Document:

Exhibit 10.1

 

ROYALTY AGREEMENT

This Royalty Agreement ("Agreement") is made as of October 1, 2013 (“Effective Date”) by and between Asterias Biotherapeutics, Inc., a Delaware corporation (“Asterias”), and Geron Corp., a Delaware corporation (“Geron”).

RECITALS

WHEREAS, Asterias, BioTime, Inc. and Geron have entered into that certain Asset Contribution Agreement, dated January 4, 2013 (the “Asset Contribution Agreement”), pursuant to which Geron has transferred and assigned certain patents and patent applications to Asterias in exchange for shares of Asterias common stock; and

WHEREAS, Asterias has agreed to enter into this Agreement and pay to Geron royalties on product sales and a share of royalties received from third party licensees on the sale products covered by the Geron patents, on the terms and conditions of this Agreement.

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

ARTICLE 1 ‐ DEFINITIONS

Capitalized terms used but not otherwise defined herein shall have the respective meanings ascribed to them in the Asset Contribution Agreement.   The following defined terms shall have the meanings ascribed to them in this Article 1:

1.1            “Affiliate” means, with respect to Geron or Asterias, any corporation, limited liability company, limited partnership or other entity in control of, controlled by, or under common control with such party.

1.2            “Combination Product” means any Product which includes one or more active ingredients other than a Product in combination with a Product, including a fixed-dose combination product.

1.3            “Confidential Information” means any and all information that is contained in any report under Section 3.1, or disclosed by Asterias or any of its Affiliates to Geron or its Representatives in connection with any audit under Section 3.2.

1.4            "Contributed Patents" means all of the patents, patent applications and patent rights to inventions identified on Schedule 1 and all active prosecution cases related thereto.

1.5            “Excluded Product” means any Product covered by one or more patents licensed to or from Geron under the cross-license among Geron, ES Cell International Pte Ltd. and Cell Cure Neurosciences, Ltd.

1.6            “First Commercial Sale” means the first sale for end-use or consumption of a Product.

1.7            "Net Sales" means the total gross amount invoiced and paid to Asterias or any Affiliate of Asterias for sales or transfers of Products to an unrelated third party anywhere in the world,

 

(a) less deductions for:

 

(i)            freight, postage and duties and transportation charges directly related to the Products sold (including handling and insurance with respect thereto);

 

(ii)            sales, value added and excise taxes or customs paid, and any other similar governmental charges imposed upon the sale of the Products that are not recoverable;

 

(iii)            allowances, chargebacks or credits actually granted by Asterias or its Affiliates to end-users not in excess of the selling price of Products, on account of rejection, outdating, recalls or return of Products; and

 

 

(iv)            rebates, reimbursements, fees or similar payments:  (1) to wholesalers and other distributors, pharmacies and other retailers, buying groups (including group purchasing organizations), health care insurance carriers, pharmacy benefit management companies, health maintenance organizations, hospitals, clinics, government agencies or authorities or other institutions or health care organizations; or (2) to patients and other third parties arising in connection with any program applicable to Products under which the Asterias or its Affiliates provide to low income, uninsured or other patients the opportunity to obtain one or more Products at a reduced cost.

For the avoidance of doubt, if a single item falls into more than one of the categories set forth in clauses “(a)(i)” through “(a)(iv)” above, such item may not be deducted more than once.  For purposes of determining Net Sales, a Product shall be deemed to be sold when invoiced.

  

(b) Net Sales for any Combination Product in a country shall be calculated as follows:

 

(i)            Where all active ingredients in such Combination Product are sold separately in the country, Net Sales shall be calculated by multiplying actual Net Sales of such Combination Product in such country as determined above by the fraction A/(A+B), where A is the net invoice price of the Product as sold separately in such country, and B is the sum of the net invoice prices of the other active ingredients in the combination.

 

(ii)            If the Product component of the Combination Product is sold separately in the country, but none of such other active ingredient(s) is sold separately in such country, Net Sales for the purpose of determining royalties due hereunder for the Combination Product will be calculated by multiplying actual Net Sales of such Combination Product by the fraction A/C, where A is the net invoice price of such Product component as sold separately, and C is the net invoice price of the Combination Product.

2

(iii)            If the Product component of the Combination Product is not sold separately in the country, but the other active ingredient(s) are sold separately in such country, Net Sales for the purpose of determining royalties due hereunder for the Combination Product will be calculated by multiplying actual Net Sales of such Combination Product by the fraction (C-D)/C, where: C is the net invoice price, in such country, for the Combination Product, and D is the sum of the net invoice prices charged for the other active ingredients in the Combination Product.

 

(iv)            If none of the Product component and the other active ingredients are sold separately in the country, Net Sales for the purposes of determining royalties due hereunder for the Combination Product will be determined by mutual agreement of the parties, according to the formula D/(D+E), where D is the fair market value of the portion of the Combination Products that contains the Product, and E is the fair market value of the portion of the Combination Product containing the other active ingredients in such Combination Product.  In applying the foregoing formulas, Asterias (or its Affiliate if the sale was by an Affiliate) shall act in good faith and accordance with Asterias’ (or its Affiliate if the sale was by an Affiliate) regular accounting methods, consistently applied.

 

(c) If a Product is sold for consideration other than cash, the Net Sales from such sale shall be deemed the then fair market value of such Product.

1.8            “Partially Excluded Product” means any Product which includes one or more Products that are not Excluded Products in combination with one or more Excluded Products.

1.9            "Product" means any composition or product the manufacture, use, sale, offer for sale, or importation of which would constitute, but for ownership or licensed rights to use one or more of the Contributed Patents, an infringement of any Valid Claim under one or more Contributed Patents.  The term “Product”, as used herein, shall include Combination Products.

1.10         “Representatives” means, with respect to Geron or Asterias, such party’s Affiliates and its and their respective officers, directors, employees, agents, attorneys, accountants and advisors.

1.11         “Sales Agent” means any distributor, independent sales representative, consignee or other agent retained in writing by Asterias or any Affiliate of Asterias for the purpose of selling Products on behalf of Asterias and Asterias’ Affiliates.  For the avoidance of doubt, the foregoing shall not include collaborators, partners or sublicensees of Asterias or Asterias’ Affiliates who sell Products other than on behalf of Asterias or Asterias’ Affiliates.

1.12         "Term" means the period of time beginning on the Effective Date and ending on the expiration or termination date of the last Valid Claim such that no Valid Claims remain in effect in any country.

3

1.13         “Valid Claim” shall mean a claim of an issued and unexpired patent included within the Contributed Patents, which has not been held permanently revoked, unenforceable or invalid by a decision of a court or other governmental agency of competent jurisdiction, unappealable or unappealed within the time allowed for appeal, and which has not been admitted to be invalid or unenforceable through reissue or disclaimer or otherwise.

For purposes of this Agreement, except as otherwise expressly provided herein or unless the context otherwise requires:  (a) the use herein of the plural shall include the single and vice versa and the use of the masculine shall include the feminine; (b) unless otherwise set forth herein, the use of the terms “including,” “includes,” or “include” means “including but not limited to,” “includes but is not limited to,” or “include but not be limited to,” respectively; and (c) the words “herein,” “hereof,” “hereunder” and other words of similar import refer to this Agreement as a whole and not to any particular provision.  Additional terms may be defined throughout this Agreement.

ARTICLE 2- ROYALTIES

2.1                          Royalties.

 

(a)            Commencing on the First Commercial Sale of each Product by Asterias, an Affiliate of Asterias, or a Sales Agent, Asterias shall pay Geron a royalty in the amount of four percent (4%) of Net Sales of such Product.

 

(b)            In the case of sales of Products by any individual or entity other than a Sales Agent, Asterias or any Affiliate of Asterias (any such individual or entity, a “non-Affiliate”) where Asterias or any Affiliate of Asterias receives a royalty or other cash payment in respect of such Product sales, Asterias shall pay Geron fifty percent (50%) of all such royalties and other cash payments received by Asterias or such Affiliate of Asterias in respect to such Product sales; provided, however, that royalties or other such payments derived from the sales of Combination Products shall be calculated on the basis set forth for Net Sales for Combination Products specified in clauses “(b)(i)” to “(b)(iv)” of Section 1.7.   The parties acknowledge and agree that in no event will Asterias pay Geron an amount in excess of any royalty or other cash payment received by Asterias or such Affiliate of Asterias, less all cash payments owed by Asterias or such Affiliate of Asterias to third parties, in each case, with respect to such Product sales.

 

(c)            Geron will not be entitled to receive any royalties or other cash payments pursuant to this Agreement with respect to Excluded Products that are not  Partially Excluded Products.  With respect to Partially Excluded Products, any royalty on Net Sales pursuant to Section 2.1(a) or royalty or other cash payment derived  from the sales of any Partially Excluded Products pursuant to Section 2.1(b) shall be calculated on the basis set forth for Net Sales for Combination Products specified in clauses “(b)(i)” to “(b)(iv)” of Section 1.7 as if the Excluded Product(s) (together with any other active ingredient(s) that are not Products in the event that such Partially Excluded Product also constitutes a Combination Product) were the active ingredients that are not Products.

4

(d)            Asterias’ obligation to pay royalties or other cash payments on Net Sales, or with respect to royalties or other cash payments received from any non-Affiliate with respect to any Product, shall expire on a country by country basis upon the expiration of the last to expire Valid Claim covering such Product in any country where the Product is sold.

 

(e)            Geron will not be entitled to receive any payments under this Section 2 with respect to any payments or reimbursements received by Asterias, any Affiliate of Asterias or any Sales Agent for advertising or similar marketing and promotional expenses.

ARTICLE 3 – REPORTS, RECORDS AND PAYMENTS

3.1                          Reports.  After the First Commercial Sale of a Product, Asterias shall submit to Geron quarterly reports within sixty (60) days after the end of each calendar quarter. Each report shall set forth Product sales by Asterias and each of its Affiliates in the most recently completed calendar quarter, and shall show:

 

    (a)            the gross sales and Net Sales (including all deductions used to calculate Net Sales, and the amounts of each such deduction) during the most recently completed calendar quarter and the royalties, in US dollars, payable with respect thereto;

 

(b)            the amount of each Product sold; and

 

(c)            any amounts due and payable to Asterias during the most recently completed calendar quarter, in US dollars, on account of Products sold by non-Affiliates, where Asterias received a royalty or other cash payment on Product sales; and

 

(d)            the exchange rates used to convert foreign currencies into US dollars.

If no Products have been sold by Asterias and its Affiliates and no royalties or other cash payments have been received by Asterias or its Affiliates with respect to Products sold by non-Affiliates during any reporting period, Asterias shall so report.

3.2                          Records & Audits.

 

(a)            Asterias shall keep, and shall require its Affiliates to keep, accurate and correct records of all Products sold.  Asterias shall also keep accurate and correct records of all royalties received on account of Products sold by non-Affiliates where Asterias receives a royalty or other cash payment on Product sales.  Such records shall be retained by Asterias for at least three (3) years following a given reporting period.

5

(b)            All records described in Section 3.2(a) shall be available during normal business hours for inspection at the expense of Geron by a certified public accountant selected by Geron and in compliance with the other terms of this Agreement for the sole purpose of verifying reports and payments due. Such inspector shall not disclose to Geron any information other than information relating to the accuracy of reports and payments made under this Agreement, and shall sign a reasonably acceptable confidentiality agreement with Asterias obligating such inspector to retain such information in confidence pursuant to such confidentiality agreement. In the event that any such inspection shows an under reporting and underpayment in excess of five percent (5%) for any twelve-month (12-month) period, then Asterias shall pay the cost of the audit as well as any additional sum that would have been payable to Geron had the Asterias reported correctly, plus an interest charge at a rate of rate per annum 300 basis points over the “prime rate” (as announced by Bank of America or any successor thereto) in effect on the date such overdue amount was originally required to be paid. Such interest shall be calculated from the date the correct payment was due to Geron up to the date when such payment is actually made by Asterias or an Affiliate. For underpayment not in excess of five percent (5%) for any twelve-month (12-month) period, Asterias shall pay the difference within thirty (30) days without interest charge or inspection cost.

 

(c)            Asterias acknowledges and agrees that, due to the unique nature of the records subject to audit under Section 3.2(b), Geron would be incapable of verifying reports and payments made by Asterias pursuant to this Agreement without access to such records, that there may be no adequate remedy at law for any breach of Asterias’ obligations under Section 3.2(b), and therefore, that upon any breach thereof by Asterias, Geron shall be entitled to seek appropriate equitable relief in addition to whatever remedies it might have at law.

3.3                          Payments.

 

(a)            All royalties due Geron shall be paid in United States dollars.  When Net Sales or royalties are denominated in currencies other than United States dollars, Asterias shall first determine the royalty in the currency of the country in which Products were sold or royalties were paid and then convert the amount into equivalent United States dollars, using the exchange rate published on Bloomberg at 5:00pm California time on the last business day of the applicable period in question or in the Wall Street Journal on such date if not so published on Bloomberg.

 

(b)            Asterias shall pay all payments due hereunder quarterly within sixty (60) calendar days after the end of each calendar quarter. Each such payment shall be for earned payments accrued within Asterias 's most recently completed calendar quarter.

ARTICLE 4– TERM AND TERMINATION

 

This Agreement shall be effective on the Effective Date and shall terminate on the expiration of the Term.  Asterias’ obligation under this Article 4 shall survive termination of this Agreement as follows: (a) with respect to paying royalties and providing reports, until the last required quarterly report has been provided and all royalties due with respect to Net Sales or royalties received by Asterias from non-Affiliates with respect to sales of Products during the Term have been paid; (b) with respect to Geron’s right to audit the books and records of Asterias and its Affiliates, for a period of one year, and (c) with respect to retaining books and records of Product sales and royalties received, for three years.

6

ARTICLE 5 - CONFIDENTIALITY

 

5.1            During the Term and for a period of three (3) years thereafter, Geron shall not disclose any Confidential Information to any third party (other than Geron’s Representatives who have a need to know such Confidential Information) or use such Confidential Information to compete with Asterias; provided, however, that this Section 5.1 shall not restrict Geron from performing any obligation or exercising any right under this Agreement and shall not restrict Geron’s individual Representatives from using Residual Knowledge.  For purposes of this Agreement, “Residual Knowledge” means ideas, concepts, know-how, or techniques related to the Confidential Information that are retained in the unaided memories of the Geron’s individual Representatives who have had access to the Confidential Information.  An individual Representative’s memory is considered unaided if the employee has not intentionally memorized the relevant Confidential Information for the purpose of retaining and subsequently using or disclosing it.  Geron shall not direct any of its individual Representatives to use or practice any Residual Knowledge.  In protecting the Confidential Information from unauthorized disclosure to any third party, Geron shall use at least the same degree of care as it uses in preventing the unauthorized disclosure of its own confidential information.

5.2            Notwithstanding anything contained herein to the contrary, Confidential Information shall not include information that: (a) is or becomes publicly available (other than through a breach of this Agreement); (b) was known to or in the possession of Geron or any of its Representatives at the time of disclosure to Geron by any Representative of Asterias or by any Representative of any Affiliate of Asterias; (c) is independently developed or acquired by Geron or any of its Representatives without the use of Confidential Information; (d) is disclosed with the prior written approval of Asterias or any of its Representatives; or (e) becomes known to Geron or its Representatives from a third party  (other than a former officer, director or employee of Geron or its Affiliates who knew such information during the term of their office, directorship or employment with Geron or its Affiliates) on a nonconfidential basis without breach of this Agreement by Geron.

5.3            Notwithstanding anything contained herein to the contrary, Geron shall be permitted to disclose Confidential Information to the extent required by law or pursuant to the order or legal process of a court, administrative agency, or other governmental body (including by deposition, interrogatory, request for documents, subpoena, civil investigation, demand or similar process), or any rule, regulation, policy statement or other formal demand of any national securities exchange, market or automated quotation system; provided, that, to the extent permitted by applicable law or any order or requirement of a court, administrative agency or other governmental body, Geron will, as promptly as practicable, provide Asterias with prior written notice of such requirement so that Asterias may seek a protective or other order at its sole expense, or waive compliance with the terms of this Agreement with respect to such disclosure.  If such protective order is not timely obtained, or if Asterias waives compliance with the provisions hereof or fails to promptly respond to Geron’s written notice, Asterias will, without liability under this Agreement, furnish only that portion of the Confidential Information that it is advised by its outside legal counsel is legally required and will exercise commercially reasonable efforts to obtain assurance that confidential treatment, if available, will be accorded such Confidential Information.  Notwithstanding anything to the contrary contained herein, Geron may disclose Confidential Information to the extent required by federal or state securities laws or reporting obligations to the United States Securities and Exchange Commission.

7

5.4            Except as required by law, including but not limited to federal and state securities laws or reporting obligations to the United States Securities and Exchange Commission, or pursuant to the order or requirement of a court, administrative agency or other governmental body (including by deposition, interrogatory, request for documents, subpoena, civil investigation, demand or similar process), or any rule, regulation, policy statement or other formal demand of any national securities exchange, market or automated quotation system, neither Geron nor Asterias shall publicly disclose any terms and conditions of this Agreement unless expressly authorized to do so in writing by the other party, which authorization shall not be unreasonably withheld.  This restriction shall not apply with respect to any terms and conditions of this Agreement that are or become publicly available (other than through a breach of this Agreement).

5.5            Each of Geron and Asterias acknowledge and agree that due to the unique nature of the Confidential Information and the terms and conditions of this Agreement, there may be no adequate remedy at law for any breach of its obligations under this Article 5, and therefore, that upon any breach thereof by the other party, Geron or Asterias shall be entitled to seek appropriate equitable relief in addition to whatever remedies it might have at law.

ARTICLE 6- NOTICES AND OTHER COMMUNICATIONS

Any notice or other communication required to be given to any party will be deemed to have been properly given and to be effective (a) on the date of delivery if delivered by hand, air courier delivery service, confirmed facsimile transmission, or confirmed electronic mail, or (b) four days after being deposited in the United States Mail, certified first class postage prepaid, in each case if sent to the respective addresses, FAX number or email address given below, or to another address as it shall designate by written notice given to the other party in the manner provided in this Article.

 

	
                  

	
In the case of Asterias:  

	
Asterias Biotherapeutics, Inc.

	
 

	
 

	
301 Harbor Bay Parkway, Suite 100

	
 

	
 

	
Alameda, California 94502

	
 

	
 

	
FAX:  (510) 521-3389

	
 

	
 

	
Attention:  Thomas Okarma, Chief Executive Officer

 

	
                   

	
In the case of Geron:    

	
Geron Corporation

	
 

	
 

	
149 Commonwealth Drive

	
 

	
 

	
Menlo Park, CA 94024

	
 

	
 

	
FAX:  (650) 473-7750

	
 

	
 

	
Attention:  Vice President, Legal

8

ARTICLE 7 – GOVERNING LAW AND JURISDICTION

7.1            This Agreement and all claims or causes of action (whether in contract or tort or otherwise) based upon, arising out of or related to this Agreement or the transactions contemplated hereby shall be governed by and construed in accordance with the laws of the State of California without regard to conflict of laws principles that would result in the application of any law other than the laws of the State of California.  Except as provided for in Section 7.2, each of Geron and Asterias: (a) consents to and submits to the exclusive jurisdiction and venue of the Superior Court of the State of California for the  County of Santa Clara of the State of California or the United States District Court for the Northern District of California, in any Proceeding arising out of or relating to this Agreement or any of the transactions contemplated by this Agreement; (b) agrees that all claims in respect of any such Proceeding shall be heard and determined in any such court; (c) shall not attempt to deny or defeat such personal jurisdiction by motion or other request for leave from any such court; and (d) shall not bring any Proceeding arising out of or relating to this Agreement or any of the transactions contemplated by this Agreement in any other court.  Each of Geron and Asterias waives any defense of inconvenient forum to the maintenance of any Proceeding so brought and waives any bond, surety or other security that might be required of any other Person with respect thereto.  Each of Geron and Asterias hereby agrees that service of any process, summons, notice or document in accordance with the provisions of Article 6 shall be effective service of process for any Proceeding arising out of or relating to this Agreement or any of the transactions contemplated hereby.  TO THE EXTENT PERMITTED BY APPLICABLE LAW, EACH OF THE PARTIES HERETO IRREVOCABLY WAIVES ANY AND ALL RIGHT TO TRIAL BY JURY IN ANY ACTION, SUIT OR OTHER LEGAL PROCEEDING ARISING OUT OF OR RELATED TO THIS AGREEMENT.

7.2            Notwithstanding anything to the contrary contained in this Agreement, any claim (other than a claim for injunctive or other equitable relief from a court of competent jurisdiction in accordance with Section 7.1) for any breach of Geron’s or Asterias’ obligations or covenants under this Agreement (“Claim”) shall be brought and resolved exclusively in accordance with the provisions of Schedule 10.10(b) of the Asset Contribution Agreement and shall otherwise be governed by the applicable provisions of this Article 7 as if Geron or Asterias were bringing such Claim as a Geron Indemnitee or Asterias Indemnitee, respectively, thereunder; provided, however, that nothing in this Section 7.2 shall prevent any party from seeking injunctive and other equitable relief from a court of competent jurisdiction in compliance with Section 7.1 hereof.

7.3            In the event that any party to this Agreement becomes aware of any event or circumstance that would reasonably be expected to constitute or give rise to any Claim for Damages, the party having the right to bring such Claim (“Claimant”) shall take all commercially reasonable efforts to mitigate and minimize all Damages that may result from the breach giving rise to the Claim (it being understood that nothing in this Agreement shall limit such Claimant’s right to seek recovery from the other party with respect to any costs of such mitigation).  Each Claimant shall use reasonable efforts to collect any amounts available under insurance coverage for any Damages for which a Claim may be brought under this Agreement.  The amount of any Damages for which a Claim may be brought shall be net of any amounts recovered by the Claimant under insurance policies with respect to such Damages in excess of the sum of:  (i) reasonable out-of-pocket costs and expenses relating to collection under such policies; and (ii) any deductible associated therewith to the extent paid or by which insurance proceeds were reduced.  “Damages” shall mean any  damage, loss, liability, cost, judgment, award, fee (including any legal fee, expert fee, accounting fee or advisory fee) or expense; provided, however, that in no event shall Damages include any special, indirect, incidental or consequential damages except in the case of a violation of Section 5.1.

9

7.4            Subject to any injunction or other equitable remedies that may be available to any party, a party shall not be liable or responsible in any manner whatsoever to the other party with respect to the matters contemplated by this Agreement other than for Claims brought as provided in this Article 7 and subject to the limitations contained therein; provided, however, that no Claim against a party for fraud by such party shall be subject to the limitations of this Article 7.

ARTICLE 8 ‐ MISCELLANEOUS PROVISIONS

8.1            Nothing herein shall be deemed to constitute either party as the agent or representative of the other party.

8.2            The parties hereto acknowledge that this Agreement sets forth the entire Agreement and understanding of the parties hereto as to the subject matter hereof, and shall not be subject to any change or modification except by the execution of a written instrument subscribed to by the parties hereto.

8.3            The provisions of this Agreement are severable, and in the event that any provisions of this Agreement shall be determined to be invalid or unenforceable under any controlling body of the law, such invalidity or unenforceability shall not in any way affect the validity or enforceability of the remaining provisions hereof.

8.4            The failure of either party to assert a right hereunder or to insist upon compliance with any term or condition of this Agreement shall not constitute a waiver of that right or excuse a similar subsequent failure to perform any such term or condition by the other party.

8.5            This Agreement, and the rights and obligations of Asterias under this Agreement, may not be assigned by Asterias except: (a) with the prior written consent of Geron; (b) in connection with a merger or consolidation of Asterias; or (c) an assignment by Asterias in connection with a sale of all or substantially all of the Contributed Patents.  Geron may freely assign this Agreement or any of its rights and obligations under this Agreement; provided, that Geron provides to Asterias a written agreement executed by the assignee agreeing to be bound by all of the terms and conditions of this Agreement in place of the assignor.  Subject to the provisions of this Section 8.5, this Agreement shall inure to the benefit of Geron, Asterias and their respective successors and permitted assigns.

[THE REMAINDER OF THIS PAGE IS INTENTIONALLY LEFT BLANK]

10

IN WITNESS WHEREOF, the parties have duly executed this Agreement as of the Effective Date set forth above.

 

 

	
ASTERIAS BIOTHERAPEUTICS, INC.

	
 

	
 

	
 

	
 

	 		
	
By: 

	
s/Thomas Okarma

	
 

	
 

	
Thomas Okarma, Chief Executive Officer

	
 

 

 

	
GERON CORPORATION

	
 

	
 

	
 

	
 

	 		
	
By: 

	
s/John Scarlett

	
 

	
 

	
John Scarlett, Chief Executive Officer

	
 

[SIGNATURE PAGE TO ROYALTY AGREEMENT]

SCHEDULE 1

CONTRIBUTED PATENTS

Notwithstanding anything contained in the Royalty Agreement to the contrary, patents and patent applications marked “(CONSENT REQUIRED)” in this Schedule shall be deemed included on this Schedule and shall be subject to the Royalty Agreement as Contributed Patents only if Geron shall have obtained the prior express written consent of the University of Edinburgh under that certain Research and License Agreement, dated as of May 3, 1999, by and among the Roslin Institute (as predecessor-in-interest to the University of Edinburgh), Geron and Roslin Bio-Med, Ltd. (as predecessor-in-interest to Geron), as amended on October 1, 2002, September 3, 2003 and July 1, 2005, to assign or otherwise transfer such patents and patent applications to Asterias.

 

Geron-Owned Stem Cell Status Report - Active Cases

 

	
 

	
TITLE

	
COUNTRY

	
APPLICATION NUMBER

	
FILING DATE

	
PATENT 

NUMBER

	
ISSUE DATE

	
STATUS

	
ADDL. 

ASSIGNEE

/ JOINT

OWNER

	
061/005

	
Methods and Materials for the Growth of Primate-Derived Primordial Stem Cells in Feeder-Free Culture

	
US

	
09/530,346

	
24-Apr-00

	
6,800,480

	
5-Oct-04

	
Issued

	
 

	
061/006D

	
Feeder-Free Culture Method for Embryonic Stem Cells

	
US

	
10/330,873

	
24-Dec-02

	
7,413,902

	
19-Aug-08

	
Issued

	
 

	
061/235AU

	
Methods and Materials for the Growth of Primate-Derived Primordial Stem Cells in Feeder-Free Culture

	
AU

	
12771/99

	
23-Oct-98

	
729377

	
17-May-01

	
Issued

	
 

	
061/236CA

	
Methods and Materials for the Growth of Primate-Derived Primordial Stem Cells in Feeder-Free Culture

	
CA

	
2307807

	
23-Oct-98

	
2,307,807

	
2-Sep-08

	
Issued

	
 

 

	
061/237EP

	
Methods and Materials for the Growth of Primate-Derived Primordial Stem Cells in Feeder-Free Culture

	
EP

	
98956192.3

	
23-Oct-98

	
 

	
 

	
Pending

	
 

	
061/238JP

	
Methods and Materials for the Growth of Primate-Derived Primordial Stem Cells in Feeder-Free Culture

	
JP

	
2000-517062

	
23-Oct-98

	
3880795

	
17-Nov-06

	
Issued

	
 

	
061/239JP D

	
Methods and Materials for the Growth of Primate-Derived Primordial Stem Cells in Feeder-Free Culture

	
JP

	
2000-185486

	
23-Oct-98

	
3880778

	
17-Nov-06

	
Issued

	
 

	
061/241HK

	
Methods and Materials for the Growth of Primate-Derived Primordial Stem Cells

	
HK

	
01100775

	
23-Oct-98

	
 

	
 

	
Pending

	
 

	
081/002C

	
Dendritic Cell Vaccine Containing Telomerase Reverse Transcriptase for the Treatment of Cancer

	
US

	
09/675,321

	
29-Sep-00

	
6,440,735

	
27-Aug-02

	
Issued

	
 

	
081/003P

	
Method for Identifying and Killing Cancer Cells

	
US

	
10/208,243

	
30-Jul-02

	
7,402,307

	
22-Jul-08

	
Issued

	
 

	
081/004D

	
Cellular Telomerase Vaccine and Its Use for Treating Cancer

	
US

	
11/413,838

	
27-Apr-06

	
7,824,849

	
2-Nov-10

	
Issued

	
 

	
081/202CA

	
Dendritic Cell Vaccine Containing Telomerase Reverse Transcriptase for the Treatment of Cancer

	
CA

	
2347067

	
30-Mar-99

	
 

	
 

	
Pending

	
 

 

2

	
081/206CH

	
Methods and Compositions for Eliciting an Immune Response to a Telomerase Antigen

	
CH

	
999161938

	
30-Mar-99

	
1068296

	
10-Aug-11

	
Issued

	
 

	
081/207DE

	
Methods and Compositions for Eliciting an Immune Response to a Telomerase Antigen

	
DE

	
999161938

	
30-Mar-99

	
1068296

	
10-Aug-11

	
Issued

	
 

	
081/208FR

	
Methods and Compositions for Eliciting an Immune Response to a Telomerase Antigen

	
FR

	
999161938

	
30-Mar-99

	
1068296

	
10-Aug-11

	
Issued

	
 

	
081/209GB

	
Methods and Compositions for Eliciting an Immune Response to a Telomerase Antigen

	
GB

	
999161938

	
30-Mar-99

	
1068296

	
10-Aug-11

	
Issued

	
 

	
081/210IT

	
Methods and Compositions for Eliciting an Immune Response to a Telomerase Antigen

	
IT

	
999161938

	
30-Mar-99

	
1068296

	
10-Aug-11

	
Issued

	
 

	
090/004D

	
Use of TGF Beta Superfamily Antagonists to Make Dopaminergic Neurons from Embryonic Stem Cells

	
US

	
11/010,230

	
10-Dec-04

	
7,560,281

	
14-Jul-09

	
Issued

	
 

	
090/005C

	
Neural Cell Populations from Primate Pluripotent Stem Cells

	
US

	
12/477,726

	
3-Jun-09

	
8,252,586

	
28-Aug-12

	
Issued

	
 

 

3

	
090/006C

	
Use of TGF Beta Superfamily Antagonists and Neurotrophins to Make Neurons from Embryonic Stem Cells

	
US

	
12/500,998

	
10-Jul-09

	
8,153,428

	
10-Apr-12

	
Issued

	
 

	
090/007C

	
Neural Cell Populations from Primate Pluripotent Stem Cells

	
US

	
13/561,296

	
30-Jul-12

	
 

	
 

	
Pending

	
 

	
091/004

	
cDNA Libraries Reflecting Gene Expression During Growth and Differentiation of Human Pluripotent Stem Cells

	
US

	
09/688,031

	
10-Oct-00

	
6,667,176

	
23-Dec-03

	
Issued

	
 

	
091/009C

	
Use of Human Embryonic Stem Cells for Drug Screening and Toxicity Testing

	
US

	
10/039,956

	
23-Oct-01

	
7,041,438

	
9-May-06

	
Issued

	
 

	
091/011P

	
Embryonic Stem Cells Having Genetic Modifications

	
US

	
10/948,956

	
24-Sep-04

	
7,413,904

	
19-Aug-08

	
Issued

	
 

	
091/030P

	
Culture System for Rapid Expansion of Human Embryonic Stem Cells

	
US

	
10/235,094

	
4-Sep-02

	
7,410,798

	
12-Aug-08

	
Issued

	
 

	
091/031D

	
Medium for Growing Human Embryonic Stem Cells

	
US

	
10/873,922

	
21-Jun-04

	
7,297,539

	
20-Nov-07

	
Issued

	
 

	
091/033P

	
Medium for Growing Human Embryonic Stem Cells

	
US

	
10/949,181

	
24-Sep-04

	
7,455,983

	
25-Nov-08

	
Issued

	
 

	
091/037C

	
Culture System for Rapid Expansion of Human Embryonic Stem Cells

	
US

	
12/170,219

	
9-Jul-08

	
 

	
 

	
Pending

	
 

 

4

	
091/038C

	
Culture System for Rapid Expansion of Human Embryonic Stem Cells

	
US

	
12/710,078

	
22-Feb-10

	
 

	
 

	
Pending

	
 

	
091/039C

	
Culture System for Rapid Expansion of Human Embryonic Stem Cells

	
US

	
12/763,884

	
20-Apr-10

	
8,097,458

	
17-Jan-12

	
Issued

	
 

	
091/040C

	
Culture System for Rapid Expansion of Human Embryonic Stem Cells

	
US

	
13/323,567

	
12-Dec-11

	
 

	
 

	
Pending

	
 

	
091/051

	
Suspension Culture of Human Embryonic Stem Cells

	
US

	
11/917,993

	
18-Dec-07

	
 

	
 

	
Pending

	
 

	
091/201AU

	
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells

	
AU

	
11128/01

	
10-Jan-01

	
751321

	
5-Dec-02

	
Issued

	
 

	
091/202IL

	
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells

	
IL

	
141742

	
10-Jan-01

	
141742

	
10-Dec-06

	
Issued

	
 

	
091/204JP D

	
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells

	
JP

	
2001-138021

	
10-Jan-01

	
4919445

	
10-Feb-12

	
Issued

	
 

	
091/205SG

	
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells

	
SG

	
200101413-3

	
10-Jan-01

	
79595

	
31-Dec-08

	
Issued

	
 

	
091/206IN

	
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells

	
IN

	
00361/CHENP/2001

	
10-Jan-01

	
219103

	
25-Apr-08

	
Issued

	
 

 

5

	
091/207CA

	
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells

	
CA

	
2388811

	
10-Jan-01

	
2,388,811

	
6-Oct-09

	
Issued

	
 

	
091/209EP

	
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells

	
EP

	
01900997.6

	
10-Jan-01

	
 

	
 

	
Pending

	
 

	
091/211HK

	
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells

	
HK

	
03107166

	
10-Jan-01

	
 

	
 

	
Pending

	
 

	
091/212IL D

	
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells

	
IL

	
177324

	
10-Jan-01

	
177324

	
30-Mar-12

	
Issued

	
 

	
091/217IN D2

	
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells

	
IN

	
4588/CHENP/2006

	
10-Jan-01

	
238318

	
28-Jan-10

	
Issued

	
 

	
091/218CN D

	
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells

	
CN

	
200910129670.2

	
10-Jan-01

	
 

	
 

	
Pending

	
 

	
091/219EP D

	
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells

	
EP

	
10175090.9

	
10-Jan-01

	
 

	
 

	
Pending

	
 

	
091/220HK

	
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells

	
HK

	
11106881.6

	
10-Jan-01

	
 

	
 

	
Pending

	
 

	
091/301AU

	
Culture System for Rapid Expansion of Human Embryonic Stem Cells

	
AU

	
2002323593

	
5-Sep-02

	
2002323593

	
11-Oct-07

	
Issued

	
 

 

6

	
091/303UK

	
Culture System for Rapid Expansion of Human Embryonic Stem Cells

	
GB

	
0404910.2

	
5-Sep-02

	
2394723

	
20-Jul-05

	
Issued

	
 

	
091/304EP

	
Culture System for Rapid Expansion of Human Embryonic Stem Cells

	
EP

	
02757586.9

	
5-Sep-02

	
 

	
 

	
Pending

	
 

	
091/305IL

	
Culture System for Rapid Expansion of Human Embryonic Stem Cells

	
IL

	
160403

	
5-Sep-02

	
160403

	
17-Sep-10

	
Issued

	
 

	
091/306JP

	
Culture System for Rapid Expansion of Human Embryonic Stem Cells

	
JP

	
2003-525623

	
5-Sep-02

	
 

	
 

	
Pending

	
 

	
091/307SG

	
Culture System for Rapid Expansion of Human Embryonic Stem Cells

	
SG

	
200400924-7

	
5-Sep-02

	
102946

	
31-May-06

	
Issued

	
 

	
091/314EP D

	
Culture System for Rapid Expansion of Human Embryonic Stem Cells

	
EP

	
10174954.7

	
5-Sep-02

	
 

	
 

	
Pending

	
 

	
091/315IL D

	
Culture System for Rapid Expansion of Human Embryonic Stem Cells

	
IL

	
204178

	
5-Sep-02

	
 

	
 

	
Pending

	
 

	
091/316JP D

	
Culture System for Rapid Expansion of Human Embryonic Stem Cells

	
JP

	
2009-271501

	
5-Sep-02

	
 

	
 

	
Pending

	
 

	
091/317HK

	
Culture System for Rapid Expansion of Human Embryonic Stem Cells

	
HK

	
11106437.5

	
5-Sep-02

	
 

	
 

	
Pending

	
 

 

7

	
091/402EP

	
Medium for Growing Human Embryonic Stem Cells

	
EP

	
05775294.1

	
13-Jul-05

	
 

	
 

	
Pending

	
 

	
091/403AU

	
Medium for Growing Human Embryonic Stem Cells

	
AU

	
2005271723

	
13-Jul-05

	
2005271723

	
31-Mar-11

	
Issued

	
 

	
091/404UK

	
Medium for Growing Human Embryonic Stem Cells

	
GB

	
0702793.1

	
13-Jul-05

	
2431165

	
1-Apr-09

	
Issued

	
 

	
091/405IL

	
Medium for Growing Human Embryonic Stem Cells

	
IL

	
180447

	
13-Jul-05

	
180447

	
1-Feb-12

	
Issued

	
 

	
091/406SG

	
Medium for Growing Human Embryonic Stem Cells

	
SG

	
200700160-5

	
13-Jul-05

	
128950

	
30-Jun-09

	
Issued

	
 

	
091/407HK

	
Medium for Growing Human Embryonic Stem Cells

	
HK

	
07110996.6

	
13-Jul-05

	
1103106

	
17-Jul-09

	
Issued

	
 

	
091/408EP D

	
Medium for Growing Human Embryonic Stem Cells

	
EP

	
10180759.2

	
13-Jul-05

	
 

	
 

	
Pending

	
 

	
091/501AU

	
Suspension Culture of Human Embryonic Stem Cells

	
AU

	
2006262369

	
20-Jun-06

	
2006262369

	
18-Oct-12

	
Issued

	
 

	
091/502CA

	
Suspension Culture of Human Embryonic Stem Cells

	
CA

	
2613369

	
20-Jun-06

	
 

	
 

	
Pending

	
 

	
091/503EP

	
Suspension Culture of Human Embryonic Stem Cells

	
EP

	
06785185.7

	
20-Jun-06

	
 

	
 

	
Pending

	
 

	
091/504GB

	
Suspension Culture of Human Embryonic Stem Cells

	
GB

	
0800365.9

	
20-Jun-06

	
2441488

	
29-Sep-10

	
Issued

	
 

 

8

	
091/505IL

	
Suspension Culture of Human Embryonic Stem Cells

	
IL

	
188264

	
20-Jun-06

	
188264

	
30-Mar-12

	
Issued

	
 

	
091/506IN

	
Suspension Culture of Human Embryonic Stem Cells

	
IN

	
81/CHENP/2008

	
20-Jun-06

	
 

	
 

	
Pending

	
 

	
091/507JP

	
Suspension Culture of Human Embryonic Stem Cells

	
JP

	
2008-518312

	
20-Jun-06

	
 

	
 

	
Pending

	
 

	
091/508KR

	
Suspension Culture of Human Embryonic Stem Cells

	
KR

	
10-2008-7001755

	
20-Jun-06

	
 

	
 

	
Pending

	
 

	
091/509SG

	
Suspension Culture of Human Embryonic Stem Cells

	
SG

	
200718866-7

	
20-Jun-06

	
138384

	
30-Nov-10

	
Issued

	
 

	
091/510CN

	
Suspension Culture of Human Embryonic Stem Cells

	
CN

	
200680027460.7

	
20-Jun-06

	
 

	
 

	
Pending

	
 

	
091/511HK

	
Suspension Culture of Human Embryonic Stem Cells

	
HK

	
08102719.8

	
20-Jun-06

	
1122836

	
26-Nov-10

	
Issued

	
 

	
091/512AU D

	
Suspension Culture of Human Embryonic Stem Cells

	
AU

	
2012203350

	
20-Jun-06

	
 

	
 

	
Pending

	
 

	
092/002

	
Conditioned Media for Propagating Human Pluripotent Stem Cells

	
US

	
09/900,752

	
6-Jul-01

	
6,642,048

	
4-Nov-03

	
Issued

	
 

	
093/002

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
US

	
09/718,308

	
20-Nov-00

	
6,458,589

	
1-Oct-02

	
Issued

	
 

 

9

	
093/003D

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
US

	
09/872,182

	
31-May-01

	
6,506,574

	
14-Jan-03

	
Issued

	
 

	
093/004P

	
Process for Making Hepatocytes from Pluripotent Stem Cells

	
US

	
10/001,267

	
31-Oct-01

	
7,256,042

	
14-Aug-07

	
Issued

	
 

	
093/005P

	
Hepatocytes for Therapy and Drug Screening Made From Embryonic Stem Cells

	
US

	
10/087,142

	
1-Mar-02

	
7,282,366

	
16-Oct-07

	
Issued

	
 

	
093/030P

	
Protocols for Making Hepatocytes from Embryonic Stem Cells

	
US

	
10/810,311

	
26-Mar-04

	
7,473,555

	
6-Jan-09

	
Issued

	
 

	
093/032C

	
Protocols for Making Hepatocytes from Embryonic Stem Cells

	
US

	
12/277,136

	
24-Nov-08

	
 

	
 

	
Pending

	
 

	
093/041

	
Differentiation of Primate Pluripotent Cells to Hepatocyte-Lineage Cells

	
US

	
12/303,104

	
1-Dec-08

	
8,148,151

	
3-Apr-12

	
Issued

	
Univ. Edinburgh

(CONSENT REQUIRED)

	
093/201AU

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
AU

	
2001259170

	
26-Apr-01

	
2001259170

	
11-May-06

	
Issued

	
 

	
093/202CA

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
CA

	
2407505

	
26-Apr-01

	
2,407,505

	
23-Oct-07

	
Issued

	
 

	
093/204EP

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
EP

	
01932661

	
26-Apr-01

	
 

	
 

	
Pending

	
 

	
093/205KR

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
KR

	
2002-7014467

	
26-Apr-01

	
10-0729971

	
13-Jun-07

	
Issued

	
 

 

10

	
093/206IN

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
IN

	
IN/PCT/2002/01764/CHE

	
26-Apr-01

	
208929

	
16-Aug-07

	
Issued

	
 

	
093/207IL

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
IL

	
152481

	
26-Apr-01

	
152481

	
1-Mar-11

	
Issued

	
 

	
093/208JP

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
JP

	
2001-578620

	
26-Apr-01

	
 

	
 

	
Pending

	
 

	
093/209SG

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
SG

	
200206520-9

	
26-Apr-01

	
92,561

	
31-Mar-05

	
Issued

	
 

	
093/210GB

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
GB

	
0227573.3

	
26-Apr-01

	
2,380,490

	
29-Dec-04

	
Issued

	
 

	
093/211AU D

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
AU

	
2004205306

	
26-Apr-01

	
2004205306

	
14-Apr-05

	
Issued

	
 

	
093/211HK

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
HK

	
03108081

	
26-Apr-01

	
 

	
 

	
Pending

	
 

	
093/213CN D

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
CN

	
201010528128.7

	
26-Apr-01

	
 

	
 

	
Pending

	
 

	
093/214EP D

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
EP

	
010175113.9

	
26-Apr-01

	
 

	
 

	
Pending

	
 

	
093/215KR D

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
KR

	
2007-7003241

	
26-Apr-01

	
10-0868473

	
6-Nov-08

	
Issued

	
 

	
093/216IN D

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
IN

	
437/CHENP/2007

	
26-Apr-01

	
238673

	
17-Feb-10

	
Issued

	
 

 

11

	
093/218JP D

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
JP

	
2012-139735

	
26-Apr-01

	
 

	
 

	
Pending

	
 

	
093/221AU D

	
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells

	
AU

	
2004205307

	
26-Apr-01

	
2004205307

	
7-Apr-05

	
Issued

	
 

	
093/401EP

	
Differentiation of Primate Pluripotent Cells to Hepatocyte-Lineage Cells

	
EP

	
07795625.8

	
1-Jun-07

	
 

	
 

	
Pending

	
Univ. Edinburgh (CONSENT REQUIRED)

	
093/402UK

	
Differentiation of Primate Pluripotent Cells to Hepatocyte-Lineage Cells

	
GB

	
0823060.9

	
1-Jun-07

	
2453074

	
22-Jun-11

	
Issued

	
Univ. Edinburgh (CONSENT REQUIRED)

	
094/004D

	
Making Neural Cells for Human Therapy or Drug Screening from Human Embryonic Stem Cells

	
US

	
09/872,183

	
31-May-01

	
6,833,269

	
21-Dec-04

	
Issued

	
 

	
094/005C

	
Neural Progenitor Cell Populations

	
US

	
11/281,040

	
16-Nov-05

	
8,148,148

	
3-Apr-12

	
Issued

	
 

	
094/006C

	
Neural Progenitor Cell Populations

	
US

	
12/332,783

	
11-Dec-08

	
8,252,585

	
28-Aug-12

	
Issued

	
 

	
094/007C

	
Neural Progenitor Cell Populations

	
US

	
13/558,078

	
25-Jul-12

	
 

	
 

	
Pending

	
 

	
094/011P

	
Screening Small Molecule Drugs Using Neural Cells Differentiated from Human Embryonic Stem Cells

	
US

	
10/157,288

	
28-May-02

	
7,250,294

	
31-Jul-07

	
Issued

	
 

	
094/013D

	
Use of Cyclic AMP and Ascorbic Acid to Produce Dopaminergic Neurons from Embryonic Stem Cells

	
US

	
11/009,504

	
10-Dec-04

	
7,763,463

	
27-Jul-10

	
Issued

	
 

 

12

	
094/201IN

	
A Medical Composition Comprising Neural Cells

	
IN

	
397/MAS/2001

	
16-May-01

	
231156

	
3-Mar-09

	
Issued

	
 

	
094/202AU

	
Neural Progenitor Cell Populations

	
AU

	
2001263199

	
16-May-01

	
2001263199

	
16-Sep-04

	
Issued

	
 

	
094/203CA

	
Neural Progenitor Cell Populations

	
CA

	
2409698

	
16-May-01

	
2,409,698

	
26-Oct-10

	
Issued

	
 

	
094/204CN

	
Neural Progenitor Cell Populations

	
CN

	
01809662.X

	
16-May-01

	
100580079

	
13-Jan-10

	
Issued

	
 

	
094/205EP

	
Neural Progenitor Cell Populations

	
EP

	
01937463.6

	
16-May-01

	
 

	
 

	
Pending

	
 

	
094/206IL

	
Neural Progenitor Cell Populations

	
IL

	
152741

	
16-May-01

	
152741

	
1-May-11

	
Issued

	
 

	
094/207JP

	
Neural Progenitor Cell Populations

	
JP

	
2001-585312

	
16-May-01

	
 

	
 

	
Pending

	
 

	
094/208KR

	
Neural Progenitor Cell Populations

	
KR

	
2002-7015192

	
16-May-01

	
903755

	
12-Jun-09

	
Issued

	
 

	
094/209SG

	
Neural Progenitor Cell Populations

	
SG

	
200206677-7

	
16-May-01

	
92,904

	
30-Dec-04

	
Issued

	
 

	
094/210GB

	
Neural Progenitor Cell Populations

	
GB

	
0229369.4

	
16-May-01

	
2,379,447

	
29-Dec-04

	
Issued

	
 

	
094/211HK

	
Neural Progenitor Cell Populations

	
HK

	
03108154.2

	
16-May-01

	
1055765

	
30-Sep-10

	
Issued

	
 

	
094/212JP D

	
Neural Progenitor Cell Populations

	
JP

	
2012-260896

	
16-May-01

	
 

	
 

	
Pending

	
 

	
094/221AU D

	
Neural Progenitor Cell Populations

	
AU

	
2004214542

	
16-May-01

	
2004214542

	
16-Aug-07

	
Issued

	
 

	
094/301AU

	
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease

	
AU

	
2002322270

	
20-Jun-02

	
2002322270

	
1-Oct-09

	
Issued

	
 

 

13

	
094/303CN

	
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease

	
CN

	
02815144.5

	
20-Jun-02

	
100384986

	
30-Apr-08

	
Issued

	
 

	
094/304EP

	
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease

	
EP

	
02756248.7

	
20-Jun-02

	
 

	
 

	
Pending

	
 

	
094/305GB

	
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease

	
GB

	
0400167.3

	
20-Jun-02

	
2,393,733

	
14-Sep-05

	
Issued

	
 

	
094/306IN

	
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease

	
IN

	
2018/CHENP/2003

	
20-Jun-02

	
224902

	
24-Oct-08

	
Issued

	
 

	
094/307IL

	
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease

	
IL

	
159324

	
20-Jun-02

	
159324

	
31-Jul-12

	
Issued

	
 

	
094/308JP

	
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease

	
JP

	
2003-507255

	
20-Jun-02

	
4526265

	
11-Jun-10

	
Issued

	
 

	
094/309KR

	
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease

	
KR

	
2003-7016718

	
20-Jun-02

	
 

	
 

	
Pending

	
 

 

14

	
094/310SG

	
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease

	
SG

	
200307601-5

	
20-Jun-02

	
101,708

	
30-Dec-05

	
Issued

	
 

	
094/311HK

	
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease

	
HK

	
05107808.2

	
20-Jun-02

	
1075673

	
6-Feb-09

	
Issued

	
 

	
094/312CN D

	
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease

	
CN

	
200610101371.4

	
20-Jun-02

	
101029302

	
30-Mar-11

	
Issued

	
 

	
094/316IN D

	
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease

	
IN

	
5529/CHENP/2007

	
20-Jun-02

	
247544

	
18-Apr-11

	
Issued

	
 

	
094/318JP D

	
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease

	
JP

	
2010-009966

	
20-Jun-02

	
 

	
10-Dec-12

	
Issued

	
 

	
094/319JP D2

	
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease

	
JP

	
2012-246396

	
20-Jun-02

	
 

	
 

	
Pending

	
 

 

15

	
096/003

	
Differentiated Cells Suitable For Human Therapy

	
US

	
09/783,203

	
13-Feb-01

	
6,576,464

	
10-Jun-03

	
Issued

	
 

	
096/004

	
Selective Antibody Targeting of Undifferentiated Stem Cells

	
US

	
09/995,419

	
26-Nov-01

	
6,921,665

	
26-Jul-05

	
Issued

	
Univ. Edinburgh (CONSENT REQUIRED)

	
096/007C

	
Differentiated Cells Suitable For Human Therapy

	
US

	
11/359,341

	
21-Feb-06

	
 

	
 

	
Pending

	
 

	
096/201AU

	
Differentiated Stem Cells Suitable for Human Therapy

	
AU

	
2002237681

	
26-Nov-01

	
2002237681

	
22-Mar-07

	
Issued

	
 

	
096/202CA

	
Differentiated Stem Cells Suitable for Human Therapy

	
CA

	
2434760

	
26-Nov-01

	
 

	
 

	
Pending

	
 

	
096/204EP

	
Differentiated Stem Cells Suitable for Human Therapy

	
EP

	
01986488.3

	
26-Nov-01

	
 

	
 

	
Pending

	
 

	
096/205GB

	
Differentiated Stem Cells Suitable for Human Therapy

	
GB

	
0313389.9

	
26-Nov-01

	
2,386,120

	
9-Mar-05

	
Issued

	
 

	
096/207IL

	
Differentiated Cells Suitable for Human Therapy

	
IL

	
155695

	
26-Nov-01

	
155695

	
1-Feb-08

	
Issued

	
 

	
096/208IN

	
Differentiated Stem Cells Suitable for Human Therapy

	
IN

	
00782/CHENP/2003

	
26-Nov-01

	
229151

	
13-Feb-09

	
Issued

	
 

	
096/211SG

	
Differentiated Stem Cells Suitable for Human Therapy

	
SG

	
200302425-4

	
26-Nov-01

	
96,763

	
31-Jul-06

	
Issued

	
 

	
096/213CN D

	
Differentiated Stem Cells Suitable for Human Therapy

	
CN

	
200910224980.2

	
26-Nov-01

	
 

	
 

	
Pending

	
 

	
096/218IN D

	
A Modified Population of Cells Differentiated from Primate Pluripotent Stem (pPS) Cells

	
IN

	
1873/CHENP/2003

	
26-Nov-01

	
 

	
 

	
Pending

	
 

 

16

	
096/300GB

	
Selective Antibody Targeting of Undifferentiated Stem Cells

	
GB

	
0128409

	
27-Nov-01

	
2,374,076

	
25-Feb-04

	
Issued

	
Univ. Edinburgh (CONSENT REQUIRED)

	
097/201AU

	
Tolerizing Allografts of Pluripotent Stem Cells

	
AU

	
2002239294

	
21-Nov-01

	
2002239294

	
28-Aug-06

	
Issued

	
 

	
097/205GB

	
Tolerizing Allografts of Pluripotent Stem Cells

	
GB

	
0313387.3

	
21-Nov-01

	
2,386,125

	
23-Feb-05

	
Issued

	
 

	
097/211SG

	
Tolerizing Allografts of Pluripotent Stem Cells

	
SG

	
200302419-7

	
21-Nov-01

	
96,450

	
31-Jul-07

	
Issued

	
 

	
098/201AU

	
Mesenchymal Cells and Osteoblasts from Human Embryonic Stem Cells

	
AU

	
2002322379

	
3-Jul-02

	
2002322379

	
15-Feb-07

	
Issued

	
 

	
098/202CA

	
Mesenchymal Cells and Osteoblasts from Human Embryonic Stem Cells

	
CA

	
2453068

	
3-Jul-02

	
 

	
 

	
Pending

	
 

	
098/204EP

	
Mesenchymal Cells and Osteoblasts from Human Embryonic Stem Cells

	
EP

	
02756367.5

	
3-Jul-02

	
 

	
 

	
Pending

	
 

	
098/205GB

	
Osteoblasts Derived from Human Embryonic Stem Cells

	
GB

	
0400481.8

	
3-Jul-02

	
2,392,674

	
10-Aug-05

	
Issued

	
 

	
098/206IL

	
Mesenchymal Cells and Osteoblasts from Human Embryonic Stem Cells

	
IL

	
159578

	
3-Jul-02

	
159578

	
1-Mar-11

	
Issued

	
 

	
098/209SG

	
Mesenchymal Cells and Osteoblasts from Human Embryonic Stem Cells

	
SG

	
200400102

	
3-Jul-02

	
102,198

	
29-Sep-06

	
Issued

	
 

 

17

	
098/213CN D

	
Mesenchymal Cells and Osteoblasts from Human Embryonic Stem Cells

	
CN

	
200910152133.X

	
10-Jul-09

	
 

	
 

	
Pending

	
 

	
098/214HK D

	
Mesenchymal Cells and Osteoblasts from Human Embryonic Stem Cells

	
HK

	
10107815.6

	
3-Jul-02

	
 

	
 

	
Pending

	
 

	
098/217IN D

	
Mesenchymal Cells and Osteoblasts from Human Embryonic Stem Cells

	
IN

	
2634/CHENP/2005

	
3-Jul-02

	
236883

	
25-Nov-09

	
Issued

	
 

	
099/003

	
Cardiomyocyte Precursors from Human Embryonic Stem Cells

	
US

	
10/193,884

	
12-Jul-02

	
7,425,448

	
16-Sep-08

	
Issued

	
 

	
099/004P

	
Process for Making Transplantable Cardiomyocytes from Human Embryonic Stem Cells

	
US

	
10/805,099

	
19-Mar-04

	
7,732,199

	
8-Jun-10

	
Issued

	
 

	
099/006D

	
Differentiation Protocol for Making Human Cardiomyocytes

	
US

	
11/040,691

	
21-Jan-05

	
7,763,464

	
27-Jul-10

	
Issued

	
 

	
099/031

	
Direct Differentiation Method for Making Cardiomyocytes from Human Embryonic Stem Cells

	
US

	
11/086,709

	
21-Mar-05

	
7,452,718

	
18-Nov-08

	
Issued

	
 

	
099/032C

	
Direct Differentiation Method for Making Cardiomyocytes from Human Embryonic Stem Cells

	
US

	
12/210,779

	
15-Sep-08

	
7,897,389

	
1-Mar-11

	
Issued

	
 

	
099/033C

	
Differentiation Protocol for Making Human Cardiomyocytes

	
US

	
12/234,916

	
22-Sep-08

	
7,851,167

	
14-Dec-10

	
Issued

	
 

 

18

	
099/041

	
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells

	
US

	
11/471,916

	
20-Jun-06

	
 

	
 

	
Pending

	
 

	
099/201AU

	
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells

	
AU

	
2002313670

	
12-Jul-02

	
2002313670

	
30-Jul-09

	
Issued

	
 

	
099/202CA

	
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells

	
CA

	
2453438

	
12-Jul-02

	
 

	
 

	
Pending

	
 

	
099/203CN

	
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells

	
CN

	
02813927.5

	
12-Jul-02

	
 

	
 

	
Pending

	
 

	
099/204EP

	
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells

	
EP

	
02753376.9

	
12-Jul-02

	
 

	
 

	
Pending

	
 

	
099/205GB

	
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells

	
GB

	
0400570.8

	
12-Jul-02

	
2,393,734

	
27-Jul-05

	
Issued

	
 

	
099/206IL

	
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells

	
IL

	
159580

	
12-Jul-02

	
159,580

	
8-Nov-08

	
Issued

	
 

 

19

	
099/207IN

	
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells

	
IN

	
00033/CHENP/2004

	
12-Jul-02

	
250850

	
1-Feb-12

	
Issued

	
 

	
099/208JP

	
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells

	
JP

	
2003-512669

	
12-Jul-02

	
 

	
 

	
Pending

	
 

	
099/209SG

	
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells

	
SG

	
200400096-4

	
12-Jul-02

	
101,797

	
27-Jan-06

	
Issued

	
 

	
099/211HK

	
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells

	
HK

	
05100018.3

	
12-Jul-02

	
 

	
 

	
Pending

	
 

	
099/212KR D

	
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells

	
KR

	
2010-7000243

	
12-Jul-02

	
10-0073411

	
7-Oct-11

	
Issued

	
 

	
099/214JP D

	
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells

	
JP

	
2010-219095

	
12-Jul-02

	
 

	
 

	
Pending

	
 

	
099/215IN D

	
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells

	
IN

	
7542/CHENP/2011

	
12-Jul-02

	
 

	
 

	
Pending

	
 

	
099/301AU

	
Method for Making High Purity Cardiomyocyte Preparations Suitable for Regenerative Medicine

	
AU

	
2005224670

	
18-Mar-05

	
2005224670

	
11-Nov-10

	
Issued

	
 

 

20

	
099/302CA

	
Method for Making High Purity Cardiomyocyte Preparations Suitable for Regenerative Medicine

	
CA

	
2559854

	
18-Mar-05

	
 

	
 

	
Pending

	
 

	
099/303CN

	
Method for Making High Purity Cardiomyocyte Preparations Suitable for Regenerative Medicine

	
CN

	
200580008779

	
18-Mar-05

	
 

	
 

	
Pending

	
 

	
099/304EP

	
Method for Making High Purity Cardiomyocyte Preparations Suitable for Regenerative Medicine

	
EP

	
05732662.1

	
18-Mar-05

	
 

	
 

	
Pending

	
 

	
099/305GB

	
Method for Making High Purity Cardiomyocyte Preparations Suitable for Regenerative Medicine

	
GB

	
0619719.8

	
18-Mar-05

	
2,427,873

	
10-Sep-08

	
Issued

	
 

	
099/306IL

	
Method for Making High Purity Cardiomyocyte Preparations Suitable for Regenerative Medicine

	
IL

	
178006

	
18-Mar-05

	
178006

	
1-Dec-11

	
Issued

	
 

	
099/307IN

	
Method for Making High Purity Cardiomyocyte Preparations Suitable for Regenerative Medicine

	
IN

	
5842/DELNP/2006

	
18-Mar-05

	
 

	
 

	
Pending

	
 

 

21

	
099/308JP

	
Method for Making High Purity Cardiomyocyte Preparations Suitable for Regenerative Medicine

	
JP

	
2007-504142

	
18-Mar-05

	
4971131

	
13-Apr-12

	
Issued

	
 

	
099/309SG

	
Method for Making High Purity Cardiomyocyte Preparations Suitable for Regenerative Medicine

	
SG

	
200606477-8

	
18-Mar-05

	
125692

	
31-Mar-09

	
Issued

	
 

	
099/401AU

	
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells

	
AU

	
2006262329

	
20-Jun-06

	
2006262329

	
7-Apr-11

	
Issued

	
 

	
099/402CA

	
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells

	
CA

	
2611809

	
20-Jun-06

	
 

	
 

	
Pending

	
 

	
099/403CN

	
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells

	
CN

	
200680022866.6

	
20-Jun-06

	
 

	
 

	
Pending

	
 

	
099/404EP

	
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells

	
EP

	
06785229.3

	
20-Jun-06

	
 

	
 

	
Pending

	
 

	
099/405GB

	
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells

	
GB

	
0800264.4

	
20-Jun-06

	
2441718

	
6-Oct-10

	
Issued

	
 

	
099/406IL

	
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells

	
IL

	
187611

	
20-Jun-06

	
 

	
 

	
Allowed

	
 

 

22

	
099/407IN

	
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells

	
IN

	
9175/DELNP/2007

	
20-Jun-06

	
 

	
 

	
Pending

	
 

	
099/408JP

	
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells

	
JP

	
2008-518339

	
20-Jun-06

	
 

	
 

	
Pending

	
 

	
099/409KR

	
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells

	
KR

	
10-2008-7001452

	
20-Jun-06

	
 

	
 

	
Pending

	
 

	
099/410SG

	
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells

	
SG

	
200718867-5

	
20-Jun-06

	
138693

	
30-Nov-10

	
Issued

	
 

	
099/411HK

	
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells

	
HK

	
08103905

	
20-Jun-06

	
1109913

	
3-Dec-10

	
Issued

	
 

	
131/011P

	
Using Undifferentiated Embryonic Stem Cells to Control the Immune System

	
US

	
10/949,702

	
24-Sep-04

	
7,799,324

	
21-Sep-10

	
Issued

	
Univ. Western Ontario

	
131/201AU

	
Hematopoietic Cells from Human Embryonic Stem Cells

	
AU

	
2002366603

	
6-Dec-02

	
2002366603

	
15-Jan-09

	
Issued

	
Univ. Western Ontario

	
131/204EP

	
Hematopoietic Cells from Human Embryonic Stem Cells

	
EP

	
02804740.5

	
6-Dec-02

	
 

	
 

	
Pending

	
Univ. Western Ontario

	
131/205GB

	
Hematopoietic Cells from Human Embryonic Stem Cells

	
GB

	
0414957.1

	
6-Dec-02

	
2399572

	
7-Jun-06

	
Issued

	
Univ. Western Ontario

 

23

	
131/206IL

	
Hematopoietic Cells from Human Embryonic Stem Cells

	
IL

	
162130

	
6-Dec-02

	
162130

	
1-Sep-10

	
Issued

	
Univ. Western Ontario

	
131/208JP

	
Hematopoietic Cells from Human Embryonic Stem Cells

	
JP

	
2003-551273

	
6-Dec-02

	
 

	
 

	
Pending

	
Univ. Western Ontario

	
131/210SG

	
Hematopoietic Cells from Human Embryonic Stem Cells

	
SG

	
200403341-1

	
6-Dec-02

	
104768

	
31-Jul-06

	
Issued

	
Univ. Western Ontario

	
131/212AU D

	
Hematopoietic Cells from Human Embryonic Stem Cells

	
AU

	
2008243182

	
6-Dec-02

	
 

	
 

	
Pending

	
Univ. Western Ontario

	
131/213CN D

	
Hematopoietic Cells from Human Embryonic Stem Cells

	
CN

	
200910174800.4

	
6-Dec-02

	
 

	
 

	
Pending

	
Univ. Western Ontario

	
131/214EP D

	
Hematopoietic Cells from Human Embryonic Stem Cells

	
EP

	
10175120.4

	
6-Dec-02

	
 

	
 

	
Pending

	
Univ. Western Ontario

	
131/215GB D

	
Use of Undifferentiated Embryonic Stem Cells To Induce Immune Tolerance and Improve Allograft Acceptance

	
GB

	
0503865.8

	
6-Dec-02

	
2412379

	
29-Mar-06

	
Issued

	
Univ. Western Ontario

	
131/216IL D

	
Hematopoietic Cells from Human Embryonic Stem Cells

	
IL

	
200768

	
6-Dec-02

	
200768

	
1-Feb-12

	
Issued

	
Univ. Western Ontario

	
131/217KR D

	
Hematopoietic Cells from Human Embryonic Stem Cells

	
KR

	
2010-7024253

	
6-Dec-02

	
 

	
 

	
Pending

	
Univ. Western Ontario

	
131/218JP D

	
Hematopoietic Cells from Human Embryonic Stem Cells

	
JP

	
2009-265829

	
6-Dec-02

	
 

	
 

	
Pending

	
Univ. Western Ontario

 

24

	
131/219HK

	
Hematopoietic Cells from Human Embryonic Stem Cells

	
HK

	
11109490.3

	
6-Dec-02

	
 

	
 

	
Pending

	
Univ. Western Ontario

	
131/220AU D2

	
Hematopoietic Cells from Human Embryonic Stem Cells

	
AU

	
 

	
6-Dec-02

	
 

	
 

	
Pending

	
Univ. Western Ontario

	
132/002

	
Islet Cells from Human Embryonic Stem Cells

	
US

	
10/313,739

	
6-Dec-02

	
7,033,831

	
25-Apr-06

	
Issued

	
 

	
132/003D

	
Endoderm Cells from Human Embryonic Stem Cells

	
US

	
11/262,633

	
31-Oct-05

	
7,326,572

	
5-Feb-08

	
Issued

	
 

	
132/004C

	
Islet Cells from Human Embryonic Stem Cells

	
US

	
11/960,477

	
19-Dec-07

	
 

	
 

	
Pending

	
 

	
132/005C

	
Islet Cells from Human Embryonic Stem Cells

	
US

	
12/262,536

	
31-Oct-08

	
 

	
 

	
Pending

	
 

	
132/006C

	
Islet Cells from Human Embryonic Stem Cells

	
US

	
12/543,875

	
19-Aug-09

	
 

	
 

	
Pending

	
 

	
132/007C

	
Drug Screening Using Islet Cells and Islet Cell Progenitors from Human Embryonic Stem Cells

	
US

	
12/762,676

	
19-Apr-10

	
 

	
 

	
Pending

	
 

	
132/008C

	
Drug Screening Using Islet Cells and Islet Cell Progenitors from Human Embryonic Stem Cells

	
US

	
12/947,605

	
16-Nov-10

	
 

	
 

	
Pending

	
 

	
132/031

	
Differentiation and Enrichment of Islet-Like Cells from Human Pluripotent Stem Cells

	
US

	
12/303,895

	
8-Dec-08

	
 

	
 

	
Allowed

	
 

 

25

	
132/201AU

	
Islet Cells from Human Embryonic Stem Cells

	
AU

	
2002364143

	
6-Dec-02

	
2002364143

	
5-Jun-08

	
Issued

	
 

	
132/202CA

	
Islet Cells from Human Embryonic Stem Cells

	
CA

	
2470539

	
6-Dec-02

	
2,470,539

	
4-Oct-11

	
Issued

	
 

	
132/203CN

	
Islet Cells from Human Embryonic Stem Cells

	
CN

	
02824367.6

	
6-Dec-02

	
1602351

	
30-Mar-11

	
Issued

	
 

	
132/204EP

	
Islet Cells from Human Embryonic Stem Cells

	
EP

	
02799217.1

	
6-Dec-02

	
 

	
 

	
Pending

	
 

	
132/205GB

	
Islet Cells from Human Embryonic Stem Cells

	
GB

	
0414958.9

	
6-Dec-02

	
2,399,823

	
15-Feb-06

	
Issued

	
 

	
132/206IL

	
Islet Cells from Human Embryonic Stem Cells

	
IL

	
162131

	
6-Dec-02

	
162131

	
31-Mar-11

	
Issued

	
 

	
132/207IN

	
Islet Cells from Human Embryonic Stem Cells

	
IN

	
1795/DELNP/2004

	
6-Dec-02

	
 

	
 

	
Pending

	
 

	
132/208JP

	
Islet Cells from Human Embryonic Stem Cells

	
JP

	
2003-551271

	
6-Dec-02

	
4666567

	
21-Jan-11

	
Issued

	
 

	
132/209KR

	
Islet Cells from Human Embryonic Stem Cells

	
KR

	
2004-7008713

	
6-Dec-02

	
1089591

	
29-Nov-11

	
Issued

	
 

	
132/210SG

	
Islet Cells from Human Embryonic Stem Cells

	
SG

	
200403559-8

	
6-Dec-02

	
104,854

	
31-Aug-06

	
Issued

	
 

	
132/211GB D

	
Islet Cells from Human Embryonic Stem Cells

	
GB

	
0517624.3

	
6-Dec-02

	
2415432

	
6-Sep-06

	
Issued

	
 

	
132/212HK

	
Islet Cells from Human Embryonic Stem Cells

	
HK

	
05106662.9

	
6-Dec-02

	
1074218

	
2-Dec-11

	
Issued

	
 

	
132/213CN D

	
Islet Cells from Human Embryonic Stem Cells

	
CN

	
200710307353.6

	
6-Dec-02

	
 

	
 

	
Pending

	
 

 

26

	
132/214HK

	
Islet Cells from Human Embryonic Stem Cells

	
HK

	
09100086.6

	
6-Dec-02

	
 

	
 

	
Pending

	
 

	
132/215AU D

	
Islet Cells from Human Embryonic Stem Cells

	
AU

	
2007254644

	
6-Dec-02

	
2007254644

	
22-Apr-10

	
Issued

	
 

	
132/216IL D

	
Islet Cells from Human Embryonic Stem Cells

	
IL

	
188472

	
6-Dec-02

	
188472

	
31-Mar-11

	
Issued

	
 

	
132/217IN D

	
Islet Cells from Human Embryonic Stem Cells

	
IN

	
6576/DELNP/2009

	
6-Dec-02

	
 

	
 

	
Pending

	
 

	
132/218JP D

	
Islet Cells from Human Embryonic Stem Cells

	
JP

	
2008-040781

	
6-Dec-02

	
4917559

	
3-Feb-12

	
Issued

	
 

	
132/219KR D

	
Islet Cells from Human Embryonic Stem Cells

	
KR

	
2008-7002476

	
6-Dec-02

	
10-0008868

	
11-Jan-11

	
Issued

	
 

	
132/220AU D2

	
Islet Cells from Human Embryonic Stem Cells

	
AU

	
2010200610

	
6-Dec-02

	
 

	
 

	
Pending

	
 

	
132/221CA D

	
Islet Cells from Human Embryonic Stem Cells

	
CA

	
2692325

	
6-Dec-02

	
 

	
 

	
Pending

	
 

	
132/222EP D

	
Islet Cells from Human Embryonic Stem Cells

	
EP

	
10174969.5

	
6-Dec-02

	
 

	
 

	
Pending

	
 

	
132/223HK

	
Islet Cells from Human Embryonic Stem Cells

	
HK

	
11106412.4

	
6-Dec-02

	
 

	
 

	
Pending

	
 

	
132/224JP D2

	
Islet Cells from Human Embryonic Stem Cells

	
JP

	
2011-258931

	
6-Dec-02

	
 

	
 

	
Pending

	
 

	
132/225KR D2

	
Islet Cells from Human Embryonic Stem Cells

	
KR

	
 

	
 

	
 

	
 

	
Unfiled

	
 

	
133/003C

	
Chondrocyte Precursors Derived from Human Embryonic Stem Cells

	
US

	
11/345,878

	
1-Feb-06

	
7,906,330

	
15-Mar-11

	
Issued

	
 

 

27

	
133/004C

	
Chondrocyte Precursors Derived from Human Embryonic Stem Cells

	
US

	
13/021,497

	
4-Feb-11

	
 

	
 

	
Pending

	
 

	
133/201AU

	
Chondrocyte Precursors Derived from Human Embryonic Stem Cells

	
AU

	
2002366602

	
6-Dec-02

	
2002366602

	
16-Oct-08

	
Issued

	
 

	
133/204EP

	
Chondrocyte Precursors Derived from Human Embryonic Stem Cells

	
EP

	
02804739.7

	
6-Dec-02

	
 

	
 

	
Pending

	
 

	
133/206IL

	
Chondrocyte Precursors Derived from Human Embryonic Stem Cells

	
IL

	
162132

	
6-Dec-02

	
162132

	
29-Jun-10

	
Issued

	
 

	
133/207IN

	
Chondrocyte Precursors Derived from Human Embryonic Stem Cells

	
IN

	
1794/DELNP/2004

	
6-Dec-02

	
 

	
 

	
Pending

	
 

	
133/209KR

	
Chondrocyte Precursors Derived from Human Embryonic Stem Cells

	
KR

	
2004-7008714

	
6-Dec-02

	
10-0973453

	
27-Jul-10

	
Issued

	
 

	
133/210SG

	
Chondrocyte Precursors Derived from Human Embryonic Stem Cells

	
SG

	
200403261-1

	
6-Dec-02

	
105,123

	
31-Aug-06

	
Issued

	
 

	
135/002

	
A Marker System for Preparing and Characterizing High-Quality Human Embryonic Stem Cells

	
US

	
10/389,431

	
13-Mar-03

	
7,153,650

	
26-Dec-06

	
Issued

	
 

 

28

	
135/201EP

	
Genes That Are Up- or Down-Regulated During Differentiation of Human Embryonic Stem Cells

	
EP

	
04757690.5

	
13-Mar-04

	
 

	
 

	
Pending

	
 

	
135/202SG

	
Genes That Are Up- or Down-Regulated During Differentiation of Human Embryonic Stem Cells

	
SG

	
200505876-3

	
13-Mar-04

	
115,079

	
31-Oct-07

	
Issued

	
 

	
135/203GB

	
Genes That Are Up- or Down-Regulated During Differentiation of Human Embryonic Stem Cells

	
GB

	
0520847.5

	
13-Mar-04

	
2415781

	
18-Jul-07

	
Issued

	
 

	
135/212SG D

	
Genes That Are Up- or Down-Regulated During Differentiation of Human Embryonic Stem Cells

	
SG

	
200708419-7

	
13-Mar-04

	
151119

	
29-May-09

	
Issued

	
 

	
135/213GB D

	
Genes That Are Up- or Down-Regulated During Differentiation of Human Embryonic Stem Cells

	
GB

	
0708707.5

	
13-Mar-04

	
2434867

	
7-Nov-07

	
Issued

	
 

	
138/202GB

	
Dendritic Cell Vaccines Made from Embryonic Stem Cells for Treating Cancer

	
GB

	
0703122.2

	
10-Aug-05

	
2431582

	
23-Dec-09

	
Issued

	
 

	
138/204HK

	
Dendritic Cell Vaccines for Treating Cancer Made from Embryonic Stem Cells

	
HK

	
07110697.8

	
10-Aug-05

	
1105429

	
23-Apr-10

	
Issued

	
 

	
151/003

	
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells

	
US

	
12/412,183

	
26-Mar-09

	
8,093,049

	
10-Jan-12

	
Issued

	
 

 

29

	
151/004C

	
Systems for Differentiating Pluripotent Stem Cells into Hematopoietic Lineage Cells

	
US

	
13/312,349

	
6-Dec-11

	
 

	
 

	
Pending

	
 

	
151/201AU

	
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells

	
AU

	
2009228215

	
26-Mar-09

	
 

	
 

	
Pending

	
 

	
151/202CA

	
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells

	
CA

	
2718438

	
26-Mar-09

	
 

	
 

	
Pending

	
 

	
151/203CN

	
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells

	
CN

	
200980116566.8

	
26-Mar-09

	
 

	
 

	
Pending

	
 

	
151/204EP

	
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells

	
EP

	
09724052.7

	
26-Mar-09

	
 

	
 

	
Pending

	
 

	
151/206IL

	
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells

	
IL

	
208116

	
26-Mar-09

	
 

	
 

	
Pending

	
 

	
151/207IN

	
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells

	
IN

	
6087/CHENP/2010

	
26-Mar-09

	
 

	
 

	
Pending

	
 

	
151/208JP

	
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells

	
JP

	
2011-502069

	
26-Mar-09

	
 

	
 

	
Pending

	
 

 

30

	
151/209KR

	
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells

	
KR

	
2010-7021271

	
26-Mar-09

	
 

	
 

	
Pending

	
 

	
151/210SG

	
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells

	
SG

	
201006607-4

	
26-Mar-09

	
 

	
 

	
Pending

	
 

	
151/211HK

	
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells

	
HK

	
11105528.7

	
26-Mar-09

	
 

	
 

	
Pending

	
 

	
161/002

	
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes

	
US

	
12/362,190

	
29-Jan-09

	
8,241,907

	
14-Aug-12

	
Issued

	
 

	
161/003C

	
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes

	
US

	
13/546,381

	
11-Jul-12

	
 

	
 

	
Pending

	
 

	
161/201AU

	
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes

	
AU

	
2009209157

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
161/202CA

	
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes

	
CA

	
2712891

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
161/203CN

	
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes

	
CN

	
200980103922.2

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
161/204EP

	
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes

	
EP

	
09705923.2

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
161/205IL

	
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes

	
IL

	
207083

	
29-Jan-09

	
 

	
 

	
Pending

	
 

 

31

	
161/206IN

	
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes

	
IN

	
5135/CHENP/2010

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
161/207JP

	
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes

	
JP

	
2010-545155

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
161/208KR

	
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes

	
KR

	
2010-7019066

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
161/209SG

	
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes

	
SG

	
201005466-6

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
161/210HK

	
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes

	
HK

	
11106743.4

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
162/002

	
Synthetic Surfaces for Culturing Stem Cell Derived Oligodendrocyte Progenitor Cells

	
US

	
12/362,250

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
162/201AU

	
Synthetic Surfaces for Culturing Stem Cell Derived Oligodendrocyte Progenitor Cells

	
AU

	
2009209167

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
162/202CA

	
Synthetic Surfaces for Culturing Stem Cell Derived Oligodendrocyte Progenitor Cells

	
CA

	
2714010

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
162/203CN

	
Synthetic Surfaces for Culturing Stem Cell Derived Oligodendrocyte Progenitor Cells

	
CN

	
200980103921.8

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
162/204EP

	
Synthetic Surfaces for Culturing Stem Cell Derived Oligodendrocyte Progenitor Cells

	
EP

	
09705909.1

	
29-Jan-09

	
 

	
 

	
Pending

	
 

 

32

	
162/205IL

	
Synthetic Surfaces for Culturing Stem Cell Derived Oligodendrocyte Progenitor Cells

	
IL

	
207085

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
162/206IN

	
Synthetic Surfaces for Culturing Stem Cell Derived Oligodendrocyte Progenitor Cells

	
IN

	
5136/CHENP/2010

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
162/207JP

	
Synthetic Surfaces for Culturing Stem Cell Derived Oligodendrocyte Progenitor Cells

	
JP

	
2010-545160

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
162/208KR

	
Synthetic Surfaces for Culturing Stem Cell Derived Oligodendrocyte Progenitor Cells

	
KR

	
2010-7019153

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
162/209SG

	
Synthetic Surfaces for Culturing Stem Cell Derived Oligodendrocyte Progenitor Cells

	
SG

	
201005462-5

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
162/210HK

	
Synthetic Surfaces for Culturing Stem Cell Derived Oligodendrocyte Progenitor Cells

	
HK

	
11102599.8

	
29-Jan-09

	
 

	
 

	
Pending

	
 

	
164/003C

	
Synthetic Surfaces for Differentiating Stem Cells into Cardiomyocytes (amended)

	
US

	
12/701,731

	
8-Feb-10

	
 

	
 

	
Pending

	
 

	
165/002

	
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes

	
US

	
12/823,739

	
25-Jun-10

	
8,323,966

	
4-Dec-12

	
Issued

	
 

 

33

	
165/003C

	
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes

	
US

	
13/679,663

	
16-Nov-12

	
 

	
 

	
Pending

	
 

	
165/201AU

	
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes

	
AU

	
2010266016

	
25-Jun-10

	
 

	
 

	
Pending

	
 

	
165/202CA

	
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes

	
CA

	
2766164

	
25-Jun-10

	
 

	
 

	
Pending

	
 

	
165/203CN

	
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes

	
CN

	
201080032011.8

	
25-Jun-10

	
 

	
 

	
Pending

	
 

	
165/204IL

	
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes

	
IL

	
217061

	
25-Jun-10

	
 

	
 

	
Pending

	
 

	
165/205IN

	
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes

	
IN

	
47/CHENP/2012

	
25-Jun-10

	
 

	
 

	
Pending

	
 

	
165/206JP

	
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes

	
JP

	
2012-517776

	
25-Jun-10

	
 

	
 

	
Pending

	
 

	
165/207KR

	
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes

	
KR

	
2012-7001572

	
25-Jun-10

	
 

	
 

	
Pending

	
 

 

34

	
165/208SG

	
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes

	
SG

	
201109522-1

	
25-Jun-10

	
 

	
 

	
Pending

	
 

	
165/209GB

	
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes

	
GB

	
1201047.6

	
25-Jun-10

	
 

	
 

	
Pending

	
 

	
165/210EP

	
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes

	
EP

	
10792733.7

	
25-Jun-10

	
 

	
 

	
Pending

	
 

	
166/200PCT

	
Enriched Populations of Cardiomyocyte Lineage Cells from Pluripotent Stem Cells

	
WO

	
PCT/US2012/30799

	
28-Mar-12

	
 

	
 

	
Pending

	
 

Geron-Licensed Stem Cell Status Report - Active Cases

	
FILE NO.

	
TITLE

	
COUNTRY

	
APPLICATION 

NUMBER

	
FILING

 DATE

	
PATENT

 NUMBER

	
ISSUE

 DATE

	
STATUS

	
ASSIGNEE

	
131/004C

	
Reconstructing Hematopoietic Cell Function Using Human Embryonic Stem Cells

	
US

	
10/862,625

	
7-Jun-04

	
 

	
 

	
Pending

	
Univ. Western Ontario

	
134/002

	
Method of Producing Oligodendrocytes from Human Embryonic Stem Cells for Drug Screening or Treatment of Spinal Cord Injury

	
US

	
10/406,817

	
4-Apr-03

	
7,285,415

	
23-Oct-07

	
Issued

	
Regents Univ. California

 

35

	
134/004C

	
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury

	
US

	
11/637,632

	
11-Dec-06

	
7,579,188

	
25-Aug-09

	
Issued

	
Regents Univ. California

	
134/005D

	
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury

	
US

	
12/357,244

	
21-Jan-09

	
 

	
 

	
Pending

	
Regents Univ. California

	
134/201AU

	
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury

	
AU

	
2003250477

	
11-Jul-03

	
2003250477

	
3-Jul-08

	
Issued

	
Regents Univ. California

	
134/202CA

	
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury

	
CA

	
2489203

	
11-Jul-03

	
 

	
 

	
Pending

	
Regents Univ. California

	
134/203CN

	
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury

	
CN

	
03816184.2

	
11-Jul-03

	
 

	
 

	
Pending

	
Regents Univ. California

	
134/204EP

	
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury

	
EP

	
03764084.4

	
11-Jul-03

	
 

	
 

	
Pending

	
Regents Univ. California

 

36

	
134/205GB

	
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury

	
GB

	
0502774.3

	
11-Jul-03

	
2,407,822

	
22-Feb-06

	
Issued

	
Regents Univ. California

	
134/206IL

	
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury

	
IL

	
165645

	
11-Jul-03

	
165645

	
1-Mar-11

	
Issued

	
Regents Univ. California

	
134/207IN

	
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury

	
IN

	
4091/DELNP/2004

	
11-Jul-03

	
 

	
 

	
Pending

	
Regents Univ. California

	
134/208JP

	
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury

	
JP

	
2005-505090

	
11-Jul-03

	
4823689

	
24-Nov-11

	
Issued

	
Regents Univ. California

	
134/209SG

	
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury

	
SG

	
200407816-8

	
11-Jul-03

	
108,775

	
31-Jan-07

	
Issued

	
Regents Univ. California

 

37

	
134/210HK

	
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury

	
HK

	
06113936.4

	
19-Dec-06

	
 

	
 

	
Pending

	
Regents Univ. California

	
134/211EP D

	
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury

	
EP

	
10175854.8

	
11-Jul-03

	
 

	
 

	
Pending

	
Regents Univ. California

	
134/212JP D

	
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury

	
JP

	
2011-047716

	
11-Jul-03

	
 

	
 

	
Pending

	
Regents Univ. California

	
134/213IN D

	
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury

	
IN

	
4057/DELNP/2011

	
11-Jul-03

	
 

	
 

	
Pending

	
Regents Univ. California

	
134/214HK

	
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury

	
HK

	
11105339.6

	
11-Jul-03

	
 

	
 

	
Pending

	
Regents Univ. California

	
136/002

	
Chondrogenic Progenitor Cells, Protocol for Derivation of Cells and Uses Thereof

	
US

	
13/082,727

	
8-Apr-11

	
 

	
 

	
Pending

	
Univ. Edinburgh

	
136/201AU

	
Chondrogenic Progenitor Cells, Protocol for Derivation of Cells and Uses Thereof

	
AU

	
 

	
8-Apr-11

	
 

	
 

	
Pending

	
Univ. Edinburgh

 

38

	
136/202CA

	
Chondrogenic Progenitor Cells, Protocol for Derivation of Cells and Uses Thereof

	
CA

	
 

	
8-Apr-11

	
 

	
 

	
Unfiled

	
Univ. Edinburgh

	
136/203CN

	
Chondrogenic Progenitor Cells, Protocol for Derivation of Cells and Uses Thereof

	
CN

	
 

	
8-Apr-11

	
 

	
 

	
Pending

	
Univ. Edinburgh

	
136/204EP

	
Chondrogenic Progenitor Cells, Protocol for Derivation of Cells and Uses Thereof

	
EP

	
11718764.1

	
8-Apr-11

	
 

	
 

	
Pending

	
Univ. Edinburgh

	
136/205IN

	
Chondrogenic Progenitor Cells, Protocol for Derivation of Cells and Uses Thereof

	
IN

	
9325/CHENP/2012

	
8-Apr-11

	
 

	
 

	
Pending

	
Univ. Edinburgh

	
136/206IL

	
Chondrogenic Progenitor Cells, Protocol for Derivation of Cells and Uses Thereof

	
IL

	
222292

	
8-Apr-11

	
 

	
 

	
Pending

	
Univ. Edinburgh

	
136/207JP

	
Chondrogenic Progenitor Cells, Protocol for Derivation of Cells and Uses Thereof

	
JP

	
 

	
8-Apr-11

	
 

	
 

	
Pending

	
Univ. Edinburgh

	
136/208SG

	
Chondrogenic Progenitor Cells, Protocol for Derivation of Cells and Uses Thereof

	
SG

	
201207371-4

	
8-Apr-11

	
 

	
 

	
Pending

	
Univ. Edinburgh

	
150/001C

	
Method for Producing Dendritic Cells

	
US

	
09/849,499

	
4-May-01

	
7,247,480

	
24-Jul-07

	
Issued

	
Isis Innovation, Ltd.

	
150/003C

	
Method for Producing Dendritic Cells

	
US

	
11/789,669

	
24-Apr-07

	
7,473,556

	
6-Jan-09

	
Issued

	
Isis Innovation, Ltd.

 

39

	
150/004C

	
Method for Producing Dendritic Cells

	
US

	
12/326,831

	
2-Dec-08

	
7,781,213

	
24-Aug-10

	
Issued

	
Isis Innovation, Ltd.

	
150/005C

	
Method for Producing Dendritic Cells

	
US

	
12/841,064

	
21-Jul-10

	
8,232,100

	
31-Jul-12

	
Issued

	
Isis Innovation, Ltd.

	
150/006C

	
Method for Producing Dendritic Cells

	
US

	
13/538,995

	
29-Jun-12

	
 

	
 

	
Pending

	
Isis Innovation, Ltd.

	
150/201AU

	
Method for Producing Dendritic Cells

	
AU

	
200010584

	
5-Nov-99

	
768,267

	
4-Dec-03

	
Issued

	
Isis Innovation, Ltd.

	
150/202CA

	
Dendritic Cell Manipulation

	
CA

	
2350210

	
5-Nov-99

	
 

	
 

	
Pending

	
Isis Innovation, Ltd.

	
150/203EP

	
Method for Producing Dendritic Cells

	
EP

	
99954148.5

	
5-Nov-99

	
 

	
 

	
Pending

	
Isis Innovation, Ltd.

	
600/001

	
Lysosomal Targeting of Immunogens

	
US

	
08/006,845

	
22-Jan-93

	
5,633,234

	
27-May-97

	
Issued

	
Johns Hopkins Univ.

	
600/201CA

	
Lysosomal Targeting of Immunogens

	
CA

	
2154445

	
21-Jan-94

	
2,154,445

	
26-Jun-07

	
Issued

	
Johns Hopkins Univ.

	
600/203JP

	
Lysosomal Targeting of Immunogens

	
JP

	
19940517149

	
21-Jan-94

	
3581366

	
30-Jul-04

	
Issued

	
Johns Hopkins Univ.

	
600/204AT

	
Lysosomal Targeting of Immunogens

	
AT

	
94910648.8

	
21-Jan-94

	
180835

	
15-Jun-99

	
Issued

	
Johns Hopkins Univ.

	
600/205DE

	
Lysosomal Targeting of Immunogens

	
DE

	
94910648.8

	
21-Jan-94

	
69418856

	
20-Jan-00

	
Issued

	
Johns Hopkins Univ.

	
600/206DK

	
Lysosomal Targeting of Immunogens

	
DK

	
94910648.8

	
21-Jan-94

	
680513

	
27-Dec-99

	
Issued

	
Johns Hopkins Univ.

	
600/207ES

	
Lysosomal Targeting of Immunogens

	
ES

	
94910648.8

	
21-Jan-94

	
2132395

	
16-Aug-99

	
Issued

	
Johns Hopkins Univ.

	
600/208GR

	
Lysosomal Targeting of Immunogens

	
GR

	
94910648.8

	
21-Jan-94

	
3031026

	
31-Dec-99

	
Issued

	
Johns Hopkins Univ.

	
601/201EP

	
Chimeric Vaccines

	
EP

	
02763958.2

	
5-Apr-02

	
 

	
 

	
Pending

	
Johns Hopkins Univ.

	
601/202CA

	
Chimeric Vaccines

	
CA

	
2446462

	
4-May-02

	
 

	
 

	
Pending

	
Johns Hopkins Univ.

	
800/001

	
Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA

	
US

	
08/640,444

	
30-Apr-96

	
5,853,719

	
29-Dec-98

	
Issued

	
Duke Univ.

 

40

	
800/002C

	
Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA

	
US

	
09/073,819

	
6-May-98

	
6,306,388

	
23-Oct-01

	
Issued

	
Duke Univ.

	
800/003C

	
Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA

	
US

	
09/875,264

	
7-Jun-01

	
7,101,705

	
5-Sep-06

	
Issued

	
Duke Univ.

	
800/010P

	
Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA

	
US

	
09/171,916

	
16-Feb-99

	
7,105,157

	
12-Sep-06

	
Issued

	
Duke Univ.

	
800/011D

	
RNA-loaded Antigen Presenting Cells

	
US

	
09/667,319

	
22-Sep-00

	
6,670,186

	
30-Dec-03

	
Issued

	
Duke Univ.

	
800/012C

	
Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA

	
US

	
11/250,546

	
17-Oct-05

	
7,601,343

	
13-Oct-09

	
Issued

	
Duke Univ.

	
800/013D

	
Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA

	
US

	
12/585,028

	
1-Sep-09

	
8,263,066

	
11-Sep-12

	
Issued

	
Duke Univ.

	
800/014C

	
Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA

	
US

	
13/554,938

	
20-Jul-12

	
 

	
 

	
Pending

	
Duke Univ.

	
800/020P

	
Method of Identifying Tumor Antigens that Elicit a T-cell Response

	
US

	
09/302,329

	
30-Apr-99

	
6,387,701

	
14-May-02

	
Issued

	
Duke Univ.

 

41

	
800/201AU

	
Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA

	
AU

	
1997/28213

	
30-Apr-97

	
724267

	
11-Jan-01

	
Issued

	
Duke Univ.

	
800/202CA

	
Compositions and Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA

	
CA

	
2253632

	
30-Apr-97

	
2,253,632

	
16-Dec-08

	
Issued

	
Duke Univ.

	
800/204JP

	
Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA

	
JP

	
539210/97

	
30-Apr-97

	
3836151

	
4-Aug-06

	
Issued

	
Duke Univ.

	
800/213EP D

	
Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA

	
EP

	
06015438.2

	
30-Apr-97

	
 

	
 

	
Pending

	
Duke Univ.

	
800/214JP D

	
Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA

	
JP

	
2006-129005

	
30-Apr-97

	
3955311

	
11-May-07

	
Issued

	
Duke Univ.

	
800/216HK

	
Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA

	
HK

	
11108880.3

	
30-Apr-97

	
 

	
 

	
Pending

	
Duke Univ.

	
811/002

	
In Situ Maturation of Dendritic Cells

	
US

	
10/536,211

	
10-Dec-03

	
7,785,583

	
31-Aug-10

	
Issued

	
Duke Univ.

	
811/201AU

	
In Situ Maturation of Dendritic Cells

	
AU

	
2003296439

	
10-Dec-03

	
2003296439

	
10-Jul-09

	
Issued

	
Duke Univ.

 

42

	
821/001

	
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells

	
US

	
10/362,715

	
24-Feb-03

	
 

	
 

	
Allowed

	
Gerold Schuler

	
821/002C

	
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells

	
US

	
13/479,612

	
24-May-12

	
 

	
 

	
Pending

	
Gerold Schuler

	
821/206JP

	
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells

	
JP

	
522234/02

	
24-Aug-01

	
4610847

	
22-Oct-10

	
Issued

	
Gerold Schuler

	
821/215AT

	
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells

	
AT

	
19607084

	
24-Aug-01

	
1311658

	
15-Oct-08

	
Issued

	
Gerold Schuler

	
821/216BE

	
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells

	
BE

	
19607084

	
24-Aug-01

	
1311658

	
15-Oct-08

	
Issued

	
Gerold Schuler

	
821/217DK

	
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells

	
DK

	
19607084

	
24-Aug-01

	
1311658

	
15-Oct-08

	
Issued

	
Gerold Schuler

	
821/218FR

	
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells

	
FR

	
 

	
24-Aug-01

	
1311658

	
15-Oct-08

	
Issued

	
Gerold Schuler

 

43

	
821/219IT

	
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells

	
IT

	
19607084

	
24-Aug-01

	
1311658

	
15-Oct-08

	
Issued

	
Gerold Schuler

	
821/220NL

	
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells

	
NL

	
19607084

	
24-Aug-01

	
1311658

	
15-Oct-08

	
Issued

	
Gerold Schuler

	
821/221SE

	
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells

	
SE

	
19607084

	
24-Aug-01

	
1311658

	
15-Oct-08

	
Issued

	
Gerold Schuler

	
821/222UK

	
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells

	
GB

	
019607084

	
24-Aug-01

	
1311658

	
15-Oct-08

	
Issued

	
Gerold Schuler

	
822/002C

	
CD4+ CD25+ Regulatory T Cells from Human Blood

	
US

	
13/530,488

	
22-Jun-12

	
 

	
 

	
Pending

	
Argos Therapeutics, Inc.

	
822/201AU

	
CD4+CD25+ Regulatory T Cells from Human Blood

	
AU

	
2002257648

	
12-Mar-02

	
2,002,257,648

	
17-Jan-08

	
Issued

	
Argos Therapeutics, Inc.

	
822/202BR

	
CD4+CD25+ Regulatory T Cells from Human Blood

	
BR

	
0208076.1

	
12-Mar-02

	
 

	
 

	
Pending

	
Argos Therapeutics, Inc.

	
822/203CA

	
CD4+CD25+ Regulatory T Cells from Human Blood

	
CA

	
2441213

	
12-Mar-02

	
 

	
 

	
Pending

	
Argos Therapeutics, Inc.

 

44

	
822/204CN

	
CD4+ CD25+ Regulatory T Cells from Human Blood

	
CN

	
02809777.7

	
12-Mar-02

	
 

	
 

	
Pending

	
Argos Therapeutics, Inc.

	
822/206JP

	
CD4+CD25+ Regulatory T Cells from Human Blood

	
JP

	
571855/02

	
12-Mar-02

	
 

	
 

	
Pending

	
Argos Therapeutics, Inc.

	
822/207KR

	
CD4+CD25+ Regulatory T Cells from Human Blood

	
KR

	
2003-7011970

	
12-Mar-02

	
 

	
 

	
Pending

	
Argos Therapeutics, Inc.

	
822/208DE

	
CD4+CD25+ Regulatory T Cells from Human Blood

	
DE

	
 

	
12-Mar-02

	
1379625

	
30-Jun-10

	
Issued

	
Argos Therapeutics, Inc.

	
822/209FR

	
CD4+CD25+ Regulatory T Cells from Human Blood

	
FR

	
027273978

	
12-Mar-02

	
1379625

	
30-Jun-10

	
Issued

	
Argos Therapeutics, Inc.

	
822/210IE

	
CD4+CD25+ Regulatory T Cells from Human Blood

	
IE

	
027273978

	
12-Mar-02

	
1379625

	
30-Jun-10

	
Issued

	
Argos Therapeutics, Inc.

	
822/211NL

	
CD4+CD25+ Regulatory T Cells from Human Blood

	
NL

	
027273978

	
12-Mar-02

	
1379625

	
30-Jun-10

	
Issued

	
Argos Therapeutics, Inc.

	
822/212SE

	
CD4+CD25+ Regulatory T Cells from Human Blood

	
SE

	
027273978

	
12-Mar-02

	
1379625

	
30-Jun-10

	
Issued

	
Argos Therapeutics, Inc.

	
822/213UK

	
CD4+CD25+ Regulatory T Cells from Human Blood

	
GB

	
027273978

	
12-Mar-02

	
1379625

	
30-Jun-10

	
Issued

	
Argos Therapeutics, Inc.

	
830/004C

	
Method for In Vitro Proliferation of Dendritic Cell Precursors and Their Use to Produce Immunogens

	
US

	
08/458,230

	
2-Jun-95

	
5,851,756

	
22-Dec-98

	
Issued

	
Rockefeller Univ. and Argos

	
830/005D

	
Method for In Vitro Proliferation of Dendritic Cell Precursors and Their Use to Produce Immunogens

	
US

	
09/073,596

	
6-May-98

	
 

	
 

	
Pending

	
Rockefeller Univ. and Argos

 

45

	
830/010P

	
Method for In Vitro Proliferation of Dendritic Cell Precursors and Their Use to Produce Immunogens

	
US

	
08/261,537

	
17-Jun-94

	
5,994,126

	
30-Nov-99

	
Issued

	
Rockefeller Univ. and Argos

	
830/201AU

	
Method for In Vitro Proliferation of Dendritic Cell Precursors and Their Use to Produce Immunogens

	
AU

	
40461/93

	
1-Apr-93

	
687733

	
5-Mar-98

	
Issued

	
Rockefeller Univ. and Argos

	
830/202CA

	
Method for In Vitro Proliferation of Dendritic Cell Precursors and Their Use to Produce Immunogens

	
CA

	
2133409

	
1-Apr-93

	
2,133,409

	
24-May-11

	
Issued

	
Rockefeller Univ. and Argos

	
830/204JP

	
Method for In Vitro Proliferation of Dendritic Cell Precursors and Their Use to Produce Immunogens

	
JP

	
517738/1993

	
1-Apr-93

	
3649335

	
18-May-05

	
Issued

	
Rockefeller Univ. and Argos

	
830/312MN

	
Method for In Vitro Proliferation of Dendritic Cell Precursors and Their Use to Produce Immunogens

	
MN

	
93911581.2

	
1-Apr-93

	
633,929

	
3-Mar-04

	
Issued

	
Rockefeller Univ. and Argos

 

46Exhibit 10.2

 

EXCLUSIVE SUBLICENSE AGREEMENT

 

between

 

GERON CORPORATION

 

and

 

ASTERIAS BIOTHERAPEUTICS, INC.

This EXCLUSIVE SUBLICENSE AGREEMENT (the “Agreement”) is entered into as of October 1, 2013 (the “Effective Date”) by and between Geron Corporation, a Delaware corporation having a principal place of business at 149 Commonwealth Drive, Menlo Park, California 94025 (“Geron”), and Asterias Biotherapeutics, Inc., a Delaware corporation having a principal place of business at 1301 Harbor Bay Parkway, Alameda, CA 94502 (“Licensee”).  Geron and Licensee are each referred to individually herein as a “Party,” and collectively as the “Parties.”

 

RECITALS

 

WHEREAS, Licensee has acquired Geron’s technology directly related to the research, development and commercialization of products based on primate pluripotent embryonic stem cells (the “Contributed Assets”) pursuant to that certain Asset Contribution Agreement dated January 4, 2013 (the “Asset Contribution Agreement”); and

 

WHEREAS, Licensee also desires to obtain, and Geron is willing to grant, a license to certain patents licensed to and/or co-owned by Geron under the Colorado Telomerase License (as defined below) for specific uses, on the terms and conditions set forth in this Agreement.

 

NOW, THEREFORE, in consideration of the mutual covenants and conditions set forth herein and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Parties hereby agree as follows:

 

AGREEMENT

 

1.                  Definitions.  Capitalized terms used and not otherwise defined in this Agreement shall have the respective meanings ascribed to them in the Asset Contribution Agreement.  As used throughout this Agreement and its Exhibits, the following terms shall have the meanings set forth below:

 

	1.1	“Affiliate” means, with respect to a Party, any other entity that as of the date of the Agreement or as of any subsequent date, directly or indirectly, through one or more intermediaries, controls, is controlled by or is under common control with such specified Party.

 

	1.2	“Allowed Sales Deductions” means deductions for (i) import, export, excise, sales, value added and use taxes, custom duties, freight and insurance invoiced to and/or paid by the purchaser of a Licensed Product; (ii) rebates and trade discounts off of the invoiced purchase price customarily and actually allowed; and (iii) credits for returns, allowances or trades, actually granted.

1

	1.3	“Colorado Telomerase License” means that certain Intellectual Property License Agreement, dated December 9, 1996, as amended, by and between Geron and UTC.

 

	1.4	“Commercially Reasonable Efforts” means the expenditure of efforts and resources (including the obtaining of any necessary financing) consistent with the usual practice of a third party of similar size and capability in pursuing, in a reasonably timely manner, the development, approval, commercialization and marketing of its own pharmaceutical products that are of significant market potential and strategic value

 

	1.5	“Confidential Information” means any and all information that is contained in any report under Section 5.1 or any written disclosure of an Invention under Section 8.1 (which information shall be deemed Licensee’s Confidential Information), or disclosed by a Party to the other Party or its Representatives or obtained by a Party or its Representatives from the other Party in connection with any audit under Section 5.2.

 

	1.6	“Field of Use” means use of telomerase as an antigen in an immunotherapeutic product  for use in humans wherein the telomerase antigen is delivered using (i) patient monocyte-derived dendritic cells, or other patient blood or bone marrow-derived antigen presenting cells, (ii) human embryonic stem cell derived dendritic cells or other antigen presenting cells, or (iii) induced pluripotent stem cell derived dendritic cells or other antigen presenting cells.

 

	1.7	“GRNVAC” means the technology acquired by the Licensee under the Asset Contribution Agreement pertaining to the presentation of one or more antigens to the immune system using patient monocyte-derived (VAC-1) or dendritic cells or human embryonic stem cell-derived or induced pluripotent stem cell-derived antigen presenting cells (VAC-2).

 

	1.8	“Inventions” means any discovery, modification, or improvement (whether or not protectable under state, federal, or foreign intellectual property laws) of the technology covered by the Licensed Patents.

 

	1.9	“Licensed Patents” means the patents and patent applications that are (a) licensed to Geron and/or co-owned by Geron pursuant to the Colorado Telomerase License (b) related to telomerase, and (c) necessary for the development and commercialization of GRNVAC, as listed in Exhibit A.

 

	1.10	“Licensed Product” means any product, or part thereof, that is sold, manufactured or used in the Territory and that is itself, or that is manufactured by a process that is, covered in whole or in part by an issued, unexpired Valid Claim within the Licensed Patents.

 

	1.11	“Net Sales” means the total amount received by Licensee for the sale or other commercial disposition of Licensed Products by Licensee or its sublicensees, less the Allowed Sales Deductions incurred with respect to such sale or disposition.

2

	1.12	“Representatives” means a Party’s Affiliates and its and their respective officers, directors, employees, agents, attorneys, accountants and advisors.

 

	1.13	“Territory” means worldwide.

 

	1.14	“Third Party” means any person or entity other than Geron or Licensee.

 

	1.15	“UTC” means University Technology Corporation, a not-for-profit Colorado corporation having its principal place of business at 3101 Iris Ave, Suite 250, Boulder, Colorado, 80301 U.S.A.

 

	1.16	“Valid Claim" means an unexpired claim in the Licensed Patents, whether or not issued or granted, which has not been revoked or held unenforceable, unpatentable or invalid by a court of competent jurisdiction, or unappealable or unappealed within the time allowed for appeal; and which has not been rendered unenforceable.

 

	2.	License Grant.

 

	2.1	License Grant by Geron.  In consideration of payment by Licensee of the amounts set forth in Article 4 and subject to the terms and conditions of this Agreement, Geron hereby grants to Licensee and its Affiliates an exclusive, royalty-bearing sub-license under the Licensed Patents, including the right to grant further sublicenses in accordance with Section 2.3 hereof, solely to make, have made, use, import, sell, or have sold Licensed Products in the Territory under the Field of Use.  Licensee acknowledges that this Agreement is subject to the Colorado Telomerase License, and that this Agreement must be consistent with the terms of the Colorado Telomerase License.

 

	2.2	Retained Rights.  The license granted to Licensee under Section 2.1 shall be subject to the retained right of UTC to use the Licensed Patents for noncommercial, research and educational purposes, as set forth in Section 2.4 of the Colorado Telomerase License.  Further, Licensee agrees that Geron retains exclusively all rights to use, practice and exploit the Licensed Patents and all products based thereon for all uses outside the Field of Use.  Licensee covenants that neither it, nor any of its Affiliates shall use, practice or exercise the Licensed Patents for any purpose outside the Field of Use licensed under Section 2.1.

3

	2.3	Sublicense Rights.  Licensee shall have the right to grant sublicenses of the rights granted to it under Section 2.1 solely to Third Parties engaged in research, development and marketing of Licensed Products in the Field of Use, and to contract service providers providing services to Licensee, and solely to the extent such sublicenses are reasonably needed for the research, development and/or commercialization of Licensed Products in the Field of Use.  Each such sublicense shall be subject to the applicable terms and conditions of this Agreement, and shall require the sublicensee to diligently pursue the commercialization of the sublicensed technology, as set forth in a written, executed sublicense agreement between Licensee and each sublicensee.  Licensee shall use commercially reasonable efforts to monitor and require compliance of its sublicensees with such diligence obligations.  Licensee will provide Geron with a complete copy of each sublicense agreement within five (5) business days after its execution.

 

	
3.

	
No Implied Licenses; Retained Rights.

 

	3.1	No Implied Licenses.  Except as expressly set forth in Section 2.1 with respect to Licensed Patents in the Field of Use, Licensee does not and shall not obtain by virtue of this Agreement any license or other intellectual property interest in, to, or under any patents, know-how or other intellectual property of Geron or UTC, by implication or otherwise.  For the avoidance of doubt, no technical data, information or knowledge of UTC related to Licensed Products, or any process based on or covered by the Licensed Patents, or the manufacture, marketing, registration, purity, quality, potency, safety and efficacy of the Licensed Products, exists nor is any such technical data, information or knowledge conveyed or licensed in any way to Licensee under this Agreement.

 

	3.2	Retained Rights.  Geron retains all rights not explicitly granted to Licensee in Article 2.  For the avoidance of doubt, Geron retains all rights under the Licensed Patents, and all other intellectual property owned or controlled by Geron, outside of the Field of Use as expressly defined herein.

 

	3.3	Expiration of License granted by UTC to Geron.  Licensee understands that the license rights granted by UTC to Geron under the Licensed Patents expire upon the end of the term of the Licensed Patents (or at such earlier date that the Colorado Telomerase License is terminated).

 

	
4.

	
Consideration.

 

	4.1	Upfront Fee. In consideration of the license granted to Licensee pursuant to Section 2.1, Licensee will pay to Geron a non-refundable, non-creditable upfront license fee of sixty-five thousand U.S. dollars ($65,000 USD) within thirty (30) calendar days after the Effective Date of this Agreement.

 

	4.2	Annual License Maintenance Fee.  In consideration of the license granted to Licensee pursuant to Section 2.1, commencing on the first anniversary of the Effective Date of this Agreement, and continuing thereafter during the Term, Licensee will pay to Geron an annual, non-refundable, non-creditable license maintenance fee, in each case, of ten thousand U.S. dollars ($10,000 USD)(each, a “License Maintenance Payment”).  Licensee shall pay each License Maintenance Payment to Geron within thirty (30) calendar days after each anniversary of the Effective Date with respect to the immediately preceding annual period (each such period, a “License Maintenance Period”).If this Agreement expires or is terminated, Licensee will pay Geron a pro-rated License Maintenance Payment calculated by multiplying ten thousand U.S. dollars ($10,000 USD) by a fraction, the numerator of which is the number of days of the applicable License Maintenance Period that have elapsed as of the date of such expiration or termination, and the denominator of which is the total number of days in such License Maintenance Period.

4

	4.3	Royalties.  Licensee will pay to Geron earned royalties equal to one percent (1%) of Net Sales. Royalties due hereunder shall be paid to Geron quarterly within sixty (60) days after the close of each calendar quarter ended March 31, June 30, September 30, and December 31 during the Term.

 

	4.4	Payments Generally.  All payments shall be made in US Dollars by check to the following address:

 

		
Geron Corporation

	
 

	
Attention:  Controller

	
 

	
149 Commonwealth Drive

	
 

	
Menlo Park, CA 94025

	
 

	
Tel: 650-473-8694

	
 

	
Fax:  650-566-7182

Licensee shall be solely responsible for any and all payments due from its sublicensees.  Interest shall accrue and be paid on all sums due and unpaid under this Agreement at an interest rate equal to three percent (3%) per annum above the prime rate quoted from time to time by the Bank of America from the due date for payment until the date of payment in full thereof.

 

	4.5	Currency Conversion.  All payments to be made by Licensee to Geron under this Agreement shall be made in United States dollars and may be paid by bank wire transfer in immediately available funds to such bank account in the United States as may be designated in writing by Geron from time to time.  In the case of payments to be made based on sales which are other than in United States dollars, the rate of exchange to be used in computing the monthly amount of currency equivalent in United States dollars due Geron shall be made in accordance with the exchange rates quoted by the Wall Street Journal on the last day of the calendar quarter for in which such payment is due.  Such payments will be without deduction of exchange, collection or other charges.

5

	5.	Royalty Reports; Audits.

 

	5.1	Royalty Reports.  Commencing at the end of the first quarter during which Licensee receives Net Sales, Licensee will submit to Geron a quarterly written report setting forth the Net Sales received by Licensee during the reporting period; the quantity of each Licensed Product sold by Licensee or its sublicensees during the reporting period and amounts due and payable with respect thereto; any applicable deductions; total royalties due to Geron hereunder; and the name and address of any sublicensees of Licensee.  After the first such report, reports shall be made whether or not Licensee has received any Net Sales during said quarter.  Licensee agrees to accompany each such report with full payment of all amounts due for the reported period.  Licensee shall keep, and shall require its sublicensees to keep, complete and accurate records in sufficient detail to enable royalties due and payable hereunder to be determined.

 

	5.2	Audits.  At the written request of Geron not more than once in each Calendar Year, Licensee shall permit an independent certified public accounting firm selected by Geron and reasonably acceptable to Licensee, at Geron’s expense, to have access during normal business hours to those records of Licensee as may be reasonably necessary to verify the accuracy of royalty reports submitted by Licensee hereunder.  If such accounting firm identifies a discrepancy in royalties paid by Licensee, the discrepancy will be promptly corrected by a payment or a refund by the applicable Party.  The fees charged by such accounting firm shall be paid by Geron, provided, however, that if such audit uncovers an underpayment of royalties by Licensee that exceeds five percent (5%) of the total royalties owed, then the fees of such accounting firm shall be paid by Licensee. Licensee shall include in each sublicense granted by it pursuant to this Agreement a provision requiring the sublicensee to grant access to such records by Geron’s independent accountant to the same extent required of Licensee under this Agreement.

 

	5.3	Confidentiality of Audited Information.  Geron shall treat all financial information subject to review under this Article 5 in accordance with the confidentiality and non-use provisions of this Agreement, and shall cause its accounting firm to enter into a reasonably acceptable confidentiality agreement with Licensee or any sublicensee obligating it to retain such information in confidence pursuant to such confidentiality agreement.

	5.4	Taxes.  All taxes imposed as a result of the existence of this Agreement or the performance hereunder shall be paid by the Party required to do so by applicable law, provided, however, that if required by applicable law, and solely to the extent required, Licensee shall withhold the amount of any such taxes and shall promptly effect payment thereof to the appropriate tax authorities.  In that case, Licensee shall cooperate with Geron in obtaining a refund of any such taxes, and shall transmit to Geron official tax receipts or other evidence issued by such tax authorities sufficient to enable Geron to support a claim for the United States income tax credit in respect of any such taxes so withheld.

 

	
6.

	
Development.

 

Licensee will use Commercially Reasonable Efforts to conduct the research, development and commercialization of Licensed Products.  If Licensee fails to use Commercially Reasonable Efforts to conduct the research, development and commercialization of Licensed Products, Geron will have the right to terminate this Agreement in accordance with Section 13.3.

6

	
7.

	
Government and Regulatory Approvals.

 

Licensee is responsible for obtaining all government and regulatory approvals and authorizations necessary for the research, development, testing, production, distribution, sale, and use of Licensed Products.

 

	8.	Intellectual Property.

 

	8.1	Inventions.  Licensee will promptly disclose in writing to Geron any Inventions that are conceived, made or reduced to practice by Licensee, alone or jointly with others, in the exercise of the license rights granted hereunder.  Inventorship of such Inventions shall be determined in accordance with United States Patent law, and ownership shall be consistent with inventorship.  Licensee, alone or with a sublicensee, will have the right to prepare, file and prosecute Inventions owned solely by Licensee or jointly with a sublicensee; any Inventions owned jointly by the Parties will be prepared, filed and prosecuted in collaboration by the Parties.

 

	8.2	Filing, Prosecution and Maintenance of Licensed Patents.  Geron shall use Commercially Reasonable Efforts to file, prosecute and maintain the Licensed Patents.  All final decisions with respect to filing, prosecution and maintenance of the Licensed Patents shall be made by Geron.

 

	8.3	Enforcement.  Geron  or UTC shall have the sole right, in their sole discretion and in accordance with the terms and conditions of the Colorado Telomerase License, to initiate a suit or other legal proceeding in their name or, if appropriate, in the names of Geron, UTC and Licensee, to enforce and defend the Licensed Patents with respect to any infringement or other unlawful use by a Third Party; provided, however, that neither Geron nor UTC shall have any obligation to bring such suit or other proceeding Licensee shall promptly notify Geron of any potential or actual infringement or unlawful use of the Licensed Products of which Licensee becomes aware. Licensee will assist Geron in any action taken or brought by Geron to enforce and defend the Licensed Patents, and will cooperate fully in such action, at Geron’s expense.  Any recovery from such action will be retained by Geron, except that any recovery for infringement of Licensee’s rights in the Field of Use shall be allocated as follows:  (a) first to Geron, pro rata with any recovery for infringement outside the Field of Use, until Geron has recovered its documented out of pocket costs of prosecuting the infringement in such action; (b) to any recovery in settlement of a claim or lawsuit, as damages for lost revenues or profits on the sale of a Licensed Product, shall belong to Licensee, and any amount awarded or paid in settlement of a claim or lawsuit, as damages for lost royalty revenues, shall belong to Geron.

 

	8.4	Third Party Intellectual Property Rights.  If Licensee receives any warning letter or other notice of infringement, or an action, suit or other proceeding is brought against Licensee alleging that any activity related to the Licensed Products infringes an intellectual property right of a Third Party, Licensee shall promptly notify Geron.

7

	
9.

	
Confidentiality.

 

	9.1	Confidentiality Obligations.  During the term of the Agreement and for a period of three (3) years thereafter, each Party shall not disclose any Confidential Information received from the other Party to any Third Party (other than such Party’s Representatives who have a need to know such Confidential Information) or use such Confidential Information of the other Party to compete with the other Party; provided, however, that this Section 9.1 shall not restrict either Party from performing any obligation or exercising any right under this Agreement and shall not restrict the individual Representatives of either Party from using Residual Knowledge.  For purposes of this Agreement, “Residual Knowledge” means ideas, concepts, know-how, or techniques related to the Confidential Information that are retained in the unaided memories of the receiving Party’s individual Representatives who have had access to the Confidential Information.  An individual Representative’s memory is considered unaided if the employee has not intentionally memorized the relevant Confidential Information for the purpose of retaining and subsequently using or disclosing it.  Neither Party shall direct any of its individual Representatives to use or practice any Residual Knowledge.  In protecting the other Party’s Confidential Information from unauthorized disclosure to any Third Party, each Party shall use at least the same degree of care as it uses in preventing the unauthorized disclosure of its own confidential information.

 

	9.2	Exceptions.  Notwithstanding anything contained herein to the contrary, Confidential Information shall not include information that:

 

(i) is or becomes publicly available (other than through a breach of this Agreement);

 

(ii) was known to or in the possession of the receiving Party or any of its Representatives at the time of disclosure;

 

(iii) is independently developed or acquired by the receiving Party or any of its Representatives without the use of Confidential Information provided by the other Party;

 

(iv) is disclosed with the prior written approval of the disclosing Party; or

 

(v) becomes known to the receiving Party or its Representatives from a Third Party  (other than a former officer, director or employee of a Party who knew such information during the term of their office, directorship or employment with such Party) on a nonconfidential basis without breach of this Agreement by the receiving Party.

8

	9.3	Disclosure Required by Law.  Notwithstanding anything to the contrary contained herein, a Party shall be permitted to disclose Confidential Information of the other Party to the extent required by law or pursuant to the order or legal process of a court, administrative agency, or other governmental body (including by deposition, interrogatory, request for documents, subpoena, civil investigation, demand or similar process), or any rule, regulation, policy statement or other formal demand of any national securities exchange, market or automated quotation system; provided, that, to the extent permitted by applicable law or any order or requirement of a court, administrative agency or other governmental body, the receiving Party will, as promptly as practicable, provide the disclosing Party with prior written notice of such requirement so that the disclosing Party may seek a protective or other order at its sole expense, or waive compliance with the terms of this Agreement with respect to such disclosure. If such protective order is not timely obtained, or if the disclosing Party waives compliance with the provisions hereof or fails to promptly respond to the receiving Party’s written notice, the receiving Party will, without liability under this Agreement, furnish only that portion of the Confidential Information that it is advised by its outside legal counsel is legally required and will exercise commercially reasonable efforts to obtain assurance that confidential treatment, if available, will be accorded such Confidential Information.  Notwithstanding anything to the contrary contained herein, each Party may disclose Confidential Information of the other Party to the extent required by federal or state securities laws or reporting obligations to the United States Securities and Exchange Commission.

 

	9.4	Agreement and Terms Confidential.  Except as required by law, including but not limited to federal and state securities laws or reporting obligations to the United States Securities and Exchange Commission, or pursuant to the order or requirement of a court, administrative agency or other governmental body (including by deposition, interrogatory, request for documents, subpoena, civil investigation, demand or similar process), or any rule, regulation, policy statement or other formal demand of any national securities exchange, market or automated quotation system, neither Party shall publicly disclose the terms and conditions of this Agreement unless expressly authorized to do so in writing by the other Party, which authorization shall not be unreasonably withheld.  This restriction shall not apply with respect to any terms and conditions of this Agreement that are or become publicly available (other than through a breach of this Agreement).

 

	9.5	Equitable Remedies.  Each Party acknowledges and agrees that due to the unique nature of the Confidential Information, there may be no adequate remedy at law for any breach of its obligations hereunder, and therefore, that upon any breach hereof, the other Party shall be entitled to seek appropriate equitable relief in addition to whatever remedies it might have at law.

 

	10.	Publications; Press Releases.

 

	10.1	Publications.  Licensee shall have the right to publish the results of activities conducted in by Licensee or its sublicensees in the exercise of the license rights granted pursuant to this Agreement.  Licensee shall submit proposed publications for Geron's review at least thirty (30) days prior to the date of submission for publication or public disclosure. Geron will complete its review within thirty (30) days of receipt of the proposed publication.  Upon Geron's request, Licensee shall delete from proposed publications any reference to Geron's Confidential Information.  If, during its thirty (30) day review period, Geron notifies Licensee that it desires patent applications to be filed on any Inventions disclosed or contained in the manuscripts, Licensee shall delay publications or other disclosure for a period, not to exceed ninety (90) days, sufficient to permit Geron or Licensee to file any desired patent applications, as provided by Section 8.1 above.

9

	10.2	Press Releases.  Except for disclosures permitted under Section 9.4 or Section 10.1, any press release related to any terms and conditions of this Agreement shall be subject to mutual agreement of the Parties; provided, however, that no such agreement shall be required with respect to any press release that references or discloses the existence of this Agreement or the sublicense of the Licensed Patents, or with respect to any information previously disclosed by the other Party or included in any press release approved by the other Party.

 

	11.	Representations and Warranties.

 

	11.1	Each Party represents and warrants to the other that: (a) it is duly organized and validly existing under the laws of its state of incorporation and has full corporate power and authority to enter into this Agreement; (b) it is in good standing with all relevant governmental authorities; (c) it has taken all corporate actions necessary to authorize the execution and delivery of this Agreement and the performance of its obligations under this Agreement; and (d) its entry into and performance of the terms and conditions of this Agreement will not violate any agreements or obligations such Party may have to any other person or entity.

 

	11.2	Geron represents and warrants as of the Effective Date the Colorado Telomerase License is current and in full force and effect.  Geron agrees that in the event of the termination of the Colorado Telomerase License, Geron will give Asterias notice of such event within 30 days of its occurrence.

	11.3	No Implied Warranties. Nothing in this Agreement is or shall be construed as:

 

	 	
11.3.1

	
A warranty or representation as to the validity or scope of the Licensed Patents;

 

		11.3.2	A warranty or representation that anything made, used, or disposed of under this Agreement is or will be free from infringement of patents, copyrights, and other rights of third parties;

 

		11.3.3	An obligation to bring or prosecute actions or suits against third parties for infringement of the Licensed Patents; or

 

		11.3.4	Granting by implication, estoppel, or otherwise any licenses or rights under patents or other rights of Geron or Third Parties, other than expressly provided herein.

 

	11.4	Disclaimer of Warranty; Limitation of Liability.  Except as explicitly set forth herein, Geron makes no representation or warranty, express or implied, with respect to the Licensed Patents, including any warranty of merchantability, fitness for any particular purpose or that the practice of the Licensed Patents does not infringe any third party patents.  EXCEPT WITH RESPECT TO CLAIMS FOR MATERIAL BREACH OF ARTICLE 9, IN NO EVENT WILL EITHER PARTY HERETO BE LIABLE FOR ANY SPECIAL, INCIDENTAL, CONSEQUENTIAL OR INDIRECT DAMAGES SUFFERED BY THE OTHER PARTY ARISING IN ANY WAY OUT OF THIS AGREEMENT, HOWEVER CAUSED AND ON ANY THEORY OF LIABILITY.  THIS LIMITATION WILL APPLY EVEN IF THE PARTY HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGE.

10

	
12.

	
Indemnification; Insurance.

 

	
12.1

	
Indemnification by Geron.  Subject to Article 14, Geron hereby agrees at all times during the term of this Agreement to indemnify, defend and hold harmless Licensee and its Affiliates (collectively, the “Asterias Indemnified Parties”) from and against any Damages with respect to any claims and any Proceedings with respect to such claims (together, “Claims”) made by any Third Party and arising from or based on (a) a material breach of Geron’s representations and warranties contained in Section 11.2 or (b) the negligence or willful misconduct of Geron in the performance of its obligations or exercise of its rights under this Agreement; provided that such indemnification obligation shall not apply to Damages incurred by a Asterias Indemnified Party to the extent such Asterias Indemnified Party is adjudicated (in a final non-appealable judgment) to have acted in a negligent or willfully wrongful manner.

 

	12.2	Indemnification by Licensee.  Subject to Article 14, Licensee hereby agrees to defend, indemnify and hold harmless Geron and its Affiliates; the University of Colorado; University License Equity Holdings, Inc. (the successor to University Technology Corporation); and the Howard Hughes Medical Institute, and each of their directors, officers, employees, and agents (collectively, the “Geron Indemnified Parties”) from and against any Damages with respect to any Claims made by any Third Party and (a) arising from or based on a material breach of Licensee’s representations and warranties contained in Section 11.1; or (b) resulting from personal injury, product liability or property damage relating to or arising from: (i) the manufacture, use, promotion or sale of any Licensed Product by Licensee or its sublicensees; or (ii) the use by any person of a Licensed Product made, created, sold or otherwise transferred by Licensee or its sublicensees; or (c) based on or resulting from the breach of this Agreement by Licensee or the negligence or willful misconduct of Licensee or its sublicensee in the performance of their respective obligations or the exercise of their respective rights relating to this Agreement; provided that such indemnification obligation shall not apply to Damages incurred by a Geron Indemnified Party to the extent such Geron Indemnified Party is adjudicated (in a final non-appealable judgment) to have acted in a negligent or willfully wrongful manner.

 

	12.3	Insurance. Asterias agrees to maintain insurance or self-insurance that is reasonably adequate to fulfill any potential obligation to the indemnified parties.  Asterias shall continue to maintain such insurance or self-insurance during the term of this Agreement and after the expiration or termination of this Agreement for a period of five (5) years.  The Licensee’s insurance shall name Geron, UTC, the University of Colorado and the Institute, and its and their employees, directors, and agents as additional named insureds.

 

	13.	Term and Termination.

 

	13.1	Term and Expiration.  The term of this Agreement shall commence upon the Effective Date and, unless terminated earlier pursuant to Sections 13.2, 13.3, 13.4, 13.5 or 13.6 below, shall continue in effect until expiration of all Valid Claims of the Licensed Patents hereunder (the “Term”).

11

	13.2	Termination of Colorado Telomerase License.  This Agreement shall terminate immediately upon any termination of the Colorado Telomerase License.  In the event that the Colorado Telomerase License is terminated Geron will notify Licensee of such termination within 30 days.

 

	13.3	Termination for Material Breach.   Each Party shall have the right to terminate this Agreement for uncured material breach of the other Party, as follows:  If a Party believes that the other Party is in material breach of its obligations under this Agreement, then such Party may provide written notice to the other Party setting forth a description of the asserted material breach.  The Party against which such breach is asserted by such notice shall then either (1) cure such asserted material breach within sixty (60) days after actual receipt of such written notice (or such longer period as may be agreed by the Parties) or, if such Party disagrees that it is in material breach, (2) initiate dispute resolution pursuant to Article 14, whereupon the sixty (60) day cure period shall be tolled until the dispute is resolved.  If a Party has materially breached its obligations under this Agreement and does not cure such breach by the end of the sixty (60) days period after the other Party provides notice of such breach as above, then the Party providing such notice may then terminate the Agreement immediately on written notice to the breaching Party.

 

	13.4	Termination by Licensee.  Licensee shall have the right to terminate this Agreement for any reason, with or without cause, upon ninety (90) days prior written notice to Geron.  The termination shall become effective upon expiration of the ninety (90) day period.

 

	13.5	Termination for Bankruptcy.  A Party may terminate this Agreement upon written notice upon the filing or institution of bankruptcy, reorganization, liquidation or receivership proceedings, or upon an assignment of a substantial portion of the assets for the benefit of creditors by the other Party; provided, however, that in the case of any involuntary bankruptcy proceeding such right to terminate shall only become effective if the Party consents to the involuntary bankruptcy or such proceeding is not dismissed within ninety (90) days after the filing thereof (or such other period as the Parties may mutually agree in writing).

 

	13.6	Effect of Termination. Upon any expiration pursuant to Section 13.1 or any termination pursuant to Sections 13.2, 13.3, 13.4, or 13.5, all obligations incurred by Licensee to Geron and all the rights granted to Licensee, including pursuant to Sections 2.1 and 2.3, shall immediately terminate (except as provided below), and any sublicenses granted by Licensee shall terminate.  Upon any termination, Licensee shall immediately cease (and cause its sublicensees to cease) making, having made, using, selling, and having sold Licensed Products.  Expiration or termination of this Agreement shall not relieve the Parties of any obligation accruing prior to such expiration or termination.  Article 9 shall survive the expiration or termination of this Agreement and shall continue for the period of time set forth in Article 9.  In addition, Articles 1, 5, 9, 10, 12, 14 and 15, and Sections 8.1, 11.2, 11.3, 13.6, shall survive expiration or termination of this Agreement.

 

	13.7	In the event Geron receives any written notice from UTC alleging that Geron is in breach or default of Geron’s obligations under the Colorado Telomerase License, Geron shall: (a) promptly provide Licensee with notice of UTC’s alleged breach or default by Geron; and (b) use its Commercially Reasonable Efforts to cure such breach or default.

12

	14.	Dispute Resolution and Indemnification Procedures.

 

	14.1	Notwithstanding anything to the contrary contained in this Agreement, the dispute resolution provisions of Schedule 10.10(b) of the Asset Contribution Agreement shall apply with full force and effect to any disputes with respect to the matters contemplated by this Agreement and the indemnification obligations between the parties under Article  12.  Accordingly, the parties agree that any claim (other than a claim for injunctive or other equitable relief from a court of competent jurisdiction in accordance with Section 15.4) for any breach of Geron’s or Asterias’ obligations under this Agreement, or for indemnification under Article 12, shall be brought and resolved exclusively in accordance with the provisions of Schedule 10.10(b) of the Asset Contribution Agreement as if Geron or Asterias were bringing such claim as a Geron Indemnitee or Asterias Indemnitee, respectively, thereunder, and shall otherwise be governed by the applicable provisions of this Article 14; provided, however, that nothing in this Article 14 shall prevent any party from seeking injunctive and other equitable relief from a court of competent jurisdiction in accordance with Section 15.4.

 

	14.2	In the event that any party to this Agreement becomes aware of any event or circumstance that would reasonably be expected to constitute or give rise to any claim contemplated by Section 14.1, the party having the right to bring such claim (“Claimant”) shall take all commercially reasonable efforts to mitigate and minimize all Damages that may result from the breach giving rise to the claim (it being understood that nothing in this Agreement shall limit such Claimant’s right to seek recovery from the other party with respect to any costs of such mitigation).  Each Claimant shall use reasonable efforts to collect any amounts available under insurance coverage for any claim  under this Agreement.  The amount of any claim shall be net of any amounts recovered by the Claimant under insurance policies with respect to such claims in excess of the sum of:  (i) reasonable out-of-pocket costs and expenses relating to collection under such policies; and (ii) any deductible associated therewith to the extent paid or by which insurance proceeds were reduced.

 

	14.3	In the event of the assertion or commencement by any Third Party of any action or other proceeding (“Proceeding’) with respect to which any Asterias Indemnified Party or Geron Indemnified Party (each an “Indemnitee”) may be entitled to indemnification pursuant to Article 12 of this Agreement, the indemnifying party (“Indemnitor”) shall have the right, at its election and expense, to proceed with the defense of such Proceeding on its own with counsel reasonably satisfactory to the Indemnittee; provided, however, that the Indemnitor shall not settle or compromise any such Proceeding without the prior written consent of the Indemnitee(s), which consent shall not be unreasonably withheld, conditioned or delayed.  The Indemnitee(s) shall give the Indemnitor prompt written notice after it becomes aware of the commencement of any such Proceeding against the Indemnitee(s); provided, however, any failure on the part of the Indemnitee(s) to so notify the Indemnitor shall not limit any of the obligations of the Indemnitor, or any of the rights of the Indemnitee(s), under this Section 14.3 (except to the extent such failure prejudices the defense of such Proceeding).  If the Indemnitor elects to assume and control the defense of any such Proceeding:  (a) at the request of the Indemnitor, the Indemnitee(s) shall make available to the Indemnitor any material documents and materials in the possession of the Indemnitee(s) that may be necessary to the defense of such Proceeding; (b) the Indemnitor shall keep the Indemnitee(s) reasonably informed of all material developments relating to such Proceeding; and (c) the Indemnitee(s) shall have the right to participate in the defense of such Proceeding at its own expense.  If the Indemnitor does not elect to proceed with the defense of any such Proceeding, the Indemnitee(s) may proceed with the defense of such Proceeding with counsel reasonably satisfactory to the Indemnitor; provided, however, that the Indemnitee(s) may not settle or compromise any such Proceeding without the prior written consent of the Indemnitor (which consent may not be unreasonably withheld, conditioned or delayed).

13

	14.4	Subject to any injunction or other equitable remedies that may be available to any party, a party shall not be liable or responsible in any manner whatsoever to the other party with respect to the matters contemplated by this Agreement (whether for indemnification or otherwise) other than for claims brought as provided in this Article 14 and subject to the limitations contained therein, and subject to the foregoing, this Article 14 provides the exclusive remedy and cause of action of Indemnitees against any Indemnitor with respect to any matter arising out of or in connection with this Agreement; provided, however, that no claim against a party for fraud by such party shall be subject to the limitations of this Article 14.

 

	
15.

	
General Provisions.

 

	15.1	Independent Contractors.  The Parties are independent contractors and shall not be deemed to be partners, joint venturers or each other’s agents or employees, and neither Party shall have the right to act on behalf of or otherwise bind the other Party, except as is expressly set forth in this Agreement.

 

	15.2	Entire Agreement.  This Agreement sets forth the entire agreement and understanding between the Parties, and supersedes all previous agreements, promises, representations, understandings, and negotiations, whether written or oral between the Parties, with respect to the subject matter of this Agreement.  There shall be no amendments or modifications to this Agreement, except by a written document signed by both Parties.

 

	15.3	Assignment.  This Agreement shall not be assigned by either Party without the prior written consent of the other Party, except that a Party may assign this Agreement, without such consent, to its successor in interest as part of a sale or transfer, by way of merger or otherwise, of all or substantially all of the business assets of such Party (or, if such Party is organized in divisions or other distinct business units, all of the business assets of a division or unit engaged in activities related to the Licensed Patents), or in the case of Geron, it assigns, transfers, or otherwise disposes of the Colorado Telomerase License in whole or in part, provided that the assignee agrees to be bound in writing by all the terms of this Agreement in place of the assignor.

14

	15.4	Governing Law; Dispute Resolution.  This Agreement and all claims or causes of action (whether in contract or tort or otherwise) based upon, arising out of or related to this Agreement or the transactions contemplated hereby shall be governed by and construed in accordance with the laws of the State of California without regard to conflict of laws principles that would result in the application of any law other than the laws of the State of California.  Except as provided for in Article 14, each of Geron and Asterias: (a) consents to and submits to the exclusive jurisdiction and venue of the Superior Court of the State of California for the County of Santa Clara, or the United States District Court for the Northern District of California, in any Proceeding arising out of or relating to this Agreement or any of the transactions contemplated by this Agreement; (b) agrees that all claims in respect of any such Proceeding shall be heard and determined in any such court; (c) shall not attempt to deny or defeat such personal jurisdiction by motion or other request for leave from any such court; and (d) shall not bring any Proceeding arising out of or relating to this Agreement or any of the transactions contemplated by this Agreement in any other court.  Each of Geron and Asterias waives any defense of inconvenient forum to the maintenance of any Proceeding so brought and waives any bond, surety or other security that might be required of any other Person with respect thereto.  Each of Geron and Asterias hereby agrees that service of any process, summons, notice or document in accordance with the provisions of Section 15.7 shall be effective service of process for any Proceeding arising out of or relating to this Agreement or any of the transactions contemplated hereby.  TO THE EXTENT PERMITTED BY APPLICABLE LAW, EACH OF THE PARTIES HERETO IRREVOCABLY WAIVES ANY AND ALL RIGHT TO TRIAL BY JURY IN ANY ACTION, SUIT OR OTHER LEGAL PROCEEDING ARISING OUT OF OR RELATED TO THIS AGREEMENT.

 

	15.5	Severability.  If any provision of this Agreement is finally held to be invalid, illegal or unenforceable by a court or agency of competent jurisdiction, that provision shall be severed or shall be modified by the Parties so as to be legally enforceable (and to the extent modified, it shall be modified so as to reflect, to the extent possible, the intent of the parties) and the validity, legality and enforceability of the remaining provisions shall not be affected or impaired in any way.

 

	15.6	No Waiver.  Any delay in enforcing a Party’s rights under this Agreement or any waiver as to a particular default or other matter shall not constitute a waiver of a Party’s right to the future enforcement of its rights under this Agreement.

 

	15.7	Notices.  Any notice required or permitted by this Agreement to be given to either Party shall be in writing and shall be deemed given when delivered personally, by confirmed fax to a fax number designated in writing by the Party to whom notice is given, or by registered, recorded or certified mail, return receipt requested, and addressed to the Party to whom such notice is directed, at:

 

	                  	
If to Geron:

	
Geron Corporation

		
 

	
149 Commonwealth Drive

		
 

	
Menlo Park, California  94025

		
 

	
Attention: Executive Director, Legal

		
 

	
Telephone:  (650) 473-7700

		
 

	
Facsimile:  (650) 473-7750

	 		
		
If to Licensee:   

	
Asterias Biotherapeutics, Inc.

		
 

	
c/o BioTime, Inc.

		
 

	
1301 Harbor Bay Parkway

		
 

	
Alameda, CA 94502

		
 

	
Attention: Chief Executive Officer

		
 

	
Telephone:  (510) 521-3390

		
 

	
Facsimile:  (510) 521-3389

 

15

or at such other address or fax number as such Party to whom notice is directed may designate to the other Party in writing.

 

	15.8	Force Majeure.  If the performance of this Agreement or any obligations hereunder is prevented, restricted or interfered with by reason of fire or other casualty or accident, strikes or labor disputes, war or other violence, any law, order, proclamation, ordinance, demand or requirement of any government agency, or any other act or condition beyond the control of the Party (a “Force Majeure”), the Party so affected, upon giving prompt notice to the other Party, shall be excused from such performance (other than the obligation to pay money) during such prevention, restriction or interference, provided that such Party continues to perform all its obligations under this Agreement, to the extent it is able, and uses diligent, good faith efforts to perform any such prevented, restricted or interfered obligations as soon as practicable, after the effects of such Force Majeure no longer prevent such performance.  Further, if a Party is prevented from performing any material obligation under this Agreement by a Force Majeure, for a period of 180 days, then the other Party may terminate this Agreement on notice.

 

	15.9	Use of Names.  Except as otherwise provided herein, no right, express or implied, is granted by either party to use in any manner the name of Geron or Licensee or any other trade name or trademark of the other party in connection with the performance of this Agreement.

 

	15.10	Counterparts.  This Agreement shall be fully executed in two (2) original counterparts, each of which shall be deemed an original.

 

	15.11	Licenses of Intellectual Property; Bankruptcy Code.  The Parties agree that the sublicenses granted to Licensee to use Licensed Patents constitute licenses of “intellectual property” as defined in the United States Bankruptcy Code (the “Bankruptcy Code”) and as used in Section 365(n) of the Bankruptcy Code.   The Parties also agree that the payments of royalties on Net Sales required to be paid by Licensee to Geron under this Agreement constitute “royalties” under Section 365(n) of the Bankruptcy Code.

16

IN WITNESS WHEREOF, authorized officers of each of Geron and Licensee have executed this Agreement as of the date first set forth above.

 

	
GERON CORPORATION

	
	
 

	
 

	
	
By:

	
s/John Scarlett

	
	
 

	
John Scarlett

	
	
Title:

	
Chief Executive Officer

	
	
 

	
 

	
	
ASTERIAS BIOTHERAPEUTICS, INC.

	
	
 

	
 

	
	
By:

	
s/Thomas Okarma

	

17

EXHIBIT A

LICENSED PATENTS

 

hTERT Licensed Patents

 

	
1/4/2013 10:51

	
 

	
 

	
 

	
 

	
 

	
 

	
 

	
 

	
 

	
 

	
 

	
 

	
 

	
 

	
 

	
FILE #

	
TITLE

	
COUNTRY

 

	
APPLICATION NUMBER

	
DATE FILED

	
PATENT NUMBER

	
ISSUE DATE

	
STATUS

	
018/062C

	
Genes for Human Telomerase Reverse Transcriptase and Telomerase Variants

	
US

	
09/438,486

	
12-Nov-99

	
6,927,285

	
9-Aug-05

	
Issued

	
018/181C

	
Telomerase

	
US

	
09/843,676

	
26-Apr-01

	
7,056,513

	
6-Jun-06

	
Issued

	
018/210C

	
Nucleic Acids Encoding Human Telomerase Reverse Transcriptase and Related Homologs

	
US

	
09/721,506

	
22-Nov-00

	
7,262,288

	
28-Aug-07

	
Issued

	
018/213C

	
Nucleic Acid Compositions for Eliciting an Immune Response Against Telomerase Reverse Transcriptase

	
US

	
10/044,692

	
11-Jan-02

	
7,560,437

	
14-Jul-09

	
Issued

	
018/221P

	
Human Telomerase Reverse Transcriptase Polypeptides

	
US

	
10/877,124

	
24-Nov-09

	
7,622,549

	
24-Nov-09

	
Issued

	
018/224C

	
Immunogenic Composition

	
US

	
11/894,643

	
20-Aug-07

	
 

	
 

	
Pending

	
018/204CH

	
Telomerase Reverse Transcriptase

	
CH

	
2312/97

	
1-Oct-97

	
689672

	
13-Aug-99

	
Issued

	
018/204GB

	
hTRT, the Reverse Transcriptase Subunit of Human Telomerase

	
GB

	
9720890.4

	
1-Oct-97

	
2317891

	
4-Aug-98

	
Issued

	
018/206AU

	
Human Telomerase Catalytic Subunit

	
AU

	
48073/97

	
1-Oct-97

	
734089

	
20-Sep-01

	
Issued

	
018/206BR

	
Human Telomerase Catalytic Subunit: Diagnosis and Therapeutic Methods

	
BR

	
9712254.8

	
1-Oct-97

	
 

	
 

	
Pending

	
018/206CA

	
Human Telomerase Reverse Transcriptase

	
CA

	
2,267,664

	
1-Oct-97

	
 

	
 

	
Allowed

	
018/206IL

	
Telomerase Reverse Transcriptase Gene, Promoter, and Encoded Protein and Diagnostic Kits and Pharmaceutical Compositions Utilizing the Same

	
IL

	
129103

	
1-Oct-97

	
129,103

	
21-Apr-08

	
Issued

	
018/206KR

	
Human Telomerase Catalytic Subunit

	
KR

	
10-1999-7002838

	
1-Oct-97

	
10-0530483

	
16-Nov-05

	
Issued

	
018/206NO

	
Human Telomerase Catalytic Subunit

	
NO

	
19991588

	
1-Oct-97

	
319982

	
10-Oct-05

	
Issued

	
018/206NZ

	
Human Telomerase Catalytic Subunit

	
NZ

	
334709

	
1-Oct-97

	
334709

	
9-Oct-01

	
Issued

	
018/206SG

	
Human Telomerase Catalytic Subunit

	
SG

	
99009565

	
1-Oct-97

	
64216

	
19-Jun-01

	
Issued

	
018/216NO D

	
Human Telomerase Catalytic Subunit: Diagnosis and Therapeutic Methods

	
NO

	
2005 3120

	
1-Oct-97

	
332085

	
18-Jun-12

	
Issued

	
018/219EP D2

	
Promoter for Telomerase Reverse Transcriptase

	
EP

	
9176870.5

	
1-Oct-97

	
 

	
 

	
Pending

1

	
018/225JP D2

	
Human Telomerase Catalytic Subunit

	
JP

	
2008-194208

	
1-Oct-97

	
4852576

	
28-Oct-11

	
Issued

	
018/226DE

	
Human Telomerase Catalytic Subunit

	
DE

	
69739497.2

	
1-Oct-97

	
69739497.2

	
15-Jul-09

	
Issued

	
018/227IE

	
Human Telomerase Catalytic Subunit

	
IE

	
 

	
1-Oct-97

	
1783139

	
15-Jul-09

	
Issued

	
018/228FR

	
Human Telomerase Catalytic Subunit

	
FR

	
 

	
1-Oct-97

	
1783139

	
15-Jul-09

	
Issued

	
018/229BE

	
Human Telomerase Catalytic Subunit

	
BE

	
 

	
1-Oct-97

	
1783139

	
15-Jul-09

	
Issued

	
018/230IT

	
Human Telomerase Catalytic Subunit

	
IT

	
 

	
1-Oct-97

	
1783139

	
15-Jul-09

	
Issued

	
018/231NL

	
Human Telomerase Catalytic Subunit

	
NL

	
49654/BE/2009

	
1-Oct-97

	
1783139

	
15-Jul-09

	
Issued

	
018/232CH

	
Human Telomerase Catalytic Subunit

	
CH

	
 

	
1-Oct-97

	
1783139

	
15-Jul-09

	
Issued

	
018/233GB

	
Human Telomerase Catalytic Subunit

	
GB

	
 

	
1-Oct-97

	
1783139

	
15-Jul-09

	
Issued

	
018/234CN D

	
Human Telomerase Catalytic Subunit

	
CN

	
201010150493.9

	
1-Oct-97

	
 

	
 

	
Pending

	
018/235HK

	
Human Telomerase Catalytic Subunit

	
HK

	
11111117.2

	
1-Oct-97

	
 

	
 

	
Pending

	
018/240FR

	
Human Telomerase Catalytic Subunit

	
FR

	
30754543

	
1-Oct-97

	
1333094

	
4-Apr-12

	
Issued

	
018/241DE

	
Human Telomerase Catalytic Subunit

	
DE

	
30754543

	
1-Oct-97

	
1333094

	
4-Apr-12

	
Issued

	
018/242IE

	
Human Telomerase Catalytic Subunit

	
IE

	
30754543

	
1-Oct-97

	
1333094

	
4-Apr-12

	
Issued

	
018/243NL

	
Human Telomerase Catalytic Subunit

	
NL

	
30754543

	
1-Oct-97

	
1333094

	
4-Apr-12

	
Issued

	
018/244CH

	
Human Telomerase Catalytic Subunit

	
CH

	
30754543

	
1-Oct-97

	
1333094

	
4-Apr-12

	
Issued

	
018/245GB

	
Human Telomerase Catalytic Subunit

	
GB

	
30754543

	
1-Oct-97

	
1333094

	
4-Apr-12

	
Issued

	
018/301AT

	
Human Telomerase Catalytic Subunit

	
AT

	
97307757.1

	
1-Oct-97

	
245194

	
16-Jul-03

	
Issued

	
018/302BE

	
Human Telomerase Catalytic Subunit

	
BE

	
97307757.1

	
1-Oct-97

	
841396

	
16-Jul-03

	
Issued

	
018/303CH

	
Human Telomerase Catalytic Subunit

	
CH

	
97307757.1

	
1-Oct-97

	
841396

	
16-Jul-03

	
Issued

	
018/304DE

	
Human Telomerase Catalytic Subunit

	
DE

	
69723531.9-08

	
1-Oct-97

	
841396

	
16-Jul-03

	
Issued

	
018/305ES

	
Human Telomerase Catalytic Subunit

	
ES

	
97307757.1

	
1-Oct-97

	
841396

	
16-Jul-03

	
Issued

	
018/306FR

	
Human Telomerase Catalytic Subunit

	
FR

	
97307757.1

	
1-Oct-97

	
841396

	
16-Jul-03

	
Issued

	
018/307GB

	
Human Telomerase Catalytic Subunit

	
GB

	
97307757.1

	
1-Oct-97

	
841396

	
16-Jul-03

	
Issued

	
018/308IE

	
Human Telomerase Catalytic Subunit

	
IE

	
97307757.1

	
1-Oct-97

	
841396

	
16-Jul-03

	
Issued

	
018/309IT

	
Human Telomerase Catalytic Subunit

	
IT

	
51975BE/2003

	
1-Oct-97

	
841396

	
16-Jul-03

	
Issued

	
018/310LU

	
Human Telomerase Catalytic Subunit

	
LU

	
97307757.1

	
1-Oct-97

	
841396

	
16-Jul-03

	
Issued

	
018/311SE

	
Human Telomerase Catalytic Subunit

	
SE

	
97307757.1

	
1-Oct-97

	
841396

	
16-Jul-03

	
Issued

 

 

2

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00223-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00223-of-00352.parquet"}]]