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Exhibit 10.8    
    

LICENSE AGREEMENT  

 between  

 ROCHE DIAGNOSTICS GMBH, Sandhoferstr. 116, D-68305 Mannheim Germany  

 and ROCHE DIAGNOSTICS CORPORATION, 9115 Hague Road,

Indianapolis, IN 46250-0547, USA  

 (hereinafter collectively referred to as "ROCHE")  

 on the one hand  

 and  

 HELICOS BIOSCIENCES CORPORATION, One Kendall Square, Building 200, Cambridge, MA 02139, USA  

 (hereinafter referred to as "HELICOS")  

 on the other hand  

PREAMBLE  

        ROCHE is the owner of [***] and any foreign applications or patents claiming priority thereto, including but not limited to U.S. Patent
[***] and any continuation, continuation-in-part, divisional, and foreign patent applications (and corresponding issued patents) relating to a method
for sequencing DNA. HELICOS is interested in obtaining access to this technology and ROCHE is willing to grant to HELICOS a semi-exclusive deblocking license, subject only to the Existing
License, under its aforementioned patent rights in order to allow HELICOS to market products for analyzing a target polynucleotide sequence on a support. 

1.     Definitions  

In
this Agreement, unless the context otherwise requires: 

	1.1
	"Field"
shall mean the analysis of a target polynucleotide sequence on a support;

	1.2
	"Existing
License" shall mean the license granted to Existing Licensee in July 2002;

	1.3
	"Existing
Licensee" shall mean [***];

	1.4
	"HELICOS
Affiliate" shall mean any corporation, partnership or other business organization that HELICOS directly or indirectly controls. For the purpose of this Agreement "control"
shall mean the holding of fifty percent (50%) or more of the voting stock or other ownership interest of the corporation or business entity involved;

	1.5
	"Licensed
Patents" shall mean the patent applications and patents listed in Appendix A as well as any addition, continuation, continuation-in-part,
division, extension, reissue, re-examination, application or substitution with respect thereto;

	1.6
	"Licensed
Products" shall mean an instrument, associated consumables and/or kit/s exclusively designed for analyzing a target polynucleotide sequence on a support, that would, in the
absence of this deblocking License, infringe Licensed Patents;

	1.7
	"Net
Sales" shall mean the gross invoice price for sales of Licensed Products less deductions for returns (including withdrawals and recalls), sales rebates (price reductions), volume
(quantity) discounts, sales taxes and other taxes directly linked to the sales and an additional lump deduction of eight percent (8%) of the gross invoice price to account for all other expenses such
as custom duties, transportation costs and other direct expenses; 

PORTIONS
OF THIS EXHIBIT WERE OMITTED AND HAVE BEEN FILED SEPARATELY WITH THE SECRETARY OF THE COMMISSION PURSUANT TO AN APPLICATION FOR CONFIDENTIAL TREATMENT UNDER RULE 406 OF THE SECURITIES
ACT; [***] DENOTES OMISSIONS. 

 
	1.8
	"Territory"
shall mean the whole world.

	1.9
	"Economic
Sublicense" shall mean a sublicense of a Licensed Patent in exchange for revenue (e.g., upfront-fees, royalty payments, milestone or minimum payments).

	1.10
	"Non-Economic
Sublicense" shall mean a sublicense of a Licensed Patent in contemplation of the settlement of litigation or threatened litigation in which rights under
this Agreement are exchanged for rights to third party intellectual property. 

2.     Grant  

	2.1
	ROCHE
hereby grants and HELICOS hereby accepts a semi-exclusive license, subject only to the Existing License, under Licensed Patents to manufacture, have manufactured,
market, use, import, and sell Licensed Products in the Territory. HELICOS shall have a right to sublicense under the terms set forth in Art. 3.1 d) and 3.1 e) and as long as HELICOS
fulfils the conditions for a semi-exclusive license.

	2.2
	Notwithstanding
Art. 2.1 above, HELICOS shall have the right to grant sublicenses to any HELICOS Affiliate without notice to ROCHE. However, HELICOS will retain primary responsibility
to ROCHE for all obligations imposed upon it under this Agreement.

	2.3
	Except
for the Existing License ROCHE will not grant any additional license in the Field for at least 3 years from the effective date. Beginning on the fourth anniversary of
the effective date of this Agreement, ROCHE will not grant any additional license in the Field as long as HELICOS pays the semi-exclusive minimal license fee set forth in
Article 3.1 (b) below.

	2.4
	ROCHE
agrees that during the time HELICOS is semi-exclusively licensed hereunder, ROCHE will cause the Existing Licensee to agree to accept a non-exclusive
license excluding the Field should the Existing Licensee be acquired by another party or should the Existing Licensee sell the technology for which it requires a license under the Licensed Patents 

3.     Payment  

	3.1
	In
consideration of the license granted as per Art. 2 above, HELICOS undertakes to pay to ROCHE:

	a)
	a
license issuance fee of Euro one-hundred and seventy-five thousand (€175,000) due within thirty (30) days of the effective date of this Agreement;

	b)
	an
annual minimal license fee of Euro ten thousand (€10,000) within sixty (60) days of the first anniversary of the effective date of this Agreement, Euro
fifteen thousand (€15,000) within sixty (60) days of the second anniversary of the effective date of this Agreement, Euro twenty thousand (€20,000) within sixty
(60) days of the third anniversary of the effective date of this Agreement, an annual minimal license fee of Euro forty thousand (€40,000) within sixty (60) days after
four years of the effective date of this Agreement and any anniversary thereof (semi-exclusive minimal license fee). Such minimal royalties are creditable against royalty otherwise due in
the same year. Should HELICOS elect to change to a non-exclusive license, then the minimal annual license fees payable within sixty (60) days of the fourth anniversary of the
effective date of this Agreement shall be Euro ten thousand (€10,000). Such minimal annual license fee is payable during the term of this Agreement.

	c)
	a
running royalty of [***] on its Net Sales of Licensed Products if sold and/or manufactured in any country of the Territory where Licensed Patents exist.

	d)
	HELICOS
may grant Economic Sublicense under this Agreement at HELICOS' discretion; provided that HELICOS shall pay ROCHE [***] in consideration of such Economic
Sublicense.

	e)
	HELICOS
may grant a Non-Economic Sublicense under this Agreement at HELICOS' discretion. 

PORTIONS
OF THIS EXHIBIT WERE OMITTED AND HAVE BEEN FILED SEPARATELY WITH THE SECRETARY OF THE COMMISSION PURSUANT TO AN APPLICATION FOR
CONFIDENTIAL TREATMENT UNDER RULE 406 OF THE SECURITIES ACT; [***] DENOTES OMISSIONS. 

2

 
	3.2
	Sales
between HELICOS and HELICOS Affiliates shall not be subject to any royalty obligation, but in such cases, the royalty shall be calculated upon HELICOS's or HELICOS Affiliates'
Net Sales to an independent third party.

	3.3
	HELICOS's
obligations to make royalty payments to ROCHE with respect to a country of the Territory shall exist as long as either the manufacture, or the marketing, using or selling of
Licensed Products is covered by Licensed Patents in effect in such country. Notwithstanding the above, the parties agree that in no event shall the total running royalty due to ROCHE exceed
[***] on the Net Sales of Licensed Products. 

4.     Reports—Times of Payment and Taxes  

	4.1
	HELICOS
shall, within sixty (60) days after each anniversary of this Agreement, provide ROCHE with an account of Net Sales in each country of the Territory and the royalty due
in respect to the preceding calendar year. At the same time HELICOS shall pay the royalty due, if any, and the minimal licensee for the period covered by such report.

	4.2
	Royalties
payable hereunder shall be made without any deductions whatsoever, except for withholding tax or any other fiscal deductions from time to time required by the government of
any country and subject to the deductions recited in Article 1.7 above. All such payments shall be made in Euro (€).

	4.3
	Withholding
tax, if any, levied by a government of any country on payments made by HELICOS to ROCHE hereunder shall be borne by ROCHE. HELICOS shall use reasonable efforts to enable
ROCHE to claim exceptions therefrom under any double taxation or similar agreement in force and shall produce to ROCHE proper evidence of payment of all withholding tax.

	4.4
	HELICOS
shall keep or procure to be kept complete and accurate records of the sales of Licensed Products in accordance with generally accepted accounting principles. Such records
shall be accessible at any reasonable time during business hours within three (3) years after the end of the royalty period to which such record relates to an independent chartered accountant
selected by ROCHE and acceptable to HELICOS, for the purpose of verifying Net Sales and any royalty due. Such accountant shall disclose only information relating to the accuracy of the records, and
payments made. The inspection of records shall be at ROCHE's sole cost and expense, unless the inspector concludes that royalties reported on a report or reports of HELICOS are understated by five
percent (5%) or more from actual royalties, in which case the costs and expenses of such inspection shall be paid by HELICOS.

	4.5
	If
HELICOS should fail to pay any amount specified under this Agreement at the due date thereof, the amount owed shall bear interest at one and a half percent (1.5%) per month, but in
no event more than an amount legally allowed from the due date until paid. 

5.     Royalty Stacking  

ROCHE
agrees that in case HELICOS should be required to pay to any third party royalties under a license of patents required to manufacture, have manufactured, use and sell Licensed Products, HELICOS
may decrease the royalties otherwise due to ROCHE by deducting up to [***] of the royalties due to third parties from the royalties due to ROCHE. However, the royalties due to
ROCHE shall in no event be lower than [***] of the royalties otherwise due to ROCHE. 

PORTIONS
OF THIS EXHIBIT WERE OMITTED AND HAVE BEEN FILED SEPARATELY WITH THE SECRETARY OF THE COMMISSION PURSUANT TO AN APPLICATION FOR CONFIDENTIAL TREATMENT UNDER RULE 406 OF THE SECURITIES
ACT; [***] DENOTES OMISSIONS. 

3

 

6.     Enforcement of Licensed Patents  

Each
party shall advise the other promptly upon its becoming aware of any third party's infringement of Licensed Patents. In the event of an infringement of Licensed Patents, the parties agree to
consult with each other to attempt to agree on whether legal action should be taken against the infringer, and also to establish the proportion in which they will participate in the costs and expenses
of the action, if taken, and in any recoveries or awards resulting therefrom. ROCHE may bring an action for infringement in its own name, but must notify HELICOS of such action. If ROCHE chooses not
to bring such action in its own name, HELICOS may bring such action in the United States in its own name and using counsel of its choice, and ROCHE agrees to be named as a plaintiff in such action at
the sole and exclusive expense of HELICOS. If HELICOS brings such action, HELICOS agrees that it will pay all reasonable out-of-pocket legal and discovery requests in
connection with such action for any substantive expenses of ROCHE reasonably necessary to respond to deposition taken in the litigation, including settlement thereof. HELICOS will obtain approval from
ROCHE for settlement of such litigation, which approval shall not unreasonably be withheld. ROCHE shall not be obligated by this Agreement to participate in such a litigation other than as provided
above. 

7.     Terms and Termination  

	7.1
	This
Agreement will become effective upon signature by both parties and, unless terminated sooner as provided hereinbelow or by mutual agreement, will remain in force and will expire
upon the expiration of the last to expire of Licensed Patents on a country-by-country basis.

	7.2
	HELICOS
may terminate this Agreement by providing written notice to ROCHE at least ninety (90) days before the termination is to take effect, provided that HELICOS pays all
licensing fees accrued under Article 3 through to the date of termination. In the event HELICOS terminates this Agreement in accordance with this Section 7.2, HELICOS shall report to
ROCHE the amount of Licensed Products in the possession of HELICOS under this Agreement that HELICOS or any HELICOS Affiliate intends to sell and pay to ROCHE royalties on such reported amount.
HELICOS shall destroy any Licensed Products that are not intended to be sold. Royalties on such reported amount shall be calculated based on the average sale price of Licensed Products to third
parties for the contract year proceeding the year of termination.

	7.3
	Failure
by either party to this Agreement to comply with any of the obligations and conditions contained herein shall entitle the other party to give the party in default written
notice requiring it to cure such default. If the default is not remedied within sixty (60) days after receipt of such notice, the notifying party shall be entitled, without prejudice to any of
its other rights conferred on it by this Agreement, to terminate the entire Agreement by giving notice to take effect immediately. The right of either party to terminate the entire Agreement as
provided herein shall not be affected in any way by its waiver of or failure to take action with respect to any previous default. 

4

  

	7.4
	ROCHE
or HELICOS may terminate this Agreement upon thirty (30) days written notice if, the other party shall file a petition in bankruptcy or insolvency before a court
of competent jurisdiction or apply for an arrangement or for the appointment of a receiver or trustee concerning its assets, or if the other party proposes a written agreement of composition or
extension of its debts, or if the other party shall be served with an involuntary petition against it, filed in any insolvency proceeding, and such petition shall not be dismissed within sixty
(60) days after its filing, or if the other party shall propose or be a party to any dissolution or liquidation, or if one party shall make an assignment for the benefit of creditors. 

8.     Miscellaneous  

	8.1
	This
Agreement and the license herein granted shall not be assigned by HELICOS to any party except as part of sale of substantially all of HELICOS' business relating to the Licensed
Products. HELICOS shall give ROCHE written notice of such assignment and obtain HELICOS's assignees written agreement to abide by the terms of this Agreement and assume all of HELICOS's obligations
under this Agreement.

	8.2
	This
Agreement supersedes all previous Agreements, understandings and arrangements, whether written or oral, with respect to the subject matter hereof.

	8.3
	No
amendments, changes, modifications or alterations of this Agreement shall be binding upon either party unless in writing and signed by both parties.

	8.4
	All
titles and captions in this Agreement are for convenience only and shall not be interpreted as having any substantive meaning.

	8.5
	In
the event that a court of competent jurisdiction holds that a particular provision or requirement of this Agreement is in violation of any law, such provision or requirement shall
not be enforced but replaced by a valid and enforceable provision or requirement which will achieve as far as possible the economic business intentions of the parties. All other provisions and
requirements of this Agreement, however, shall remain in full force and effect.

	8.6
	Neither
party will issue any press release or other public announcements relating to this Agreement without obtaining the other party's written approval, which approval will not be
unreasonably withheld. 

5

 

9.     Confidentiality  

        ROCHE and HELICOS agree that the content of this Agreement as well as any financial or other information that either party may learn from the other during the
term of this Agreement shall be treated confidentially by both ROCHE and HELICOS: 

10.   Notices  

        Any notice required or permitted to be given under this Agreement shall be considered properly given if sent by mail, telecopier, or personal courier delivery to
the respective address of each party as follows: 

	 	To HELICOS:	 	HELICOS BIOSCIENCES CORPORATION

One Kendall Square, Bldg. 200

Cambridge, MA 02139, U.S.A.

Attn.: Legal Dept.

Fax: +1 617 551 4751
	

 	

To ROCHE:	
 	

ROCHE DIAGNOSTICS GMBH

Sandhoferstr. 116

D-68305 Mannheim

Attn.: Legal Dept.

Fax: +49 621 759 6242
	

 	

and	
 	

ROCHE DIAGNOSTICS CORPORATION

9115 Hague Road

Indianapolis, IN 46250-0547, USA

Attn.: Senior Legal Counsel

6

 

11.   Governing Law and Jurisdiction  

        Any dispute under this Agreement shall be adjudicated under the rules of the International Court of Arbitration then applying. Such arbitration shall take place
in English in Geneva, Switzerland and shall take place before a three judge panel, the judges to be selected by mutual agreement of the parties. 

	Mannheim, June 7, 2004	 	ROCHE DIAGNOSTICS GMBH
	

 	
 	

/s/ [ILLEGIBLE]

	

Indianapolis,	
 	

ROCHE DIAGNOSTICS CORPORATION
	

 	
 	

/s/ [ILLEGIBLE]

	

Cambridge,	
 	

HELICOS BIOSCIENCES CORP.
	

 	
 	

/s/ Stanley N. Lapidus
 Stanley N. Lapidus

President & CEO

7

 

Appendix A

        [***]

PORTIONS
OF THIS EXHIBIT WERE OMITTED AND HAVE BEEN FILED SEPARATELY WITH THE SECRETARY OF THE COMMISSION PURSUANT TO AN APPLICATION FOR CONFIDENTIAL TREATMENT UNDER RULE 406 OF THE SECURITIES
ACT; [***] DENOTES OMISSIONS. 

8

 

Appendix B

        [***]

PORTIONS
OF THIS EXHIBIT WERE OMITTED AND HAVE BEEN FILED SEPARATELY WITH THE SECRETARY OF THE COMMISSION PURSUANT TO AN APPLICATION FOR CONFIDENTIAL TREATMENT UNDER RULE 406 OF THE SECURITIES
ACT; [***] DENOTES OMISSIONS. 

9

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Exhibit 10.9    
    

LICENSE AGREEMENT  

 between  

 Arizona Technology Enterprises, The Brickyard—Suite 601

699 S. Mill Avenue

Room 691AA

Tempe, AZ 85281  

 (hereinafter referred to as "AZTE")  

 and  

 HELICOS BIOSCIENCES CORPORATION, One Kendall Square, Building 200, Cambridge, MA 02139, USA  

 (hereinafter referred to as "HELICOS")  

 
 

PREAMBLE    
    

        AZTE is the sole and exclusive licensee of the patent and patent applications listed in the attached Appendix A. HELICOS desires to license such patent and
patent applications and AZTE desires to grant a license to HELICOS. Accordingly, AZTE and HELICOS agree as follows: 

1.     Definitions  

In
this Agreement, unless the context otherwise requires: 

	1.1
	"Field"
shall mean nucleic acid sequencing-by-synthesis utilizing detection of optically-labelled nucleotides.

	1.2
	"HELICOS
Affiliate" shall mean any corporation, partnership or other business organization that directly or indirectly through one or more intermediaries controls, or is under common
control with, or is controlled by, HELICOS. "Control" shall mean (a) in the case of corporate entities, direct or indirect ownership of at least fifty percent (50%) of the stock or
participating shares entitled to vote for the election of directors; and (b) in the case of non-corporate entities, direct or indirect ownership of at least fifty percent (50%) of
the equity interest or the power to direct the management and policies of such entity.

	1.3
	"Licensed
Patents" shall mean the patents and patent applications listed in Appendix A as well as any continuation, continuation-in-part, division,
extension, reissue, re-examination or substitution thereof and any patent issuing on any of the foregoing, and any and all foreign patents and patent applications claiming priority
thereto.

	1.4
	"Licensed
Process" shall mean any process that would, in the absence of the licenses granted herein, infringe one or more Valid and Enforceable Claim of any of the Licensed Patents.

	1.5
	"Licensed
Product" shall mean any product that would, in the absence of the licenses granted herein, infringe one or more Valid and Enforceable Claim of any of the Licensed Patents,
or, that when used, would constitute practice of a Licensed Process. 

1

 
	1.6
	"Net
Sales" shall mean the gross dollar amount received by HELICOS and HELICOS Affiliates from sales, license, use, or lease of a Licensed Product less deductions for returns
(including withdrawals and recalls), sales rebates (price reductions), volume (quantity) discounts, sales taxes and other taxes directly linked to the sales, and customary duties and transportation
costs incurred by HELICOS. Notwithstanding the foregoing, any deductions described above shall only be credited toward then due or future royalties payable by HELICOS, and shall not result in a refund
of any amounts previously paid on Net Sales by HELICOS hereunder to AZTE.

	1.7
	"Second
Licensed Patent" shall mean the first United States patent to issue based upon Appendix A or any of the applications filed pursuant to Section 5.1 below.

	1.8
	"Third
Licensed Patent" shall mean the second United States patent to issue based upon Appendix A or any of the applications filed pursuant to Section 5.1 below.

	1.9
	"Territory"
shall mean the world.

	1.10
	"Effective
Date" shall mean March 16, 2005.

	1.11
	"Valid
and Enforceable Claim" shall mean a claim of an issued patent in the Licensed Patents that has not been held to be invalid or unenforceable by a court or other governmental
agency of competent jurisdiction over such issued patent in a proceeding from which no appeal can be or has been taken.

	1.12
	"Parent
Applications" shall mean the patent applications listed in Appendix A. 

2.     Grant  

	2.1
	AZTE
hereby grants to HELICOS and HELICOS Affiliates and HELICOS hereby accepts an irrevocable exclusive (as to all parties including AZTE) license, with the right to sublicense,
under the Licensed Patents to make, have made, use, have used, offer for sale, have offered for sale, sell, have sold, import and have imported, license, have licensed, lease or have leased Licensed
Products, and practice or have practiced Licensed Processes in the Territory for the life of the Licensed Patents, in the Field.

	2.2
	HELICOS
shall provide AZTE with the material financial terms of any sublicense granted under this Agreement. HELICOS shall remain responsible to AZTE for payments due under any
sublicense under this Agreement. 

2

 

3.     Payment  

	3.1
	As
full consideration for the rights and licenses granted in Article 2 above, HELICOS shall pay to AZTE:

	a)
	a
license issuance fee of three-hundred and fifty-thousand dollars ($350,000) due within thirty (30) days of the Effective Date of this Agreement;

	b)
	an
annual license fee (the "Annual License Fee") of fifty-thousand dollars ($50,000) within thirty (30) days of each calendar anniversary of the Effective Date. Upon issuance of
the Second Licensed Patent, the Annual License Fee shall be one-hundred-thousand dollars ($100,000) beginning with the payment due on the calendar anniversary of the Effective Date that follows the
issue date of the Second Licensed Patent. In either case, any Annual License Fee due shall be credited against any royalty paid under Article 3.1(c) below; and

	c)
	a
royalty of [***] of HELICOS' and HELICOS Affiliates' Net Sales of Licensed Products.

	d)
	In
addition to any other amounts payable by HELICOS under this Agreement, HELICOS shall pay to AZTE [***] by HELICOS from sublicensees in consideration for
rights to the Licensed Patents, including, without limitation, any royalties paid by sublicensees on sales of Licensed Products, license issuance fees, stand-still fees, or maintenance fees.

	3.2
	Transfers
between HELICOS and HELICOS Affiliates shall not be subject to any royalty obligation, but in such cases, the royalty shall be calculated upon HELICOS' or HELICOS
Affiliates' Net Sales of Licensed Products to an independent third party.

	3.3
	HELICOS
shall pay AZTE a license maintenance fee of fifty-thousand dollars ($50,000) on the anniversary of the Effective Date for three years beginning on the first anniversary of the
Effective Date. 

PORTIONS
OF THIS EXHIBIT WERE OMITTED AND HAVE BEEN FILED SEPARATELY WITH THE SECRETARY OF THE COMMISSION PURSUANT TO AN APPLICATION FOR CONFIDENTIAL TREATMENT UNDER RULE 406 OF THE SECURITIES
ACT; [***] DENOTES OMISSIONS. 

3

 
	3.4
	As
further consideration for the license granted hereunder, within thirty (30) days of the Effective Date of this Agreement, HELICOS shall issue to AZTE 400,000 unvested shares
of HELICOS common stock, par value $0.001 per share, subject to the terms and conditions set forth in this Section 3.4. All "unvested shares" shall be held in escrow by HELICOS in accordance
with the terms hereof unless and until they become "vested shares." The unvested shares shall become vested shares (or shall "vest") as follows: (i) 200,000 shares
immediately upon issuance of the Second Licensed Patent and (ii) 200,000 immediately upon issuance of the Third Licensed Patent. In the event that this Agreement is terminated, other than due
to HELICOS' breach, AZTE shall sell to HELICOS (or HELICOS' assignee) all "unvested shares" in accordance with the procedures set forth below. AZTE may not sell, assign, transfer, pledge, encumber or
dispose of ("Transfer") all or any unvested shares (except to HELICOS pursuant to this Section 3.4 or pursuant to Section 9.3 below), and may Transfer vested
shares only in accordance with the transfer restrictions provided elsewhere in this Agreement. AZTE may not at any time transfer any shares to any individual, corporation, partnership or other entity
that engages in any business activity that is in competition, directly or indirectly, with the products or services being developed, manufactured or sold by HELICOS. The purchase price (the
"Repurchase Price") of such unvested shares (the "Repurchased Shares") shall be $0.001 per share. The sale of the Repurchased Shares, as
described above, shall take place automatically upon termination of this Agreement, other than due to Helicos' breach; and AZTE hereby grants HELICOS an irrevocable power of attorney coupled with an
interest to take any and all actions required to effect such sale. Such sale shall be effected by HELICOS' mailing of a check for the Repurchase Price to AZTE, upon which HELICOS shall become the
legal and beneficial owner of the Repurchased Shares and all rights and interests therein or relating thereto, and HELICOS shall have the right to retain and transfer to its own name or cancel the
Repurchased Shares being repurchased by it. With respect to any unvested shares that become vested shares, HELICOS, upon the written request of AZTE, shall promptly issue a new certificate for the
number of shares which have become vested shares and shall deliver such certificate to AZTE and shall hold in escrow a new certificate for the remaining unvested shares in exchange for the certificate
then being held in escrow. Subject to the terms hereof, AZTE shall have all the rights of a stockholder with respect to the unvested shares while they are held in escrow, including without limitation,
the right to vote the unvested shares and receive any cash dividends declared thereon. If, from time to time while HELICOS is holding unvested shares in escrow, there is any stock dividend, stock
split or other change in or respecting such shares, any and all new, substituted or additional securities to which AZTE is entitled by reason of its ownership of the unvested shares shall be
immediately subject to this escrow, deposited in escrow and included thereafter as "unvested shares" for purposes of this Agreement and the repurchase rights of HELICOS. HELICOS represents and
warrants that the 400,000 shares of common stock described in this Section 3.4 represents        % of the fully diluted, fully converted equity of HELICOS on the date hereof. With
respect to all common stock issued to AZTE hereunder, AZTE shall be granted any and all rights, existing today, or that may be granted in the future, to common stockholders of HELICOS as a class,
including, without limitation, any registration rights, co-sale rights or participation rights in future equity/debt offerings. 

PORTIONS
OF THIS EXHIBIT WERE OMITTED AND HAVE BEEN FILED SEPARATELY WITH THE SECRETARY OF THE COMMISSION PURSUANT TO AN APPLICATION FOR CONFIDENTIAL TREATMENT UNDER RULE 406 OF THE SECURITIES
ACT; [***] DENOTES OMISSIONS. 

4

 

4.     Reports—Times of Payment and Taxes  

	4.1
	HELICOS
shall, within sixty (60) days after each semi-annual period (ending July 30 and January 31st) during the Term of this Agreement,
provide AZTE with an accounting of Net Sales of Licensed Products (described by volume sold, product type and unit price) in each country of the Territory in which Net Sales have occurred during such
semiannual period, and the royalty due with respect to such Net Sales. At the same time HELICOS shall pay the royalty due, if any. If no royalty is due, then HELICOS shall pay 1/2 of
the applicable Annual License fee provided in Article 3.1(b) above. If the royalty due is less than 1/2 of the applicable Annual License fee for the period covered by such
report, then HELICOS shall pay the royalty due and the difference between 1/2 of the Annual License fee and the royalty paid. All payments shall be paid in US dollars to an account
designated by AZTE in writing.

	4.2
	On
an annual basis, beginning one year after the Effective Date, HELICOS shall provide to AZTE a report that reasonably summarizes certain commercial milestones that may have occurred
during the preceding year. Such report shall be limited to the placement of instruments, contracts for the provision of services (excluding maintenance contracts and the like), and commercial sales.

	4.3
	Taxes,
if any, levied on AZTE by a government of any country on payments made by HELICOS to AZTE hereunder shall be borne by AZTE. There shall be no deduction from amounts payable
under this Agreement for any amount of withholding tax owed by HELICOS for which HELICOS is entitled to a rebate.

	4.4
	HELICOS
shall keep or have kept on its behalf complete and accurate records of the sales of Licensed Products, in accordance with generally accepted accounting principles. AZTE shall
have the right, at its expense, through an independent certified public accountant selected by AZTE and reasonably acceptable to HELICOS (provided that any one of the big "four" accounting firms shall
be deemed acceptable), to examine such records during normal business hours, and upon reasonable advance notice, within three (3) years after the end of the royalty period to which such records
relate, for the sole purpose of verifying Net Sales of Licensed Products and any royalty or other amounts due; provided, however, that such examination shall not take place more than once annually.
Any information obtained as a result of such accountant's examination shall be maintained in confidence, except that such accountant may disclose to AZTE the amount of any discrepancy between
royalties due and payable under this Agreement and payments actually made by HELICOS hereunder to the extent necessary to enable AZTE to collect any underpayment. The inspection of records shall be at
AZTE's sole cost and expense, unless such examination reveals that reported royalties have been understated by more than five percent (5%) from royalties due, in which case the costs and expenses of
such inspection shall be paid by HELICOS.

	4.5
	If
HELICOS should fail to pay any amount specified under this Agreement at the due date thereof, the amount owed shall bear interest at one percent (1%) per month, but in no event
more than an amount legally allowed from the due date until paid. 

5

   5.     Patent Prosecution  

	5.1
	Upon
execution of this Agreement, HELICOS shall prosecute the Licensed Patents, in the name of The Arizona Board of Regents on behalf of Arizona State University ("ASU"). HELICOS
shall be responsible for prosecution and maintenance of such applications and any issued patents resulting therefrom using legal counsel of its choice. HELICOS shall pay all costs and fees associated
with prosecution and maintenance of such applications and patents. HELICOS shall keep AZTE informed of the filing and progress of the prosecution of such applications, shall copy AZTE on all drafts
and filings, and shall give AZTE the opportunity to comment on all proposed prosecution actions, including, but not limited to, claims filed, patent filings, arguments and comments made in the course
of prosecution, and prosecution strategy.

	5.2
	If,
during prosecution of a patent application referred to in Section 5.1 above, the United States Patent Office declares an interference with a third party, HELICOS shall
pursue in a separate patent application any claims not designated as corresponding to the interference count.

	5.3
	In
the event that AZTE disagrees with claims that HELICOS submits or proposes to submit in any of the Licensed Patents, the parties shall attempt in good faith to resolve such
disagreement. If the parties cannot resolve such disagreement, AZTE shall be permitted to provide no more than fifteen (15) additional claims to HELICOS, and HELICOS shall incorporate such
additional claims into the subject patent application.

	5.4
	In
the event that AZTE has submitted additional claims pursuant to Section 5.3 above, but disagrees with the manner in which HELICOS is prosecuting such claims, AZTE shall have
the right, at its own expense, to file a separate patent application, which shall be licensed to HELICOS under the terms and conditions of this Agreement, containing such claims as were
submitted to HELICOS (which claims shall be cancelled in the HELICOS application). However, notwithstanding the foregoing, if the United States Patent and Trademark Office determines that claims
submitted by AZTE in such separate patent application are directed to the same patentable invention (as that term is defined in 37 CFR 1.601(n)) as claims being pursued by HELICOS in the Parent
applications or in any application claiming priority to the Parent Applications, then AZTE agrees to modify its claims or abandon its separate patent application.

	5.5
	At
the request and expense of HELICOS, AZTE shall cooperate in the preparation and execution of all documents necessary or desirable to perfect the filing, advance the prosecution and
effect the issuance of such patents or applications in the United States and foreign countries.

	5.6
	The
parties to this Agreement contemplate that there may be scientific information exchanged in collaboration between AZTE and HELICOS relating to the Licensed Patents. Subject to any
further written agreement between the parties regarding such subject matter, any invention jointly conceived and/or reduced to practice as a result of such collaboration relating to the Licensed
Patents shall be jointly owned by the parties hereto and the rights of AZTE in such invention, and in any patent or patent application based thereon, shall be licensed to HELICOS under the terms set
forth in Section 2 above. Any invention jointly conceived and/or reduced to practice as a result of any other discussions or collaboration between HELICOS and AZTE not relating to the Licensed
Patents shall not be subject to the Terms of this Agreement. 

6.     Enforcement of Licensed Patents  

	6.1
	Each
party shall notify the other promptly in writing upon becoming aware of any third party infringement of any of the Licensed Patents. HELICOS shall have the sole and exclusive
first right, but not the obligation, at its expense and using counsel of its choice, to initiate legal proceedings against the infringer in respect of any such third party infringement of the Licensed
Patents in the Field, and AZTE hereby agrees to be named as a plaintiff in any such action at the sole expense 

6

 

of
HELICOS. Any damages, costs, awards, fees or recoveries paid by any third party in connection with any proceeding initiated or prosecuted at HELICOS's expense (whether by way of settlement or
otherwise) shall be split as follows: (1) HELICOS shall recover all out-of-pocket legal fees incurred in connection with prosecuting such third-party; (2) of the
remainder, HELICOS shall receive eighty percent (80%) and AZTE shall receive twenty percent (20%). HELICOS shall not enter into any settlement of any infringement action under this Section 6
without the prior written consent of AZTE, which consent shall not be unreasonably withheld or delayed. AZTE shall fully cooperate with and provide all assistance reasonably requested by HELICOS in
any action initiated by HELICOS hereunder, provided that HELICOS pays AZTE for any reasonable costs and expenses incurred by AZTE or otherwise due in connection with providing such assistance. 

	6.2
	If
HELICOS is not able or not willing to take action against an infringer, upon becoming aware of any third-party infringement of any of the Licensed Patents, HELICOS shall, within a
reasonable time, but not more than 60 days after becoming aware of the infringement, notify AZTE that it will not take action against the infringer. AZTE, after giving HELICOS written notice of
its intention to do so, may at its own expense, initiate legal proceedings against the infringer. AZTE shall keep HELICOS informed of the progress of the action, and HELICOS shall be entitled to
engage separate counsel at its own expense. Notwithstanding the foregoing, HELICOS can join any action by AZTE at its own expense. Any damages, costs, awards, fees or recoveries paid by any third
party in connection with any proceeding initiated or prosecuted at AZTE's expense (whether by way of settlement or otherwise) shall be split as follows: (1) AZTE shall recover all
out-of-pocket legal fees incurred in connection with prosecuting such third-party; (2) of the remainder, AZTE shall receive eighty percent (80%) and HELICOS shall
receive twenty percent (20%). 

7.     Term and Termination  

	7.1
	HELICOS
may terminate this Agreement by providing written notice to AZTE at least sixty (60) days before the termination is to take effect, provided that HELICOS pays all
licensing fees under Article 3 accrued prior to the date of such termination. In the event HELICOS terminates this Agreement in accordance with this Section 7.1, HELICOS shall provide
AZTE with a final accounting of royalties due under Article 3.1(c) and shall pay such amount prior to the date on which termination is to take effect.

	7.2
	In
the event that either party materially defaults in the performance of its obligations hereunder, the other party shall have the right to give the party in default written notice
requiring it to cure such default. If the default is not remedied within fifteen (15) days after receipt of such notice, the notifying party shall be entitled to terminate this Agreement by
giving notice to take effect immediately.

	7.3
	This
Agreement shall automatically terminate if either party files a petition in bankruptcy or insolvency before a court of competent jurisdiction or applies for the appointment of
receiver or trustee concerning its assets, or if either party is served with an involuntary petition against it, filed in any insolvency proceeding, and such petition is not dismissed within sixty
(60) days after its filing, or if either party dissolves or ceases to conduct its business.

	7.4
	Termination
of this Agreement, by expiration or otherwise for any reason, shall be without prejudice to: AZTE's right to receive all payments and royalties due and accrued and unpaid
as of the effective date of the termination. The parties' respective obligations under Section 4, 8, 9, 10 and 3.4 shall survive termination of this Agreement. 

7

 

8.     Representations and Warranties  

	8.1
	AZTE
represents and warrants that (i) it is an "accredited investor" within the meaning of Rule 501 under the Securities Act of 1933 (the "Securities Act"), and
(ii) any common stock acquired by it under this Agreement shall be acquired for its own account and for the purpose of investment and not with a view to distribution or resale thereof. The
acquisition by AZTE of the common stock acquired by it shall constitute a confirmation of the representations and warranties made by AZTE as at the date of such acquisition. AZTE further represents
that it understands and agrees that, until registered under the Securities Act or transferred pursuant to the provisions of Rule 144 as promulgated by the Securities and Exchange Commission,
all certificates evidencing any of the common stock shall bear a legend, prominently stamped or printed thereon, reading substantially as follows: 

"THE SECURITIES REPRESENTED BY THIS CERTIFICATE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933 OR APPLICABLE STATE SECURITIES LAWS. THESE SECURITIES HAVE BEEN
ACQUIRED FOR INVESTMENT AND NOT WITH A VIEW TO DISTRIBUTION OR RESALE, AND MAY NOT BE SOLD, MORTGAGED, PLEDGED, HYPOTHECATED OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION STATEMENT FOR
SUCH SECURITIES UNDER THE SECURITIES ACT OF 1933 AND APPLICABLE STATE SECURITIES LAWS, OR THE AVAILABILITY OF AN EXEMPTION FROM THE REGISTRATION PROVISIONS OF THE SECURITIES ACT OF 1933 AND APPLICABLE
STATE SECURITIES LAWS."

	8.2
	AZTE
further represents and warrants to HELICOS that:

	(a)
	it
is the sole and exclusive licensee of the entire right, title, and interest in and to the Licensed Patents free and clear of all liens, charges and encumbrances other than as a
result of government funding, and that ASU does not have additional patents or patent applications having a common date of priority with any of the Licensed Patents pertaining to the subject matter of
the Licensed Patents where Peter Williams is a named inventor;

	(b)
	AZTE
is a limited liability company duly organized and existing under the laws of the State of Arizona, and has all requisite corporate power and authority to execute, deliver, and
perform its obligations under this Agreement and to consummate the transactions contemplated thereby;

	(c)
	this
Agreement does not and will not conflict with, contravene, or constitute a default under or violation of any provision of applicable law binding upon AZTE, or any agreement,
commitment, instrument or other arrangement to which AZTE is or shall become a party or by which it is or shall become bound;

	(d)
	AZTE
has not granted, licensed, assigned, transferred or otherwise conveyed any right or interest in the Licensed Patents to any person or entity, and no other person or entity has
any right or interest in the Licensed Patents; and

	(e)
	AZTE
has not relied on any oral or written statements or any other materials provided by HELICOS in connection with this Agreement or the issuance of the Shares and that the decision
to enter into this Agreement is based solely on AZTE's independent due diligence.

	8.3
	HELICOS
represents and warrants to AZTE that:

	(a)
	HELICOS
is a corporation duly organized and existing under the laws of the State of Delaware, and has all requisite corporate power and authority to execute, deliver, and perform its
obligations under this Agreement and to consummate the transactions contemplated thereby; and 

8

 

	(b)
	this
Agreement does not and will not conflict with, contravene, or constitute a default under or violation of any provision of applicable law binding upon HELICOS, or any agreement,
commitment, instrument or other arrangement to which HELICOS is a party or by which it is bound.

	(c)
	HELICOS
has duly authorized the issuance and sale of the shares issued pursuant to Section 3.4 (the "Shares") upon the terms of this Agreement by all requisite corporate
action. The Shares, when issued, shall be deemed fully paid for, and will represent duly authorized, validly issued and non-assessable shares of HELICOS.

	8.4
	NEITHER
AZTE, ASU NOR ITS REGENTS, FELLOWS, OFFICERS, EMPLOYEES OR AGENTS (COLLECTIVELY FOR THE PURPOSES OF THIS SECTION 8, "ASU"),
MAKE ANY OTHER REPRESENTATION OR WARRANTY, EXPRESSED OR IMPLIED, REGARDING THE LICENSED PATENTS OR THE USE THEREOF, AND ALL SUCH PARTIES SPECIFICALLY DISCLAIM ANY IMPLIED WARRANTIES OF MERCHANTABILITY
OR FITNESS FOR A PARTICULAR PURPOSE WITH RESPECT TO ANY SUBJECT MATTER HEREUNDER OR USE THEREOF, AND NO SUCH PARTY ASSUMES ANY RESPONSIBILITIES WHATSOEVER WITH RESPECT TO THE DESIGN, DEVELOPMENT,
MANUFACTURE, USE, SALE OR OTHER DISPOSITION BY HELICOS, AFFILIATE, OR SUBLICENSEES OF LICENSED PRODUCTS. HELICOS has not relied on any oral or written statements or any other materials provided by ASU
(including, without limitation, any researchers or faculty members) in connection with this Agreement and that the decision to enter into this Agreement is based solely on HELICOS' independent due
diligence.

	8.5
	Neither
AZTE nor ASU shall have any liability or obligation in respect of any infringement of any patent or other right of third parties due to HELICOS', or its Affiliate's or
sublicensee's activities under the license granted. In no event shall AZTE or ASU be responsible or liable for any direct, indirect, special, incidental, or consequential damages or lost profits or
other economic loss or damage with respect to Licensed Products regardless of the legal theory. The limitations on liability contained in this Article apply even though AZTE or ASU may have been
advised of the possibility of such damage.

	8.6
	HELICOS
hereby agrees to indemnify, defend, save and hold AZTE, its members, managers, directors, officers, employees, and agents, ASU, the ASU Foundation, and their respective
regents, directors, officers, employees and agents, and the State of Arizona, harmless from and against any third party claims, demands, or actions alleging or seeking recovery or other relief for any
liability, cost, fee, expense, loss, or damage arising or resulting from the use of Licensed Patents or Licensed Products by HELICOS, its customers or end-users or its sublicensees or
their customers or end-users, however the same may arise. HELICOS shall not, and shall require that its Affiliates and sublicensees not, make any statements, representations or warranties
whatsoever to any person or entity, or accept any liabilities or responsibilities whatsoever from any person or entity that, as to AZTE or ASU, are inconsistent with any disclaimer or limitation
included in this Section 8.

	8.7
	HELICOS
shall use commercially-reasonable efforts to develop, manufacture, and sell Licensed Products. Without limiting the foregoing, HELICOS shall have placed at least one
(1) alpha unit for pilot testing within twenty-four (24) months of the Effective Date, and must finalize the first commercial sale of a Licensed Product within thirty six
(36) months of the Effective Date. If HELICOS fails to meet the milestones recited in this paragraph, the exclusive license granted herein shall become non-exclusive.

	8.8
	HELICOS
shall in the performance of any investigation, testing, and solicitation of government approvals pertaining to the use of the Licensed Patents, exercise at least the same
degree of diligence which any reasonable and prudent manufacturer exercises in the investigation, testing, and solicitation of government approvals for an invention of similar class or utility
invented by employees of and owned by the manufacturer 

9

  

9.     Miscellaneous  

	9.1
	This
Agreement and the licenses herein granted shall not be assigned by HELICOS, and HELICOS shall not delegate its obligations hereunder, to any party without the prior written
consent of AZTE, which shall not be unreasonably withheld or delayed, provided, however, that no such consent shall be required in connection with the sale of all or substantially all of HELICOS'
business or assets related to the Licensed Products. HELICOS shall give AZTE written notice of such assignment and obtain HELICOS' assignee's written agreement to abide by the terms of this Agreement
and assume all of HELICOS' obligations under this Agreement.

	9.2
	In
the event that AZTE files a petition in bankruptcy or insolvency before a court of competent jurisdiction, is served with an involuntary petition against it, filed in any
insolvency proceeding and such petition is not dismissed within sixty (60) days, or applies for the appointment of a receiver or trustee concerning its assets, HELICOS shall have the right to
repurchase any HELICOS common stock issued to AZTE pursuant to this Agreement at its then fair market value as determined in good faith by the Board of Directors of HELICOS.

	9.3
	HELICOS
hereby grants AZTE the one-time right, to be exercised in AZTE's sole discretion, to purchase shares of the class or series of equity securities issued in
connection with HELICOS' next private placement equity financing after the date hereof resulting in aggregate proceeds to HELICOS in excess of $5,000,000 (a "Qualifying Financing") on the terms and
conditions as set forth in this Section 9.3. In the event that HELICOS proposes an issuance of any of its securities other than Excluded Stock (as defined below) in a Qualifying Financing, it
shall give written notice of such issuance to AZTE. HELICOS' written notice to AZTE shall describe the securities proposed to be issued by HELICOS and specify the number, price and payment terms. AZTE
shall have the one-time right, for a period of ten (10) days from such notice, to purchase at the same price and on the same terms and conditions, that number of additional
securities of HELICOS as would be necessary to preserve AZTE's percentage ownership of outstanding common stock of HELICOS (on a fully- diluted, as converted basis) as of the time immediately prior to
such issuance. AZTE may accept HELICOS' offer, only as to the full number of securities offered to AZTE, by written notice to HELICOS prior to the expiration of the aforesaid ten (10) day
period. For purposes of this Section 9.3, the term "Excluded Stock" shall mean HELICOS securities (i) issued to employees or consultants as compensation, (ii) issued as a dividend
or distribution to shareholders, (iii) issued in connection with any financing of HELICOS or to brokers or placement agents in connection with any sale of securities.

	9.4
	This
Agreement constitutes the entire agreement between the parties and supersedes all previous Agreements, understandings and arrangements, whether written or oral, with respect to
the subject matter hereof.

	9.5
	No
amendments, changes, modifications or alterations of this Agreement shall be binding upon either party unless in writing and signed by both parties.

	9.6
	Neither
party will be responsible for delays resulting from causes beyond the reasonable control of such party, including without limitation fire, explosion, flood, war, strike or
riot, provided that the non-performing party uses commercially reasonable efforts to remove such causes of non-performance and continues performance under this Agreement with
reasonable dispatch whenever such causes are removed.

	9.7
	All
titles and captions in this Agreement are for convenience only and shall not be interpreted as having any substantive meaning.

	9.8
	In
the event that a court of competent jurisdiction holds that a particular provision or requirement of this Agreement is in violation of any law, such provision or requirement shall
not be enforced but replaced by a valid and enforceable provision or requirement which will achieve as far as 

10

 

possible
the business intentions of the parties. All other provisions and requirements of this Agreement, however, shall remain in full force and effect. 

	9.9
	Neither
party will issue any press release or other public announcements relating to this Agreement without obtaining the other party's written approval (other than as required by
law) which approval will not be unreasonably withheld.

	9.10
	This
Agreement and the grant of the license described herein are subject to the terms of the Bayh-Dole Act, 35 U.S.C. 200-212, and its applicable regulations
and the rules of the Arizona Board of Regents. 

10.   Confidentiality  

	10.1
	AZTE
and HELICOS agree that the content of this Agreement as well as any financial or other information that either party may learn from the other during the term of this Agreement
shall be treated confidentially by both AZTE and HELICOS.

	10.2
	In
the case of scientific discussions between AZTE, ASU and its employees and HELICOS, whether orally or in writing, the parties mutually agree to maintain in confidence any
Confidential Information exchanged between them. For purposes of this Section, Confidential information shall be any disclosure of proprietary information by one party to the other that is marked or,
in the case of oral disclosure is confirmed in writing within thirty (30) days of such disclosure, as being confidential information of the party. The parties mutually agree not to disclose
such Confidential Information to any third party. Confidential Information under this Section shall not include any information that is or becomes publicly available without breach of this Section or
information that is known to the party receiving it prior to disclosure by the other party.

	10.3
	Notwithstanding
the provisions of Section 10, ASU and HELICOS and its Affiliates reserve the right to publish (and teach)
information of scientific importance; provided, however, that (i) the know-how or the material part of it shall, prior to such publication, have been made the subject of a United
States patent application, or (ii) the other party shall have given its prior written agreement to the publication without filing a patent application. Each party shall furnish the other party
with a copy of every relevant publication by the first party pursuant to this Article, prior to publication of the information. The other party receiving the intended publication shall have thirty
(30) days from receipt of the intended publication to indicate to the party intending publication any reasonable revisions or deletions it deems necessary to protect its proprietary rights or
to avoid publication of any information which may prejudice or jeopardize potential patent rights, and the party intending publication agrees to make revisions or deletions. Submission of the intended
publication may be delayed for an additional forty-five (45) days following the initial thirty (30) day period for the purposes of preparing related patent applications if in
the reasonable judgment of one of the parties these patent applications are considered necessary and disclosure would jeopardize potential protection. 

11

 

11.   Notices  

Any
notice required or permitted to be given under this Agreement shall be considered properly given if sent by mail, facsimile, or courier delivery to the respective address of each party as follows: 

	 	If to HELICOS:	 	HELICOS BIOSCIENCES CORPORATION

One Kendall Square, Bldg. 200

Cambridge, MA 02139, U.S.A.

Attn.: Thomas C. Meyers

Fax: 617.551.4751
	

 	

If to AZTE:	
 	

Arizona Technology Enterprises

The Brickyard, Suite 601

699 S. Mill Avenue

Tempe, AZ 85281

Attn.: Andrew Wooten

Fax: 480-965-0421

12.   Governing Law and Jurisdiction  

Any
dispute under this Agreement shall be adjudicated under the laws of the State of Delaware without regard to its choice of law principles. Both parties to this Agreement agree to submit to the
jurisdiction of the Federal District Court in Delaware. 

Agreed
as of                        : 

	HELICOS BIOSCIENCES CORP.	 	ARIZONA TECHNOLOGY ENTERPRISES
	

By:	
 	

/s/ Stanley N. Lapidus
	
 	

By:	
 	

/s/ Peter Slate

	Name:	 	Stanley N. Lapidus	 	Name:	 	Peter Slate
	Title:	 	President & CEO	 	Title:	 	CEO
	Date:	 	3/15/05	 	Date:	 	3/15/05

12

 
 
 

Appendix A    
    

Licensed
Patents 

	Number:	 	[***]
	Type:	 	Utility Patent
	Country:	 	United States
	Status:	 	Issued
	Title:	 	[***]
	

Number:	
 	

[***]
	Type:	 	[***]
	Country:	 	United States
	Status:	 	Pending
	Title:	 	[***]
	

Number:	
 	

[***]
	Type:	 	Parent Application
	Country:	 	United States
	Status:	 	Pending
	Title:	 	[***]

PORTIONS
OF THIS EXHIBIT WERE OMITTED AND HAVE BEEN FILED SEPARATELY WITH THE SECRETARY OF THE COMMISSION PURSUANT TO AN APPLICATION FOR
CONFIDENTIAL TREATMENT UNDER RULE 406 OF THE SECURITIES ACT; [***] DENOTES OMISSIONS. 

13

QuickLinks

Exhibit 10.9

PREAMBLE

Appendix A

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