Document:

Warrant

EXHIBIT 4.3

NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OR PURSUANT TO AN AVAILABLE EXEMPTION FROM, OR IN A TRANSACTION NOT SUBJECT TO, THE REGISTRATION REQUIREMENTS OF THE SECURITIES ACT AND IN ACCORDANCE WITH APPLICABLE STATE SECURITIES LAWS AS EVIDENCED BY A LEGAL OPINION OF COUNSEL TO THE TRANSFEROR TO SUCH EFFECT, THE SUBSTANCE OF WHICH SHALL BE REASONABLY ACCEPTABLE TO THE COMPANY.  THIS SECURITY AND THE SECURITIES ISSUABLE UPON EXERCISE OF THIS SECURITY MAY BE PLEDGED IN CONNECTION WITH A BONA FIDE MARGIN ACCOUNT OR OTHER LOAN SECURED BY SUCH SECURITIES.

SERIES F COMMON STOCK PURCHASE WARRANT

 OCTILLION CORP.

Warrant Shares: [_______]

Initial Exercise Date: February  <>, 2008

THIS SERIES F COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, _____________ (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the “Initial Exercise Date”) and on or prior to the close of business on the third year anniversary of the Initial Exercise Date (the “Termination Date”) but not thereafter, to subscribe for and purchase from Octillion Corp., a Nevada corporation (the “Company”), up to ______ shares (the “Warrant Shares”) of Common Stock.  The purchase price of one share of Common Stock under this Warrant shall be equal to the Exercise Price, as defined in Section 2(b).  

Section 1.

Definitions.  Capitalized terms used and not otherwise defined herein shall have the meanings set forth in that certain Securities Purchase Agreement (the “Purchase Agreement”), dated February 8, 2008, among the Company and the purchasers signatory thereto.

Section 2.

Exercise.

a)

Exercise of Warrant.  Exercise of the purchase rights represented by this Warrant may be made, in whole or in part, at any time or times on or after the Initial Exercise Date and on or before the Termination Date by delivery to the Company of a duly executed facsimile copy of the Notice of Exercise Form annexed hereto (or such other office or agency of the Company as it may designate by notice in writing to the registered Holder at the address of the Holder appearing on the books of the Company); 

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and, within 3 Trading Days of the date said Notice of Exercise is delivered to the Company, the Company shall have received  payment of the aggregate Exercise Price of the shares thereby purchased by wire transfer or cashier’s check drawn on a United States bank.  Notwithstanding anything herein to the contrary, the Holder shall not be required to physically surrender this Warrant to the Company until the Holder has purchased all of the Warrant Shares available hereunder and the Warrant has been exercised in full, in which case, the Holder shall surrender this Warrant to the Company for cancellation within 3 Trading Days of the date the final Notice of Exercise is delivered to the Company.  Partial exercises of this Warrant resulting in purchases of a portion of the total number of Warrant Shares available hereunder shall have the effect of lowering the outstanding number of Warrant Shares purchasable hereunder in an amount equal to the applicable number of Warrant Shares purchased.  The Holder and the Company shall maintain records showing the number of Warrant Shares purchased and the date of such purchases.  The Company shall deliver any objection to any Notice of Exercise Form within 2 Business Days of receipt of such notice.  The Holder and any assignee, by acceptance of this Warrant, acknowledge and agree that, by reason of the provisions of this paragraph, following the purchase of a portion of the Warrant Shares hereunder, the number of Warrant Shares available for purchase hereunder at any given time may be less than the amount stated on the face hereof.

b)

Exercise Price.  The exercise price per share of the Common Stock under this Warrant shall be $1.25, subject to adjustment hereunder (the “Exercise Price”).

c)

Cashless Exercise.  If at any time after the completion of the then-applicable holding period required by Rule 144, or any successor provision then in effect, there is no effective Registration Statement registering, or no current prospectus available for, the resale of the Warrant Shares by the Holder, then this Warrant may also be exercised at such time by means of a “cashless exercise” in which the Holder shall be entitled to receive a certificate for the number of Warrant Shares equal to the quotient obtained by dividing [(A-B) (X)] by (A), where:

 (A) = the VWAP on the Trading Day immediately preceding the date of such election;

(B) =  the Exercise Price of this Warrant, as adjusted; and 

(X) = the number of Warrant Shares issuable upon exercise of this Warrant in accordance with the terms of this Warrant by means of a cash exercise rather than a cashless exercise.

d)

Exercise Limitations. 

i.

Holder’s Restrictions.  The Company shall not effect any exercise of this Warrant, and a Holder shall not have the right to exercise any portion of this Warrant, pursuant to Section 2 or otherwise, to the extent that after giving effect to such issuance after exercise as set forth on the applicable 

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Notice of Exercise, the Holder (together with the Holder’s Affiliates, and any other person or entity acting as a group together with the Holder or any of the Holder’s Affiliates), would beneficially own in excess of the Beneficial Ownership Limitation (as defined below).  For purposes of the foregoing sentence, the number of shares of Common Stock beneficially owned by the Holder and its Affiliates shall include the number of shares of Common Stock issuable upon exercise of this Warrant with respect to which such determination is being made, but shall exclude the number of shares of Common Stock which would be issuable upon (A) exercise of the remaining, nonexercised portion of this Warrant beneficially owned by the Holder or any of its Affiliates and (B) exercise or conversion of the unexercised or nonconverted portion of any other securities of the Company (including, without limitation, any other  Common Stock Equivalents) subject to a limitation on conversion or exercise analogous to the limitation contained herein beneficially owned by the Holder or any of its affiliates.  Except as set forth in the preceding sentence, for purposes of this Section 2(d)(i), beneficial ownership shall be calculated in accordance with Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder, it being acknowledged by the Holder that the Company is not representing to the Holder that such calculation is in compliance with Section 13(d) of the Exchange Act and the Holder is solely responsible for any schedules required to be filed in accordance therewith.   To the extent that the limitation contained in this Section 2(d)(i) applies, the determination of whether this Warrant is exercisable (in relation to other securities owned by the Holder together with any Affiliates) and of which portion of this Warrant is exercisable shall be in the sole discretion of the Holder, and the submission of a Notice of Exercise shall be deemed to be the Holder’s determination of whether this Warrant is exercisable (in relation to other securities owned by the Holder together with any Affiliates) and of which portion of this Warrant is exercisable, in each case subject to the Beneficial Ownership Limitation, and the Company shall have no obligation to verify or confirm the accuracy of such determination.   In addition, a determination as to any group status as contemplated above shall be determined in accordance with Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder.  For purposes of this Section 2(d)(i), in determining the number of outstanding shares of Common Stock, a Holder may rely on the number of outstanding shares of Common Stock as reflected in (x) the Company’s most recent periodic or annual report, as the case may be, (y) a more recent public announcement by the Company or (z) any other notice by the Company or the Company’s Transfer Agent setting forth the number of shares of Common Stock outstanding.  Upon the written or oral request of a Holder, the Company shall within two Trading Days confirm orally and in writing to the Holder the number of shares of Common Stock then outstanding.  In any case, the number of outstanding shares of Common Stock shall be determined after giving 

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effect to the conversion or exercise of securities of the Company, including this Warrant, by the Holder or its Affiliates since the date as of which such number of outstanding shares of Common Stock was reported.  The “Beneficial Ownership Limitation” shall be 4.99% of the number of shares of the Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon exercise of this Warrant.  The Holder, upon not less than 61 days’ prior notice to the Company, may increase or decrease the Beneficial Ownership Limitation provisions of this Section 2(d)(i), provided that the Beneficial Ownership Limitation in no event exceeds 9.99% of the number of shares of the Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock upon exercise of this Warrant held by the Holder and the provisions of this Section 2(d)(i) shall continue to apply.  Any such increase or decrease will not be effective until the 61st day after such notice is delivered to the Company.  The provisions of this paragraph shall be construed and implemented in a manner otherwise than in strict conformity with the terms of this Section 2(d)(i) to correct this paragraph (or any portion hereof) which may be defective or inconsistent with the intended Beneficial Ownership Limitation herein contained or to make changes or supplements necessary or desirable to properly give effect to such limitation. The limitations contained in this paragraph shall apply to a successor holder of this Warrant.

e)

Mechanics of Exercise. 

i.

Delivery of Certificates Upon Exercise.  Certificates for shares purchased hereunder shall be transmitted by the transfer agent of the Company to the Holder by crediting the account of the Holder’s prime broker with the Depository Trust Company through its Deposit Withdrawal Agent Commission (“DWAC”) system if the Company is a participant in such system and there is an effective Registration Statement permitting the resale of the Warrant Shares by the Holder, and otherwise by physical delivery to the address specified by the Holder in the Notice of Exercise within 3 Trading Days from the delivery to the Company of the Notice of Exercise Form, surrender of this Warrant (if required) and payment of the aggregate Exercise Price as set forth above (“Warrant Share Delivery Date”).  This Warrant shall be deemed to have been exercised on the date the Exercise Price is received by the Company.  The Warrant Shares shall be deemed to have been issued, and Holder or any other person so designated to be named therein shall be deemed to have become a holder of record of such shares for all purposes, as of the date the Warrant has been exercised by payment to the Company of the Exercise Price (or by cashless exercise, if permitted) and all taxes required to be paid by the Holder, if any, pursuant to Section 2(e)(vi) prior to the issuance of such shares, have been paid. If the Company fails for any reason to deliver to the Holder certificates evidencing the Warrant Shares subject to a Notice of Exercise by the Warrant Share Delivery Date, the 

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Company shall pay to the Holder, in cash, as liquidated damages and not as a penalty, for each $1,000 of Warrant Shares subject to such exercise (based on the VWAP of the Common Stock on the date of the applicable Notice of Exercise), $10 per Trading Day (increasing to $20 per Trading Day on the fifth Trading Day after such liquidated damages begin to accrue) for each Trading Day after such Warrant Share Delivery Date until such certificates are delivered. 

ii.

Delivery of New Warrants Upon Exercise.  If this Warrant shall have been exercised in part, the Company shall, at the request of a Holder and upon surrender of this Warrant certificate, at the time of delivery of the certificate or certificates representing Warrant Shares, deliver to Holder a new Warrant evidencing the rights of Holder to purchase the unpurchased Warrant Shares called for by this Warrant, which new Warrant shall in all other respects be identical with this Warrant.

iii.

Rescission Rights.  If the Company fails to cause its transfer agent to transmit to the Holder a certificate or certificates representing the Warrant Shares pursuant to Section 2(e)(i) by the Warrant Share Delivery Date, then the Holder will have the right to rescind such exercise.

iv.

Compensation for Buy-In on Failure to Timely Deliver Certificates Upon Exercise.  In addition to any other rights available to the Holder, if the Company fails to cause its transfer agent to transmit to the Holder a certificate or certificates representing the Warrant Shares pursuant to an exercise on or before the Warrant Share Delivery Date, and if after such date the Holder is required by its broker to purchase (in an open market transaction or otherwise) or the Holder’s brokerage firm otherwise purchases, shares of Common Stock to deliver in satisfaction of a sale by the Holder of the Warrant Shares which the Holder anticipated receiving upon such exercise (a “Buy-In”), then the Company shall (1) pay in cash to the Holder the amount by which (x) the Holder’s total purchase price (including brokerage commissions, if any) for the shares of Common Stock so purchased exceeds (y) the amount obtained by multiplying (A) the number of Warrant Shares that the Company was required to deliver to the Holder in connection with the exercise at issue times (B) the price at which the sell order giving rise to such purchase obligation was executed, and (2) at the option of the Holder, either reinstate the portion of the Warrant and equivalent number of Warrant Shares for which such exercise was not honored or deliver to the Holder the number of shares of Common Stock that would have been issued had the Company timely complied with its exercise and delivery obligations hereunder.  For example, if the Holder purchases Common Stock having a total purchase price of $11,000 to cover a Buy-In with respect to an attempted exercise of shares of Common Stock with an aggregate sale price giving rise to such purchase obligation of $10,000, under clause (1) of the immediately preceding 

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sentence the Company shall be required to pay the Holder $1,000. The Holder shall provide the Company written notice indicating the amounts payable to the Holder in respect of the Buy-In and, upon request of the Company, evidence of the amount of such loss.  Nothing herein shall limit a Holder’s right to pursue any other remedies available to it hereunder, at law or in equity including, without limitation, a decree of specific performance and/or injunctive relief with respect to the Company’s failure to timely deliver certificates representing shares of Common Stock upon exercise of the Warrant as required pursuant to the terms hereof.

v.

No Fractional Shares or Scrip.  No fractional shares or scrip representing fractional shares shall be issued upon the exercise of this Warrant.  As to any fraction of a share which Holder would otherwise be entitled to purchase upon such exercise, the Company shall at its election, either pay a cash adjustment in respect of such final fraction in an amount equal to such fraction multiplied by the Exercise Price or round up to the next whole share.

vi.

Charges, Taxes and Expenses.  Issuance of certificates for Warrant Shares shall be made without charge to the Holder for any issue or transfer tax or other incidental expense in respect of the issuance of such certificate, all of which taxes and expenses shall be paid by the Company, and such certificates shall be issued in the name of the Holder or in such name or names as may be directed by the Holder; provided, however, that in the event certificates for Warrant Shares are to be issued in a name other than the name of the Holder, this Warrant when surrendered for exercise shall be accompanied by the Assignment Form attached hereto duly executed by the Holder; and the Company may require, as a condition thereto, the payment of a sum sufficient to reimburse it for any transfer tax incidental thereto.

vii.

Closing of Books.  The Company will not close its stockholder books or records in any manner which prevents the timely exercise of this Warrant, pursuant to the terms hereof.

(f)

Call Provision.  Subject to the provisions of Section 2(d) and this Section 2(f), if, after the earlier of the Effective Date or the expiration of the Rule 144 holding period for cashless exercise, (i) the VWAP for each of 5 consecutive Trading Days (the “Measurement Period,” which 5 consecutive Trading Day period shall not have commenced until after the Effective Date) exceeds $1.75 (adjusted for any subsequent stock splits, reverse splits and similar capital adjustments), (ii) and the Holder is not in possession of any information that constitutes, or might constitute, material non-public information which was provided by the Company, then the Company may, within 1 Trading Day of the end of such Measurement Period, call for cancellation of all or any portion of this Warrant for which a Notice of Exercise has not yet been delivered (such right, a “Call”) for consideration equal to $.001 per Share.  To exercise this right, the Company must deliver to the Holder an irrevocable written notice (a “Call Notice”), indicating therein the portion of unexercised portion of this Warrant to which such 

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notice applies.  If the conditions set forth below for such Call are satisfied from the period from the date of the Call Notice through and including the Call Date (as defined below), then any portion of this Warrant subject to such Call Notice for which a Notice of Exercise shall not have been received by the Call Date will be cancelled at 6:30 p.m. (New York City time) on the tenth Trading Day after the date the Call Notice is received by the Holder (such date and time, the “Call Date”).  Any unexercised portion of this Warrant to which the Call Notice does not pertain will be unaffected by such Call Notice.  In furtherance thereof, the Company covenants and agrees that it will honor all Notices of Exercise with respect to Warrant Shares subject to a Call Notice that are tendered through 6:30 p.m. (New York City time) on the Call Date.  The parties agree that any Notice of Exercise delivered following a Call Notice which calls less than all the Warrants shall first reduce to zero the number of Warrant Shares subject to such Call Notice prior to reducing the remaining Warrant Shares available for purchase under this Warrant.  For example, if (x) this Warrant then permits the Holder to acquire 100 Warrant Shares, (y) a Call Notice pertains to 75 Warrant Shares, and (z) prior to 6:30 p.m. (New York City time) on the Call Date the Holder tenders a Notice of Exercise in respect of 50 Warrant Shares, then (1) on the Call Date the right under this Warrant to acquire 25 Warrant Shares will be automatically cancelled, (2) the Company, in the time and manner required under this Warrant, will have issued and delivered to the Holder 50 Warrant Shares in respect of the exercises following receipt of the Call Notice, and (3) the Holder may, until the Termination Date, exercise this Warrant for 25 Warrant Shares (subject to adjustment as herein provided and subject to subsequent Call Notices).  Subject again to the provisions of this Section 2(f), the Company may deliver subsequent Call Notices for any portion of this Warrant for which the Holder shall not have delivered a Notice of Exercise.  Notwithstanding anything to the contrary set forth in this Warrant, the Company may not deliver a Call Notice or require the cancellation of this Warrant (and any such Call Notice shall be void), unless, from the beginning of the Measurement Period through the Call Date, (i) the Company shall have honored in accordance with the terms of this Warrant all Notices of Exercise delivered by  6:30 p.m. (New York City time) on the Call Date, and (ii) the Registration Statement shall be effective as to all Warrant Shares and the prospectus thereunder available for use by the Holder for the resale of all such Warrant Shares, and (iii) the Common Stock shall be listed or quoted for trading on the Trading Market, and (iv) there is a sufficient number of authorized shares of Common Stock for issuance of all Securities under the Transaction Documents, and (v) the issuance of the shares shall not cause a breach of any provision of 2(d) herein.  The Company’s right to call the Warrants under this Section 2(f) shall be exercised ratably among the Holders based on each Holder’s initial purchase of Warrants. 

Section 3.

Certain Adjustments.

a)

Stock Dividends and Splits. If the Company, at any time while this Warrant is outstanding: (A) pays a stock dividend or otherwise make a distribution or distributions on shares of its Common Stock or any other equity or equity equivalent securities payable in shares of Common Stock (which, for avoidance of doubt, shall not include any shares of Common Stock issued by the Company upon exercise of this Warrant), (B) subdivides outstanding shares of Common Stock into a larger number of shares, (C) combines (including by way of reverse stock split) outstanding shares of Common Stock into a smaller number of shares, or (D) issues by reclassification of shares of the Common Stock any shares of capital stock of the Company, then in each case the Exercise Price shall be multiplied by a fraction of which the numerator shall be 

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the number of shares of Common Stock (excluding treasury shares, if any) outstanding immediately before such event and of which the denominator shall be the number of shares of Common Stock outstanding immediately after such event and the number of shares issuable upon exercise of this Warrant shall be proportionately adjusted such that the aggregate Exercise Price of this Warrant shall remain unchanged.  Any adjustment made pursuant to this Section 3(a) shall become effective immediately after the record date for the determination of stockholders entitled to receive such dividend or distribution and shall become effective immediately after the effective date in the case of a subdivision, combination or re-classification.

b)

Subsequent Equity Sales. If the Company or any Subsidiary thereof, as applicable, at any time while this Warrant is outstanding, shall sell or grant any option to purchase, or sell or grant any right to reprice, or otherwise dispose of or issue (or announce any offer, sale, grant or any option to purchase or other disposition) any Common Stock or Common Stock Equivalents entitling any Person to acquire shares of Common Stock, at an effective price per share less than the then Exercise Price (such lower price, the “Base Share Price” and such issuances collectively, a “Dilutive Issuance”) (if the holder of the Common Stock or Common Stock Equivalents so issued shall at any time, whether by operation of purchase price adjustments, reset provisions, floating conversion, exercise or exchange prices or otherwise, or due to warrants, options or rights per share which are issued in connection with such issuance, be entitled to receive shares of Common Stock at an effective price per share which is less than the Exercise Price, such issuance shall be deemed to have occurred for less than the Exercise Price on such date of the Dilutive Issuance), then the Exercise Price shall be reduced and only reduced to equal the Base Share Price and the number of Warrant Shares issuable hereunder shall be increased such that the aggregate Exercise Price payable hereunder, after taking into account the decrease in the Exercise Price, shall be equal to the aggregate Exercise Price prior to such adjustment.  Such adjustment shall be made whenever such Common Stock or Common Stock Equivalents are issued.  Notwithstanding the foregoing, no adjustments shall be made, paid or issued under this Section 3(b) in respect of an Exempt Issuance.  The Company shall notify the Holder in writing, no later than the Trading Day following the issuance of any Common Stock or Common Stock Equivalents subject to this Section 3(b), indicating therein the applicable issuance price, or applicable reset price, exchange price, conversion price and other pricing terms (such notice the “Dilutive Issuance Notice”).  For purposes of clarification, whether or not the Company provides a Dilutive Issuance Notice pursuant to this Section 3(b), upon the occurrence of any Dilutive Issuance, after the date of such Dilutive Issuance the Holder is entitled to receive a number of Warrant Shares based upon the Base Share Price regardless of whether the Holder accurately refers to the Base Share Price in the Notice of Exercise.

c)

Subsequent Rights Offerings.  If the Company, at any time while the Warrant is outstanding, shall issue rights, options or warrants to all holders of Common Stock (and not to Holders) entitling them to subscribe for or purchase shares of Common Stock at a price per share less than the VWAP at the record date mentioned below, then the Exercise Price shall be multiplied by a fraction, of which the denominator shall be the number of shares of the Common Stock outstanding on the date of issuance of such rights 

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or warrants plus the number of additional shares of Common Stock offered for subscription or purchase, and of which the numerator shall be the number of shares of the Common Stock outstanding on the date of issuance of such rights or warrants plus the number of shares which the aggregate offering price of the total number of shares so offered (assuming receipt by the Company in full of all consideration payable upon exercise of such rights, options or warrants) would purchase at such VWAP.  Such adjustment shall be made whenever such rights or warrants are issued, and shall become effective immediately after the record date for the determination of stockholders entitled to receive such rights, options or warrants. 

d)

Pro Rata Distributions.  If the Company, at any time while this Warrant is outstanding, shall distribute to all holders of Common Stock (and not to Holders of the Warrants) evidences of its indebtedness or assets (including cash and cash dividends) or rights or warrants to subscribe for or purchase any security other than the Common Stock (which shall be subject to Section 3(b)), then in each such case the Exercise Price shall be adjusted by multiplying the Exercise Price in effect immediately prior to the record date fixed for determination of stockholders entitled to receive such distribution by a fraction of which the denominator shall be the VWAP determined as of the record date mentioned above, and of which the numerator shall be such VWAP on such record date less the then per share fair market value at such record date of the portion of such assets or evidence of indebtedness so distributed applicable to one outstanding share of the Common Stock as determined by the Board of Directors in good faith.  In either case the adjustments shall be described in a statement provided to the Holder of the portion of assets or evidences of indebtedness so distributed or such subscription rights applicable to one share of Common Stock.  Such adjustment shall be made whenever any such distribution is made and shall become effective immediately after the record date mentioned above.

e)

Fundamental Transaction. If, at any time while this Warrant is outstanding, (A) the Company effects any merger or consolidation of the Company with or into another Person, (B) the Company effects any sale of all or substantially all of its assets in one or a series of related transactions, (C) any tender offer or exchange offer (whether by the Company or another Person) is completed pursuant to which holders of Common Stock are permitted to tender or exchange their shares for other securities, cash or property, or (D) the Company effects any reclassification of the Common Stock or any compulsory share exchange pursuant to which the Common Stock is effectively converted into or exchanged for other securities, cash or property (each “Fundamental Transaction”), then, upon any subsequent exercise of this Warrant, the Holder shall have the right to receive, for each Warrant Share that would have been issuable upon such exercise immediately prior to the occurrence of such Fundamental Transaction, the number of shares of Common Stock of the successor or acquiring corporation or of the Company, if it is the surviving corporation, and any additional consideration (the “Alternate Consideration”) receivable as a result of such merger, consolidation or disposition of assets by a holder of the number of shares of Common Stock for which this Warrant is exercisable immediately prior to such event. For purposes of any such exercise, the determination of the Exercise Price shall be appropriately adjusted to apply to such Alternate Consideration based on the amount of Alternate Consideration issuable in respect of one share of Common Stock in such Fundamental Transaction, and the 

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Company shall apportion the Exercise Price among the Alternate Consideration in a reasonable manner reflecting the relative value of any different components of the Alternate Consideration.  If holders of Common Stock are given any choice as to the securities, cash or property to be received in a Fundamental Transaction, then the Holder shall be given the same choice as to the Alternate Consideration it receives upon any exercise of this Warrant following such Fundamental Transaction.  To the extent necessary to effectuate the foregoing provisions, any successor to the Company or surviving entity in such Fundamental Transaction shall issue to the Holder a new warrant consistent with the foregoing provisions and evidencing the Holder’s right to exercise such warrant into Alternate Consideration. The terms of any agreement pursuant to which a Fundamental Transaction is effected shall include terms requiring any such successor or surviving entity to comply with the provisions of this Section 3(e) and insuring that this Warrant (or any such replacement security) will be similarly adjusted upon any subsequent transaction analogous to a Fundamental Transaction. Notwithstanding anything to the contrary, in the event of a Fundamental Transaction that is (1) an all cash transaction, (2) a “Rule 13e-3 transaction” as defined in Rule 13e-3 under the Securities Exchange Act of 1934, as amended, or (3) a Fundamental Transaction involving a person or entity not traded on a national securities exchange, the Nasdaq Global Select Market, the Nasdaq Global Market, or the Nasdaq Capital Market, the Company or any successor entity shall pay at the Holder’s option, exercisable at any time concurrently with or within 30 days after the consummation of the Fundamental Transaction, an amount of cash equal to the value of this Warrant as determined in accordance with the Black Scholes Option Pricing Model obtained from the “OV” function on Bloomberg L.P. using (i) a price per share of Common Stock equal to the VWAP of the Common Stock for the Trading Day immediately preceding the date of consummation of the applicable  Fundamental Transaction, (ii) a risk-free interest rate corresponding to the U.S. Treasury rate for a period equal to the remaining term of this Warrant as of the date of consummation of the applicable Fundamental Transaction and (iii) an expected volatility equal to the 100 day volatility obtained from the “HVT” function on Bloomberg L.P. determined as of the Trading Day immediately following the public announcement of the applicable Fundamental Transaction.

f)

Calculations. All calculations under this Section 3 shall be made to the nearest cent or the nearest 1/100th of a share, as the case may be. For purposes of this Section 3, the number of shares of Common Stock deemed to be issued and outstanding as of a given date shall be the sum of the number of shares of Common Stock (excluding treasury shares, if any) issued and outstanding.

g)

Other Required Adjustment. In addition to the other adjustments provided herein, the Exercise Price is also subject to adjustment on each Event Date (as defined in the Registration Rights Agreement) and on each monthly anniversary of each such Event Date, in the manner set forth in, and subject to, Section 2(b) of the Registration Rights Agreement.

h)

Voluntary Adjustment By Company. The Company may at any time during the term of this Warrant reduce the then current Exercise Price to any amount and for any period of time deemed appropriate by the Board of Directors of the Company.

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i)

Notice to Holder.  

i.

Adjustment to Exercise Price. Whenever the Exercise Price is adjusted pursuant to any provision of this Section 3, the Company shall promptly mail to the Holder a notice setting forth the Exercise Price after such adjustment and setting forth a brief statement of the facts requiring such adjustment. If the Company enters into a Variable Rate Transaction (as defined in the Purchase Agreement), despite the prohibition thereon in the Purchase Agreement, the Company shall be deemed to have issued Common Stock or Common Stock Equivalents at the lowest possible conversion or exercise price at which such securities may be converted or exercised. 

ii.

Notice to Allow Exercise by Holder. If (A) the Company shall declare a dividend (or any other distribution in whatever form) on the Common Stock; (B) the Company shall declare a special nonrecurring cash dividend on or a redemption of the Common Stock; (C) the Company shall authorize the granting to all holders of the Common Stock rights or warrants to subscribe for or purchase any shares of capital stock of any class or of any rights; (D) the approval of any stockholders of the Company shall be required in connection with any reclassification of the Common Stock, any consolidation or merger to which the Company is a party, any sale or transfer of all or substantially all of the assets of the Company, of any compulsory share exchange whereby the Common Stock is converted into other securities, cash or property; (E) the Company shall authorize the voluntary or involuntary dissolution, liquidation or winding up of the affairs of the Company; then, in each case, the Company shall cause to be mailed to the Holder at its last address as it shall appear upon the Warrant Register of the Company, at least 20 calendar days prior to the applicable record or effective date hereinafter specified, a notice stating (x) the date on which a record is to be taken for the purpose of such dividend, distribution, redemption, rights or warrants, or if a record is not to be taken, the date as of which the holders of the Common Stock of record to be entitled to such dividend, distributions, redemption, rights or warrants are to be determined or (y) the date on which such reclassification, consolidation, merger, sale, transfer or share exchange is expected to become effective or close, and the date as of which it is expected that holders of the Common Stock of record shall be entitled to exchange their shares of the Common Stock for securities, cash or other property deliverable upon such reclassification, consolidation, merger, sale, transfer or share exchange; provided that the failure to mail such notice or any defect therein or in the mailing thereof shall not affect the validity of the corporate action required to be specified in such notice.  The Holder is entitled to exercise this Warrant during the period commencing on the date of such notice to the effective date of the event triggering such notice.

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Section 4.

Transfer of Warrant.

a)

Transferability.  Subject to compliance with any applicable securities laws and the conditions set forth in Section 4(d) hereof and to the provisions of Section 4.1 of the Purchase Agreement, this Warrant and all rights hereunder (including, without limitation, any registration rights) are transferable, in whole or in part, upon surrender of this Warrant at the principal office of the Company or its designated agent, together with a written assignment of this Warrant substantially in the form attached hereto duly executed by the Holder or its agent or attorney and funds sufficient to pay any transfer taxes payable upon the making of such transfer.  Upon such surrender and, if required, such payment, the Company shall execute and deliver a new Warrant or Warrants in the name of the assignee or assignees and in the denomination or denominations specified in such instrument of assignment, and shall issue to the assignor a new Warrant evidencing the portion of this Warrant not so assigned, and this Warrant shall promptly be cancelled.  A Warrant, if properly assigned, may be exercised by a new holder for the purchase of Warrant Shares without having a new Warrant issued.  

b)

New Warrants. This Warrant may be divided or combined with other Warrants upon presentation hereof at the aforesaid office of the Company, together with a written notice specifying the names and denominations in which new Warrants are to be issued, signed by the Holder or its agent or attorney.  Subject to compliance with Section 4(a), as to any transfer which may be involved in such division or combination, the Company shall execute and deliver a new Warrant or Warrants in exchange for the Warrant or Warrants to be divided or combined in accordance with such notice. All Warrants issued on transfers or exchanges shall be dated the original Issue Date and shall be identical with this Warrant except as to the number of Warrant Shares issuable pursuant thereto. 

c)

Warrant Register. The Company shall register this Warrant, upon records to be maintained by the Company for that purpose (the “Warrant Register”), in the name of the record Holder hereof from time to time.  The Company may deem and treat the registered Holder of this Warrant as the absolute owner hereof for the purpose of any exercise hereof or any distribution to the Holder, and for all other purposes, absent actual notice to the contrary.

d)

Transfer Restrictions.

If

, at the

time of the surrender of this Warrant in connection with any transfer of this Warrant, the transfer of this Warrant shall not be registered pursuant to an effective

registration

 statement under the Securities Act

 and

under applicable state securities or blue sky laws, the Company may require, as a condition of allowing such transfer, that the Holder or transferee of this Warrant, as the case may be, comply with the provisions of Section 5.7 of the Purchase Agreement.

Section 5.

Miscellaneous.

12

a)

No Rights as Shareholder Until Exercise.  This Warrant does not entitle the Holder to any voting rights or other rights as a shareholder of the Company prior to the exercise hereof as set forth in Section 2(e)(i).  

b)

Loss, Theft, Destruction or Mutilation of Warrant. The Company covenants that upon receipt by the Company of evidence reasonably satisfactory to it of the loss, theft, destruction or mutilation of this Warrant or any stock certificate relating to the Warrant Shares, and in case of loss, theft or destruction, of indemnity or security reasonably satisfactory to it (which, in the case of the Warrant, shall not include the posting of any bond), and upon surrender and cancellation of such Warrant or stock certificate, if mutilated, the Company will make and deliver a new Warrant or stock certificate of like tenor and dated as of such cancellation, in lieu of such Warrant or stock certificate.

c)

Saturdays, Sundays, Holidays, etc.  If the last or appointed day for the taking of any action or the expiration of any right required or granted herein shall not be a Business Day, then such action may be taken or such right may be exercised on the next succeeding Business Day.

d)

Authorized Shares.  

The Company covenants that during the period the Warrant is outstanding, it will reserve from its authorized and unissued Common Stock a sufficient number of shares to provide for the issuance of the Warrant Shares upon the exercise of any purchase rights under this Warrant.  The Company further covenants that its issuance of this Warrant shall constitute full authority to its officers who are charged with the duty of executing stock certificates to execute and issue the necessary certificates for the Warrant Shares upon the exercise of the purchase rights under this Warrant.  The Company will take all such reasonable action as may be necessary to assure that such Warrant Shares may be issued as provided herein without violation of any applicable law or regulation, or of any requirements of the Trading Market upon which the Common Stock may be listed.  The Company covenants that all Warrant Shares which may be issued upon the exercise of the purchase rights represented by this Warrant will, upon exercise of the purchase rights represented by this Warrant, be duly authorized, validly issued, fully paid and nonassessable and free from all taxes, liens and charges created by the Company in respect of the issue thereof (other than taxes in respect of any transfer occurring contemporaneously with such issue).  

Except and to the extent as waived or consented to by the Holder, the Company shall not by any action, including, without limitation, amending its certificate of incorporation or through any reorganization, transfer of assets, consolidation, merger, dissolution, issue or sale of securities or any other voluntary action, avoid or seek to avoid the observance or performance of any of the terms of this Warrant, but will at all times in good faith assist in the carrying out of all such terms and in the taking of all such actions as may be necessary or 

13

appropriate to protect the rights of Holder as set forth in this Warrant against impairment.  Without limiting the generality of the foregoing, the Company will (a) not increase the par value of any Warrant Shares above the amount payable therefor upon such exercise immediately prior to such increase in par value, (b) take all such action as may be necessary or appropriate in order that the Company may validly and legally issue fully paid and nonassessable Warrant Shares upon the exercise of this Warrant, and (c) use commercially reasonable efforts to obtain all such authorizations, exemptions or consents from any public regulatory body having jurisdiction thereof as may be necessary to enable the Company to perform its obligations under this Warrant.

Before taking any action which would result in an adjustment in the number of Warrant Shares for which this Warrant is exercisable or in the Exercise Price, the Company shall obtain all such authorizations or exemptions thereof, or consents thereto, as may be necessary from any public regulatory body or bodies having jurisdiction thereof.

e)

Jurisdiction. All questions concerning the construction, validity, enforcement and interpretation of this Warrant shall be determined in accordance with the provisions of the Purchase Agreement.

f)

Restrictions.  The Holder acknowledges that the Warrant Shares acquired upon the exercise of this Warrant, if not registered, will have restrictions upon resale imposed by state and federal securities laws.

g)

Nonwaiver and Expenses.  No course of dealing or any delay or failure to exercise any right hereunder on the part of Holder shall operate as a waiver of such right or otherwise prejudice Holder’s rights, powers or remedies, notwithstanding the fact that all rights hereunder terminate on the Termination Date.  If the Company willfully and knowingly fails to comply with any provision of this Warrant, which results in any material damages to the Holder, the Company shall pay to Holder such amounts as shall be sufficient to cover any costs and expenses including, but not limited to, reasonable attorneys’ fees, including those of appellate proceedings, incurred by Holder in collecting any amounts due pursuant hereto or in otherwise enforcing any of its rights, powers or remedies hereunder.

h)

Notices.  Any notice, request or other document required or permitted to be given or delivered to the Holder by the Company shall be delivered in accordance with the notice provisions of the Purchase Agreement.

i)

Limitation of Liability.  No provision hereof, in the absence of any affirmative action by Holder to exercise this Warrant to purchase Warrant Shares, and no enumeration herein of the rights or privileges of Holder, shall give rise to any liability of Holder for the purchase price of any Common Stock or as a stockholder of the Company, whether such liability is asserted by the Company or by creditors of the Company.

14

j)

Remedies.  Holder, in addition to being entitled to exercise all rights granted by law, including recovery of damages, will be entitled to specific performance of its rights under this Warrant.  The Company agrees that monetary damages would not be adequate compensation for any loss incurred by reason of a breach by it of the provisions of this Warrant and hereby agrees to waive and not to assert the defense in any action for specific performance that a remedy at law would be adequate.

k)

Successors and Assigns.  Subject to applicable securities laws, this Warrant and the rights and obligations evidenced hereby shall inure to the benefit of and be binding upon the successors of the Company and the successors and permitted assigns of Holder.  The provisions of this Warrant are intended to be for the benefit of all Holders from time to time of this Warrant and shall be enforceable by the Holder or holder of Warrant Shares.

l)

Amendment.  This Warrant may be modified or amended or the provisions hereof waived with the written consent of the Company and the Holder.

m)

Severability.  Wherever possible, each provision of this Warrant shall be interpreted in such manner as to be effective and valid under applicable law, but if any provision of this Warrant shall be prohibited by or invalid under applicable law, such provision shall be ineffective to the extent of such prohibition or invalidity, without invalidating the remainder of such provisions or the remaining provisions of this Warrant.

n)

Headings.  The headings used in this Warrant are for the convenience of reference only and shall not, for any purpose, be deemed a part of this Warrant.

********************

15

IN WITNESS WHEREOF, the Company has caused this Warrant to be executed by its officer thereunto duly authorized as of the date first above indicated.

 

	
	OCTILLION CORP.

	By:__________________________________________

     Name:

     Title:

16

NOTICE OF EXERCISE

TO:

OCTILLION CORP.

(1)

The undersigned hereby elects to purchase ________ Warrant Shares of the Company pursuant to the terms of the attached Warrant (only if exercised in full), and tenders herewith payment of the exercise price in full, together with all applicable transfer taxes, if any.

(2)

Payment shall take the form of (check applicable box):

[  ] in lawful money of the United States; or

[ ] [if permitted] the cancellation of such number of Warrant Shares as is necessary, in accordance with the formula set forth in subsection 2(c), to exercise this Warrant with respect to the maximum number of Warrant Shares purchasable pursuant to the cashless exercise procedure set forth in subsection 2(c).

(3)

Please issue a certificate or certificates representing said Warrant Shares in the name of the undersigned or in such other name as is specified below:

_______________________________

The Warrant Shares shall be delivered to the following DWAC Account Number or by physical delivery of a certificate to:

_______________________________

_______________________________

_______________________________

(4)  Accredited Investor.  The undersigned is an “accredited investor” as defined in Regulation D promulgated under the Securities Act of 1933, as amended.

[SIGNATURE OF HOLDER]

Name of Investing Entity: ________________________________________________________________________

Signature of Authorized Signatory of Investing Entity: _________________________________________________

Name of Authorized Signatory: ___________________________________________________________________

Title of Authorized Signatory: ____________________________________________________________________

Date: ________________________________________________________________________________________

ASSIGNMENT FORM

(To assign the foregoing warrant, execute

this form and supply required information. 

Do not use this form to exercise the warrant.)

FOR VALUE RECEIVED, [____] all of or [_______] shares of the foregoing Warrant and all rights evidenced thereby are hereby assigned to

_______________________________________________ whose address is

_______________________________________________________________.

_______________________________________________________________

Dated:  ______________, _______

Holder’s Signature:

_____________________________

Holder’s Address:

_____________________________

_____________________________

Signature Guaranteed:  ___________________________________________

NOTE:  The signature to this Assignment Form must correspond with the name as it appears on the face of the Warrant, without alteration or enlargement or any change whatsoever, and must be guaranteed by a bank or trust company.  Officers of corporations and those acting in a fiduciary or other representative capacity should file proper evidence of authority to assign the foregoing Warrant.Converted by EDGARwiz

EXHIBIT 10.1

 AGREEMENT NO.: ____________

 ACCT. NO.___________________

UNIVERSITY OF ILLINOIS

[STANDARD]

SPONSORED RESEARCH AGREEMENT

WITH

SUNGEN ENERGY, INC. 

This Agreement is made, effective as of  the date of last signature below (hereafter, “Effective Date”), between The Board of Trustees of the University of Illinois (hereafter  “Illinois”), a body politic and corporate of the State of Illinois, doing business on its Urbana-Champaign campus through the Grants and Contracts Office at 109 Coble Hall, 801 South Wright Street, Champaign IL 61820 and SunGen Energy, Inc., a corporation organized and existing under the laws of the State of Nevada, with principal offices at Suite 123 – 1628 West 1st Avenue, Vancouver, BC, V6J 1G1 (hereafter  “Company”).

WHEREAS, Illinois and Company desire to enter into this Agreement pertaining to a sponsored research project; and

WHEREAS, such research project is of mutual interest and benefit to Illinois and Company and will further the teaching, research and public service objectives of Illinois in a manner consistent with its status as a public educational institution;

NOW, THEREFORE, in consideration of the premises hereof and the mutual covenants and agreements contained herein, the parties hereto agree as follows:

1.0

RESEARCH PROJECT 

1.1

Statement of Work.  Illinois will, with the funds made available by Company, furnish the personnel, materials, services, facilities, and equipment for the conduct of the work described as “Power NanoWindows” (hereafter “Research Project”, and further described in Exhibit A attached and incorporated herein).  Any change to the Research Project, including the identity of the Principal Investigator(s), as specified in Section 1.2, will be made effective only by written amendment to this Agreement in accordance with Section 11.3.

1.2 

Principal Investigator.  The Principal Investigator assigned by Illinois for directing the performance of the Research Project is Dr. Munir Nayfeh.  If, for any reason, the 

1

Principal Investigator becomes unavailable, Illinois will notify Company.  If a mutually acceptable successor is not identified, this Agreement may be terminated by either party in accordance with Article 9.0 (Termination). 

1.3

Period of Performance.  The period of performance of the Research Project will be from  August 23, 2006 to August 22, 2008 (hereafter “Period of Performance”).  Company and Illinois may elect to extend the Period of Performance under the same terms and conditions or such other terms and conditions as may be mutually agreed to by written amendment to this Agreement in accordance with Section 11.3.

2.0

COST OF RESEARCH

2.1  

Payment.  Company agrees to pay Illinois the fixed sum of $219,201 (U.S.) for the performance of the Research Project.  The budget will be designed to provide funds to reimburse Illinois’ direct costs and facilities and administrative (indirect) costs of conducting the Research Project.  Facilities and administrative costs will be assessed at the applicable rate(s) in effect for the Period of Performance.  Illinois will endeavor to perform the Research Project within the funding provided by Company; however, Illinois is not obligated to expend any other funds on the Research Project, and Company is not obligated to pay Illinois in excess of the stated amount.  Payments are to be made in accordance with the following schedule:

Payment #

Due Date

      Amount

     1

Upon execution of this Agreement

$2,000.00

2

1 month after the Effective Date of this Agreement

$27,150.12

3

4 months after the Effective Date of this Agreement

$27,150.12

4

7 months after the Effective Date of this Agreement

$27,150.12

5

10 months after the Effective Date of this Agreement

$27,150.12

6

13 months after the Effective Date of this Agreement

$27,150.13

7

16 months after the Effective Date of this Agreement

$27,150.13

8

19 months after the Effective Date of this Agreement

$27,150.13

9

23 months after the Effective Date of this Agreement

$27,150.13

____________

                                                                  

                                                                       TOTAL

$219,201.00

2

2.2

Remittance.  Payments due from Company will reference this Agreement, will be in U.S. currency, will be due and payable on the dates listed above, and will be remitted through one of the following payment options.  Company will provide written notice to Illinois, to the address specified in Article 10.0 (Notices), if Company requires an invoice from Illinois in order to generate required payments.

OPTION A -- By check:  Payments remitted by check will be payable to the "University of Illinois" and mailed to:

    

University of Illinois (Payee)

                

University of Illinois at Urbana-Champaign-Grants & Contracts

P.O. Box 4610

Springfield, IL  62708-4610

U.S.A.

OPTION B -- By ACH (Automated Clearing House):   Payments remitted by ACH will be sent to Illinois’ bank account as specified below:

Financial Institution:

J.P Morgan Chase Bank N.A.

Address:

East Old State Capitol Plaza

P.O. Box 19266

Springfield, Illinois 62794-9266  USA

Nine Digit Routing

Transit Number:

071000013

Depositor Account Title:

The Board of Trustees of the University of     Illinois EDI Receipts and Federal 

Depository

Depositor Account Number:

616002911

Type of Account:

Checking

2.3 

Fiscal Management.  Illinois will maintain complete and accurate accounting records in accordance with accepted accounting practices for institutions of higher education.  These records will be available for inspection, review and audit at reasonable times by Company, or its duly authorized representative, at Company's expense, for three (3) years following the end of Illinois' fiscal year (July 1 - June 30) in which such costs are incurred.

2.4 

Equipment / Supplies.  Title to equipment, supplies and all other items purchased with funds provided by Company will remain with Illinois.

3

3.0  

REPORTS 

3.1

Reports.  Illinois, through the Principal Investigator, will furnish technical reports summarizing the work performed under the Research Project and the results thereof according to the following schedule:

Every 30 days or at such other times, to be agreed to by Company and Principal Investigator.

4.0  

USE OF NAMES

4.1

Use of Names.  Neither party will use the name of the other in any form of

advertising or publicity without the express written permission of the other party.  Public announcements pertaining to the Research Project or other uses of Illinois’ name should be submitted for approval to the Associate Chancellor for Public Affairs, University of Illinois, Third Floor Swanlund Administration Building, 601 East John Street, Champaign, IL 61820; fax (217) 244-7124. Illinois acknowledges that Company is a wholly-owned subsidiary of a corporation having a reporting obligation under the Securities Exchange Act of 1934, as amended, which has or may have certain disclosure and filing obligations under applicable law, including but not limited to the public announcement and disclosure of this Agreement and the filing of the same with the United States Securities and Exchange Commission; it is acknowledged and agreed that such disclosure and filing shall not be deemed a violation of this Agreement.

5.0  

CONFIDENTIAL INFORMATION

5.1  

Definition.  Illinois and Company agree that, for purposes of the Research Project, it may be necessary for certain personnel of either party who are performing work on the Research Project to have access to information of the other party which is considered to be proprietary and confidential (hereafter, "Confidential Information").  Prior to Company disclosing its Confidential Information to Illinois personnel, Company will provide written notice to Illinois, in accordance with Article 10.0 (Notices), so that Illinois can implement the terms of Section 5.4.

5.2

Retention.  Unless otherwise expressly authorized by the disclosing party, the recipient of any Confidential Information agrees to retain Confidential Information in confidence for the duration of this Agreement and for a period of one (1) year thereafter, or until it no longer qualifies for such protection as specified at Section 5.3, whichever is shorter.  During such period the recipient will use reasonable efforts to not disclose Confidential Information to any third party, and will not use Confidential Information for any purpose other than as required under this Agreement.

5.3

Identification.  Confidential Information will be marked “confidential” at the time of disclosure by the disclosing party or if disclosed orally or visually and identified as confidential at the time of disclosure, summarized in writing and marked “confidential” 

4

within thirty (30) days after initial disclosure.  Recipient will not have any obligation of confidentiality with respect to any Confidential Information that:  

(a) 

Was in recipient's possession on a non-confidential basis prior to receipt from disclosing party; or

(b) 

Is in the public domain or is general or public knowledge prior to disclosure, or after disclosure hereunder, enters the public domain or becomes general or public knowledge through no fault of recipient; or

(c) 

Is properly obtained by recipient from a third party not under a confidentiality obligation to disclosing party; or

(d) 

Is explicitly approved for release by written authorization of disclosing party; or

(e) 

Is or has been developed by recipient independent of recipient’s access to disclosing party’s Confidential Information; or

(f) 

Is required by law or court order to be disclosed.  In the event Illinois receives a request under the State of Illinois or U.S. Freedom of Information Acts or in response to any other court or Government order requiring disclosure, Illinois will use reasonable efforts to promptly provide notice to Company.  To the extent permitted by applicable law, Illinois will cooperate with Company to protect any Company Confidential Information. 

5.4

Illinois Implementation.  Illinois will implement its confidentiality obligations by using reasonable efforts in requiring the Principal Investigator and those Illinois employees and students identified by the Principal Investigator as needing access to Company’s Confidential Information to acknowledge their understanding and acceptance of the terms of this Agreement as a condition of such access.   

6.0 

PUBLICATION

6.1  

Company Review.  Illinois and its researchers will have the right to publish or otherwise disclose the results of Research Project.  Illinois, through the Principal Investigator, will furnish Company a copy of any proposed manuscript or presentation materials which incorporates information or results from the Research Project at least thirty (30) days prior to any submission for publication or public disclosure.

6.2

Confidential Information.  Company will review the manuscript or presentation materials and if Company believes that the manuscript or presentation materials contains Company’s Confidential Information, Company will notify Illinois in writing within thirty (30) days after Company’s receipt of the manuscript or presentation materials.  

5

Following such notice, such Confidential Information will be deleted from the manuscript or presentation materials.

6.3

Patentable Information.  If Company determines that potentially patentable subject matter is contained in any manuscript or presentation materials, Company will notify Illinois in writing within thirty (30) days after Company’s receipt of the manuscript or presentation materials.  Upon receipt of such notification, Illinois agrees to delay enabling public disclosure of such patentable subject matter for a period not to exceed three (3) months from the date of Company’s receipt of the manuscript or presentation materials in order to file for statutory protection in accordance with Article 7.0 (Rights in Intellectual Property).  Alternatively, Illinois researchers will have the option of revising the manuscript or presentation materials to avoid enabling disclosure of the potentially patentable subject matter before proceeding with publication or public disclosure without further delay. 

6.4

Failure to Respond.  Should Company fail to respond within the thirty (30) day review period, Illinois may proceed with publication or public disclosure.

6.5

Resolution of  Publication Issues.  Illinois will consider comments provided by Company and work with Company in good faith to settle all outstanding publication issues, prior to proceeding with the publication or public disclosure.  In the event Illinois disagrees with the comments provided by Company, both parties will endeavor in good faith to resolve any disputes through informal discussion or such other informal means as may be jointly agreed by the parties, but in no event will Illinois' ability to publish or publicly disclose its own research results or non-confidential information be denied by Company.

6.6

Copies of Publications.  Illinois, through its Principal Investigator, will furnish Company with a copy of any publications resulting from the Research Project.

6.7

Acknowledgment.   As scientifically and professionally appropriate, Illinois and Company agree to acknowledge the contributions of the other party in any resulting publication or public disclosure. 

7.0

     RIGHTS IN INTELLECTUAL PROPERTY

7.1

Background Intellectual Property

A.

“Background Intellectual Property” (hereafter, “BIP”) means any Illinois property and the legal rights therein that (i) was or is created, developed, or reduced to practice by or under the direction of the Principal Investigator prior to the completion of the Research Project but not funded by Company and (ii) is required by Company to fully exercise its license rights granted in this Agreement in Project Intellectual Property (as defined in Section 7.2).  Ownership and license rights in the subset of BIP specified as Program 

6

Material (as defined in Section 7.8) shall be determined in accordance with Section 7.8.

B.

Any BIP that is reasonably anticipated by the Principal Investigator to be required to perform the Research Project or to practice the results thereof will be specified in Exhibit B, “Specification of Illinois Background Intellectual Property”, attached and incorporated herein.

C.

Illinois grants to Company a non-exclusive, non-transferable, royalty-free license to use any BIP specified in Exhibit B in its internal research programs as required in order to exercise the internal use license to Project Intellectual Property granted under Section 7.5.

D.  To the extent not precluded by prior contractual agreements and to the extent Illinois can legally do so, Illinois grants to the Company the option to acquire a non-exclusive license to reproduce, make, have made, use, import, offer for sale and sell products and practice methods that are identified as BIP.  The terms of such license agreement, including the availability of exclusive license rights for such BIP (to be determined by Illinois), shall be negotiated by the parties in good faith in accordance with Section 7.6.

7.2

Project Intellectual Property.  “Project Intellectual Property” (hereafter, “PIP”) means property and the legal rights therein that either or both parties first create, develop or reduce to practice during the performance of the Research Project, including inventions, discoveries, tangible property, software, materials, mask works, methods, techniques, formulae, data, and processes.  Ownership and license rights in the subset of PIP that is Program Material (as defined in Section 7.8) shall be determined in accordance with Section 7.8.  All other PIP is subject to Sections 7.3 through 7.7.

 

7.3

Ownership of PIP:  

A.

Any PIP created, developed or reduced to practice solely by Illinois personnel will be owned by Illinois (hereafter, “Illinois PIP”).  

B.

Any PIP created, developed or reduced to practice solely by Company personnel will be owned by Company.

C.

Any PIP created, developed or reduced to practice jointly by Company personnel and Illinois personnel will be jointly owned by Company and Illinois as determined by applicable U.S. law (hereafter, “Joint PIP”).

D.

A copy of all written disclosures of Illinois PIP or Joint PIP that are submitted by the Principal Investigator to Illinois will be promptly forwarded to Company.  Likewise, Company will promptly forward to 

7

Illinois a copy of all disclosures of Joint PIP identified by Company’s personnel.  The party receiving such disclosure agrees to hold it in confidence and will not further disclose or use the invention in ways not previously agreed under this Agreement or in a separate written agreement between the parties.

7.4       Use and License Rights for Joint PIP.  Unless Joint PIP is subject to the terms of an exclusive commercial license agreement pursuant to Section 7.6, either Company or Illinois can freely practice any Joint PIP for any purpose, including licensing to third parties, without consultation with the other owner and without any accountability to the other owner.  In the event that Illinois and Company agree to an exclusive license agreement pursuant to Section 7.6, the terms of such exclusive agreement will take precedence over the license rights specified in this Section 7.4.

7.5

Grant of Limited Royalty-Free License Rights to Company for Illinois PIP.  In consideration of the funding provided for the Research Project, Illinois grants to Company a non-exclusive, non-transferable, royalty-free license to use any Illinois PIP in its own internal research programs.  This license does not include the right for Company to manufacture or sell products that include or use Illinois PIP. 

7.6

Option for Commercial License Rights: 

A.

Any other rights, other than those stated at Sections 7.1(C), 7.1(D), 7.4 and 7.5, to solely practice and commercialize Joint PIP or to practice and commercialize Illinois PIP or BIP, will be subject to a separate license agreement.  

B.

Illinois grants to Company the option to enter into good faith negotiation for a non-exclusive or exclusive commercial license to Illinois PIP, an exclusive commercial license to Joint PIP, and a non-exclusive license to BIP to the extent required to use specific Illinois PIP or Joint PIP.  For Illinois PIP, such option period will begin on Company’s receipt of a written disclosure of Illinois PIP and will extend for a total of six (6) months.  In the case of Joint PIP, such option period will begin from the earlier of either Company’s receipt of Illinois’ written disclosure of Joint PIP or Illinois’ receipt of Company’s written disclosure of Joint PIP and will extend for a total of six (6) months.  Said six (6) month option period for Illinois PIP or Joint PIP may be extended in writing upon mutual agreement of the Parties.  For BIP, such option period will be concurrent with the option period for the associated PIP.

C.   Any commercial license will contain at a minimum the following terms:  

(i) 

Company’s reimbursement of all Illinois’ remaining out-of-pocket expenditures as of the effective date related to statutory protection for the patent application(s) and patent(s) subject to the license;

8

(ii)

For a non-exclusive commercial license, Company’s entitlement to deduct up to fifty percent (50%) of Company’s reimbursement to Illinois for Illinois’ expenditures related to statutory protection of the licensed PIP as a credit against Company’s royalty obligations;

 

(iii) 

Payment of reasonable royalties (not to exceed 5%) and fees (not to     exceed $100,000); and 

(iv)

Reasonable Company due diligence obligations.

7.7

Statutory Protection for PIP.  Company will advise Illinois in writing, no later than sixty (60) days after its receipt of a disclosure of Illinois PIP or Joint PIP, whether it requests Illinois to file and prosecute patent applications at Company’s expense on such Illinois PIP or Joint PIP.   If Company makes no such request, Illinois has no obligation to file for statutory protection.  Illinois will control the preparation and prosecution of all patent applications and maintenance of all patents on Illinois PIP.  For Joint PIP, Company may, with Illinois’ written approval, control the patent application filing, prosecution and maintenance.

A.

When Illinois files for patent protection on either Illinois PIP or Joint PIP at the request of Company, then Company will reimburse Illinois for all documented expenses incurred in connection with the filing and prosecution of such patent application(s) and maintenance of issued patents within thirty (30) days after Company’s receipt of an invoice.  When Illinois files for patent protection on Illinois PIP or Joint PIP on its own volition, Company will not have any responsibility for reimbursement of such patent costs until such time as it executes a license, in accordance with Section 7.6.  

B.

If Company exercises any of its commercial license rights in accordance with Section 7.6 of this Agreement when Illinois files for patent protection on either Illinois PIP or Joint PIP or when Company, with the written approval of Illinois, files for patent protection on Joint PIP, the filing party will keep the non-filing party fully and promptly informed regarding the preparation and prosecution of such patent applications, including providing it with copies of all relevant documents, and will give the non-filing party reasonable opportunity to review and make comments with regard to such patent prosecution.  The non-filing party will provide the filing party with written responses of comments or concerns within a reasonable time prior to the filing party’s need to respond to any statutory deadlines, and the filing party will consider and work with the non-filing party to address such comments or concerns.

9

C.

All Illinois PIP and Joint PIP patent applications arising under this Agreement will be filed in the name(s) of the inventor(s) and will identify the inventor(s)’ assignee(s) as the owner(s).  For Illinois, such assignee designation is The Board of Trustees of the University of Illinois.

 

7.8 

Program Material

A.

For purposes of this Agreement, "Program Material" shall mean all copyrighted works including computer software programs that are created by Illinois personnel or visiting Company employee(s), including works not funded by Company that are used in the performance of the Research Project and required to practice the results thereof (i.e., a subset of BIP), and new works that result from the performance of the Research Project (i.e., a subset of PIP).

B.

Unless subject to prior written agreement between the parties, all literary right, title and interest in Program Material, including ownership of copyright in such materials, shall vest exclusively in the author(s) (e.g., for scholarly publications) or the employer(s) of the author(s), according to the employer's policies.

C.

Unless otherwise specified by the parties in writing, Illinois hereby grants to Company a non-exclusive, non-transferable, royalty-free license to use Illinois-owned Program Material for Company's internal purposes, including the right to reproduce copies and to make derivative works (as defined in §101 of the U.S. Copyright Act of 1976, as amended).  Should Company elect to market or sublicense Program Material or a derivative work thereof, Illinois and Company agree to enter into negotiations for a royalty-bearing commercial license.  The terms of such license agreement, including the availability of exclusive or non-exclusive commercial license rights for Illinois-owned Program Material, shall be negotiated in good faith and set forth in a separate written agreement.

7.9

Illinois’ Reserved License Rights.   In all licenses granted to Company, Illinois reserves the right to use Illinois PIP and Joint PIP in connection with Illinois’ teaching, research and public service missions, including authorizing other entities to use such Illinois PIP and Joint PIP for academic and non-commercial research purposes.  Unless restricted during the term of Company’s exclusive option period [as specified in Section 7.5(B)] or unless subject to a subsequently executed exclusive commercial license agreement, Illinois also reserves the right to use Illinois PIP and Joint PIP for any purpose, including licensing Illinois PIP and Joint PIP to third parties, without any further obligation to Company (so long as such use does not disclose Company Confidential Information).

10

7.10

Government Rights.  When applicable, the Agreement and options and licenses granted to Company herein may be subject to all of the terms and conditions of Title 35 United States Code Part II, Chapter 18, Sections 200 through 204, and other applicable rights, conditions and limitations imposed by Government grants and/or contracts associated with research performed under the Research Project.  Illinois will inform Company of the rights of any Government agency when it provides Company with a disclosure of Illinois PIP or Joint PIP or when it identifies BIP.

8.0

 DISCLAIMER OF WARRANTIES AND LIMITATION AND RELEASE OF LIABILITIES  

8.1

Disclaimer of Warranties.  ILLINOIS MAKES NO REPRESENTATIONS OR WARRANTIES, EXPRESS OR IMPLIED, REGARDING ITS PERFORMANCE UNDER THIS AGREEMENT.  ILLINOIS DISCLAIMS ANY WARRANTY OF MERCHANTABILITY, USE OR FITNESS FOR A PARTICULAR PURPOSE AND NON-INFRINGEMENT OF ANY INTELLECTUAL PROPERTY RIGHTS WITH REGARD TO DATA, INTELLECTUAL PROPERTY AND/OR OTHER RESEARCH RESULTS PROVIDED BY ILLINOIS.

8.2

Limitation of Liability.  ILLINOIS SHALL NOT BE RESPONSIBLE OR LIABLE FOR INDIRECT, SPECIAL, CONSEQUENTIAL, PUNITIVE, INCIDENTAL OR OTHER DAMAGES (INCLUDING LOST REVENUE, PROFITS, USE, DATA OR OTHER ECONOMIC LOSS OR DAMAGE) HOWEVER CAUSED AND REGARDLESS OF THEORY OF LIABILITY (WHETHER FOR BREACH OR IN TORT, INCLUDING NEGLIGENCE) ARISING FROM, RELATED TO, OR CONNECTED WITH COMPANY’S USE OF DATA, INTELLECTUAL PROPERTY AND/OR OTHER RESEARCH RESULTS PROVIDED BY ILLINOIS, EVEN IF ILLINOIS HAD BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGE.

8.3

Release from Liability.  Company agrees to release Illinois and its employees and agents from, and agrees to be responsible for, any and all costs, damages, and expenses, including attorney's fees, arising from any claims, damages, and liabilities asserted by third parties arising from, related to, or connected with Company’s use of data, intellectual property and/or other research results provided by Illinois.

9.0

TERMINATION  

9.1  

Termination Without Cause.  This Agreement may be terminated without cause by either party providing thirty (30) days advance written notice to the other party.

9.2  

Termination for Default.  In the event that either party is in default of any of its material obligations under this Agreement and fails to remedy such default within sixty (60) days following receipt of written notice thereof, the party giving notice may, at its option and in addition to any other remedies which it may have at law or equity, terminate 

11

this Agreement by sending written notice of termination to the other party.   Any such termination will be effective as of the date of receipt of such written notice.

9.3  

Financial Responsibilities in the Event of Termination.  If Company terminates this Agreement, Company will pay for all direct costs and all applicable facilities and administrative costs incurred, and for all non-cancelable obligations made before Illinois’ receipt of notice of termination, even though they may extend beyond the effective date of termination.  If Illinois terminates this Agreement, Company will pay Illinois for all direct costs and applicable facilities and administrative costs incurred up to and including the effective date of termination.

9.4

Continuing Rights and Obligations.  Termination will not affect the rights and obligations of the parties accrued prior to termination.

10.0

NOTICES

10.1 

 Addresses.  Any notice given under this Agreement will be in writing and will be deemed given (a) when delivered personally; (b) when sent by confirmed facsimile; (c) three (3) days after having been sent by registered or certified mail, return receipt requested, postage prepaid; or (d) two (2) days after deposit with a commercial overnight carrier with confirmed verification of receipt.  All communications will be sent to the addresses set forth below or to such other address as may be designated by a party by giving written notice to the other party pursuant to this Section 10.1:

Illinois:

For matters related to the Sponsored Research Agreement:

University of Illinois

Attn.:  Director

OSPRA

1901 S. First St., Suite A

Champaign, IL  61820 

Telephone:

(217) 333-2187

Fax:

(217) 333-2189        

Illinois:  For matters related to intellectual property and licensing:

University of Illinois

Attn.:  Director

Office of Technology Management

319 Ceramics Building

105 South Goodwin Avenue

Urbana, IL  61801

Telephone:  

(217) 333-7862

Fax:

(217) 265-5530

12

Company:

 Sungen Energy, Inc.

Attn.: Terri DuMoulin, President

Suite 123 – 1628 West 1st Avenue

Vancouver, BC, V6J 1G1

Telephone: 604-736-9109

Fax:  

11.0

GENERAL PROVISIONS

11.1  

Relationship of the Parties.  Illinois will have sole control over the work performed by Illinois personnel under this Agreement.  Illinois’ relationship to the Company under this Agreement will be as an independent contractor and not as an agent, joint venture, or partner of Company.  Nothing in this Agreement will be construed as authorization for either party to act as agent for the other.

11.2 

Governing Law.  This Agreement will be governed by and construed in accordance with the laws of the State of Illinois, U.S.A., without reference to its conflict of law provisions.

11.3

Entire Agreement.  This Agreement and the attachments hereto embody the entire understanding of the parties and will supersede all previous or contemporaneous communications, either verbal or written, between the parties relating to this Agreement.  No modification, alteration or amendment will be effective unless confirmed in a written agreement signed by an authorized representative of each party.   All terms and conditions of any documents, purchase orders, etc., issued by Company to facilitate payment hereunder are null and void, even though they may be issued after the signing of this Agreement.

11.4

Assignments.  This Agreement may not be assigned by either party without the prior written consent of the other, which consent will not be unreasonably withheld.

11.5

Force Majeure.  Each party will be relieved of its obligations hereunder to the extent that fulfillment of any such obligation is prevented by acts beyond the reasonable control of the party affected thereby.

11.6

Compliance with Laws.  Company and Illinois will comply with all United States (federal), state and local laws, regulations, rules, and orders applicable to performance of the Research Project and use of the research results thereof, including but without limitation to those laws applicable to recombinant DNA technology and export control.

11.7

Export Control Regulations.  Company acknowledges that export and/or re-export of technical data, laboratory prototypes, materials and other commodities (hereafter, “Controlled Commodities”) may be subject to export control laws and regulations of the United States (including the Arms Export Control Act and the Export Administration Act 

13

of 1979, as amended), and that such laws and regulations could preclude or delay communications between the parties of results from this investigation.  Illinois' obligations hereunder are contingent on compliance with such applicable laws and regulations.  

11.8

Resolution of Disputes.  Illinois and Company agree that if any of the terms herein are subject to questions of intent or interpretation or if the parties identify other issues that are not addressed in this Agreement, the parties will enter into good faith negotiations to resolve any such issues.  Resolution of any such issues will be confirmed by a written amendment to this Agreement in accordance with Section 11.3.  If any dispute or difference cannot be settled amicably through negotiation, either party may terminate this Agreement in accordance with Article 9.0 (Termination).

IN WITNESS WHEREOF, the parties hereto have executed this Agreement to be effective as of the date of last signature below.

THE BOARD OF TRUSTEES OF

THE UNIVERSITY OF ILLINOIS

SUNGEN ENERGY, INC.

 

Stephen K. Rugg, Comptroller

Authorized Signature

Date  

Terri DuMoulin, President

Name and Title 

ATTEST:

Date: August 1, 2006

        

Michele M. Thompson, Secretary

UNDERSTOOD AND AGREED:

______________________________

Munir Nayfeh, Principal Investigator 

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Exhibit A: Statement of Work (Research Project)

Statement of Work 

Power NanoWindows

I. Summary

The proposal aims at the integration of films of silicon nanoparticle material on glass substrates. With appropriate connections, the film may act as a nanosilicon photovoltaic solar cell that converts solar radiation to electrical energy. This configuration has future applications in glass windows in buildings, converting them to power nanoWindows without major changes in manufacturing infrastructure.

II. Background and motivation 

Despite the overwhelming cost of fossil fuel, commercial photovoltaic solar cells account for less than 0.1% of the energy consumption in the US. This is partially due to the low conversion efficiency (~15%) and high installation cost of the current solar cell technology (~7$/W), far exceeding the generation of electricity from fossil fuel. In this context, semiconductor nonmaterial has promising applications in solar cell technology as they offer good photostability and conversion. However, to date, no significant advances have been achieved due either to size nonuniformity, low yield, or matrix inhomogeneity. Various methods exist for the production of Si nanoparticles, but most produce a wide size distribution. In addition, many methods, e.g. laser ablation, pyrolosis of gas, and ion beam deposition generally produce small quantities of particles, which cannot be readily integrated into subsequent processes and manufacturing scale up.  

III. Innovation 

Recent breakthrough research in our laboratory led to the synthesis of Si nanoparticles with commercial yield and novel characteristics that circumvent these difficulties (see Figs 1-3. We have the key discovery: Unlike pure Si, there exist magic sizes of H-capped Si nanoclusters. We homed in on a very efficient ex-situ electrochemical protocol that disperses Si into these discreetly sized Si nanoparticles (magic family) of high chemical, electronic, and photo quality (> 60% quantum efficiency). It provides control over the size, shape, and surface saturation, and film thickness or packing. The technology is protected by 18 patents in the US and Europe (10 issued). We recently presented a patent-pending technology that uses nanoSi to realize advanced energy devices with enhanced efficiency and functionality. The technology increases the efficiency of photovoltaic solar cells by more than 15% as well as prolongs the lifetime over current state-of-the-art.

NOTE ::: FIGURE 1-3 OMITTED

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IV. Proposed Research 

In this proposal, we propose to integrate the patent-pending technology on glass substrates for future applications in glass windows in buildings without major changes in manufacturing infrastructure. However, fundamental challenges remain, among which is homing in on choice of metal (workfunction) versus nanoparticle size/bandgap to produce appropriate Shottky barrier diode-like rectification for photo-induced charge collection of positive as well as negative charge. We believe that the outcome of the research will also lead to novel cascade architecture which utilizes multiple layers of nanoparticles and metals and which can be implemented in silicon solar cells. 

We will establish the proof-of-concept of a nano Si cell that consists of a glass plate.  Metal film or grid and buss lines will be laid down on the glass plate to collect the current. This will be covered with a film of closely packed nanoparticles, and topped by a thin layer of another metal or grid and buss lines for collection of the opposite charge. The film, electrically connected to the grid, forms a Schottky-type diode for charge collection. The type of metal used for the grid lines will be optimized VS the particle size/bandgap and to + or - charge collection. Because particles are identical, fast charge displacement, transport/collection occurs via resonant quantum tunneling. Efficient optoelectronic conversion requires that light absorption takes place in the depletion region of the Shottky junctions. 

We now present a detailed plan of research showing the objectives and cost.

A. Proof of concept

i) Construct a power NanoWindow prototype (2 cm  ́ 2 cm glass plate)

a) cut a 2 cm  ́ 2 cm prototype glass window 

b) coat the prototype with an ultrathin conducting coating (silver, aluminum, copper, tin, etc) to harness the electron charge. Metal films are transparent if they are thin (~ 10nm).

c) deposit an active 1 nm nanoparticle film on the metal coating

d) top the nanoparticles with an ultrathin conducting coating that is different form the material chosen for first layer (from ITO, aluminum, copper, tin, etc.) to 

harness the positive charge. ITO is a transparent material even for thick films. 

e) complete the electronic circuit: connect the conducting films to bus lines and electronic measuring equipment 

B) Test photovoltaic conversion in the prototype

16

a) measure open circuit voltage Voc and short circuit current Isc under light sources 

b) measure efficiency at several sections of sunlight: UV, blue, green, red, etc.)

C) Material optimization

a)  optimize device (choice of type of conducting material for the top and bottom conducting layers

b) optimize device for 2.85 nm active film

D) Photovoltaic efficiency VS targeted transmission through window of 70%

a) target light transmission of 70% through the prototype

b) calculate the thickness of the conducting films

c) measure the light transmission of the prototype

d) optimize the thickness of the conducting layers

e) optimize the thickness of the nanoparticles film

E) Cost benefit engineering analysis

a) optimize the working efficiency versus the cost and light transmission for 1 nm particle films

b) optimize the prototype cost for films of other size nanoparticles

V. References

1. Observation of a magic discrete family of ultrabright Si nanoparticles, G. Belomoin and M. H. Nayfeh et. al, A.P.L. 80, 841 (2002) 

17

2. Enhanced silicon solar cells in the UV and visible using silicon nanoparticles, M. Stupka, M. Alsalhi, T. Alsaud, A. Almuhanna, M. Nayfeh, submitted (May 2006) to IEEE PTL. 

3. UV photodetectors with thin film Si nanoparticle active medium, M. Nayfeh, S. Rao, O. Nayfeh, A. Smith, J. Therrien, IEEE Transactions on Nanotechnology 4, 660 (2005); 

4. M. Nayfeh et al., Family of Discretely Sized Silicon Nanoparticles and Method for Producing the Same": US Patent 6,743,406, issued on 6/1/04; US Patent 6,585,947, issued on 7/1/03 (method claims) 

18

VI. Biography (Munir Nayfeh)

Education & Employment: B.S., Physics (American Univ. of Beirut, 1968); Ph.D., Physics (Stanford University, 1974); Postdoctoral and Research physicist (Oak Ridge National Lab. and Univ. of Kentucky 1974-1977); Lecturer and Research Associate (Yale University, 1977-1978); Professor of Physics (University of Illinois, 1979–Present)

Thesis Advisors: Professors Arthur Schawlow and Theodor Hansch, Stanford University

Synergistic Activities: IR 100; AT&T Award; Beckman Award, Energy 100American Men and Women of Science; Who's Who in Science & Technology; Who's Who in  Technology Today; Who's Who in Engineering; Leading consultants in Technology; Dictionary of International Biography; Men of Achievement 

Recent Research Interest: Munir Nayfeh's present work concentrates at understanding the nature of Si nanocrystallites. We developed a process for converting bulk silicon crystals into ultra-small, nano-sized particles. The nanoparticles, which come in magic discrete sizes, the smallest of which is one billionth of a meter in diameter and contain about 30 silicon atoms, can be formed into colloids, crystals, films, and collimated beams for unique applications in the electronics, optoelectronics and biomedical industries. These nanoparticles have many useful properties that are unlike those of bulk silicon, including being a source of stimulated emission. Potential uses include single-electron electronics, semiconductor lasers and markers for biological materials

Fields of interests: Atomic excitation, resonance multiphoton ionization, collisions and laser spectroscopy; highly excited atoms, classical and quantum chaos, deposition on surfaces, scanning tunneling microscopy, nanolithography, nanoelectronics and technology, silicon nanoparticles, Si biosensors

Books 1.M. Nayfeh and M. Brussel, Electricity and Magnetism, John Wiley and Sons, New York (1985). 2. M. H. Nayfeh and C. Clark, eds.  Atomic Excitation and Recombination in External Fields, Harwood Academic Publishers, New York (1985). 3. K. Taylor, M. Nayfeh, and C. Clark, eds. Atomic Spectra and Collisions in External Fields, Plenum (1988). 4.C. Nicholaides, M. H. Nayfeh, and C. W. Clark, eds. Atoms in Strong Fields, Plenum (1989).

Selected Publications relevant  to the project

Observation of a magic discrete family of ultrabright Si nanoparticles, G. Belomoin, J. Therrien, A. Smith, S. Rao, S. Chaieb,  M. H. Nayfeh, Appl. Phys. Lett. 80, 841 (2002)

UV photodetectors with thin film Si nanoparticle active medium, M. Nayfeh, S. Rao, O. Nayfeh, A. Smith, J. Therrien, IEEE Transactions on Nanotechnology 4, 660 (2005)

Observation of strong direct-like oscillator strength in the photoluminescence of 1 nm silicon nanoparticles, A. Smith, Z. Yamani, J. Turner, S. Habbal, S. Granick, and M.H. Nayfeh, PRB 72, 205307 (2005)

Light-induced conductance resonance in ultrasmall Si nanoparticles, J. Therrien, G. Belomoin, and M. H. Nayfeh, Appl. Phys. Lett 77, 1668 (2000)

Cathodoluminescence of small silicon nanoparticles under electron-beam excitation, L. Abuhassan, M. Khanlary, P. Townsend, and M. H. Nayfeh, J. Appl. Phys 97, 104314 (2005); 

19

Stimulated blue emission in reconstituted films of ultrasmall silicon nanoparticles, M. H. Nayfeh, N. Barry, J. Therrien, O. Akcakir, E. Gratton, and G. Belomoin, Appl. Phys. Lett. 78, 1131 (2001).

Observation of laser oscillation in aggregates of ultrasmall silicon nanoparticles, M. H. Nayfeh, S. Chaieb, S. Rao, N. Barry, J. Therrien, G. Belomoin, and A. Smith, Appl. Phys. Lett. 80, 121 (2002).

Effect of surface termination on the band gap of ultrabright Si29 nanoparticles: Experiments and computational models, G. Belomoin, E. Rogozhina, J. Therrien, P. V. Braun, L. Abuhassan, M. H. Nayfeh, L. Wagner, and L. Mitas, Phys. Rev. B 65, 193406 (2002)

Spatially selective electrochemical deposition of composite films of metal and luminescent Si nanoparticles, A Smith, G. Belomoin, M. H. Nayfeh, and T. Nayfeh, Chemical Physics Letters 372, 415-418 (2003)

Patents by Munir Nayfeh on synthesis and applications of Si nanoparticles:

1) “Si nanoparticle photovoltaic solar cell devices”, submitted Nov 21, 2005 (pending); 2) "Family of Discretely Sized Si Nanoparticles and Method for Producing the Same": US Patent 6,743,406, "Family of Discretely Sized Silicon Nanoparticles and Method for Producing the Same" issued on 6/1/04; 3)  "Si Nanoparticles and Method for Producing the Same": US Patent 6,585,947, "Silicon Nanoparticle and Method for Producing the Same" issued on 7/1/03 (method claims); 4) "Si Nanoparticles composition of matter US Patent 6,846,474, "Silicon Nanoparticle and Method for Producing the Same" issued on 1/25/05, composition of matter claims for the 1 nm (blue) particle, 5)  "Si Nanoparticle Stimulated Emission Devices" US Patent 6,597,496, "Silicon Nanoparticle Stimulated Emission Devices", issued on 7/22/03; 6)  "Elemental Si Nanoparticle Plating and Method for the Same": US Patent 6,660,152, "Elemental Silicon Nanoparticle Plating and Method for the Same", issued on 12/9/03; 7) "Si Nanoparticle-Based UV Photodiodes":  US Patent Application 10/374,683, "Coated Spherical Si Nanoparticle Thin Film UV Detector with UV Response and Method of Making", filed on 2/25/03. allowed. 

20

Exhibit B:  Specification of Illinois Background Intellectual

Property (if applicable)

1)  UIUC Technology T99088, “Silicon Nanoparticles and Method for Producing the Same”: 

a.       US Patent 6,585,947, “Silicon Nanoparticle and Method for Producing the Same” issued on 7/1/03 (method claims). 

b.      US Patent 6,846,474, “Silicon Nanoparticle and Method for Producing the Same” issued on 1/25/05, composition of matter claims for the 1 nm (blue) particle.

c.       PCT Patent Application US00/41376, “Silicon Nanoparticle and Method for Producing the same”, filed on 10/20/00, expired on 4/20/03, and nationalized in: Canada Serial No. 2,388,815, European Regional Serial No. 00992225.3 [Granted (Allowed) on 2/5/06. Decision to pay grant fee of $4000 for initial phase due 7/15/06], and Japan Serial No. 2001-539786.

2)  UIUC Technology TF01054, “Family of Discretely Sized Silicon Nanoparticles and Method for Producing the Same”:

a.       US Patent 6,743,406, “Family of Discretely Sized Silicon Nanoparticles and Method for Producing the Same” issued on 6/1/04.

b.      US Patent 7,001,578, “Family of Discretely Sized Silicon Nanoparticles and Method for Producing the Same” issued on 2/21/06.

c.       PCT Patent Application US02/33457, “Family of Discretely Sized Silicon Nanoparticles and Method for Producing the Same”, filed on 10/18/02, expired on 5/21/04, and nationalized in: Canada Serial No. 2,461,974 and European Regional Serial No. 02803286.0.

 

3) UIUC Technology TF05100, “Silicon Nanoparticle Photovoltaic Solar Cell Devices”:

a.       US Provisional Patent Application 60/736,139, “Silicon Nanoparticle Photovoltaic Solar Cell Device”, filed on 11/20/05.

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