the potential utility of the
corresponding Target in the CNS Field or (2) with respect to which any other information
is identified, including but not limited to expression levels in brain tissues, that is
suggestive, as determined by [**], of the potential utility of the corresponding Target
in the CNS Field. Lexicon shall use Diligent Efforts to complete such work by the end of
the fifth Contract Year of the Research Term and, if necessary, shall continue to use
Diligent Efforts thereafter until such work is complete [**]. The Target Discovery
Program Term shall continue until such work is complete.

     (b) BMS may extend the Target Discovery Program to include the completion by
Lexicon in the Target Discovery Program of (i) the development and Level 1 Phenotypic
Analysis of [**] lines of Mutant Mice and (ii) Level 2 Phenotypic Analysis of such lines
of Mutant Mice, from such [**] lines of Mutant Mice, (1) that displayed a phenotype
suggestive, as determined by [**], of the potential utility of the corresponding Target
in the CNS Field or (2) with respect to which any other information is identified,
including but not limited to expression levels in brain tissues, that is suggestive, as
determined by [**], of the potential utility of the corresponding Target in the CNS
Field. Lexicon shall use Diligent Efforts to complete such work by the end of the fifth
Contract Year of the Research Term and, if necessary, shall continue to use Diligent
Efforts thereafter until such work is complete [**]. The Target Discovery Program Term
shall continue until such work is complete.

     BMS may exercise the foregoing option by delivery to Lexicon of written notice of such
exercise (specifying the subsection above under which such option is being exercised) no
fewer than [**] days before the end of the third Contract Year of the Research Program Term.

     4. Section 2.6.2 of the Collaboration Agreement is hereby amended and restated in its entirety
as follows:

   2.6.2 During the Target Discovery Program Term, Lexicon shall work exclusively with BMS
and shall not enter into any discussions or agreements with any Third Party with respect to
activities directed to the identification of novel Targets for the identification and
development of Small Molecule Compounds for use in the CNS Field, provided that Lexicon may
pursue discussions and enter agreements with Third Parties with respect to Released Targets
and Inactive

-2-

 

Selected Targets that the parties have agreed to out-license. Notwithstanding the
foregoing, in the event BMS exercises its option to extend the Target Discovery Program Term
under Section 2.2.2(a), at any time following the end of the fourth Contract Year, Lexicon
may enter into discussions with Third Parties with respect to Targets other than those
corresponding to the lines of Mutant Mice for which Level 1 Phenotypic Analysis and, as
applicable, Level 2 Phenotypic Analysis is to be completed in accordance with such
extension. During the Target Discovery Program Term, Lexicon shall work exclusively with
BMS under the terms of the Agreement with respect to all Targets identified as of the
Effective Date by Lexicon [**] as having potential utility in the CNS Field, with the
exception of Lexicon’s LG617 Target (which is subject to Section 4.4) and Released Targets.
Notwithstanding the foregoing, in the event BMS exercises its option to extend the Target
Discovery Program Term under Section 2.2.2(a), the foregoing obligation shall not be deemed
to restrict Lexicon from working internally with respect to Targets other than those
corresponding to the lines of Mutant Mice for which Level 1 Phenotypic Analysis and, as
applicable, Level 2 Phenotypic Analysis is to be completed in accordance with such
extension; provided that (i) during the initial Target Discovery Program Term (i.e., prior
to giving effect to any such extension) and continuing until the Joint Scientific Committee
determines that Lexicon has completed such Level 1 Phenotypic Analysis for [**] lines of
Mutant Mice corresponding to [**] Targets in accordance with Section 2.2, Lexicon shall not
knowingly exclude any Targets from being included in such group of [**] Targets in a manner
that conflicts with the objectives of the Target Discovery Program to identify Targets
having potential utility in the CNS Field and (ii) Lexicon shall not work internally to
perform any Level 2 Phenotypic Analysis to identify Targets having potential utility in the
CNS Field (other than in support of the Target Discovery Program) to the extent that such
activity would limit or otherwise compromise the efforts and resources that Lexicon devotes
to performing and completing the Level 2 Phenotypic Analysis in support of the Target
Discovery Program.

     5. This Amendment shall not amend or modify the covenants, terms, conditions, rights and
obligations of the parties under the Collaboration Agreement, except as specifically set forth
herein. The Collaboration Agreement shall continue in full force and effect in accordance with its
terms as amended by this Amendment. This Amendment shall not amend or modify the covenants, terms,
conditions, rights and obligations of the parties under any other agreement between the parties,
including, without limitation, the following agreements relating to the Collaboration Agreement,
which shall continue in full force and effect in accordance with their terms: (a) [**]; (b) [**];
(c) [**]; (d) [**]; and (e) [**].

     6. This Agreement may be executed in counterparts, each of which shall be deemed an original,
but both of which together shall constitute one and the same instrument.

-3-

 

     IN WITNESS WHEREOF, the parties have caused their duly authorized representatives to execute
and deliver this Agreement as of the Effective Date.

Bristol-Myers Squibb Company

	 	 	 	 	 
	By: 
	 	 	 	 
	 

	 

(Signature of Authorized Representative)
	 	 
	 
	Printed Name: 
	 	 	 
	 

	 	 

	 	 

					
	Title:
	 	 	 	 
	 

	 	 

	 	 
	Date:
	 	 	 	 
	 

	 	 

	 	 

Lexicon Genetics Incorporated

	 	 	 	 	 
	By: 
	 	 	 	 
	 

	 

(Signature of Authorized Representative)
	 	 
	 
	Printed Name: 
	 	 	 
	 

	 	 

	 	 

					
	Title:
	 	 	 	 
	 

	 	 

	 	 
	Date:
	 	 	 	 
	 

	 	 

	 	 

-4-exv4w1

 

	
    SPECIMEN

Exhibit 4.1

	 	 	 	 	 
	
	 	
	 	
	 
	 	 	 	see reverse side
	 
	 	 	 	for certain definitions

	 	 	 	 	 
	 
	 	incorporated under the laws of the state of delaware
	 	CUSIP 12802T 10 1

THIS CERTIFIES THAT

 

is the owner of

FULLY PAID AND NON-ASSESSABLE SHARES OF THE COMMON STOCK, $0.01 PAR VALUE, OF

CAL DIVE INTERNATIONAL, INC.

transferable on the books of the Corporation by the holder hereof in person or by Attorney upon
surrender of this certificate properly endorsed. This certificate is not valid unless countersigned
by the Transfer Agent and Registrar.

     IN WITNESS WHEREOF, the said Corporation has caused this certificate to be signed by facsimile
signatures of its duly authorized officers.

Dated:

	 	 	 
	

president
	 	

secretary

american financial printing incorporated – minneapolis

 

 

 

The following abbreviations, when used in the inscription on the face of this certificate, shall be
construed as though they were written out in full according to applicable laws or regulations:

					
	 	 	 	 	 
	ten com
	 	– as tenants in common
	 	utma
–                       Custodian                     
	 
	 	 	 	(Cust)                            (Minor)     
	ten ent
	 	– as tenants by entireties
	 	under Uniform Transfer to Minors
	 	 	 	 	 
	jt ten
	 	– as joint tenants with right of survivorship
	 	Act                                                             
	 
	 	    and not as tenants in common
	 	(State)                         

Additional abbreviations may also be used though not in the above list.

 

For value received _______ hereby sell, assign and transfer unto

	 	 	 
	please insert social security or other
	 	 
	identifying number of assignee 	 	 
	                                        

	 	 

 

please print or typewrite name and address including postal zip code of assignee

 

 

                                                                       
                                                                      Shares of the
capital stock represented by the within Certificate, and do hereby irrevocably constitute and
appoint                     
                                                   
                                                                      
Attorney to transfer the said stock on the books of the within-named Corporation with full power of
substitution in the premises.

	 	 	 	 	 
	
Dated

	 	 	 	X

	 

	 	 
	 	 
	 
	 	 	 	 
	 

	 	 	 	X

	 

	 	 	 	 
	 

	 	 	 	notice- the signature to this
assignment must correspond with the name as
written upon the face of the certificate in
every particular without alteration or
enlargement or any change whatever.

signature guaranteed

all guarantees must be made by a financial institution (such as a bank or broker) which
is a participant in the securities transfer agents medallion program (“stamp”). the new york
stock exchange, inc. medallion signature program (“msp”) or
the stock exchanges medallion program (“semp”) and must not be dated guarantees by a
notary public are not acceptable

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