Document:

Prepared by MERRILL CORPORATION

[ * ]

= CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY

BRACKETS, HAS BEEN OMITTED AND FILED SEPARATELY WITH THE SECURITIES AND

EXCHANGE COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF

1934, AS AMENDED.

EXHIBIT 10.38

AMENDMENT

#3 TO THE AMENDED AND RESTATED RESEARCH, DEVELOPMENT AND MARKETING

COLLABORATION AGREEMENT

BETWEEN

ONYX

PHARMACEUTICALS, INC.

AND WARNER-LAMBERT COMPANY

THIS

AMENDMENT #3 to the Amended and Restated Research, Development and

Marketing Collaboration Agreement

dated as of May 2, 1995 (“Third Amendment”) is made and entered into

on August 6, 2001 (the “Amendment Date”), by and between Onyx Pharmaceuticals, Inc., a Delaware corporation

having its principal place of business at 3031 Research Drive, Richmond,

California 94806 (“Onyx”), and the Warner-Lambert Company, a

Delaware corporation and a wholly-owned subsidiary of Pfizer Inc, having a

place of business at 2800 Plymouth Road, Ann Arbor, MI  48105 ("Warner").

RECITALS

WHEREAS,

Onyx and Warner entered into an Amended and Restated Research, Development and

Marketing Collaboration Agreement dated May 2, 1995 (“Agreement”); and

 

WHEREAS, the parties subsequently

amended the Agreement on December 15, 1997 and March 1, 2000; and

 

WHEREAS,

the parties wish to further amend some of the terms and conditions under which

they will proceed with the collaboration as a result of the acquisition by

Pfizer Inc. (“Pfizer”) of Warner;

 

NOW

THEREFORE, in consideration of the

foregoing and other good and valuable consideration, the parties hereby agree

as follows:

 

1.             Except

as expressly provided herein, defined terms will have the meanings set forth in

the Agreement.

2.             The

definition of Field in Article 1 of the Agreement is deleted and replaced in

its entirety with the following:

“Field shall mean

research, drug discovery and development collaboration aimed at [ * ].

The Collaboration will

seek to identify agents that modulate biological targets within the Field.

 

The Field will consist

of [ * ].

 

For the avoidance of

doubt intellectual property, including patents, developed by Pfizer against

targets in the Field prior to and subsequent to the acquisition of Warner

including, but not limited to, compounds, assays, cell lines, reagents,

clinical data, etc., shall be contributed to the Collaboration; provided,

however, that there will be no obligation to contribute intellectual property

regarding targets outside the Field.”

 

3.             The

following definitions are deleted from the Agreement:

“Generation 1

Collaboration Compounds” and “Generation 2 Collaboration Compounds”

 

4.             Article

2.0 is amended.  The following sentence

is added to Section 2.1:

 “Warner

will provide Onyx with a list of all Collaboration Compounds within sixty (60)

days after the end of the Term of the Research Collaboration and a list of all

Collaboration Compounds within sixty (60) days after the one (1) year

anniversary of the Term of the Research Collaboration.  The Research Management Committee may elect

to meet to discuss these lists.”

5.             Section

9.3 (Generation 2 Collaboration Products) is deleted from the Agreement.

6.             Section

2.4 is deleted from the Agreement and Article 6.0 (Licenses and Royalties)

is  amended as follows:

A.                New

Sections 6.3 and 6.4 are added and inserted after Section 6.2:

“6.3  (a) Grant of Research Licenses within the

Field. Onyx and Warner each grant to the other a nonexclusive, irrevocable,

worldwide, royalty-free, perpetual license, including the right to grant

sub-licenses to Affiliates, to make and use the other’s Confidential

Information, Know-How and Patents for all research purposes other than the sale

or manufacture for sale of products or processes;

(b) Grant of Research

Licenses outside the Field. Onyx and Warner each grant to the other a

nonexclusive, irrevocable, worldwide, royalty-free, perpetual license,

including the right to grant sub-licenses to Affiliates, to make and use the

other’s confidential information, know-how and patents covering the target [ *

], developed during the Term of the Research Collaboration pursuant to the

Research Plan, for all research purposes other than the sale or manufacture for

sale of products or processes.”

“6.4 Materials.  Onyx and Warner shall, upon each other’s

written request [ * ] which are 

licensed under this Article 6.0.”

B.                All

other Sections within Article 6.0 will be renumbered to reflect these

insertions, i.e. “Royalties Payable by Warner” will become Section 6.5.

7.             New

Section 6.14 is added and inserted after the renumbered Section  “Restrictions on Payment” as follows:

“6.14 Acquisition and

Assignment.  In the event that either

Onyx or Warner is acquired or assigns the Agreement to a third party, such

third party’s confidential information, know-how and patents shall not be

subject to the licenses granted under this Agreement.”

 

8.             Article

3.0 is amended. A sentence is added to the end of Section 3.1 as follows:

 “During the one year after the Term of the

Research Collaboration the Research Management Committee will provide each

other with reports, quarterly after the Effective Date of this Third

Amendment.  The Research Management

Committee may also agree to convene by teleconference or other media to discuss

the results disclosed in the reports.

9.             Section

3.2 is deleted from the Agreement as well as all additional references to the

Marketing Committee.

10.          Section

5.4 (Warner’s Re-engagement Option) is deleted from the Agreement.

11.          Article

7 (Co-Promotion of Collaboration Products) is deleted from the Agreement.

12.          Article

10.0 is amended.  A new Section 10.1 (c)

is added as follows:

“(c)  Notwithstanding the foregoing, Onyx will

have the right to disclose Confidential Information of Warner’s to third

parties in connection with a potential assignment of Onyx’s rights under the

Agreement, in addition to a potential equity investment, merger or acquisition

or collaboration, provided, however, that the third party will be required to

sign a confidentiality agreement with Onyx, prior to such disclosure and also

provided that Warner receives a copy of such agreement prior to disclosure.”

 

13.          Article

14.0 is amended. A sentence is added within Section 14.2 (Assignment) so that

Section 12.2 reads in its entirety as follows:

“This Agreement shall not be assignable

by either party without the prior written consent of the other party, such

consent not to be unreasonably withheld. 

In no event will any assignment relieve the assigning party of its

obligations hereunder.  This Agreement

shall be binding upon and, subject to the terms of the foregoing sentence,

inure to the benefit of the parties’ successors, legal representatives and

assigns.

If either party wishes

to assign this Agreement, they will so notify the other party in writing.  The party receiving the notice of intention

to assign will have 30 days in which to object to such assignment by the

assigning party.  Notwithstanding the

foregoing, Warner may assign this Agreement to any of its wholly-owned

subsidiaries or any entity succeeding to a majority of its Parke-Davis

business, and either party may assign this Agreement to its successor in

connection with any merger, consolidation or sale of all or substantially all

of its assets.”

 

14.          Section

14.7 is amended as follows regarding notices to Warner:

“...To

Warner:

 

If

to Warner to:

 

George

M. Milne, Jr., Ph.D.

President, Strategic & Operations

Management,

Pfizer Inc,

50 Pequot Avenue

New London, CT 06320

 

With copy to:

 

Joshua A. Kalkstein
        Assistant General Counsel, PGRD
        Pfizer Inc,
        50 Pequot Avenue
        New London, CT 06320

 

 

15.          A

new Section 14.17 is added as follows:

“Diligence.  Warner shall use reasonably diligent efforts

to exploit Collaboration Compounds, Collaboration Lead Compounds and

Collaboration Products, commercially employing similar efforts applied to other

products similarly situated.”

 

 

Except as specifically

stated in this Third Amendment all terms and conditions of the amended

Agreement remain in full force and effect.

 

IN

WITNESS WHEREOF, each of the parties has

caused its duly authorized representative to execute and deliver this Third

Amendment as of the date set forth above.

 

	

  WARNER LAMBERT COMPANY

  	

   

  	

  ONYX

  PHARMACEUTICALS, INC.

  	

   

  
	

   

  	

   

  	

   

  	

   

  
	

  By 

  	

  /s/ Peter B. Corr

  	

   

  	

  By 

  	

  /s/ Hollings C. Renton

  	

   

  
	

  (Signature)

  	

   

  	

  (Signature)

  	

   

  
	

  Peter B. Corr, Ph.D.

  	

   

  	

  Hollings C. Renton

  	

   

  
	

  Sr. Vice President,

  Pfizer Inc.

  	

   

  	

  Chairman and Chief

  Executive Officer

  	

   

  
	

  Executive Vice

  President, Pfizer Global R&D

  	

   

  	

   

  	

   

  
	

  And President,

  Worldwide Development

  	

   

  	

   

  	

   

  
	

  Name and Title

  	

   

  	

  Name and Title

  	

   

  
						

 

[ * ] = CERTAIN CONFIDENTIAL

INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED

AND FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO

RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED.Prepared by MERRILL CORPORATION

 

Exhibit 10.1

 

DISSOLUTION OF VOTING AGREEMENT DATED JULY

31, 1997

 

                THIS AGREEMENT (the "Agreement"),

effective as of July 18, 2001 (the "Effective Date"), sets

forth the agreement of Benjamin Monderer, Carol Turchin and Mark Mays (the

"parties"), all founders of Box Hill Systems Corp., now known as Dot

Hill Systems Corp. (the "Company"), and all shareholders of the same,

to dissolve a voting agreement entered into among the parties on July 31, 1997

(the "Voting Agreement").

 

                WHEREAS, circumstances have changed thereby

rendering the Voting Agreement not to be in the best interests of either the

parties or the Company;

 

                WHEREAS, the parties all mutually desire to

dissolve the Voting Agreement in its entirety, and:

 

                WHEREAS, the Voting Agreement allows for such

dissolution pursuant to paragraph 6;

 

                NOW, THEREFORE, in consideration of the

mutual premises and conditions contained herein, and for good and valuable

consideration the receipt and sufficiency of which are hereby acknowledged,

Benjamin Monderer, Carol Turchin and Mark Mays agree as follows:

 

                1.             Pursuant

to paragraph 6, subsection c of the Voting Agreement, the Voting Agreement is

hereby terminated and dissolved.

 

                2.             Hereinafter,

the parties, as well as their heirs, successors and assigns, are free to vote

and dispose of their shares of Common Stock of the Company without the

restrictions imposed by the Voting Agreement.

 

                3.             This

Agreement shall be governed by and construed in accordance with the laws of New

York State without regard to its conflict of laws rules. The parties hereby

consent to the jurisdiction of New York State with respect to any action or

claim arising under or stemming from this Agreement.

 

                4.             This

Agreement sets forth the entire understanding of the parties with respect to

the subject matter hereof, and supersedes any prior agreements and

understandings, both written and oral, which may have existed between the

parties with respect to the subject matter hereof. This Agreement may be

modified only by a writing signed by all parties.

 

                6.             No

failure or delay by any party in exercising any right hereunder shall operate

as a waiver thereof, and no single or partial exercise of any right shall

preclude any other or further exercise thereof or the exercise of any other

right hereunder.

 

                7.             In

the event any one or more of the provisions of this Agreement shall for any

reason be held to be invalid, illegal or unenforceable, the remaining

provisions of this Agreement shall be unimpaired, and the parties will

negotiate in good faith to substitute a provision of like effect.

 

                8.             This

Agreement may be executed in counterparts, which taken together, shall

constitute one Agreement and any party hereto may execute this Agreement by

signing such counterpart. A copy or facsimile of a signature shall be binding

upon the signatory as if it were an original signature.

 

 

	

  Benjamin Monderer

  	

   

  	

  Carol Turchin

  	

   

  	

  Mark Mays

  
	

   

  	

   

  	

   

  	

   

  	

   

  
	

   

  	

   

  	

   

  	

   

  	

   

  
	

   

  	

   

  	

   

  	

   

  	

   

  
	

  /s/ Benjamin

  Monderer

  	

   

  	

  /s/ Carol

  Turchin

  	

   

  	

  /s/ Mark

  Mays

  
	

  Date:

  7/18/01

  	

   

  	

  Date:

  7/18/01

  	

   

  	

  Date:

  7/18/01

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