Document:

exv10w2

Exhibit
10.2

AMENDMENT NO. 1 TO THE

PATENT AND TECHNOLOGY LICENSE AGREEMENT

This AMENDMENT NO. 1 to the Exclusive PATENT AND TECHNOLOGY LICENSE AGREEMENT between the PARTIES
dated September 11, 2006 (“ORIGINAL LICENSE”), effective the 21st day of December, 2007 (which is
the date this AMENDMENT NO. 1 has been fully executed by all PARTIES), is made by and between: (1)
THE BOARD OF REGENTS (“BOARD”) of THE UNIVERSITY OF TEXAS SYSTEM (“SYSTEM”), an agency of the State
of Texas, whose address is 201 West 7th Street, Austin, Texas 78701, on behalf of THE UNIVERSITY OF
TEXAS M. D. ANDERSON CANCER CENTER (“UTMDACC”), a component institution of SYSTEM; (2) THE HENRY M.
JACKSON FOUNDATION FOR THE ADVANCEMENT OF MILITARY MEDICINE, INC. (“HJF”), a Maryland tax-exempt
corporation, whose address is 140 1 Rockville Pike, Suite 600, Rockville, Maryland 20852, on its
own behalf and on behalf of THE UNIFORMED SERVICES UNIVERSITY OF THE HEALTH SCIENCES (“USU”), an
institution of higher learning within the Department of Defense, an agency of the United States
Government, located at 4301 Jones Bridge Road, Bethesda, Maryland 20814-4779; and (3) APTHERA, INC.
(formerly known as ADVANCED PEPTIDE THERAPEUTICS, INC.; hereafter referred to as “LICENSEE”).
BOARD, HJF and LICENSEE may be referred to hereafter collectively as the “PARTIES.”

RECITALS

A. ADVANCED PEPTIDE THERAPEUTICS, INC., a Delaware corporation having a principal place of business
located at 9450 E. Larkspur Drive, Scottsdale, Arizona 85260- 8417, has changed its name since
execution of the ORIGINAL LICENSE to APTHERA, INC.

B. BOARD, HJF and LICENSEE desire to amend the ORIGINAL LICENSE.

NOW, THEREFORE, in consideration of the mutual covenants contained herein, the sufficiency of which
is hereby acknowledged, the PARTIES hereby agree to the following:

AMENDED TERMS

	1.	 	Section 13.3(d) of ORIGINAL LICENSE shall be deleted in its entirety and replaced with the
following:
	 
	 	 	13.3(d) upon thirty (30) calendar days written notice from UTMDACC, if LICENSEE fails to
acquire at least seven million dollars ($7,000,000.00) in funding (whether by debt, equity,
merger, reverse merger, grant, corporate partnering or sublicensing) and provides evidence
of same to UTMDACC on or before June 30, 2008; or
	 
	2.	 	The PARTIES acknowledge and agree that, except as set forth in this AMENDMENT NO. 1 the terms
and conditions of the ORIGINAL LICENSE shall remain in full force and effect.

1

 

IN WITNESS WHEREOF, the PARTIES hereto have caused their duly authorized representatives to execute
this AMENDMENT NO. 1.

	 	 	 	 	 	 	 

	BOARD OF REGENTS OF THE	 	APTHERA, INC.
	UNIVERSITY OF TEXAS SYSTEM	 	 	 	 
	 
	By: 	 /s/ John Mendelsohn, M.D.	 	By: 	 /s/ Robert E. Kennedy
	 	 John Mendelsohn, M.D. President	 	 	Name: 	 Robert E. Kennedy
	 	 The University of Texas	 	 	Title:	 President and CFO
	 	M. D. Anderson Cancer Center	 	

Date:  12/06/07

Date:  12/21/07

	 	 	 	 	 	 	 

	THE UNIVERSITY OF TEXAS	 	THE HENRY M. JACKSON FOUNDATION FOR
	M. D. ANDERSON CANCER CENTER	 	THE ADVANCEMENT OF MILITARY MEDICINE, INC.
	 
	By: 	 /s/ Leon Leach	 	By: 	  /s/ John W. Lowe
	 	Leon Leach 	 	 	 John W. Lowe
	 	 Executive Vice President	 	 	  President
	 	The University of Texas
M. D. Anderson Cancer Center	
Date:   12/11/07

Date: 12/21/07

	 	 	 	 	 
	Approved as to Content:

 	 
	By:  	/s/ Christopher C. Capelli
 	 	 
	 	Christopher C. Capelli 	 
	 	Vice President, Technology Transfer

M. D. Anderson Cancer Center 	 
	 

Date: 12/17/07

2exv10w3

Exhibit
10.3

AMENDMENT NO. 2 TO THE

PATENT AND TECHNOLOGY LICENSE AGREEMENT

     This AMENDMENT NO. 2 to the Exclusive PATENT AND TECHNOLOGY LICENSE AGREEMENT between the
PARTIES dated September 11, 2006, as amended on December 21, 2007 (the “LICENSE AGREEMENT”),
effective the 3rd day of September, 2008 (which is the date this AMENDMENT NO. 2 has been fully
executed by all PARTIES), is made by and between: (1) THE BOARD OF REGENTS (“BOARD”) of THE
UNIVERSITY OF TEXAS SYSTEM (“SYSTEM”), an agency of the State of Texas, whose address is 201 West
7th Street, Austin, Texas 78701, on behalf of THE UNIVERSITY OF TEXAS M. D. ANDERSON CANCER CENTER
(“UTMDACC”), a component institution of SYSTEM; (2) THE HENRY M. JACKSON FOUNDATION FOR THE
ADVANCEMENT OF MILITARY MEDICINE, INC. (“HJF”), a Maryland tax-exempt corporation, whose address is
1401 Rockville Pike, Suite 600, Rockville, Maryland 20852, on its own behalf and on behalf of THE
UNIFORMED SERVICES UNIVERSITY OF THE HEALTH SCIENCES (“USU”), an institution of higher learning
within the Department of Defense, an agency of the United States Government, located at 4301 Jones
Bridge Road, Bethesda, Maryland 20814-4779; and (3) APTHERA, INC. (formerly known as ADVANCED
PEPTIDE THERAPEUTICS, INC.; hereafter referred to as “LICENSEE”). BOARD, HJF and LICENSEE may be
referred to herein collectively as the “PARTIES”.

RECITALS

	A.	 	The LICENSE AGREEMENT requires LICENSEE to achieve certain performance milestones within a
specified period of time.
	 
	B.	 	BOARD and HJF desire to provide LICENSEE with additional time in which to complete those
performance milestones.
	 
	C.	 	Accordingly, BOARD, HJF and LICENSEE desire to amend the LICENSE AGREEMENT pursuant to the
terms and conditions set forth herein.

     NOW, THEREFORE, in consideration of the mutual covenants contained herein, the sufficiency of
which is hereby acknowledged, the PARTIES hereby agree to the following:

1

 

AMENDMENT

	1.	 	Section 13.3(c) of the LICENSE AGREEMENT shall be deleted in its entirety and replaced with
the following:

	 	13.3	 	(c) upon thirty (30) calendar days written notice from UTMDACC, if LICENSEE
fails to commence a Phase II Clinical Trial or Phase III Clinical Trial in the United
States or the European Union on or before September 30, 2009, unless, before the end
of such thirty (30) day period, LICENSEE provides evidence satisfactory to UTMDACC
that it has commenced the Clinical Trial; or

	2.	 	Section 13.3(d) of the LICENSE AGREEMENT shall be deleted in its entirety and replaced with
the following:

	 	13.3	 	(d) upon thirty (30) calendar days written notice from UTMDACC, if LICENSEE
fails to acquire at least seven million dollars ($7,000,000.00) in funding (whether by
debt, equity, merger, reverse merger, grant, corporate partnering or sublicensing) and
provides evidence of same to UTMDACC on or before February 28, 2009; or

	3.	 	The PARTIES acknowledge and agree that, except as set forth in this AMENDMENT NO. 2 the terms
and conditions of the LICENSE AGREEMENT shall remain unchanged and in full force and effect;
provided, however, that nothing contained in the LICENSE AGREEMENT shall have the effect of
preventing or limiting, in any way, the terms of this AMENDMENT NO. 2. If any conflict arises
between the terms of this AMENDMENT NO. 2 and the terms of the LICENSE AGREEMENT, this
AMENDMENT NO. 2 shall govern as to the conflicting terms.
	 
	4.	 	This AMENDMENT NO. 2 shall be binding upon and inure to the benefit of the parties hereto and
their respective heirs, administrators, executors, successors, and assigns.
	 
	5.	 	This AMENDMENT NO. 2 may be executed in one or more counterparts, each of which shall be
considered an original, but all of which together shall be deemed to be one and the same
document.

[REMINDER OF PAGE INTENTIONALLY BLANK]

2

 

     IN WITNESS WHEREOF, the PARTIES hereto have caused their duly authorized representatives to
execute this AMENDMENT NO 2.

	 	 	 	 	 	 	 

	BOARD OF REGENTS OF THE	 	APTHERA, INC.
	UNIVERSITY OF TEXAS SYSTEM	 	 	 	 
	 
	By 	 /s/ John Mendelsohn, M.D.	 	By 	 /s/ Robert E. Kennedy
	 	Name: 	 John Mendelsohn, M.D. President	 	 	Name: 	 Robert E. Kennedy
	 	Title:	 The University of Texas	 	 	Title:	 President and CFO
	 	M. D. Anderson Cancer Center	 	

Date:  8/4/08

Date: 9/3/08

	 	 	 	 	 	 	 

	THE UNIVERSITY OF TEXAS	 	THE HENRY M. JACKSON FOUNDATION FOR
	M. D. ANDERSON CANCER CENTER	 	THE ADVANCEMENT OF MILITARY MEDICINE, INC.
	 
	By 	 /s/ Leon Leach	 	By 	  /s/ John W. Lowe
	 	 Leon Leach	 	 	 John W. Lowe
	 	 Executive Vice President	 	 	 President
	 	The University of Texas
M. D. Anderson Cancer Center	
Date:   8/5/08

Date: 8/27/08

	 	 	 	 	 
	Approved as to Content:

 	 
	By  	/s/ Christopher C. Capelli
 	 	 
	 	Christopher C. Capelli 	 
	 	Vice President, Technology Transfer
M. D. Anderson Cancer Center 	 
	 

Date: 8/17/08

3exv10w4

Exhibit
10.4

AMENDMENT NO. 3 TO THE

PATENT AND TECHNOLOGY LICENSE AGREEMENT

     This AMENDMENT NO. 3 to the Exclusive PATENT AND TECHNOLOGY LICENSE AGREEMENT between the
PARTIES dated September 11, 2006, as amended on December 21, 2007 and September 3, 2008 (the
“LICENSE AGREEMENT”), effective the 8th day of July, 2009 (which is the date this AMENDMENT NO. 3
has been fully executed by all PARTIES), is made by and between: (1) THE BOARD OF REGENTS (“BOARD”)
of THE UNIVERSITY OF TEXAS SYSTEM (“SYSTEM”), an agency of the State of Texas, whose address is 201
West 7th Street, Austin, Texas 78701, on behalf of THE UNIVERSITY OF TEXAS M. D. ANDERSON CANCER
CENTER (“UTMDACC”), a component institution of SYSTEM; (2) THE HENRY M. JACKSON FOUNDATION FOR THE
ADVANCEMENT OF MILITARY MEDICINE, INC. (“HJF”), a Maryland tax-exempt corporation, whose address is
1401 Rockville Pike, Suite 600, Rockville, Maryland 20852, on its own behalf and on behalf of THE
UNIFORMED SERVICES UNIVERSITY OF THE HEALTH SCIENCES (“USU”), an institution of higher learning
within the Department of Defense, an agency of the United States Government, located at 4301 Jones
Bridge Road, Bethesda, Maryland 20814-4779; and (3) APTHERA, INC. (formerly known as ADVANCED
PEPTIDE THERAPEUTICS, INC.; hereafter referred to as “LICENSEE”). BOARD, HJF and LICENSEE may be
referred to herein collectively as the “PARTIES”.

RECITALS

	A.	 	The LICENSE AGREEMENT requires LICENSEE to achieve certain performance milestones within a
specified period of time.
	 
	B.	 	BOARD and HJF desire to provide LICENSEE with additional time in which to complete those
performance milestones.
	 
	C.	 	Accordingly, BOARD, HJF and LICENSEE desire to amend the LICENSE AGREEMENT pursuant to the
terms and conditions set forth herein.

     NOW, THEREFORE, in consideration of the mutual covenants contained herein, the sufficiency of
which is hereby acknowledged, the PARTIES hereby agree to the following:

1

 

AMENDMENT

	1.	 	Section 13.3(c) of the LICENSE AGREEMENT shall be deleted in its entirety and replaced with
the following:

	 	13.3(c)	 	 upon thirty (30) calendar days written notice from UTMDACC, if LICENSEE
fails to commence a Phase II Clinical Trial or Phase III Clinical Trial in the United
States or the European Union on or before June 30, 2010, unless, before the end of
such thirty (30) day period, LICENSEE provides evidence satisfactory to UTMDACC that
it has commenced the Clinical Trial; or

	2.	 	Section 13.3(d) of the LICENSE AGREEMENT shall be deleted in its entirety and replaced with
the following:

	 	13.3(d)	 	 upon thirty (30) calendar days written notice from UTMDACC, if LICENSEE
fails to acquire at least seven million dollars ($7,000,000.00) in funding (whether by
debt, equity, merger, reverse merger, grant, corporate partnering or sublicensing) and
provides evidence of same to UTMDACC on or before December 31, 2009; or

	3.	 	The PARTIES acknowledge and agree that, except as set forth in this AMENDMENT NO. 3 the terms
and conditions of the LICENSE AGREEMENT shall remain unchanged and in full force and effect;
provided, however, that nothing contained in the LICENSE AGREEMENT shall have the effect of
preventing or limiting, in any way, the terms of this AMENDMENT NO. 3. If any conflict arises
between the terms of this AMENDMENT NO. 3 and the terms of the LICENSE AGREEMENT, this
AMENDMENT NO. 3 shall govern as to the conflicting terms.
	 
	4.	 	This AMENDMENT NO. 3 shall be binding upon and inure to the benefit of the parties hereto and
their respective heirs, administrators, executors, successors, and assigns.
	 
	5.	 	This AMENDMENT NO.3 may be executed in one or more counterparts, each of which shall be
considered an original, but all of which together shall be deemed to be one and the same
document.

[REMINDER OF PAGE INTENTIONALLY BLANK]

2

 

     IN WITNESS WHEREOF, the PARTIES hereto have caused their duly authorized representatives to
execute this AMENDMENT NO 3.

	 	 	 	 	 	 	 

	BOARD OF REGENTS OF THE	 	APTHERA, INC.
	UNIVERSITY OF TEXAS SYSTEM	 	 	 	 
	 
	By 	 /s/ John Mendelsohn, M.D.	 	By 	   /s/ Robert E. Kennedy
	 	 John Mendelsohn, M.D.	 	 	Name: 	 Robert E. Kennedy
	 	 President	 	 	Title:	 President and CFO
	 	The University of Texas
M. D. Anderson Cancer Center	

Date:  6/10/09

Date: 7/8/09

	 	 	 	 	 	 	 

	THE UNIVERSITY OF TEXAS	 	THE HENRY M. JACKSON FOUNDATION FOR
	 	M. D. ANDERSON CANCER CENTER	 	THE ADVANCEMENT OF MILITARY MEDICINE, INC.
	 
	By 	 /s/ Leon Leach	 	By 	  /s/ John W. Lowe
	 	 Leon Leach	 	 	 John W. Lowe
	 	 Executive Vice President	 	 	President
	 	The University of Texas
M. D. Anderson Cancer Center	
Date:   6/15/09

Date: 6/29/09

	 	 	 	 	 
	Approved as to Content:

 	 
	By  	/s/ Christopher C. Capelli
 	 	 	 
	 	Christopher C. Capelli 	 
	 	Vice President, Technology Transfer

M. D. Anderson Cancer Center 	 
	 

Date: 6/9/09

3

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