Document:

Exhibit 4.5

 

REGISTRATION RIGHTS AGREEMENT

 

by and among

 

Newmont Goldcorp Corporation, as Issuer,

 

Newmont USA Limited, as Guarantor,

 

and

 

Citigroup Global Markets Inc.,

 

and

 

J.P. Morgan Securities LLC, as Dealer Managers

 

Dated as of April 22, 2019

 

 

THIS REGISTRATION RIGHTS AGREEMENT (this “Agreement”) is made and entered into this 22nd day of April, 2019, by and among Newmont Goldcorp Corporation (formerly known as Newmont Mining Corporation), a Delaware corporation (the “Company”), Newmont USA Limited, a Delaware corporation (the “Subsidiary Guarantor”), and Citigroup Global Markets Inc. and J.P. Morgan Securities LLC (collectively, the “Dealer Managers”).

 

This Agreement is made pursuant to the Offering Memorandum and Consent Solicitation Statement, dated March 15, 2019 (as amended or supplemented, the “Offering Memorandum”), which provides for the offers by the Company to exchange any and all of the outstanding (i) 3.625% Notes due 2021 issued by Goldcorp Inc., a corporation organized and existing under the laws of the Province of Ontario, Canada (“Goldcorp”), (ii) 3.700% Notes due 2023 issued by Goldcorp and (iii) 5.450% Notes due 2044 issued by Goldcorp (collectively, the “Existing Goldcorp Notes”) for newly issued debt securities of the Company (the “New Newmont Notes”), in each case, maturing on the same date and bearing an interest rate of the same amount per annum as the applicable series of Existing Goldcorp Notes for which they are exchanged and cash, on the terms and subject to the conditions set forth in the Offering Memorandum. The Subsidiary Guarantor will guarantee the obligations of the Company under the New Newmont Notes (the “New Guarantees”).

 

In consideration of the foregoing, the parties hereto agree as follows:

 

1. Definitions.  As used in this Agreement, the following capitalized defined terms shall have the following meanings:

 

“Additional Interest” shall have the meaning set forth in Section 2.5.

 

“Affiliate” shall mean an “affiliate” as that term is defined in Rule 405 under the Securities Act.

 

“Agreement” shall have the meaning set forth in the preamble.

 

“Automatic Shelf Registration Statement” shall mean an “automatic shelf registration statement” as that term is defined in Rule 405 under the Securities Act.

 

“Company” shall have the meaning set forth in the preamble, or the Company’s successors and assigns.

 

“Dealer Managers” shall have the meaning set forth in the preamble.

 

“Dealer Manager Agreement” means the Dealer Manager and Solicitation Agent Agreement, dated March 15, 2019, by and among the Company, the Subsidiary Guarantor and the Dealer Managers.

 

“Depositary” shall mean The Depository Trust Company, or any other depositary appointed by the Company; provided, however, that such depositary must have an address in the Borough of Manhattan in the City of New York.

 

“Event Date” shall have the meaning set forth in Section 2.5.

 

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“Exchange Date” shall have the meaning set forth in the Dealer Manager Agreement.

 

“Exchange Offer” means the offer by the Company to exchange each Series of Registrable Securities for the corresponding Series of Exchange Securities pursuant to Section 2.1.

 

“Exchange Offer Registration Statement” shall mean an exchange offer registration statement on Form S-4 (or, if applicable, on another appropriate form), and all amendments and supplements to such registration statement, including the Prospectus contained therein, all exhibits thereto and all material incorporated by reference therein.

 

“Exchange Period” shall have the meaning set forth in Section 2.1.

 

“Exchange Securities” shall mean, with respect to each Series of Registrable Securities, a new series of notes and corresponding guarantees maturing on the same date and bearing interest at the same rate per annum as the corresponding Series of Registrable Securities (each such series of Exchange Securities, a “Series of Exchange Securities”), in each case, issued by the Company under the Indenture and guaranteed by the Subsidiary Guarantor, containing terms identical to the applicable Series of Registrable Securities in all material respects (except for references to certain additional interest rate provisions, restrictions on transfers and restrictive legends), to be offered to Holders of the applicable Series of Registrable Securities in exchange for the corresponding Series of Exchange Securities pursuant to the Exchange Offer.

 

“Existing Goldcorp Notes” shall have the meaning set forth in the preamble.

 

“FINRA” shall mean the Financial Industry Regulatory Authority, Inc.

 

“Goldcorp” shall have the meaning set forth in the preamble.

 

“Holder” shall mean each Person who becomes the registered owner of Registrable Securities under the Indenture and each Participating Broker-Dealer that holds Exchange Securities for so long as such Participating Broker-Dealer is required to deliver a Prospectus in connection with any resale of such Exchange Securities.

 

“Indenture” shall mean the Indenture, dated as of April 22, 2019, among the Company, the Subsidiary Guarantor and The Bank of New York Mellon Trust Company, N.A., as trustee, as the same may be amended, supplemented, waived or otherwise modified from time to time in accordance with the terms thereof.

 

“Majority Holders” shall mean the Holders of a majority of the aggregate principal amount of Outstanding (as defined in the Indenture) Registrable Securities; provided, that whenever the consent or approval of Holders of a specified percentage of Registrable Securities is required hereunder, Registrable Securities held by the Company or any Affiliate of the Company shall be disregarded in determining whether such consent or approval was given by the Holders of such required percentage amount.

 

“New Guarantees” shall have the meaning set forth in the preamble.

 

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“New Newmont Notes” shall have the meaning set forth in the preamble.

 

“Offering Memorandum” shall have the meaning set forth in the preamble.

 

“Original Exchange Offer” means the offer by the Company to exchange any and all outstanding Existing Goldcorp Notes for New Newmont Notes, on the terms and subject to the conditions set forth in the Offering Memorandum.

 

“Participating Broker-Dealers” shall mean the Dealer Managers and any other broker-dealer which makes a market in the New Newmont Notes and exchanges Registrable Securities in the Exchange Offer for Exchange Securities.

 

“Person” shall mean an individual, partnership (general or limited), corporation, limited liability company, trust or unincorporated organization, or a government or agency or political subdivision thereof.

 

“Prospectus” shall mean the prospectus included in a Registration Statement, including any preliminary prospectus, and any such prospectus as amended or supplemented by any prospectus supplement, including any such prospectus supplement with respect to the terms of the offering of any portion of the Registrable Securities covered by a Shelf Registration Statement, and by all other amendments and supplements to a prospectus, including post-effective amendments and, in each case, including all material incorporated or deemed incorporated by reference therein.

 

“Registrable Securities” shall mean the New Newmont Notes and the corresponding New Guarantees; provided, however, that the New Newmont Notes and the corresponding New Guarantees shall cease to be Registrable Securities when (i) a Registration Statement with respect to such New Newmont Notes and the corresponding New Guarantees shall have been declared or otherwise become effective under the Securities Act and such New Newmont Notes and the corresponding New Guarantees shall have been disposed of pursuant to such Registration Statement, (ii) such New Newmont Notes and the corresponding New Guarantees shall have ceased to be outstanding or (iii) the Exchange Offer is consummated (except in the case of New Newmont Notes and corresponding New Guarantees which may not be exchanged in the Exchange Offer).  Each of the series of New Newmont Notes and the corresponding New Guarantees may be referred to herein as a “Series of Registrable Securities.”

 

“Registration Default” shall have the meaning set forth in Section 2.5.

 

“Registration Expenses” shall mean any and all expenses incident to the performance of, or compliance with, by the Company and the Subsidiary Guarantor with this Agreement, including, without limitation, (i) all SEC or FINRA registration and filing fees, (ii) all fees and expenses incurred in connection with compliance with state securities or blue sky laws, (iii) all expenses of any Persons in preparing or assisting in preparing, word processing, printing and distributing any Registration Statement, any Prospectus, any amendments or supplements thereto, any underwriting agreements, securities sales agreements and other documents relating to the performance of and compliance with this Agreement, (iv) all rating agency fees, (vi) the fees and disbursements of counsel for the Company and of the independent public accountants of the Company, including the expenses of any special audits or “cold comfort” letters required by or incident to such performance and compliance, (vi) the fees and expenses of the Trustee, and any escrow agent or custodian, (vii) the reasonable fees and expenses of counsel to the Dealer Managers in connection therewith, (viii) any fees and disbursements of the underwriters customarily required to be paid by issuers or sellers of securities and the fees and expenses of any special experts retained by the Company in connection with any Registration Statement, but excluding underwriting discounts and commissions and transfer taxes, if any, relating to the sale or disposition of Registrable Securities by a Holder.

 

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“Registration Statement” shall mean any registration statement of the Company which covers any of the Exchange Securities or Registrable Securities pursuant to the provisions of this Agreement, and all amendments and supplements to any such Registration Statement, including post-effective amendments, in each case, including the Prospectus contained therein, all exhibits thereto and all material incorporated or deemed incorporated by reference therein.

 

“SEC” shall mean the United States Securities and Exchange Commission or any successor agency or government body performing the functions currently performed by the United States Securities and Exchange Commission.

 

“Securities Act” shall mean the Securities Act of 1933, as amended.

 

“Securities Exchange Act” shall mean the Securities Exchange Act of 1934, as amended.

 

“Shelf Registration” shall mean a registration effected pursuant to Section 2.2.

 

“Shelf Registration Statement” shall mean a “shelf” registration statement of the Company pursuant to the provisions of Section 2.2, including an Automatic Shelf Registration Statement, if applicable, which covers all of the Registrable Securities on an appropriate form under Rule 415 under the Securities Act, or any similar rule that may be adopted by the SEC, and all amendments and supplements to such Registration Statement, including post-effective amendments, in each case, including the Prospectus contained therein, all exhibits thereto and all material incorporated or deemed incorporated by reference therein.

 

“Subsidiary Guarantor” shall have the meaning set forth in the preamble.

 

“Trustee” shall mean the trustee with respect to the Registrable Securities under the Indenture.

 

“Trust Indenture Act” shall mean the Trust Indenture Act of 1939, as amended.

 

2. Registration Under the Securities Act.

 

2.1. Exchange Offer.  Unless the Exchange Offer would violate applicable law or any applicable interpretation of the staff of the SEC, the Company and the Subsidiary Guarantor shall, for the benefit of the Holders, at the Company’s cost, use their commercially reasonable efforts to (A) prepare and, not later than 180 calendar days following the Exchange Date, file with the SEC an Exchange Offer Registration Statement on an appropriate form under the Securities Act with respect to a proposed Exchange Offer and the issuance and delivery to the Holders, in exchange for each Series of Registrable Securities, of a like principal amount of the corresponding Series of Exchange Securities, (B) cause the Exchange Offer Registration Statement to be declared effective under the Securities Act within 255 calendar days of the Exchange Date, (C) keep the Exchange Offer Registration Statement effective until the closing of the Exchange Offer and (D) cause the Exchange Offer to be consummated not later than 365 calendar days following the Exchange Date.  After the effectiveness of the Exchange Offer Registration Statement, the Company shall promptly commence the Exchange Offer, it being the objective of such Exchange Offer to enable each Holder eligible and electing to exchange Registrable Securities for Exchange Securities (assuming that such Holder (a) is not an Affiliate of the Company, (b) is not a broker-dealer who tendered Existing Goldcorp Notes acquired directly from Goldcorp for its own account in exchange for New Newmont Notes, (c) is acquiring the Exchange Securities in the ordinary course of such Holder’s business and (d) is not engaged in and does not intend to engage in and has no arrangements or understandings with any Person to participate in the distribution of the Exchange Securities) to transfer such Exchange Securities from and after their receipt without any limitations or restrictions under the Securities Act and under state securities or blue sky laws.

 

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In order to participate in the Exchange Offer, each Holder must represent to the Company at the time of the consummation of the Exchange Offer (which representation shall be contained in the letter of transmittal or other document accompanying the Exchange Offer Registration Statement) that it (i) is not an Affiliate of the Company, (ii) is not a broker-dealer who tendered Existing Goldcorp Notes acquired directly from Goldcorp for its own account in exchange for New Newmont Notes, (iii) is acquiring the Exchange Securities in the ordinary course of such Holder’s business and (iv) is not engaged in and does not intend to engage in and has no arrangements or understandings with any Person to participate in the distribution of the Exchange Securities.

 

In connection with the Exchange Offer, the Company shall:

 

(a) make available to each Holder a copy of the Prospectus forming part of the Exchange Offer Registration Statement, together with an appropriate letter of transmittal and related documents;

 

(b) keep the Exchange Offer open for acceptance for a period of not less than 20 business days after the date notice thereof is mailed to the Holders (or longer at the option of the Company or if required by applicable law) (such period referred to herein as the “Exchange Period”);

 

(c) utilize the services of the Depositary for the Exchange Offer;

 

(d) permit Holders to withdraw tendered Registrable Securities at any time prior to the expiration of the Exchange Period, by sending to the institution specified in the letter of transmittal or other applicable notice, a telegram, telex, facsimile transmission or letter setting forth the name of such Holder, the principal amount of Registrable Securities delivered for exchange, and a statement that such Holder is withdrawing such Holder’s election to have such Registrable Securities exchanged; and

 

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(e) otherwise comply in all material respects with all applicable laws relating to the Exchange Offer.

 

The Exchange Securities shall be issued under (i) the Indenture or (ii) an indenture identical in all material respects to the Indenture and which, in either case, has been qualified under the Trust Indenture Act.  The Indenture or such indenture shall provide that each Series of Exchange Securities and the corresponding Series of Registrable Securities shall vote and consent together on all matters as a single class.

 

As soon as reasonably practicable after the expiration of the Exchange Offer, the Company shall:

 

(i) accept for exchange all Registrable Securities duly tendered and not validly withdrawn pursuant to the Exchange Offer in accordance with the terms of the Exchange Offer Registration Statement and the letter of transmittal which shall be an exhibit thereto;

 

(ii) deliver to the Trustee for cancellation all Registrable Securities so accepted for exchange; and

 

(iii) cause the Trustee promptly to authenticate and deliver Exchange Securities to each Holder of Registrable Securities so accepted for exchange in a principal amount equal to the principal amount of the corresponding Series of Registrable Securities of such Holder so accepted for exchange.

 

Interest on each Exchange Security will accrue from the last date on which interest was paid on the Registrable Security surrendered in exchange therefor or, if no interest has been paid on the Registrable Security, from the date of original issuance.  The Exchange Offer shall not be subject to any conditions, other than (i) that the Exchange Offer, or the making of any exchange by a Holder, does not violate applicable law or any applicable interpretation of the staff of the SEC, (ii) the due tendering of Registrable Securities in accordance with the Exchange Offer, (iii) that each Holder of Registrable Securities exchanged in the Exchange Offer shall have represented that it (A) is not an Affiliate of the Company, (B) is not a broker-dealer who tendered Existing Goldcorp Notes acquired directly from Goldcorp for its own account in exchange for New Newmont Notes, (C) will acquire the Exchange Securities in the ordinary course of such Holder’s business and (D) is not engaged in and does not intend to engage in and has no arrangements or understandings with any Person to participate in the distribution of the Exchange Securities and shall have made such other representations as may be reasonably necessary under applicable SEC rules, regulations or interpretations to render the use of Form S-4 or other appropriate form under the Securities Act available and (iv) that no action or proceeding shall have been instituted or threatened in any court or by or before any governmental agency with respect to the Exchange Offer which, in the Company’s judgment, would reasonably be expected to impair the ability of the Company or the Subsidiary Guarantor to proceed with the Exchange Offer.  Each of the Company and the Subsidiary Guarantor will use its commercially reasonable efforts to cause the registrar for each Series of Registrable Securities to furnish the Dealer Managers with the names and addresses of the Holders to whom the Exchange Offer is made, and the Dealer Managers shall have the right to contact such Holders and otherwise facilitate the tender of Registrable Securities in the Exchange Offer.

 

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2.2. Shelf Registration.  (i) If, because of any changes in law, SEC rules or regulations or applicable interpretations thereof by the staff of the SEC, the Company determines upon the advice of its counsel that it is not permitted to effect the Exchange Offer as contemplated by Section 2.1, (ii) if a Holder notifies the Company in writing prior to the 20th day following the consummation of the Exchange Offer that it is not permitted by applicable law to participate in the Exchange Offer or participates in the Exchange Offer and does not receive fully tradeable Exchange Securities pursuant to the Exchange Offer, or (iii) if for any other reason the Exchange Offer is not consummated within 365 days after the original Exchange Date, then in case of each of clauses (i) through (iii) the Company shall, at its reasonable cost:

 

(a) As promptly as practicable, but no later than 90 days after being required to do so under Section 2.2, file with the SEC, and thereafter shall use its commercially reasonable efforts to cause to become effective as promptly as practicable but no later than 270 days after being required to do so under Section 2.2, a Shelf Registration Statement relating to the offer and sale of the Registrable Securities by the Holders from time to time in accordance with the methods of distribution elected by the Majority Holders participating in the Shelf Registration and set forth in such Shelf Registration Statement; provided, however, that nothing in this Section 2.2(a) shall require the filing of a Shelf Registration Statement prior to the deadline for filing the Exchange Offer Registration Statement set forth in Section 2.1; provided, further, that no Holder shall be entitled to be named as a selling security holder in the Shelf Registration Statement or to use the Prospectus forming a part thereof for resales of Registrable Securities unless such Holder has signed and returned to the Company a notice and questionnaire as distributed by the Company consenting to such Holder’s inclusion in the Prospectus as a selling security holder, evidencing such Holder’s agreement to be bound by the applicable provisions of this Agreement and providing such further information to the Company as the Company may reasonably request.

 

(b) Use its commercially reasonable efforts to keep the Shelf Registration Statement continuously effective in order to permit the Prospectus forming part thereof to be usable by Holders for a period of one year from the Exchange Date, or for such shorter period that will terminate when all Registrable Securities covered by the Shelf Registration Statement have been sold pursuant to the Shelf Registration Statement, are freely tradeable pursuant to Rule 144 of the Securities Act and the applicable interpretations of the SEC or cease to be outstanding or otherwise to be Registrable Securities.

 

(c) Notwithstanding any other provisions hereof, use its commercially reasonable efforts to ensure that (i) any Shelf Registration Statement and any amendment thereto, at the time each such registration statement or amendment thereto becomes effective, and any Prospectus as of the date thereof forming part thereof and any supplement thereto complies in all material respects with the Securities Act and the rules and regulations thereunder, (ii) any Shelf Registration Statement and any amendment thereto does not, when it becomes effective, contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading and (iii) any Prospectus forming part of any Shelf Registration Statement, and any supplement to such Prospectus (as amended or supplemented from time to time) (each, as of the date thereof), does not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements, in the light of the circumstances under which they were made, not misleading.

 

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The Company further agrees, if necessary, to supplement or amend the Shelf Registration Statement, as required by Section 3(b), and to furnish to the Holders of Registrable Securities copies of any such supplement or amendment promptly after its being used or filed with the SEC (other than with respect to any such supplement or amendment resulting solely from the incorporation by reference of any report filed under the Securities Exchange Act).  In the event that the Exchange Offer is consummated within 365 days after the Exchange Date, the Company shall have no obligation to file a Shelf Registration Statement pursuant to Section 2.2(ii).

 

2.3. Expenses.  The Company shall pay all Registration Expenses in connection with the registration pursuant to Section 2.1 or 2.2.  Each Holder shall pay all underwriting discounts and commissions and transfer taxes, if any, relating to the sale or disposition of such Holder’s Registrable Securities pursuant to the Shelf Registration Statement.

 

2.4. Effectiveness.  An Exchange Offer Registration Statement pursuant to Section 2.1  will not be effective unless it has been declared effective by the SEC, and a Shelf Registration Statement pursuant to Section 2.2 will not be effective unless it has been declared effective by the SEC or has otherwise become effective under Rule 462 under the Securities Act or any other applicable rule; provided, however, that if, after such Registration Statement has been declared effective or has otherwise become effective, the offering of Registrable Securities pursuant to an Exchange Offer Registration Statement or a Shelf Registration Statement is interfered with by any stop order, injunction or other order or requirement of the SEC or any other governmental agency or court, such Registration Statement will be deemed not to have become effective during the period of such interference, until the offering of Registrable Securities pursuant to such Registration Statement may legally resume.

 

2.5. Interest.  The Company agrees that in the event that (a) (i) if required, the Exchange Offer is not consummated on or prior to the 365th calendar day following the Exchange Date or (ii) if required, a Shelf Registration Statement has not become effective on or prior to the 270th calendar day following the date on which the Company became obligated to file such Shelf Registration Statement under Section 2.2, or (b) if required, the Shelf Registration Statement has been filed and is declared or otherwise becomes effective but ceases to be effective or usable for a period of time that exceeds 120 days in the aggregate in any 12-month period in which it is required to be effective hereunder (each such event referred to in the preceding clauses (a) and (b), a “Registration Default”), the interest rate borne by the New Newmont Notes affected thereby shall be increased (“Additional Interest”) immediately upon occurrence of a Registration Default by one-quarter of one percent (0.25%) per annum with respect to the first 90-day period while one or more Registration Defaults is continuing and will increase to a maximum of one-half of one percent (0.50%) per annum thereafter while one or more Registration Defaults is continuing until all Registration Defaults have been cured; provided that Additional Interest shall accrue only for those days that a Registration Default occurs and is continuing, including the date on which any Registration Default shall occur but not including the date on which all Registration Defaults have been cured.  Such Additional Interest shall be calculated based on a year consisting of 360 days comprised of twelve 30-day months.  Following the cure of all Registration Defaults the accrual of Additional Interest on the affected New Newmont Notes will cease, the interest rate will revert to the original rate on such New Newmont Notes and, upon any subsequent Registration Default following any such cure of all Registration Defaults, Additional Interest will begin accruing again at one-quarter of one percent (0.25%) per annum and will increase to a maximum of one-half of one percent (0.50%) per annum as provided above until all Registration Defaults have been cured.  Additional Interest shall not be payable with respect to Registration Defaults for any period during which a Shelf Registration Statement is effective and usable by the Holders.  Any Additional Interest shall constitute liquidated damages and shall be the exclusive remedy, monetary or otherwise, available to any Holder of New Newmont Notes with respect to any Registration Default.  The Company shall notify the Trustee within five business days after each and every date on which an event occurs in respect of which Additional Interest is required to be paid (an “Event Date”).  Additional Interest shall be paid by depositing with the Trustee, in trust, for the benefit of the Holders of Registrable Securities, on or before the applicable semi-annual interest payment date, immediately available funds in sums sufficient to pay the Additional Interest then due.  The Additional Interest due shall be payable on each interest payment date to the record Holder of New Newmont Notes affected thereby entitled to receive the interest payment to be paid on such date as set forth in the Indenture.  Each obligation to pay Additional Interest shall be deemed to accrue from and including the day following the applicable Event Date.

 

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Notwithstanding anything else contained herein, no Additional Interest shall be payable in relation to the applicable Shelf Registration Statement or the related Prospectus if (i) such Additional Interest is payable solely as a result of (x) the filing of a post-effective amendment to such Shelf Registration Statement to incorporate annual audited or, if required by the rules and regulations under the Securities Act, quarterly unaudited financial information with respect to the Company where such post-effective amendment is not yet effective and needs to be declared or otherwise become effective to permit Holders to use the related Prospectus or (y) the Company notifies the Holder in writing to suspend use (on one or more occasions) of the Shelf Registration Statement and the related Prospectus for a period not to exceed an aggregate of 120 days in any calendar year because of the occurrence of any material event or development with respect to the Company that, in the reasonable judgment of the Company, would be detrimental to the Company if so disclosed or would otherwise materially adversely affect a financing, acquisition, disposition, merger or other material transaction; provided, however, that in no event shall the Company be required to disclose the business purpose for such suspension.  Notwithstanding the foregoing, the Company shall not be required to pay Additional Interest with respect to the New Newmont Notes to any Holder if the failure arises from the Company’s failure to file, or cause to become effective, a Shelf Registration Statement within the time periods specified in this Section 2 by reason of the failure of such Holder to provide such information as (i) the Company may reasonably request, with reasonable prior written notice, for use in the Shelf Registration Statement or any Prospectus included therein to the extent the Company reasonably determines that such information is required to be included therein by applicable law, (ii) FINRA or the SEC may request in connection with such Shelf Registration Statement or (iii) is required to comply with the agreements of such Holder as contained herein to the extent compliance thereof is necessary for the Shelf Registration Statement to be declared or otherwise become effective, including, without limitation, a signed notice and questionnaire as distributed by the Company consenting to such Holder’s inclusion in the Prospectus as a selling security holder, evidencing such Holder’s agreement to be bound by the applicable provisions of this Agreement and providing such further information to the Company as the Company may reasonably request.

 

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3. Registration Procedures.  In connection with the obligations of the Company and the Subsidiary Guarantor with respect to Registration Statements pursuant to Sections 2.1 and 2.2, the Company shall:

 

(a) prepare and file with the SEC a Registration Statement, within the relevant time period specified in Section 2, on the appropriate form under the Securities Act, which form (i) shall be selected by the Company, (ii) shall, in the case of a Shelf Registration, be available for the sale of the Registrable Securities by the eligible selling Holders thereof, and (iii) shall, at the time of effectiveness, comply as to form in all material respects with the requirements of the applicable form and include or incorporate by reference all financial statements required by the SEC to be filed therewith or incorporated by reference therein, and use its commercially reasonable efforts to cause such Registration Statement to become effective and remain effective in accordance with Section 2;

 

(b) subject to the Company’s right to suspend use of a Shelf Registration Statement contained in the second paragraph of Section 2.5, prepare and file with the SEC such amendments and post-effective amendments to each Registration Statement as may be necessary under applicable law to keep such Registration Statement effective for the applicable period; and cause each Prospectus to be supplemented by any required prospectus supplement, and as so supplemented to be filed pursuant to Rule 424 (or any similar provision then in force) under the Securities Act and comply with the provisions of the Securities Act, the Securities Exchange Act and the rules and regulations thereunder applicable to them with respect to the disposition of all securities covered by each Registration Statement during the applicable period in accordance with the intended method or methods of distribution by the selling Holders thereof (including sales by any Participating Broker-Dealer); provided, however, that nothing contained herein shall imply that the Company is liable for any action or inaction of any Holder, including any Participating Broker-Dealer;

 

(c) in the case of a Shelf Registration, (i) notify each Holder of Registrable Securities, at least three business days prior to filing, that a Shelf Registration Statement (except in the case of an Automatic Shelf Registration Statement, in which case at least three business days prior to the inclusion of information regarding selling security holders in the Prospectus forming a part of such Automatic Shelf Registration Statement) with respect to the Registrable Securities is being filed and advise such Holders that the distribution of Registrable Securities will be made in accordance with the method selected by the Majority Holders participating in the Shelf Registration; (ii) furnish to each Holder of Registrable Securities, if any, without charge, as many copies of each Prospectus, including each preliminary Prospectus, and any amendment or supplement thereto and such other documents as such Holder or underwriter may reasonably request, including financial statements and schedules and, if the Holder so requests, all exhibits in order to facilitate the public sale or other disposition of the Registrable Securities; and (iii) hereby consent to the use of the Prospectus or any amendment or supplement thereto by each of the selling Holders of Registrable Securities in connection with the offering and sale of the Registrable Securities covered by the Prospectus or any amendment or supplement thereto;

 

(d) in the case of a Shelf Registration, use its commercially reasonable efforts to register or qualify the Registrable Securities under all applicable state securities or blue sky laws of such jurisdictions as any Holder of Registrable Securities covered by a Shelf Registration Statement shall reasonably request by the time the Shelf Registration Statement is declared effective by the SEC or otherwise becomes effective, and do any and all other acts and things which may be reasonably necessary or advisable to enable each such Holder to consummate the disposition in each such jurisdiction of such Registrable Securities owned by such Holder; provided, however, that the Company shall not be required to (i) qualify as a foreign corporation or as a dealer in securities in any jurisdiction where it would not otherwise be required to qualify but for this Section 3(d), (ii) take any action which would subject it to general service of process or taxation in any such jurisdiction where it is not then so subject or (iii) make any changes to its certificate of incorporation or by-laws (or other organizational documents) or any agreement between it and holders of its ownership interests;

 

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(e) notify promptly counsel for the Holders and counsel for the Dealer Managers and, with respect to clauses (i), (iii), (iv) and (v) of this paragraph only, each Holder of Registrable Securities under a Shelf Registration or any Participating Broker-Dealer who has notified the Company that it is utilizing the Exchange Offer Registration Statement as provided in paragraph (f) below and, if requested by such Holder or Participating Broker-Dealer, confirm such advice in writing promptly (i) when a Registration Statement (other than an Automatic Shelf Registration Statement) has become effective and when any post-effective amendments and supplements thereto become effective, (ii) of any request by the SEC or any state securities authority for post-effective amendments and supplements to a Registration Statement and Prospectus or for additional information after the Registration Statement has become effective, (iii) of the issuance by the SEC or any state securities authority of any stop order suspending the effectiveness of a Registration Statement or the initiation of any proceedings for that purpose, (iv) of the happening of any event or the discovery of any facts during the period a Shelf Registration Statement is effective that requires any change in the Registration Statement or Prospectus so that, as of such date, the statements therein are not misleading and do not omit to state a material fact required to be stated therein to make the statements therein not misleading (in the case of the Prospectus, in the light of the circumstances under which they were made); provided, however, that such notice need not identify the event that requires such change, and (v) of the receipt by the Company of any notification with respect to the suspension of the qualification of the Registrable Securities or the Exchange Securities, as the case may be, for sale in any jurisdiction or the initiation or threatening of any proceeding for such purpose;

 

(f) in the case of the Exchange Offer Registration Statement (i) include in the Exchange Offer Registration Statement a section entitled “Plan of Distribution” which section shall be reasonably acceptable to the Dealer Managers on behalf of the Participating Broker-Dealers, and which shall contain a summary statement of the positions taken or policies made by the staff of the SEC with respect to the potential “underwriter” status of any broker-dealer that holds Registrable Securities acquired for its own account as a result of market-making activities or other trading activities and that will be the beneficial owner (as defined in Rule 13d-3 under the Securities Exchange Act) of Exchange Securities to be received by such broker-dealer in the Exchange Offer, whether such positions or policies have been publicly disseminated by the staff of the SEC or such positions or policies, in the reasonable judgment of the Dealer Managers on behalf of the Participating Broker-Dealers and their counsel, represent the prevailing views of the staff of the SEC, including a statement that any such broker-dealer who receives Exchange Securities for Registrable Securities pursuant to the Exchange Offer may be deemed a statutory underwriter and must deliver a prospectus meeting the requirements of the Securities Act in connection with any resale of such Exchange Securities, (ii) furnish to each Participating Broker-Dealer who has delivered to the Company the notice referred to in Section 3(e), without charge, as many copies of each Prospectus included in the Exchange Offer Registration Statement, including any preliminary Prospectus, and any amendment or supplement thereto, as such Participating Broker-Dealer may reasonably request, (iii) hereby consent to the use of the Prospectus forming part of the Exchange Offer Registration Statement or any amendment or supplement thereto, by any Person subject to the prospectus delivery requirements of the SEC, including all Participating Broker-Dealers, in connection with the sale or transfer of the Exchange Securities covered by the Prospectus or any amendment or supplement thereto, and (iv) include in the transmittal letter or similar documentation to be executed by an exchange offeree in order to participate in the Exchange Offer (x) the following provision:

 

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“If the exchange offeree is a broker-dealer holding Registrable Securities acquired for its own account as a result of market-making activities or other trading activities, it will deliver a prospectus meeting the requirements of the Securities Act in connection with any resale of Exchange Securities received in respect of such Registrable Securities pursuant to the Exchange Offer;” and

 

(y) a statement to the effect that by a broker-dealer making the acknowledgment described in clause (x) and by delivering a Prospectus in connection with the exchange of Registrable Securities, the broker-dealer will not be deemed to admit that it is an underwriter within the meaning of the Securities Act;

 

(g) (i) in the case of an Exchange Offer, furnish counsel for the Dealer Managers and (ii) in the case of a Shelf Registration, furnish counsel for the Holders copies of any comment letters received from the SEC or any other request by the SEC or any state securities authority for amendments or supplements to a Registration Statement or Prospectus or for additional information;

 

(h) make every reasonable effort to obtain the withdrawal of any order suspending the effectiveness of a Registration Statement as soon as practicable;

 

(i) in the case of a Shelf Registration, furnish to each Holder of Registrable Securities upon request, and each underwriter, if any, without charge, at least one conformed copy of each Registration Statement and any post-effective amendment thereto, including financial statements and schedules (without documents incorporated therein by reference and all exhibits thereto, unless requested);

 

(j) in the case of a Shelf Registration, cooperate with the selling Holders of Registrable Securities to facilitate the timely preparation and delivery of certificates representing Registrable Securities to be sold and not bearing any restrictive legends; and enable such Registrable Securities to be in such denominations (consistent with the provisions of the Indenture) and registered in such names as the selling Holders or the underwriters, if any, may reasonably request at least three business days prior to the closing of any sale of Registrable Securities;

 

(k) in the case of a Shelf Registration, upon the occurrence of any event or the discovery of any facts, each as contemplated by Section 3(e)(iv), as promptly as practicable after the occurrence of such an event, use its commercially reasonable efforts to prepare a supplement or post-effective amendment to the Registration Statement or the related Prospectus or any document incorporated therein by reference or file any other required document so that, as thereafter delivered to the purchasers of the Registrable Securities or Participating Broker-Dealers, such Prospectus will not contain at the time of such delivery an untrue statement of a material fact or omit to state a material fact necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading; at such time as such public disclosure is otherwise made or the Company determines that such disclosure is not necessary, in each case to correct any misstatement of a material fact or to include any omitted material fact, the Company agrees promptly to notify each Holder of such determination and to furnish each Holder such number of copies of the Prospectus as amended or supplemented, as such Holder may reasonably request;

 

12

 

(l) obtain a CUSIP number for each Series of Exchange Securities not later than the effective date of a Registration Statement, and provide the Trustee with printed certificates for each Series of Exchange Securities or each Series of Registrable Securities, as the case may be, in a form eligible for deposit with the Depositary;

 

(m) unless the Indenture has been qualified under the Trust Indenture Act, (i) cause the Indenture to be qualified under the Trust Indenture Act in connection with the registration of the Exchange Securities or Registrable Securities, as the case may be, (ii) cooperate with the Trustee and the Holders to effect such changes to the Indenture as may be required for the Indenture to be so qualified in accordance with the terms of the Trust Indenture Act and (iii) execute, and use its commercially reasonable efforts to cause the Trustee to execute, all documents as may be required to effect such changes, and all other forms and documents required to be filed with the SEC to enable the Indenture to be so qualified in a timely manner;

 

(n) in the case of a Shelf Registration, enter into agreements (including, if requested, an underwriting agreement in customary form containing customary representations, warranties, terms and conditions; provided, that the Company and the Subsidiary Guarantor shall not be required to enter into such agreement more than once with respect to each Series of Registrable Securities and may delay entering into such agreement until the consummation of any underwritten public offering of debt securities which the Company and the Subsidiary Guarantor may have then undertaken) and take all other customary and appropriate actions in order to expedite or facilitate the disposition of such Registrable Securities and in such connection whether or not an underwriting agreement is entered into and whether or not the registration is an underwritten registration;

 

(o) in the case of a Shelf Registration or if a Prospectus is required to be delivered by any Participating Broker-Dealer in the case of an Exchange Offer, make available for inspection by a representative of the Holders of the Registrable Securities, any underwriters participating in any disposition pursuant to a Shelf Registration Statement, any Participating Broker-Dealer and counsel for the Holders, all relevant financial and other records, pertinent corporate documents and properties of the Company and the Subsidiary Guarantor reasonably requested by any such Persons, and use commercially reasonable efforts to have the respective officers, directors, employees, and any other agents of the Company and the Subsidiary Guarantor supply all relevant information reasonably requested by any such representative, underwriter, Participating Broker-Dealer or counsel for the Holders in connection with a Registration Statement, in each case, as is customary for similar due diligence investigations; provided, however, that any information that is designated in writing by the Company, in good faith, as confidential at the time of delivery of such information shall be kept confidential by the Holders, any underwriter, any Participating Broker-Dealer and any of their respective representatives, unless such disclosure is made in connection with a court proceeding or required by law, or such information becomes available to the public generally or through a third party without an accompanying obligation of confidentiality, provided, further, that prior notice shall be provided as practicable to the Company of the potential disclosure of any information in connection with a court proceeding or required by law to permit the Company to obtain a protective order or take such other action to prevent disclosure of such information;

 

13

 

(p) a reasonable time prior to the filing of any Exchange Offer Registration Statement or Shelf Registration Statement (other than an Automatic Shelf Registration Statement), any Prospectus forming a part thereof or of any other Prospectus covering Registrable Securities, any amendment to an Exchange Offer Registration Statement or Shelf Registration Statement or amendment or supplement to such Prospectus (other than with respect to any such amendment or supplement resulting solely from the incorporation by reference of any report filed under the Securities Exchange Act), provide copies of such document to the Dealer Managers, counsel for the Holders, if any, and make such changes in any Exchange Offer Registration Statement, Shelf Registration Statement, any such Prospectus or amendment or supplement thereto prior to the filing thereof as counsel for the Holders may reasonably request within three business days of being sent a draft thereof and make the representatives of the Company available for discussion of such documents as shall be reasonably requested by the Dealer Managers;

 

(q) in the case of a Shelf Registration, use its commercially reasonable efforts to cause the Registrable Securities to be rated by the appropriate rating agencies, if so requested by the Majority Holders, or if requested by the underwriter or underwriters of an underwritten offering of Registrable Securities, if any;

 

(r) otherwise comply with all applicable rules and regulations of the SEC and make available to its security holders, as soon as reasonably practicable, an earnings statement covering at least 12 months which shall satisfy the provisions of Section 11(a) of the Securities Act and Rule 158 thereunder; and

 

(s) cooperate and assist in any filings required to be made with FINRA.

 

In the case of a Shelf Registration Statement, the Company may (as a condition to the participation of such Holder and the beneficial owner of Registrable Securities in the Shelf Registration and in addition to any other conditions to such participation set forth in this Agreement) require each Holder of Registrable Securities to furnish to the Company prior to the 30th day following the Company’s filing of such request for information with the Trustee for delivery to the Holders such information regarding the Holder and the proposed distribution by such Holder or beneficial owner of such Registrable Securities as the Company may from time to time reasonably request in writing.

 

14

 

In the case of a Shelf Registration Statement, each Holder agrees that, upon receipt of any notice from the Company of the happening of any event or the discovery of any facts, each of the kind described in Section 3(e)(iv), such Holder will forthwith discontinue disposition of Registrable Securities pursuant to a Registration Statement until such Holder’s receipt of the copies of the supplemented or amended Prospectus contemplated by Section 3(k), and, if so directed by the Company, such Holder will deliver to the Company (at its expense) all copies in such Holder’s possession, other than permanent file copies then in such Holder’s possession, of the Prospectus covering such Registrable Securities current at the time of receipt of such notice.

 

If any of the Registrable Securities covered by any Shelf Registration Statement are to be sold in an underwritten offering, the underwriter or underwriters and manager or managers that will manage such offering will be selected by the Majority Holders of such Registrable Securities included in such offering and shall be acceptable to the Company.  No Holder of Registrable Securities may participate in any underwritten offering hereunder unless such Holder (a) agrees to sell such Holder’s Registrable Securities on the basis provided in any underwriting arrangements approved by the Persons entitled hereunder to approve such arrangements and (b) completes and executes all questionnaires, powers of attorney, indemnities, underwriting agreements and other documents required under the terms of such underwriting arrangements.

 

4. Indemnification; Contribution.

 

(a) The Company and the Subsidiary Guarantor, jointly and severally, agree to indemnify and hold harmless, each Holder (including the Dealer Managers, if applicable, and each Participating Broker-Dealer) and each Person, if any, who controls any Holder within the meaning of Section 15 of the Securities Act or Section 20 of the Securities Exchange Act as follows:

 

(i) against any and all loss, liability, claim, damage and expense, as incurred, arising out of any untrue statement or alleged untrue statement of a material fact contained in any Registration Statement pursuant to which Registrable Securities were registered under the Securities Act or the omission or alleged omission therefrom of a material fact required to be stated therein or necessary to make the statements therein not misleading, or arising out of any untrue statement or alleged untrue statement of a material fact contained in any Prospectus or the omission or alleged omission therefrom of a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading;

 

(ii) against any and all loss, liability, claim, damage and expense, as incurred, to the extent of the aggregate amount paid in settlement of any litigation, or any investigation or proceeding by any governmental agency or body, commenced or threatened, or of any claim whatsoever based upon any such untrue statement or omission, or any such alleged untrue statement or omission; provided, that any such settlement is effected with the written consent of the Company; and

 

(iii) against any and all expense, as incurred (including the reasonable fees and disbursements of counsel chosen by any indemnified party), reasonably incurred in investigating, preparing or defending against any litigation, or any investigation or proceeding by any governmental agency or body, commenced or threatened, or any claim whatsoever based upon any such untrue statement or omission, or any such alleged untrue statement or omission, to the extent that any such expense is not paid under subparagraph (i) or (ii) above;

 

15

 

provided, however, that this indemnity agreement shall not apply to any loss, liability, claim, damage or expense to the extent arising out of any untrue statement or omission or alleged untrue statement or omission made in reliance upon and in conformity with written information furnished to the Company by such Holder or any underwriter expressly for use in a Registration Statement or any Prospectus.

 

(b) Each Holder severally, but not jointly, agrees to indemnify and hold harmless the Company, the Subsidiary Guarantor and the other selling Holders, and each of their respective directors and officers, and each Person, if any, who controls the Company or any other selling Holder within the meaning of Section 15 of the Securities Act or Section 20 of the Securities Exchange Act, against any and all loss, liability, claim, damage and expense described in the indemnity contained in Section 4(a), as incurred, but only with respect to untrue statements or omissions, or alleged untrue statements or omissions, made in the Shelf Registration Statement or any Prospectus included therein in reliance upon and in conformity with written information with respect to such Holder furnished to the Company by such Holder expressly for use in the Shelf Registration Statement or such Prospectus.

 

(c) Each indemnified party shall give notice as promptly as reasonably practicable to each indemnifying party of any action or proceeding commenced against it in respect of which indemnity may be sought hereunder, but failure so to notify an indemnifying party shall not relieve such indemnifying party from any liability hereunder to the extent it is not materially prejudiced as a result thereof and in any event shall not relieve it from any liability which it may have otherwise than on account of this indemnity agreement; the indemnifying party shall assume the defense of such action or proceeding with counsel reasonably satisfactory to such indemnified party, and shall not be liable to such indemnified party under this Section 4 for any legal expenses subsequently incurred by such indemnified party in connection with the defense thereof.  An indemnified party may participate at its own expense in the defense of such action; provided, however, that counsel to the indemnified party shall not (except with the consent of the indemnifying party) also be counsel to the indemnifying party.  In no event shall the indemnifying party or parties be liable for the fees and expenses of more than one counsel (in addition to any local counsel) separate from their own counsel for all indemnified parties in connection with any one action or separate but similar or related actions in the same jurisdiction arising out of the same general allegations or circumstances.  No indemnifying party shall, without the prior written consent of the indemnified parties, settle or compromise or consent to the entry of any judgment with respect to any litigation, or any investigation or proceeding by any governmental agency or body, commenced or threatened, or any claim whatsoever in respect of which indemnification or contribution could be sought under this Section 4 (whether or not the indemnified parties are actual or potential parties thereto), unless such settlement, compromise or consent (i) includes an unconditional release of each indemnified party from all liability arising out of such litigation, investigation, proceeding or claim and (ii) does not include a statement as to or an admission of fault, culpability or a failure to act by or on behalf of any indemnified party.

 

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(d) If the indemnification provided for in this Section 4 is for any reason unavailable to or insufficient to hold harmless an indemnified party in respect of any losses, liabilities, claims, damages or expenses referred to therein, then each indemnifying party shall contribute to the aggregate amount of such losses, liabilities, claims, damages and expenses incurred by such indemnified party, as incurred, in such proportion as is appropriate to reflect the relative fault of the Company and the Subsidiary Guarantor on the one hand and the Holders on the other hand in connection with the statements or omissions which resulted in such losses, liabilities, claims, damages or expenses, and the relative benefit received by the indemnified party, on the one hand, and the indemnifying party, on the other hand, in connection with the Exchange Offer and the Shelf Registration, as well as any other relevant equitable considerations.

 

The relative fault of the Company and the Subsidiary Guarantor on the one hand and the Holders on the other hand shall be determined by reference to, among other things, whether any such untrue or alleged untrue statement of a material fact or omission or alleged omission to state a material fact relates to information supplied by the Company, the Subsidiary Guarantor or the Holders and the parties’ relative intent, knowledge, access to information and opportunity to correct or prevent such statement or omission.

 

The Company, the Subsidiary Guarantor and the Holders agree that it would not be just and equitable if contribution pursuant to this Section 4 were determined by pro rata allocation or by any other method of allocation which does not take account of the equitable considerations referred to above in this Section 4.  The aggregate amount of losses, liabilities, claims, damages and expenses incurred by an indemnified party and referred to above in this Section 4 shall be deemed to include any legal or other expenses reasonably incurred by such indemnified party in investigating, preparing or defending against any litigation, or any investigation or proceeding by any governmental agency or body, commenced or threatened, or any claim whatsoever based upon any such untrue or alleged untrue statement or omission or alleged omission.

 

No Person guilty of fraudulent misrepresentation (within the meaning of Section 11(f) of the Securities Act) shall be entitled to contribution from any Person who was not guilty of such fraudulent misrepresentation.

 

For purposes of this Section 4, each Person, if any, who controls a Holder within the meaning of Section 15 of the Securities Act or Section 20 of the Securities Exchange Act shall have the same rights to contribution as such Holder, and each director of the Company and Subsidiary Guarantor, and each Person, if any, who controls the Company or the Subsidiary Guarantor within the meaning of Section 15 of the Securities Act or Section 20 of the Securities Exchange Act shall have the same rights to contribution as the Company and the Subsidiary Guarantor.

 

5. Miscellaneous.

 

5.1. No Inconsistent Agreements.  Neither the Company nor the Subsidiary Guarantor has entered into and the Company and the Subsidiary Grantor will not after the date of this Agreement enter into any agreement which is inconsistent with the rights granted to the Holders of Registrable Securities in this Agreement or otherwise conflicts with the provisions hereof.  The rights granted to the Holders hereunder do not and will not for the term of this Agreement in any way conflict with the rights granted to the holders of the Company’s other issued and outstanding securities under any such agreements.

 

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5.2. Amendments and Waivers.  The provisions of this Agreement, including the provisions of this sentence, may not be amended, modified or supplemented, and waivers or consents to departures from the provisions hereof may not be given unless the Company and the Subsidiary Guarantor have obtained the written consent of Holders of at least a majority in aggregate principal amount of the outstanding Registrable Securities affected by such amendment, modification, supplement, waiver or departure.

 

5.3. Notices.  All notices and other communications provided for or permitted hereunder shall be made in writing by hand delivery, registered first-class mail, telex, telecopier, or any courier guaranteeing overnight delivery (a) if to a Holder, at the most current address given by such Holder to the Company by means of a notice given in accordance with the provisions of this Section 5.3, which address initially is the address set forth in the Dealer Manager Agreement with respect to the Dealer Managers; and (b) if to the Company or the Subsidiary Guarantor, initially at the Company’s address set forth in the Dealer Manager Agreement, and thereafter at such other address of which notice is given in accordance with the provisions of this Section 5.3.

 

All such notices and communications shall be deemed to have been duly given: at the time delivered by hand, if personally delivered; two business days after being deposited in the mail, postage prepaid, if mailed; when answered back, if telexed; when receipt is acknowledged, if telecopied; and on the next business day if timely delivered to an air courier guaranteeing overnight delivery.

 

Copies of all such notices, demands, or other communications shall be concurrently delivered by the Person giving the same to the Trustee under the Indenture, at the address specified in such Indenture.

 

5.4. Successor and Assigns.  This Agreement shall inure to the benefit of and be binding upon the successors, assigns and transferees of each of the parties, including, without limitation and without the need for an express assignment, subsequent Holders; provided, however, that nothing herein shall be deemed to permit any assignment, transfer or other disposition of Registrable Securities in violation of the terms of the Dealer Manager Agreement, any note or global note representing such Registrable Securities or the Indenture.  If any transferee of any Holder shall acquire Registrable Securities, in any manner, whether by operation of law or otherwise, such Registrable Securities shall be held subject to all of the terms of this Agreement, and by taking and holding such Registrable Securities such Person shall be conclusively deemed to have agreed to be bound by and to perform all of the terms and provisions of this Agreement, including the restrictions on resale set forth in this Agreement and, if applicable, the Dealer Manager Agreement, and such person shall be entitled to receive the benefits hereof.

 

5.5. Third Party Beneficiaries.  The Dealer Managers (even if each Dealer Manager is not a Holder of Registrable Securities) shall be a third party beneficiary to the agreements made hereunder by the Company and the Subsidiary Guarantor for the benefit of the Holders and shall have the right to enforce such agreements directly to the extent it deems such enforcement necessary or advisable to protect its rights or the rights of Holders hereunder.  Each Holder of Registrable Securities shall be a third party beneficiary to the agreements made hereunder between the Company and the Subsidiary Guarantor, on the one hand, and the Dealer Managers, on the other hand, and shall have the right to enforce such agreements directly to the extent it deems such enforcement necessary or advisable to protect its rights hereunder.

 

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5.6. Restriction on Resales.  Until the expiration of one year after the original issuance of the New Newmont Notes, the Company will not, and will cause its “affiliates” (as such term is defined in Rule 144(a)(1) under the Securities Act) not to, resell any New Newmont Notes which are “restricted securities” (as such term is defined under Rule 144(a)(3) under the Securities Act) that have been reacquired by any of them and shall immediately upon any purchase of any such New Newmont Notes submit such to the Trustee for cancellation.

 

5.7. Counterparts.  This Agreement may be executed in any number of counterparts and by the parties hereto in separate counterparts, each of which when so executed shall be deemed to be an original and all of which taken together shall constitute one and the same agreement.

 

5.8. Headings.  The headings in this Agreement are for convenience of reference only and shall not limit or otherwise affect the meaning hereof.

 

5.9. GOVERNING LAW.  THIS AGREEMENT SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAW OF THE STATE OF NEW YORK.

 

5.10. Severability.  In the event that any one or more of the provisions contained herein, or the application thereof in any circumstance, is held invalid, illegal or unenforceable, the validity, legality and enforceability of any such provision in every other respect and of the remaining provisions contained herein shall not be affected or impaired thereby.

 

[Signature Pages Follow]

 

19

 

IN WITNESS WHEREOF, the parties have executed this Agreement as of the date first written above.

 

	
 
    	
NEWMONT GOLDCORP CORPORATION
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
By:
    	
/s/ Joshua P. Hallenbeck
    
	
 
    	
 
    	
Name:
    	
Joshua P. Hallenbeck
    
	
 
    	
 
    	
Title:
    	
Vice President, Finance and Treasurer
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
NEWMONT USA LIMITED
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
By:
    	
/s/ Joshua P. Hallenbeck
    
	
 
    	
 
    	
Name:
    	
Joshua P. Hallenbeck
    
	
 
    	
 
    	
Title:
    	
Vice President, Finance and Treasurer
    

 

[Signature Page to Registration Rights Agreement]

 

 

	
Confirmed and accepted as of the date first   above written:
    	
 
    
	
 
    	
 
    
	
CITIGROUP GLOBAL MARKETS INC.
    	
 
    
	
 
    	
 
    	
 
    
	
By:
    	
/s/ Adam D. Bordner
    	
 
    	
 
    
	
 
    	
Name:
    	
Adam D. Bordner
    	
 
    	
 
    
	
 
    	
Title:
    	
Director
    	
 
    	
 
    

 

[Signature Page to Registration Rights Agreement]

 

 

	
Confirmed and accepted as of the date first   above written:
    	
 
    
	
 
    	
 
    
	
J.P. MORGAN SECURITIES LLC
    	
 
    
	
 
    	
 
    	
 
    
	
By:
    	
/s/ Robert Bottamedi
    	
 
    	
 
    
	
 
    	
Name: 
    	
Robert Bottamedi
    	
 
    	
 
    
	
 
    	
Title:
    	
Executive Director
    	
 
    	
 
    

 

[Signature Page to Registration Rights Agreement]Exhibit 10.2

 

LICENSE AGREEMENT

 

This License Agreement
(this “Agreement”) is made this 15th day of March, 2013, by and between Helicos Biosciences Corporation, a Massachusetts
corporation and Chapter 11 debtor-in-possession or its assignee (“Helicos” or the “Licensor”), for
the benefit of SEQLL, LLC, a Massachusetts limited liability company (the “Licensee”).

 

WITNESSETH:

 

WHEREAS, Helicos
is debtor in possession in the case under Chapter 11 of the United States Bankruptcy Code entitled In re Helicos Biosciences
Corporation, Case No. 12-19091 – FJB (the “Chapter 11 Case”), pending in the United States Bankruptcy
Court for the District of Massachusetts, Eastern Division (the “Court”).

 

WHEREAS, on March
5, 2013, Helicos filed a Motion to (i) Sell Certain Assets Free and Clear (ii) Assign Certain Obligations and (iii) Grant Non-Exclusive
License (the “Sale Motion”) [Docket No. 96] in connection with the Helicos’ Chapter 11 Case, seeking authority
(a) to sell certain equipment, supplies and related assets free and clear of liens, claims and other interests, (b) to assign certain
obligations and the right to any revenue associated therewith, and (c) to grant a non-exclusive license to certain intellectual
property owned by Helicos.

 

WHEREAS, on March 15, 2013, the United
States Bankruptcy Court for the District of Massachusetts entered an Order allowing the Sale Motion [Docket No. 112] (the “Sale
Order”).

 

WHEREAS, Helicos and the Licensee have
entered into a certain definitive term sheet (the “Term Sheet”) dated March 4, 2013, whereby Helicos shall,
among other things, license certain intellectual property owned by Helicos including patents and patent applications relating to
gene sequencing, which are listed, to the best Helicos’ knowledge without input from its intellectual counsel, in Schedule
A attached hereto (the “Intellectual Property”) to Licensee.

 

WHEREAS, Helicos
desires to license the Intellectual Property to Licensee, and Licensee wishes to obtain such a license, solely for the purpose
of allowing the Licensee to engage in contract gene sequencing, supporting Helicos’ customer base and potentially making
improvements to the Helicos’ existing technology, all on the terms and conditions below.

 

NOW THEREFORE,
in consideration of the mutual obligations set forth in the terms and conditions below, and other good and valuable consideration,
the receipt and sufficiency of which is hereby acknowledged, the parties agree as follows:

 

Section 1. Definitions

 

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

 

    	 	 	 

     

    

 

(b)         “Field”
shall mean the use of the Intellectual Property solely for the purpose of allowing the SUBLICENSEEE to engage in contract gene
sequencing, supporting HELICOS’ customer base and potentially making improvements to the HELICOS’ existing technology.

 

(c)         “Intellectual
Property” means any and all intellectual property owned by Helicos, as set forth, to the best of Helicos’ knowledge
without input from its intellectual property counsel, in Schedule A attached hereto.

 

(d)         “Licensed
Process” shall mean any process that would, in the absence of the licenses granted herein, infringe one or more Valid
and Enforceable Claim of any of the Intellectual Property.

 

(e)         “Licensed
Product” shall mean any product that would, in the absence of the licenses granted herein, infringe one or more Valid
and Enforceable Claim of any of the Intellectual Property, or, that when used, would constitute practice of a Licensed Process.

 

(f)          “Territory”
shall mean the world.

 

(g)          “Valid
and Enforceable Claim” shall mean a claim of an issued patent in the Intellectual Property that has not been held to
be invalid or unenforceable by a court or other governmental agency of competent jurisdiction over such issued patent in a proceeding
from which no appeal can be or has been taken.

 

Section 2. Grant: Helicos hereby
grants to Licensee and Licensee hereby accepts a perpetual, non-exclusive, royalty-free license (the “License”)
to use the Intellectual Property to make, have made, use, have used, offer for sale, have offered for sale, sell, have sold, import
and have imported, lease or have leased Licensed Products, and practice or have practiced Licensed Processes in the Territory
for the life of the Intellectual Property, in the Field only. Licensee shall not have the right to sub-license the Intellectual
Property to any third party or to make any assignment of this License, and any such attempted sub-license or assignment shall
constitute a material breach of this License, provided, however, that Licensee shall be deemed to license (with permission)
to each and every entity that is an Affiliate of the Licensee, but solely for the period when such entity has such status. This
License shall not include intellectual property (i) not owned by Helicos or (ii) licensed by Helicos from any third party.

 

Section 3. Enforcement of Intellectual
Property: Licensee shall have the sole and exclusive right and obligation, to enforce its rights in the Intellectual Property
against any third party infringement.

 

Section 4. No Obligations of Helicos:
Notwithstanding anything to the contrary in this License Agreement, Helicos shall have no obligation whatsoever under this License
Agreement, including to prosecute any patent application or to maintain any rights to the Intellectual Property by payment of fees
to any governmental entity.

 

    	 	2	 

     

    

 

Section 5. Term and Termination:

 

(a)         In
the event that Licensee materially defaults in the performance of its obligations hereunder, or under that certain (i) Secured
Promissory Note in the original principal amount of $500,000 from the Licensee for the benefit of Helicos, (ii) Bill of Sale by
Helicos for the benefit of the Licensee, (iii) Assignment and Assumption Agreement by and between Helicos and Licensee, (iv) Royalty
Agreement by and between Helicos and Licensee, (v) Security Agreement by and between Helicos and Licensee, (vi) letter agreement
between the Licensee, Daniel R. Jones (the “Founding Executive”) and Helicos, each of even date hereof (together, the
“Transaction Documents”), or (vii) any other agreement of Licensee that contemplates any obligation that is secured
by a first priority lien on assets of the Licensee inasmuch as such assets purchased by Licensee from Helicos, Helicos shall have
the right to give Licensee written notice requiring it to cure such default. In addition, the failure of the Founding Executive
to continue to work full-time for the Licensee shall constitute an event of default under this License Agreement. If any event
of default is not remedied within thirty (30) days after receipt of such notice, Helicos shall be entitled to terminate this License
Agreement by giving notice to take effect immediately.

 

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

 

(c)         The
parties’ respective obligations under Section 4, 5, 6, 7 and 8 shall survive termination of this Agreement, whether by expiration
or otherwise for any reason.

 

Section 6. Representations and Warranties

 

(a)         Helicos
represents and warrants to Licensee that:

 

(i)         Pursuant
to the Sale Order, it has the right to enter into this License of the Intellectual Property;

 

(b)         Licensee
represents and warrants to Helicos that:

 

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

 

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

 

    	 	3	 

     

    

 

(c)         HELICOS
PROVIDES THE LICENSE OF THE INTELLECTUAL PROPERTY TO LICENSEE ON AN “AS IS” BASIS ONLY. WITHOUT LIMITING THE FOREGOING,
HELICOS DOES NOT MAKE ANY OTHER REPRESENTATION OR WARRANTY, EXPRESSED OR IMPLIED, REGARDING THE INTELLECTUAL PROPERTY OR THE USE
THEREOF, AND HELICOS SPECIFICALLY DISCLAIMS ANY IMPLIED WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE WITH
RESPECT TO ANY SUBJECT MATTER HEREUNDER OR USE THEREOF, AND HELICOS DOES NOT ASSUME ANY RESPONSIBILITY WHATSOEVER WITH RESPECT
TO THE DESIGN, DEVELOPMENT, MANUFACTURE, USE, SALE OR OTHER DISPOSITION BY LICENSEE or LICENSEE AFFILIATE OF LICENSED PRODUCTS.
Licensee has not relied on any oral or written statements or any other materials provided by Helicos in connection with this License
Agreement and Licensee represents that the decision to enter into this License Agreement is based solely on Licensee’s independent
due diligence.

 

(d)         Helicos
shall have no liability or obligation in respect of any infringement of any patent or other right of third parties due to Licensee’s
activities under the License or otherwise. In no event shall Helicos be responsible or liable for any direct, indirect, special,
incidental, or consequential damages or lost profits or other economic loss or damage with respect to Licensed Products regardless
of the legal theory. The limitations on liability contained in this Article apply even though Helicos may have been advised of
the possibility of such damage.

 

(e)         Licensee
hereby agrees to indemnify, defend, save and hold Helicos, its members, managers, directors, officers, employees, and agents, harmless
from and against any third party claims, demands, or actions alleging or seeking recovery or other relief for any liability, cost,
fee, expense, loss, or damage arising or resulting from the use of the Intellectual Property or Licensed Products by Licensee,
its customers or end-users, however the same may arise. Licensee shall not, and shall require that its Affiliates not, make any
statements, representations or warranties whatsoever to any person or entity, or accept any liabilities or responsibilities whatsoever
from any person or entity that are inconsistent with any disclaimer or limitation included in this section.

 

(f)         Licensee
shall in the performance of any investigation, testing, and solicitation of government approvals pertaining to the use of the Intellectual
Property, exercise at least the same degree of diligence which any reasonable and prudent manufacturer exercises in the investigation,
testing, and solicitation of government approvals for an invention of similar class or utility invented by employees of and owned
by the manufacturer.

 

Section 7. Miscellaneous

 

(a)         This
License Agreement and the License granted herein shall not be assigned by Licensee, and Licensee shall not delegate its obligations
hereunder, to any party without the prior written consent of Helicos, which consent may be withheld in the sole business judgment
of Helicos.

 

(b)         This
License Agreement constitutes the entire agreement between the parties and supersedes all previous agreements, understandings and
arrangements, whether written or oral, with respect to the subject matter hereof.

 

    	 	4	 

     

    

 

(c)         No
amendments, changes, modifications or alterations of this Sub-License Agreement shall be binding upon either party unless in writing
and signed by both parties.

 

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

 

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

 

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

 

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

 

(h)         This
License Agreement and the grant of the license described herein are subject to the terms of the Bayh-Dole Act, 35 U.S.C. 200-212,
and its applicable regulations.

 

Section 8. Confidentiality

 

(a)         Licensee
and Helicos agree that the content of this License Agreement as well as any financial or other information that either party may
learn from the other during the term of this License Agreement shall be treated confidentially by both Licensee and Helicos.

 

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

 

    	 	5	 

     

    

 

Section 9. Notices

 

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

 

	If to Helicos:	HELICOS BIOSCIENCES CORPORATION
	 	c/o Murtha Cullina LLP
	 	99 High Street
	 	Boston, MA 02110, U.S.A.
	 	Attn: Daniel C. Cohn
	 	Fax: 617-210-7058
	 	 
	If to Licensee:	SEQLL, LLC
	 	866 East 5th Street
	 	Unit 2
	 	Boston, MA 02127 USA
	 	Attn: Daniel R. Jones
	 	Fax:_____________

 

Section 10. Governing Law and Jurisdiction

 

Any dispute under this License Agreement shall
be adjudicated under the laws of the Commonwealth of Massachusetts without regard to its choice of law principles. Both parties
to this License Agreement agree to submit to the exclusive jurisdiction of the Federal District Court in Massachusetts and further
agree that such court has personal jurisdiction over the parties.

 

IN WITNESS WHEREOF, this Agreement has been
duly executed and delivered by (i) a duly authorized officer of Licensee and (ii) a duly authorized officer of Helicos as of the
date first above written.

 

	 	SELLER:
	 	 	 
	 	HELICOS BIOSCIENCES CORPORATION
	 	 	 
	 	By:	 /s/ Jeffrey R. Moore
	 	 	Name: Jeffrey R. Moore
	 	 	Title: SVP & CFO

 

    	 	6	 

     

    

 

	 	Accepted and agreed: 
	 	 
	 	PURCHASER: 
	 	 
	 	SEQLL, LLC
	 	 	 
	 	By:	/s/ Daniel R. Jones
	 	 	Name: Daniel R. Jones
	 	 	Title: Manager

 

    	 	7	 

     

    

 

SCHEDULE A

Helicos US and EP Patent Portfolio as
of September 14, 2012 – Owned IP

 

Tier 1

 

	HELI #	 	Pat / App #	 	Inventor	 	Representative claim
	 	 	 	 	 	 	 
	
        HELI-

        001/01US

         

        Sequencing

        method
	 	11/167,046	 	Lapidus	 	A method of determining a sequence of a nucleic acid template, the method comprising: (a) directly or indirectly anchoring a circular nucleic acid template to a substrate; (b) copying the template to produce an amplicon, wherein one or more detectably labeled nucleotides are incorporated into the amplicon via a polymerase-mediated reaction; (c) determining a sequence of the amplicon by optically resolving individual labeled nucleotides incorporated into the amplicon; and (d) determining at least a portion of the sequence of the template based on the sequence of the amplicon.
	 	 	 	 	 	 	 
	
        HELI-

        009/06US

         

        Sequencing

        method
	 	12/400,593	 	Quake	 	A method of conducting single molecule sequencing, the method comprising: providing a device comprising a synthesis channel or a reaction chamber; introducing containing in said synthesis channel or reaction chamber reagents necessary of for a polymerase-mediated template-dependent nucleic acid synthesis reaction, comprising a plurality of templates, one or more primers, a polymerase and one or more dye-labeled nucleotides; conducting said reaction; determining a sequence of the at least one of the templates by detecting individual nucleotides incorporated into a copy of the that template immobilized on a surface; wherein one or more of the reagents is introduced in the synthesis channel or reaction chamber at a flow rate that does not cause substantial sheering shearing of nucleic acid the templates and/or dislocation of the polymerase from nucleic acid complexes.
	 	 	 	 	 	 	 
	
        HELI-

        021/02US

         

        Re-sequencing method
	 	11/928,695	 	Harris	 	A method of increasing accuracy of nucleic acid sequencing, the method comprising the steps of: a) performing a first single molecule sequencing reaction on at least a first region of a template, thereby obtaining a nucleotide sequence of at least the first region of the template; and b) performing a second single molecule sequencing reaction on at least the first region of the template to resequence the first region of the template, thereby increasing the accuracy of nucleic acid sequencing.

 

    	 	8	 

     

    

 

	
        HELI-

        025/00US

         

        Re-

        sequencing

        method
	 	7,282,337	 	Harris	 	A method of increasing accuracy of nucleic acid sequencing, the method comprising the steps of: a) exposing a duplex comprising a template and a primer to a polymerase and one or more nucleotide comprising a detectable label under conditions sufficient for template-dependent nucleotide addition to said primer, wherein said template is individually optically resolvable; b) identifying nucleotide incorporated into said primer; c) neutralizing said detectable label or removing said detectable label from said incorporated nucleotide; d) repeating steps a)-c), thereby determining a nucleotide sequence incorporated into said primer of said duplex; e) removing the template from the primer of step d); f) adding a polynucleotide to a 3’ terminus of the primer from step e) to form a template; g) exposing the template of step f) to a primer capable of hybridizing to said added polynucleotide to form template/primer duplex, and repeating steps a) through d) to sequence a portion of the template, wherein at least a portion of the sequence obtained is complementary to the nucleotide sequence of d), thereby increasing the accuracy of nucleic acid sequencing.

 

	
        HELI-

        025/00EP

         

        Re-

        sequencing

        method
	 	EP2007908	 	Harris	 	
        A method of increasing accuracy of nucleic acid sequencing, the
        method comprising the steps of:

        a) exposing a duplex comprising a template and a primer to a
        polymerase and one or more nucleotides comprising a detectable label under conditions sufficient for template-dependent
        nucleotide addition to said primer to produce an extended primer, wherein said template is individually optically resolvable
        and said primer is attached to a solid support; b) identifying nucleotide incorporated into said extended primer; c)
        repeating steps a) and b), thereby determining a nucleotide sequence; d) removing the template from the extended primer of
        step c); e) adding a polynucleotide to a 3’ terminus of the extended primer of step d) to form a template; f) exposing
        the template of step e) to a primer capable of hybridizing to said added polynucleotide to form template/primer duplex, and
        repeating steps a) through c) to sequence a portion of the template, wherein at least a portion of the sequence obtained is
        complementary to the nucleotide sequence of c), thereby increasing the accuracy of nucleic acid sequencing.

	 	 	 	 	 	 	 
	
        HELI-

        030/02US

         

        2 light source system
	 	7,276,720	 	Ulmer	 	A system for analyzing a sample, comprising: a flow cell; a passive vacuum source for pulling a volume through the flow cell; a lighting system for illuminating the sample in the flow cell; and an optical instrument for viewing the sample in the flow cell, wherein the lighting system comprises a first light source for analyzing the sample, light from the first light source defining a first optical path that intersects the sample; and a second light source operating with the first light source for determining a position of the first optical path.

 

    	 	9	 

     

    

 

	
        HELI-

        030/03US

         

        2 light source system
	 	
        7,593,109

        Deemed invalid in litigation with Illumina
	 	Ulmer	 	 A system for analyzing a sample, comprising: a flow cell; a lighting system for illuminating the sample in the flow cell; and an optical instrument for viewing the sample in the flow cell, wherein the lighting system comprises: one or more analytical light sources, each light source defining an optical path that intersects the sample; and a focusing light source operating with any one of the analytical light sources to focus said optical instrument on the sample.
	 	 	 	 	 	 	 
	
        HELI-

        030/04US

         

        2 light source system
	 	12/563,677	 	Ulmer	 	A lighting system for analyzing a sample, the system comprising: a first light source for analyzing a sample, light from the first light source defining a first optical path that intersects the sample; and a second light source operating with the first light source for determining a position of the first optical path.
	 	 	 	 	 	 	 
	
        HELI-

        030/05US
	 	8,094,312

 New IP in development	 	Ulmer	 	A system for analyzing a sample, comprising: a) a flow cell comprising a sample, wherein said sample comprises: i) nucleic acid templates, ii) primer sequences, iii) fluorescently labeled nucleotides, and iv) a polymerase; b) a computer module, wherein said computer module comprises a processor; c) an optical instrument for viewing said sample in said flow cell, wherein said optical instrument comprises an image capture device configured to: i) capture an image of said sample, and ii) send said image to said computer module for analysis; and d) a lighting system for illuminating said sample in said flow cell, wherein said lighting system comprises: i) one or more analytical light sources for illuminating said fluorescently labeled nucleotides in said sample; and ii) a focusing light source configured to focus said optical instrument on said sample.
	 	 	 	 	 	 	 
	
        HELI-

        032/00US

         

        System for reducing  spatial uniformity
	 	7,397,546	 	Weber	 	A method of increasing the detected spatial uniformity of the intensity of a beam of light from a laser in a system including the laser and a light detector, the method comprising the steps of: generating a beam of light with the laser; and moving the beam of light and the light detector relative to each other, such that the detector averages the spatial intensity of the beam of light over time.
	 	 	 	 	 	 	 
	
        HELI-

 039/01US

         

        Sequencing

        method
	 	11/067,102	 	Lapidus	 	A method for detecting nucleic acids indicative of a disease state in a
        heterogeneous sample, the method comprising the steps of: a) obtaining a heterogeneous biological sample suspected to contain
        a nucleic acid indicative of a disease state; b) conducting a single-molecule sequencing reaction on nucleic acid molecules
        in said sample, wherein said conducting comprises forming nucleic acid template / primer / polymerase complexes that are
        attached directly or indirectly to a substrate and for at least one of the complexes, detecting incorporation of a detectably
        labeled nucleotide over a plurality of cycles of incorporation, wherein the polymerase has reduced exonuclease activity and
        for the plurality of cycles of incorporation, a next labeled nucleotide is incorporated adjacent to a previously incorporated
        labeled nucleotide; c) comparing nucleic acid sequences obtained in (b) to one or more reference sequences, thereby to
        identify the nucleic acids in said sample that are indicative of a disease state; and d) determining the presence or absence
        of the nucleic acid indicative of a disease state in said sample.

 

    	 	10	 

     

    

 

	
        HELI- 040/01US

         

        Kinetic

        control

        sequencing

        method
	 	7,169,560	 	Lapidus	 	A method for sequencing a nucleic acid template, the method comprising the steps of: (a) exposing a nucleic acid template hybridized to a primer to (i) a polymerase capable of catalyzing nucleotide addition to said primer, and (ii) a labeled nucleotide that is not a chain terminating nucleotide, under reaction conditions and for a time such that on average only one nucleotide is added to said primer by said polymerase to produce an extended primer incorporating said labeled nucleotide; (b) identifying said single labeled nucleotide incorporated in step (a); (c) neutralizing label in said single labeled nucleotide incorporated in step (a); (d) repeating steps (a), (b) and (c) at least once; and (e) determining a sequence of said template based upon the order of incorporation of said labeled nucleotides.
	 	 	 	 	 	 	 
	
        HELI-

        040/02US

         

        Kinetic control sequencing method
	 	7,491,498	 	Lapidus	 	A method for sequencing a nucleic acid template, the method comprising the steps of: (a) exposing a nucleic acid template hybridized to a primer to (i) a polymerase capable of catalyzing nucleotide addition to said primer and (ii) a labeled nucleotide that is not a chain terminating nucleotide, under reaction conditions and for a period of time such that on average one to two nucleotides are added to said primer by said polymerase to produce an extended primer incorporating said labeled nucleotide; (b) washing away unincorporated nucleotides; (c) identifying said labeled nucleotides incorporated in step (a); (d) neutralizing label in any incorporated nucleotide; (e) repeating steps a, b, c, and d at least once; and (f) determining a sequence of said template based upon the order of incorporation of said labeled nucleotides, wherein said method does not utilize a blocking moiety.
	 	 	 	 	 	 	 
	HELI-

 040/03US

                                    

                                   Kinetic control sequencing method
	 	7,897,345	 	Lapidus	 	A method for sequencing a nucleic acid template, the method comprising: conducting a sequencing- by-synthesis reaction on a template nucleic acid/primer duplex, wherein the reaction is controlled such that on average no more than three nucleotides are added to the primer per incorporation cycle; and determining a sequence of the template based upon order of incorporation of the nucleotides to the primer over multiple incorporation cycles, wherein the nucleotides are not chain terminating nucleotides, and wherein the template/primer duplexes are individually optically resolvable.

 

	
        HELI-

        040/04US
	 	13/008130

 New IP in development	 	Lapidus	 	
        A method for obtaining sequence information from a
        target nucleic acid, comprising: a) immobilizing a plurality of different target nucleic acid/primer duplexes at discrete
        locations on a surface, wherein each of said target nucleic acids comprise the same adaptor sequence, and wherein each of
        said primers are hybridized to said adaptor sequence; b) contacting said plurality of immobilized target nucleic acid/primer
        duplexes with a solution comprising one or more extendible nucleotides, each nucleotide having a free 3’ hydroxyl, in
        the presence of a polymerase such that on average only one nucleotide is added by the polymerase to the 3' terminus of at
        least one of said primers in said plurality of different target nucleic acid/primer duplexes; and c) analyzing said discrete
        locations on said surface to detect the addition of said nucleotide, wherein addition of said nucleotide is indicative of the
        presence of a complementary nucleotide in the target nucleic acid, thereby obtaining sequence information from the target
        nucleic acid.

 

    	 	11	 

     

    

 

	
        HELI-

        040/05US
	 	13/008182

 New IP in development	 	Lapidus	 	A method for obtaining sequence information from a target nucleic acid, comprising: a) immobilizing a plurality of different target nucleic acid/primer duplexes at discrete locations on a surface, wherein target nucleic acid portions of said duplexes each comprise the same adaptor sequence, and wherein said primers are hybridized to said adaptor sequence; b) contacting said plurality of duplexes with a solution comprising a detectably labeled nucleotide that is not a chain terminating nucleotide and an enzyme under conditions wherein the enzyme catalyses template-dependent addition to a terminus of at least one of said primers, resulting in the addition of a labeled nucleotide to said primer, wherein the label interferes with progression of the enzyme; and c) detecting the addition to the terminus of said at least one primer wherein said addition is indicative of the presence of a complementary sequence in the target nucleic acid, and provides sequence information of the target nucleic acid.
	 	 	 	 	 	 	 
	
        HELI-

        040/06US
	 	13/008468

 New IP in development	 	Lapidus	 	A method for sequencing a nucleic acid template, the method comprising the steps of: (a) extending the primer hybridized to a nucleic acid template in a primer/template duplex by exposing said primer to (i) a polymerase capable of catalyzing nucleotide addition to said primer, and (ii) one or more extendible nucleotides each comprising a label, wherein said polymerase extends said primer by incorporation of a nucleotide; (b) identifying said nucleotide incorporated into said primer by using total internal reflection illumination and detecting an optical signal emitted by the label from the nucleotide that has been incorporated into the primer; and (c) repeating said extending and said identifying steps to determine the nucleotide sequence of the nucleic acid molecule.

 

    	 	12	 

     

    

 

	
        HELI-

        098/00US

         

        Paired-end

        reads
	 	7,767,400

                                                Claims canceled as result of reexamination process
	 	Harris	 	A method for generating paired reads from a strand of a nucleic acid duplex, the method comprising:

                           a) providing a nucleic acid template attached, either directly or indirectly, to a solid support; b) conducting a sequencing-by-synthesis reaction using detectably labeled nucleotides to obtain a first read of the template; c) synthesizing a spacer of a defined length; and d) conducting a sequencing- by-synthesis reaction using detectably labeled nucleotides to obtain a second read of the template, said second read being separated from the first read by the spacer.

	 	 	 	 	 	 	 
	HELI- 098/01EP

                                    

                                   Paired-end

        reads
	 	 09706204.6	 	Harris	 	1. A method for generating and/or using paired reads, the method
    comprising:

        a)   providing
        a nucleic acid template;

        b)   conducting
        a sequencing-by-synthesis reaction to obtain a first read of the template;

        c)   synthesizing
        a spacer of a defined length;

        d)   conducting
        a sequencing-by-synthesis reaction to obtain a second read of the template, said second read being separated from the
        first read by the spacer; and

        e)   optionally,
        resequencing the first and/or the second reads; and

        f)   optionally,
        mapping the first and second reads onto a reference sequence.

	 	 	 	 	 	 	 
	
        HELI- 112/01US

         

        RNA

        analysis

        method
	 	12/811,579	 	Causey	 	A method for analyzing RNA transcripts, the method comprising sequencing a first strand cDNA via single-molecule sequencing thereby obtaining transcript information, wherein the method does not comprise a step of RNA or cDNA amplification.

 

    	 	13	 

     

    

 

Tier 2

 

	HELI #	 	Pat / App #	 	Inventor	 	Representative Claim
	 	 	 	 	 	 	 
	
        HELI-

        004/00US

         

        Nucleotide

        composition
	 	6,255,475	 	Kwiatkowski	 	
        A compound of the structure I:

         

        

         

        Or a salt thereof, wherein: B is a nucleobase, X and Z
        independently are oxygen or sulphur, Y is hydrogen or a protected or unprotected hydroxy, R1 is hydrocarbyl,
        which optionally is substituted with a functional group selected from the group consisting of tertiary amino, nitro, cyano
        and halogen, R2 is hydrogen hydrocarbyl, which optionally is substituted with a functional group selected from
        the group consisting of tertiary amino, nitro, cyano and halogen, A is an electron withdrawing or electron donating group
        capable of moderating the acetyl stability of the compound I, L1 and L2 are hydrocarbon linkers,
        which may be the same or different, L2, when present, being either (I) connected to L1 via the group
        A, or (ii) directly connected to L1, the group A then being connected to one of linkers L1 and L2,
        F is a dye label, Q is a coupling group for F, and 1, m and n independently are 0 or 1, with the proviso that I is 1 when
        m is 1, and 1 is 1 and m is 1 when n is 1.

	 	 	 	 	 	 	 
	
        HELI- 005/01US

         

        Nucleotide

        composition
	 	7,767,805	 	Buzby	 	A nucleotide analog monomer, wherein the monomer comprises a plurality of detectable labels attached thereto.
	 	 	 	 	 	 	 
	
        HELI-

        007/00US

         

        Nucleotide

        composition
	 	7,678,894	 	Siddiqi	 	A nucleotide analog, comprising: A nitrogenous base; A linker attached at the N4, N6, O4, or O6 of said nitrogeneous base; and A detectable label attached to said nitrogenous base via said linker, wherein said linker comprises a cleavable bond such that a native nucleotide monophosphate is regenerated upon incorporation of said analog into a nucleic acid duplex.

 

    	 	14	 

     

    

 

	
        HELI-

        007/01US

         

        Nucleotide

        composition
	 	12/705,120	 	Siddiqi	 	
        A nucleotide analog, the analog comprising: a nitrogenous base;
        a linker attached at the O4 or O6 of the nitrogenous base; and a moiety attached to the nitrogenous base via the linker.

         

        A nucleotide analog, the analog comprising: a nitrogenous base;
        a linker attached at the N4 or N6 of the nitrogenous base; and a moiety attached to the nitrogenous base via the linker, wherein
        the linker comprises a cleavable bond such that a native nucleotide monophosphate is regenerated upon incorporation of the analog
        into a nucleic acid duplex.

	 	 	 	 	 	 	 
	
        HELI- 007/01EP

         

        Nucleotide

        composition
	 	8755743.5	 	Siddiqi	 	A nucleotide analog, comprising: A nitrogenous base; A linker attached at the N4, N6, O4, or O6 of said nitrogeneous base; and An optically detectable label attached to said nitrogenous base via said linker.
	 	 	 	 	 	 	 
	
        HELI-

        008/00US

         

        Sequencing

        method
	 	11/540,617	 	Kahvejian	 	A method for detecting a small RNA molecule in a.biological sample comprising the steps of: a) modifying a 3’ end of a small RNA molecule contained in the biological sample with an adaptor, wherein the adaptor comprises a homopolymer region and the small RNA molecule is selected from the group consisting of siRNA, stRNA, heterochromatic siRNA, tiny non-coding RNA, and miRNA; b) attaching the modified small RNA molecule to a surface wherein individual small RNA molecules are positioned on the surface such that individual small RNA molecules are individually optically resolvable; and c) analyzing the attached modified small RNA molecule, wherein at least one nucleotide is identified in at least one attached modified small RNA molecule, thereby detecting a small RNA molecule in a biological sample.
	 	 	 	 	 	 	 
	
        HELI-

        010/01US

         

        Method for stabilizing sequencing reactions
	 	11/843,712	 	Buzby	 	A method for stabilizing a nucleic acid sequencing reaction, the method comprising the steps of: exposing a mixture comprising nucleic acid templates, a polymerase, a primer, and at least one nucleotide to single-stranded nucleic acid binding proteins positioned on a substrate, support, surface, or array; wherein said single-stranded nucleic acid binding protein binds to said template.
	 	 	 	 	 	 	 
	
        HELI-

        012/00US

         

        Sequence

        Data

        analysis

        method
	 	7,424,371	 	Kamentsky	 	A method of comparing nucleic acid sequences, wherein all of the following steps are performed on a computer, the method
    comprising: providing a nucleic acid sequence obtained from a sample and including at least one homopolymer region;
    collapsing each of the homopolymer regions to a single nucleotide to form a representative sample sequence without
    homopolymer regions; and comparing the representative sample sequence to at least one of a plurality of collapsed reference
    nucleic acid sequences without homopolymer regions to determine whether the representative sample sequence matches one of the
    plurality of reference nucleic acid sequences; and providing results of the comparing step to a user.

 

    	 	15	 

     

    

 

	
        HELI-

        016/00US

         

        Sequencing

        method
	 	11/292,528	 	Buzby	 	A method of sequencing a nucleic acid, the method comprising the steps of: a) introducing a single cell into a chamber of a flow cell; b) treating said cell to cause nucleic acids to be released; c) immobilizing released nucleic acids on a surface of the flow cell; d) introducing primers and polymerases into said chamber such that they are exposed to said nucleic acids under conditions suitable for forming template/primer/polymerase systems duplexes; and e) conducting a sequencing reaction using said template/primer/polymerase systems duplexes, wherein the sequencing reaction comprises observing the systems in order to detect whether extension of the primer has occurred.
	 	 	 	 	 	 	 
	
        HELI-

        018/04US

         

        Sequencing apparatus - configured flow cell
	 	11/928,799	 	Lawson	 	A device for use in single molecule sequencing of one or more nucleic acids in a sample, the device comprising a flow cell defining a plurality of individually isolated channels through which fluid can flow, the flow cell also defining an inlet port and an outlet port for each of the channels, at least a portion of an internal surface of at least one of the channels including a material to facilitate binding of at least one compound to the internal surface of the channel, wherein the bound compound is optically-isolated from other bound compounds in the channel and the compound is capable of hybridizing with one or more nucleic acids in the sample.
	 	 	 	 	 	 	 
	
        HELI-

        018/05US

         

        Sequencing apparatus - configured flow cell
	 	11/997,382	 	Lawson	 	A device for use in single molecule sequencing of one or more nucleic acids in a samples, the device comprising a flow cell defining a plurality of individually isolated channels through which fluid can flow, the flow cell also defining an inlet port and an outlet port for each of the channels, at least a portion of an internal surface of at least one of the channels including a material to facilitate binding of at least one compound to the internal surface of the channel, wherein the bound compound is optically-isolated from other bound compounds in the channel and the compound is capable of binding with one or more nucleic acids in of the sample
	 	 	 	 	 	 	 
	
        HELI-

        029/00US

         

        Sequencing apparatus - liquid storage apparatus
	 	7,753,095	 	Kiani	 	A liquid storage apparatus for use in connection with microfluidic volume analyzing equipment, comprising: a plurality of containers, each container including a top pierceable septum and a bottom pierceable septum and each container including a liquid therewithin; a lower array of needles, each of the lower needles for penetrating the bottom pierceable septum of a different one of the containers, each lower needle including a passage through which the liquid in the pierced container flows out of the container; and an upper array of needles, each of the upper needles for penetrating the top pierceable septum of a different one of the containers, each upper needle including a passage through which a gas flows into the container to occupy space in the container created by the flow of the liquid out of the container.

 

    	 	16	 

     

    

 

	
        HELI-

        038/02US
	 	13/101672	 	Quake	 	A method of increasing accuracy of nucleic acid sequencing, the method comprising the steps of: a) exposing a duplex comprising a template and a primer to a polymerase and one or more nucleotides comprising a detectable label under conditions sufficient for template-dependent nucleotide addition to said primer, the primer being hybridized to a first region of the template; b) identifying nucleotide incorporated into said primer; c) repeating steps a) and b), thereby determining a nucleotide sequence; d) removing the primer from the template; e) exposing the template to a second primer capable of hybridizing to the first region of the template to form a template/primer duplex, and repeating steps a) through c) to resequence a portion of the template, thereby increasing the accuracy of nucleic acid sequencing.
	 	 	 	 	 	 	 
	
        HELI-

        041/01US

         

        Attachment

        methods
	 	7,635,562	 	Harris	 	A method for conducting a chemical reaction on a surface, the method comprising the steps of: attaching a plurality of first nucleic acid molecules via covalent linkages to reactive chemical groups on a surface; blocking the surface using a blocking solution comprising potassium phosphate; conducting a chemical reaction between said first nucleic acid molecules and second reactant molecules comprising an optically detectable label wherein said conducting step comprises exposing said nucleic acid to a primer under conditions sufficient to extend said nucleic acid by at least one base; rinsing unincorporated optically labeled nucleotides from the surface; and observing individually optically resolvable labels incorporated in the one or more first nucleic acids on the surface.
	 	 	 	 	 	 	 
	
        HELI-

        041/01EP

         

        Attachment

        methods
	 	05798447.8	 	Harris	 	
        1. A method for conducting a chemical reaction on a surface, the
        method comprising the steps of:

        attaching a plurality of first nucleic acid molecules to reactive
        epoxide groups on a surface via either (i) covalent linkages or (ii) indirectly by means of a biotin-streptavidin binding pair,
        with biotin covalently attached to the surface ;

        blocking the surface using a blocking solution
        comprising potassium phosphate;

        conducting a chemical reaction using second
        reactant molecules comprising an optically detectable label, thereby incorporating said second reactant molecules;

        rinsing unincorporated optically labelled second
        reactant molecules from the surface; and

        observing individually optically resolvable
        labels on the surface.

 

    	 	17	 

     

    

 

	
        HELI-

        041/02US

         

        Attachment

        methods
	 	12/618,991	 	Harris	 	A method for conducting a chemical reaction on a surface, the method comprising the steps of: attaching first reactant molecules to a surface; blocking said surface to reduce attachment to said surface of molecules other than said first reactant molecules conducting a chemical reaction between said first reactant molecules and second reactant molecules comprising an optically-detectable label; rinsing said surface to remove unreacted second reactant molecules; and observing label associated with second reactant molecules on said surface after said rinsing step.
	 	 	 	 	 	 	 
	
        HELI-

        046/00US

         

        Sequencing

        methods
	 	7,666,593	 	Lapidus	 	A method for obtaining sequence information from a nucleic acid, the method comprising the steps of: capturing target nucleic acids with a sequence-specific capture probe to produce a target/probe duplex; melting said target/probe duplex to release said target nucleic acids; annealing a primer to the target nucleic acids to produce a target/primer duplex; attaching said target/primer duplex to a surface such that at least a portion of said target/primer duplex is individually optically resolvable; introducing a polymerase and at least one nucleotide species comprising an optically-detectable label under conditions sufficient for template-dependent nucleotide addition; removing unincorporated nucleotide; and identifying nucleotide species incorporated into the extended primer, thereby obtaining sequence information from said target.
	 	 	 	 	 	 	 
	
        HELI- 046/01US

         

        Sequencing

        methods
	 	12/708,153	 	Lapidus	 	A method for obtaining sequence information from a nucleic acid, the method comprising the steps of: introducing a sample comprising at least one target nucleic acid and other non-target molecules to at least one sequence-specific capture probe to produce target/probe duplexes; separating at least one of the duplexes from the non-target molecules; exposing the separated duplexes to at least one labeled nucleotide in the presence of a polymerase capable of catalyzing addition of the nucleotide to the duplex in a template-dependent manner, wherein the probe acts as a primer; and detecting incorporation of the nucleotide into the probe portion, thereby obtaining sequence information from the nucleic acid.
	 	 	 	 	 	 	 
	
        HELI-

 047/01US

         

        Sequencing

        methods
	 	11/496,063	 	Harris	 	
        A method for single molecule nucleic acid sequencing,
        the method comprising: covalently bonding to a surface a plurality of individually optically resolvable duplexes comprising a
        nucleic acid template and a primer hybridized thereto; conducting a template-dependent sequencing reaction mediated by a
        polymerase to extend primers of the plurality of said optically resolvable duplexes by at least three consecutive detectably
        labeled nucleotides; and detecting the addition of the labeled nucleotides to the plurality of said optically resolvable
        duplexes thereby to determine the sequence of at least three consecutive bases of respective said templates with an accuracy
        of detection at least 70% over the length of the consecutive bases and with respect to a reference sequence.

 

    	 	18	 

     

    

 

	
        HELI-

        050/00US

         

        Nucleotide

        composition
	 	7,476,734	 	Liu	 	
        A nucleotide analog having the structure:

         

        

         

        wherein X1 is OH or PO4; X2
        is H or OH; B is selected from the group consisting of a purine, a pyrimidine and derivatives thereof; CH=CHNHC(O)OC2H4NHCH2SO2
        is a linker; and X3 is O or S.

	 	 	 	 	 	 	 
	
        HELI-

        081/00US

         

        Method of equalizing amounts of nucleic acid
        targets in a sample
	 	7,790,391	 	Harris	 	A method of equalizing amounts of nucleic acid targets in a sample, the method comprising: a) contacting a plurality of probes with a sample comprising a plurality of targets; b) capturing the plurality of nucleic acid targets with the plurality of probes; c) optionally, amplifying the captured targets using the plurality of probes; d) determining an initial range of amounts of different captured nucleic acid targets; and e) repeating steps a), b), and c) if performed, at starting concentrations of the probes adjusted to reduce said initial range, thereby producing a final sample.
	 	 	 	 	 	 	 
	
        HELI- 099/01US

         

        Surface

        preparation

        method
	 	12/024,584	 	Schwartz	 	A method for preparing a surface for chemical analysis, the method comprising the steps of: providing a surface comprising a coating for binding an optically-labeled analyte; and depositing said analyte on said surface such that individual analyte molecules are spaced apart by a distance equal to at least the diffraction limit for said optical label.
	 	 	 	 	 	 	 
	
        HELI-

        109/00US

         

        Method With

        particular

        nucleotide

        composition
	 	12/098,196	 	Efcavitch	 	A method for sequencing a nucleic acid, the method comprising the steps of: exposing a nucleic acid duplex comprising a
    template portion and a primer portion to a nucleotide analog comprising an inhibitor that is charged or capable of becoming
    charged, and a polymerase, under conditions that permit template-dependent incorporation of the analog into the primer;
    detecting incorporation of the analog; removing or neutralizing the inhibitor; and repeating the exposing, detecting, and
    removing steps at least once, thereby to determine the sequence of the template.

 

    	 	19	 

     

    

 

	
        HELI-

 109/01US

         

        Nucleotide

        composition
	 	12/244,698	 	Siddiqi	 	
        A nucleotide analog of the following Formula II:

         

        

         

        Wherein NTP is a nucleoside or nucleotide triphosphate, or an analog
        thereof, capable of incorporating onto the 3' end of a polynucleotide strand hybridized to a template presenting the complement
        of the NTP; L is a detectable label that facilitates the identification, of the nucleotide analog;

         

        Inhibitor comprises (a) one or more multiply charged groups or
        groups capable of becoming multiply charged, or (b) two or more singly charged groups or two or more groups capable of becoming
        singly charged; R1 comprises a cleavable bond, which upon cleavage results in de-association of NTP from both L and
        Inhibitor; R2 is a tri-valent radical having the formula:

         

        

         

        Wherein R2’ is a tri-valent radical, and
        R2’’ is a bi-valent radical selected from:—(CH2)x—, — (CH2—O)x—,
        —(CH2—O)z—(CH2)y—, — (CH2)z
        —(CH2—O)y—, and the same substituted with one or more groups selected from
        hydroxyl, halogen, amino, thiol, (C1-C6) alkyl, wherein x, y and z are each integers with x and
        y+z are each from 2 to 10;R3 is a bond or group linking R2 to the Inhibitor moiety; and R4
        is a bond or group linking R2 to a L.

 

    	 	20	 

     

    

 

	
        HELI-

        109/02US
	 	13/283220	 	Efcavitch	 	A method for sequencing a nucleic acid, the method comprising the steps of: exposing a nucleic acid duplex comprising a template portion and a primer portion to a nucleotide analog comprising an inhibitor that is charged or capable of becoming charged, and a polymerase, under conditions that permit template-dependent incorporation of the analog into the primer; detecting incorporation of the analog; removing or neutralizing the inhibitor; and repeating the exposing, detecting, and removing steps at least once, thereby to determine the sequence of the template.
	 	 	 	 	 	 	 
	
        HELI-

        125/00US

         

        Nucleotide . composition
	 	12/631,074	 	Efcavitch	 	A nucleotide analog comprising a detectable label attached to a nitrogenous base portion by a cleavable linker, wherein contact of the analog with at least one activating agent results in cleavage of the label and elimination of the linker, thereby producing a natural nucleotide, a 9-deaza-G, 9-deaza-A, or ψ-uridine.
	 	 	 	 	 	 	 
	
        HELI-

        127/00US

         

        Sequencing

        method
	 	6,524,829	 	Seeger	 	A method for base sequencing of DNA or RNA comprising the following steps: (1) immobilizing DNA or RNA single strands on a planar surface; (2) focusing a laser beam on a single, immobilized single strand; (3) producing a DNA or RNA complementaiy strand of said immobilized, focused single strand by adding a solution containing (i) a mixture of nucleotides of the bases adenine, cytosine, guanine and thymine for producing a DNA complementary strand or a mixture of nucleotides of the bases adenine, cytosine, guanine and uracil for producing a RNA complementary strand and (ii) a polymerase, wherein at least two of the four nucleotides of the bases adenine, cytosine, guanine, and thymine, or at least two of the four nucleotides of the bases adenine, cytosine, guanine, or uracil are partially or fully luminescence-tagged, said step (3) further comprising (a) detecting each insertion of a luminescence-tagged nucleotide into the complementary strand with a single-molecule detector, and (b) deleting the luminescence signal of the luminescence-tagged nucleotide after detection and prior to insertion of the respective next luminescence-tagged nucleotide, thereby base sequencing DNA or RNA.

 

    	 	21	 

     

    

 

	
        HELI-

        127/00EP
	 	EP1117831	 	Seeger	 	Process for base sequencing of DNA or RNA, comprising the steps:
	 	 	 	 	 	 	 
	
        Sequencing

        method
	 	 	 	 	 	
        (1) immobilising DNA or RNA single strands
        on a surface in a surface density of < 1 molecule/μm2

        (2) focussing a laser beam on a single, immobilised
        single strand;

        (3) producing a DNA or RNA complementary strand
        of the immobilised, focussed single strand by adding a solution containing (i) a mixture of nucleotides of the bases adenine, cytosine,
        guanine and thymine to produce a DNA complementary strand or a mixture of nucleotides of the bases adenine, cytosine, guanine

         

        and uracil to produce an RNA complementary strand and (ii) a polymerase,

         

        3a) wherein at least two of the four nucleotides of the
        bases adenine, cytosine, guanine and thymine or at least two of the four nucleotides of the bases adenine, cytosine, guanine and
        uracil are luminescence-labelled completely or partially differently,

        3b) each insertion of a luminescence-labelled nucleotide
        into the complementary strand is detected using a single-molecule detector, and

        3c) before the insertion of the particular next luminescence-labelled
        nucleotide, the luminescence signal of the preceding luminescence-labelled nucleotide is quenched.

 

    	 	22	 

     

    

 

	
        HELI-

        129/00US

         

        RNA

        Sequencing

        method
	 	61/251,966	 	Ozsolak	 	A method for analyzing cellular nucleic acid, the method comprising the steps of: capturing RNA from a
    lysed cell onto a substrate; producing a cDNA/RNA duplex; removing the RNA from the cDNA/RNA duplex; priming the cDNA to
    produce a primer/cDNA duplex; exposing the primer/cDNA duplex to at least one detectably labeled nucleotide in the presence
    of a polymerase capable of catalyzing addition of the nucleotide to the primer/cDNA duplex; detecting incorporation of the
    nucleotide into the primer portion; and repeating the exposing and detecting steps at least once.
	 	 	 	 	 	 	 
	
        HELI-

        129/01US
	 	12/904683	 	Ozsolak	 	A method for analyzing cellular nucleic acid, the method comprising the steps of: capturing RNA from a lysed cell onto a substrate; producing a cDNA/RNA duplex; removing the RNA from the cDNA/RNA duplex; priming the cDNA to produce a primer/cDNA duplex; exposing the primer/cDNA duplex to at least one detectably labeled nucleotide in the presence of a polymerase capable of catalyzing addition of the nucleotide to the primer/cDNA duplex; detecting incorporation of the nucleotide into the primer portion; and repeating the exposing and detecting steps at least once.
	 	 	 	 	 	 	 
	
        HELI-

        1002/02US
	 	13/125932	 	Joseph	 	A method for increasing recovery of an analyte in a sample, comprising providing a mechanism for sample recircularization in a flow cell device using a reactive vessel, such that the analyte in the sample has two or more exposures to the reactive vessel.
	 	 	 	 	 	 	 
	
        HELI-

        1004/02US
	 	13/127669	 	Steinmann	 	A method for sequencing a nucleic acid, the method comprising: contacting a nucleic acid duplex comprising a primer nucleic acid hybridized to a template nucleic acid with a polymerase enzyme in the presence of a first detectably labeled nucleotide under conditions that permit the polymerase to add nucleotides to the primer in a template-dependent manner, wherein a unique oligonucleotide sequence is attached to the template nucleic acid so that the template nucleic acid may be differentiated from other template nucleic acid molecules; detecting a signal from the incorporated labeled nucleotide; and sequentially repeating the contacting and detecting steps at least once, wherein sequential detection of incorporated labeled nucleotide determines the sequence of the nucleic acid.
	 	 	 	 	 	 	 
	HELI- 1005/01US	 	12/616883	 	Lipson	 	A method for reducing over-representation of nucleic acid fragment ends, comprising: a. blocking the 3'-OH of a nucleic acid molecule; b. fragmenting the nucleic acid molecule to produce one or more unblocked 3'-OH; c. modifying the one or more unblocked 3'-OH; d. anchoring the modified nucleic acid fragments to a solid support; and e. determining at least a portion of the sequence of the nucleic acid molecule.

 

    	 	23	 

     

    

 

	
        HELI-

        1006/01US
	 	12/618251	 	Joseph	 	A method for sample performance analysis which comprises: a. attaching an enzyme directly or indirectly to a nucleic acid; b. anchoring nucleic acid to a surface; c. adding a substrate; d. determining the amount of substrate enzymatically converted to detectable product; and e. comparing the product produced compared to a nucleic acid standard, thereby calibrating the nucleic acid performance relative to a standard.
	 	 	 	 	 	 	 
	HELI- 1007/01US	 	12/625115	 	Lipson	 	A method for selective priming during reverse transcription of RNA to cDNA, comprising contacting an RNA sample with one or more primer oligonucleotides, wherein said primer oligonucleotides are comprised of one or more oligonucleotide sequences which hybridize specifically to mRNA.
	 	 	 	 	 	 	 
	
        HELI-

        1009/01US
	 	12/629174	 	Buzby	 	A method comprising exposing a functional substrate to (i) a biological mixture including at least one optically detectable moiety, and (ii) a competitor effective to reduce non-specific adsorption of the detectable moiety to the functional substrate.

 

    	 	24	 

     

    

 

Tier 3

 

	HELI#	 	Pat / App#	 	Inventor	 	Representative Claim
	 	 	 	 	 	 	 
	
        HELI- 003/00US

         

        Nucleotide composition 
	 	6,309,836	 	Kwiatkowski	 	A method for sequencing a nucleic acid comprising the steps of: a) contacting a target nucleic acid with a primer under conditions wherein said primer anneals to said target nucleic acid in a sequence specific manner and wherein at least a portion of said primer is complementary to a portion of said target nucleic acid; b) incorporating a hydrocarbyldithiomethyl-modified nucleotide into said primer; and c) detecting incorporation of said hydrocarbyldithiomethyl- modified nucleotide, wherein said hydrocarbyldithiomethyl-modified nucleotide is complementary to said target nucleic acid at said hydrocarbyldithiomethyl-modified nucleotide's site of incorporation thereby identifying the sequence of one nucleobase of said target nucleic acid.
	 	 	 	 	 	 	 
	
        HELI-

        003/00EP

         

        Nucleotide

        composition
	 	EP1218391	 	Kwiatkowski	 	
        A dithiomethyl-_modified compound comprising the Formula:

         

        Rl-O-_CH2-S-_S-_R2

         

        or a salt thereof, wherein R1 is chosen from modified or unmodified
        amino acids, peptides, proteins, carbohydrates, sterols, steroids, ribonucleosides, ribonucleotides, base- and/or sugar-modified
        ribonucleosides, base- and/or sugar-modified ribonucleotides, deoxyribonucleosides, deoxyribonucleotides, base- and/or sugar-modified
        deoxyribonucleosides, and base- and/or sugar-modified deoxyribonucleotides; and R2 is chosen from saturated and unsaturated  hydrocarbons,
        straight- and branched-chain aliphatic hydrocarbons, cyclic hydrocarbons, aromatic hydrocarbons, heterocyclic hydrocarbons, heteroaromatic
        hydrocarbons, and substituted hydrocarbons such as hydrocarbons containing heteroatoms and/or other functional modifying groups.

	 	 	 	 	 	 	 
	
        HELI-

        003/01US

         

        Nucleotide

        composition
	 	6,639,088	 	Kwiatkowski	 	
        A hydrocarbyldithiomethyl-modified compound comprising the formula:

         

        

         

        or a salt thereof, wherein R1 is an organic
        molecule;         Rl, R2, and R4 are together or separately H, hydrocarbyl, or a residue of
        a solid support; and         said R2 comprises a fluorescent labeling group.

 

    	 	25	 

     

    

 

	
        HELI-

        003/02US

         

        Nucleotide

        composition
	 	7,279,563	 	Kwiatkowski	 	
        A hydrocarbyldithiomethyl-modified compound comprising the formula:

         

        

         

        or a salt thereof, wherein R1 is H, a protecting group,
        phosphate, diphosphate, triphosphate, or residue of a nucleic acid; R2 is a nucleobase; R3 is H, OH, or a
        protected form of OH; and R4, R5 and R6 are together or separately H, hydrocarbyl, or a residue
        of a solid support.

	 	 	 	 	 	 	 
	
        HELI-

        006/02US

         

        Nucleotide

        composition
	 	11/929,084	 	Siddiqi	 	
        A nucleoside triphosphate analog comprising a chemical structure
        within the following formula:

         

        

 

    	 	26	 

     

    

 

	
        HELI-

        043/00US

         

        Method for inhibiting nucleotide misincorporati
        on
	 	7,482,120	 	Buzby	 	A method for inhibiting nucleotide misincorporation in a nucleic acid synthesis reaction, the method comprising conducting a polymerization reaction on a nucleic acid duplex comprising a template and a primer in the presence of a nucleic acid polymerase, a first detectably labeled nucleotide corresponding to a first nucleotide species complementary to the position opposite the incorporation site at the 3' terminus of the primer, a second nucleotide of a different species, and at least one nucleotide derivative, each of the nucleotide derivatives corresponding to a different nucleotide species than the first nucleotide species, wherein each nucleotide derivative comprises a modification that inhibits formation of a phosphodiester bond between the nucleotide derivative and a free 3' hydroxyl on a primer nucleotide.

 

    	 	27

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