Document:

EX-10.15

 Exhibit 10.15 

[**] Confidential portions omitted and filed separately with the Securities and Exchange Commission.

 MASTER LABORATORY RESEARCH SUPPORT AND SERVICES AGREEMENT 

This Master Laboratory Research Support and Services Agreement (the “Agreement”) is entered into by and
between Biocept, Inc., a California corporation (“Biocept”) and Dana Farber Partners Cancer Care, Inc., a not-for-profit tax-exempt corporation organized under the laws of the Commonwealth of Massachusetts
(“Institution”) for the purpose of establishing the terms and conditions under which Biocept will perform certain laboratory research support services and/or studies or tests (“Research Support”) on samples to be
provided by Institution. Biocept and Institution are referred to here individually as a “Party” and collectively as the “Parties”. 
 WHEREAS, Biocept possesses certain scientific and medical expertise and proprietary technology to be used in providing Research Support services to Institution for one or more clinical research
studies (each a “Study”); 
 WHEREAS, Institution from time to time may seek to obtain
the Research Support and services of Biocept for a Study on the terms and conditions set forth herein; 

WHEREAS, Institution and Biocept desire to provide a full statement of their respective rights, obligations and duties in
connection with the performance of any such laboratory Research Support and services by Biocept; 
 NOW,
THEREFORE, in consideration of the mutual covenants contained herein and other good and valuable consideration, the parties agree as follows: 
  

	 	1.	 STATEMENT OF WORK (SOW); RESEARCH SUPPORT PERFORMANCE 

1.1 This Agreement sets forth the terms for all Research Support and/or services (“Services”) Biocept
shall provide to Institution, except as otherwise agreed in writing by the Parties. Details regarding such Research Support shall be outlined in a written study plan or protocol (as amended or supplemented, the “Statement of Work”
or “SOW”) applicable to such Research Support and Services to be provided, which shall be drafted and approved by the Parties. Each SOW shall be individually numbered, titled and signed by the Parties, and is incorporated herein by
this reference. Each SOW shall set forth the specific number and type of samples to be tested, and the specific analyses to be performed. SOW BIOCEPT#01, a copy of which has been agreed upon by the Parties, shall apply for purposes of the
initial Study. 
 1.2 This Agreement, together with each individual SOW (including any amendments or
supplements), but separate and apart from any other SOW, shall constitute the entire agreement between the Parties for the performance of any Research Support defined in the applicable SOW. Any changes to a SOW shall be in writing, executed by the
Parties, attached to the original SOW and incorporated therein. 

 1.3 The performance of any Research Support and Services shall be controlled
by the terms and conditions of this Agreement (including any applicable SOW). Any terms and conditions in any purchase order, invoice, acknowledgment, confirmation or other document provided by either Party to the other Party that are different from
or in addition to those set forth in this Agreement are expressly rejected and shall be of no effect, even if signed and returned. In the event of a conflict between the terms and conditions of this Agreement and any SOW, the terms and conditions of
this Agreement shall control. 
 1.4 Biocept shall perform all Research Support and Services in compliance with
the applicable SOW and with Biocept’s standard practices including standards of good laboratory practices. Further, the Research Support and Services shall be performed by qualified personnel in a professional and competent manner, in
compliance with all applicable laws, ordinances, rules regulations and guidelines of the United States Food and Drug Administration (“FDA”) and other applicable regulatory authorities and Biocept shall provide data to Institution in a
format suitable for use by the FDA if so required. Biocept shall at all times during the term of this Agreement and any SOW maintain all licenses as are necessary for the performance of the Research Support and Services. 

1.5 Biocept shall prepare and deliver to Institution, in a timely fashion, all reports and other documentation required
under a SOW. In addition, upon completion of any Research Support and Services, Biocept shall prepare and provide to Institution a final written report describing, in a scientific and detailed manner, its activities in the course of performing the
Research Support and Services and the results obtained therefrom. Institution shall own and have unrestricted right to use the results generated in connection with the performance by Biocept of the Research Support under this Agreement other than
Biocept Technology (defined in Section 10.2). Institution shall have the right to use any information contained in the summary of results and final written report other than Biocept Technology (defined in Section 10.2) for its research,
education, and clinical purposes, for inclusion in grant applications, and as necessary to comply with any federal, state or local government laws or regulations. 
  

	 	2.	 STUDY SAMPLES 

 2.1 Institution shall provide Biocept with sufficient amounts of samples (“Samples”), typically human blood samples, to be tested. Biocept agrees to use the Samples only for the purposes
set out in the SOW. Biocept shall not sell or otherwise distribute Samples to a third party for any purpose. This Agreement and the resulting transfer of Samples constitute a non-exclusive license to use the Samples solely for the research purposes
described in the specific SOW under which the Samples are transferred. Biocept shall not use Samples for any products or processes for profit-making or commercial purposes. Upon termination or expiration of the Research Support and Services under a
specific SOW, Biocept shall either arrange to return to Institution or destroy all unused Samples. 
 2.2 For
each Sample provided to Biocept in connection with Biocept’s performance under the SOW, Institution shall provide to Biocept in writing the associated patient staging data for the patient from whom such Sample was obtained, including, but not
limited to, such 

  
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patient’s diagnosis, TNM analysis, the status of such patient’s cancer, biomarker analysis performed on the tumor with results, etc. (collectively, the “Sample
Information”). Institution shall ensure that the informed consent of each patient that is the source of Samples or Sample Information is obtained in compliance with applicable federal, state and local laws, rules and regulations. Biocept
will use, store, and disclose any Samples including (i) any blood, serum, urine, saliva, bone marrow or tissue sample/specimen and (ii) any tangible material isolated therefrom, including but not limited to any DNA, RNA and other
biological substances it receives only in accordance with the uses set forth in the protocol or SOW and informed consent form signed by study subjects and in compliance with applicable law, and in any event will not use, store, or disclose any
individually identifiable health information attached to or contained within the Sample in any manner that would violate the terms of Section 6.4 of this Agreement. 

2.3 The Parties agree that Institution owns the Samples and the transfer of such materials to Biocept under the terms of
this Agreement shall not affect Institution’s ownership interest therein. Institution shall clearly mark and identify all Samples transferred to Biocept. All Samples will be maintained by Biocept so that such materials are readily identifiable.
Further, the transfer of Samples to Biocept gives Biocept no rights in such material other than those specifically set forth in this Agreement. Biocept agrees to use the Samples solely for the Research Support and Services as specified in the SOW
for which such materials are provided hereunder and shall not transfer, deliver or otherwise release such materials to a third party without the express prior written consent of Institution. 

 

	 	3.	 STUDY DIRECTOR 

 3.1 Biocept shall appoint a “Study Director” to be responsible for each SOW. The Study Director shall coordinate performance of the Research Support and Services related to a SOW with a
representative designated by Institution, which representative shall have responsibility for coordinating performance of the SOW for Institution. The Study Director and Institution’s representative shall be named in each SOW. 

 

	 	4.	 COMPLIANCE; RECORDS 

 4.1 Biocept shall perform Research Support and Services in accordance with the current state of the laboratory research art and the applicable SOW. Biocept shall comply with those government regulatory
requirements, if and as specified within the applicable SOW, and as appropriate to the Research Support and Services. If Institution requires any special procedures to be undertaken by Biocept, such procedures shall be reviewed prior to the start of
work and, if accepted, appended to the SOW. 
 4.2 Biocept shall maintain complete and accurate records, in
appropriate detail for regulatory purposes, fully and properly reflecting all tests performed by it and the results thereof, including without limitation, such data and materials as are required to be maintained pursuit to any applicable law,
ordinance, rule or regulation, and any applicable SOW (“Records”). 

  
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 4.3 Biocept shall maintain the Records for two (2) years or such other
longer amount of time as is required by any law, ordinance, rule or regulation, or the applicable SOW. Upon Institution’s request, and at Institution’s expense, Biocept shall deliver to Institution all original Records, or if requested by
Institution, certified or authenticated complete legible copies of such Records. 
 4.4 Access to all Records,
for inspection and copying, shall be made available by Biocept to Institution upon reasonable prior written notice to Biocept during normal business hours; provided, however, that Biocept shall not be obligated to provide Institution with access to
information not directly related to the Research Support or, except as expressly set forth in a SOW, access to any Biocept Technology (defined in Section 10.2) or any Confidential Information (defined below) of Biocept, and that Biocept may
require that Institution’s representatives conducting any such examination or inspection first execute a non-disclosure agreement. 
  

	 	5.	 LABORATORY VISITS 

 5.1 Institution’s representative(s) shall have the right to conduct inspections, audits and investigations of Biocept’s facilities, equipment, record-keeping procedures and records, and to
discuss the same with appropriate representatives of Biocept from time to time to determine that any Research Support is being conducted in accordance with this Agreement. Institution shall provide reasonable prior written notice to Biocept, and may
at reasonable times and with reasonable frequency, during normal business hours, observe the progress of a SOW and its associated Research Support and Services but in a manner not to unreasonably disturb or impede progress on such SOW. Biocept shall
assist Institution in scheduling such visits, but reserves the right to schedule such visits as may be necessary so as not to compromise confidential or proprietary information of other Biocept customers who may have studies ongoing at Biocept at
the time of any requested visit. Biocept shall promptly rectify any material noncompliance with the terms of the Agreement, including applicable protocol specifications and standards of good laboratory practices discovered during such inspections,
audits and investigations of which Biocept is notified. Biocept shall submit to all inquiries, audits and inspections by the FDA and other applicable regulatory authorities relating specifically to the Research Support and Services. To the extent
permitted by applicable law, Biocept shall promptly notify Institution upon receipt of notice of any inspection by the FDA or any applicable regulatory authorities relating specifically to the Research Support and Services provided hereunder, and
Biocept shall promptly notify Institution of any findings of such regulatory authorities. 
  

	 	6.	 CONFIDENTIAL INFORMATION 

 6.1 “Confidential Information” of a Party shall mean all information disclosed or made available by such Party (the “Disclosing Party”) to the other Party (the
“Receiving Party”) in connection with this Agreement. Confidential Information of Biocept shall include, without limitation, all Biocept Technology (defined in Section 10.2) disclosed or made available by Biocept to
Institution. Confidential Information of Institution shall include, without limitation, the Samples, Sample Information, and, notwithstanding the first sentence of this Section 6.1, all results. Confidential Information shall not include
information that the Receiving Party can 

  
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demonstrate by competent evidence: (a) is now, or hereafter becomes, through no breach of this Agreement by the Receiving Party, generally known or available; (b) is known by the
Receiving Party at the time of receiving such information, as evidenced by its pre-existing written records; (c) is hereafter furnished to the Receiving Party by a third party, as a matter of right and
without restriction on disclosure; or (d) is hereafter independently developed by the Receiving Party without reference to or reliance upon Confidential Information and without any breach of this Agreement as evidenced by written records.

 6.2 Except to the extent expressly authorized by this Agreement or otherwise agreed in writing by the
Parties, the obligations of confidentiality survive for seven (7) years beyond the later of (i) expiration or earlier termination of this Agreement or (ii) the expiration or earlier termination of the SOW under which the Confidential
Information was disclosed. The Receiving Party shall: (i) maintain the confidentiality of the Confidential Information; (ii) use Confidential Information only for the purposes expressly contemplated by this Agreement, or a SOW;
(iii) treat Confidential Information as it would its own proprietary information, which in no event shall be less than a reasonable standard of care; (iv) take all reasonable precautions to prevent the disclosure of Confidential
Information to a third party, and (v) disclose Confidential Information only to those employees who have a need to know such Confidential Information for the purposes expressly contemplated by this Agreement or a SOW, and who are subject to
obligations to confidentiality substantially similar to those set forth herein. Notwithstanding the foregoing, the Receiving Party may disclose Confidential Information to the extent required by law, rule, regulation, government requirement or court
order, provided that the Receiving Party shall provide reasonable prior written notice to the Disclosing Party of such required disclosure and, at the Disclosing Party’s request and expense, shall cooperate with the Disclosing Party’s
efforts to contest such requirement, or to obtain a protective order covering, or other confidential treatment of, the Confidential Information required to be disclosed. 

6.3 Institution shall comply in all material respects with all applicable federal, state and local laws and regulations
regarding the privacy of individually identifiable health information (including its collection, use, storage, and disclosure), including, but not limited to, the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”) and
the regulations promulgated thereunder, as may be amended from time to time. Biocept agrees to use, store, and disclose individually identifiable health information contained or provided with the Samples only for the purpose of the Research Support
and Services, and for the purpose of complying with applicable law. Biocept will use all reasonable efforts to protect the privacy and security of any individually identifiable health information contained or provided with the Samples and will
require its business partners to do so also. Biocept will not contact any patients whose Samples they have been are provided, unless permitted by the informed consent form. No other provision in this Agreement shall be construed to override the
provisions of this Section 6.4 
  

	 	7.	 REPRESENTATIONS, WARRANTIES AND DISCLAIMERS 

7.1 Each Party represents and warrants to the other the other Party that (i) it is duly organized, validly existing
and in good standing under the laws of their respective state of 

  
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incorporation, organization or formation, (ii) it has full corporate or entity power and authority to execute, deliver and perform this Agreement, (iii) this Agreement is enforceable
against it in accordance with its terms, and (iv) this Agreement does not conflict with, violate or constitute a breach or default under any other agreement of a material nature or amount to which it is a party or to which it or its assets are
subject. 
 7.2 Except as expressly set forth in this Agreement, THE CONFIDENTIAL INFORMATION, SAMPLES,
MATERIALS, WORK PRODUCT AND TECHNOLOGY MADE AVAILABLE BY EACH PARTY TO THE OTHER PARTY HEREUNDER ARE BEING SUPPLIED “AS IS’, NEITHER PARTY MAKES ANY REPRESENTATIONS OR WARRANTIES OF ANY KIND, EITHER EXPRESS OR IMPLIED, AND EACH PARTY
HEREBY EXPRESSLY DISCLAIMS ALL IMPLIED WARRANTIES, INCLUDING, WITHOUT LIMITATION, ANY IMPLIED WARRANTY OF TITLE, MERCHANTABILITY, NON-INFRINGEMENT, SAFETY, OR FITNESS FOR A PARTICULAR PURPOSE. THE SAMPLES HAVE NOT BEEN ANALYZED OR TESTED BY
INSTITUTION AND MAY, THEREFORE, CONTAIN VIRUSES, BACTERIA OR OTHER POTENTIALLY DANGEROUS COMPONENTS. BIOCEPT ACKNOWLEDGES AND ACCEPTS THE RISKS OF SUCH VIRUSES, BACTERIA OR OTHER POTENTIALLY DANGEROUS COMPONENTS. 

 

	 	8.	 INDEMNIFICATION 

 8.1 Each Party shall be solely responsible for such Party’s (including its employees, agents and representatives) acts of negligence and/or reckless acts or omissions in the performance of their
duties hereunder, and shall be financially and legally responsible for all liabilities, costs, damages, expenses and attorney fees resulting from, or attributable to any and all such acts or omissions. Neither Party shall have any obligation to
indemnify the other Party and/or their agents, employees and representatives. 
 8.2 Each Party shall maintain
general liability and malpractice insurance (either on an indemnity or self-insured basis) in an amount not less than $1,000,000 per occurrence, $2,000,000 aggregate, and $2,000,000.00 per occurrence, $2,000,000.00 aggregate, respectively.

 8.3 Limitation of Liability. IN NO EVENT SHALL EITHER PARTY BE ENTITLED TO RECOVER FROM THE OTHER
PARTY ANY SPECIAL, INCIDENTAL, CONSEQUENTIAL OR PUNITIVE DAMAGES, INCLUDING, WITHOUT LIMITATION, LOST PROFITS AND THE COST OF PROCUREMENT OF SUBSTITUTE GOODS, TECHNOLOGY OR SERVICES, IN CONNECTION WITH THIS AGREEMENT. 

 

	 	9.	 USE OF NAMES 

 9.1 Except as is required by law or for disclosure by Institution of Biocept’s support for a Study in publications, neither Party to this Agreement shall use the name of the other Party or of any
staff member, employee, student, or agent of the other Party or any adaptation, acronym or name by which the other Party is commonly known, in any advertising, promotional or sales literature or in any publicity without the prior written approval of
the Party or individual whose name is to be used. 

  
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	10.	 INVENTIONS AND PATENTS 

 10.1 Institution will own and have unrestricted free right to use for all purposes the data and information generated or created for Institution in connection with the performance by Biocept of Research
Support and Services under this Agreement or a SOW, other than Biocept Technology (defined in Section 10.2). Biocept shall provide notice to Institution of all inventions, technology and discoveries conceived, identified, developed and/or
reduced to practice during the course of, and as a direct result of performing, any Research Support and Services or a SOW performed under this Agreement (each, a “Institution Invention”), within sixty (60) days of becoming
aware of such Institution Invention; provided, however, that Institution Inventions shall exclude Biocept Technology, and Biocept shall have no obligation to disclose any Biocept Technology to Institution except as expressly contemplated by a
SOW. All Institution Inventions shall be assigned to Institution by Biocept at Institution’s request, provided Institution requests such assignment within six (6) months of notification of such invention or discovery. Biocept shall provide
Institution with reasonable technical assistance as Institution may request and at Institution’s cost to obtain patents on Institution Inventions. Biocept shall ensure that each of its employees, agents, consultants and subcontractors
performing any part of the Research Support and Services is contractually obligated to assign all Institution Inventions to Biocept so that Biocept can comply with its obligations under this Section 10.1. Institution hereby grants to Biocept a
perpetual, irrevocable, non-exclusive worldwide, royalty-free, fully paid license to use Institution Inventions for its internal research purposes, and otherwise in compliance with Section 6. Neither anything contained herein nor the delivery
of any of the Samples or Confidential Information to Biocept shall be deemed to grant to Biocept any right or licenses under any patents or patent applications or under any know-how, technology or inventions of Institution. 

10.2 Notwithstanding anything to the contrary in this Agreement, all discoveries and inventions that are conceived or
made by Biocept in the course of performing any Research Support and Services or a SOW that relate to microfluidic devices, rare cell capture and analysis technology, and related inventions, processes, know-how, trade secrets, computer software
including image analysis and other methodological innovations, whether developed before or after the Effective Date of a SOW (collectively, “Biocept Technology”), shall be the sole and exclusive confidential property of Biocept.

 10.3 It is expressly agreed that neither Party transfers by operation of this Agreement to the other Party
any patent right, copyright, or other proprietary right either Party owns as of the Effective Date, except as expressly set forth in this Agreement. 
  

	11.	 PUBLICATION OF DATA 

 11.1 By Institution. Institution shall list Biocept’s name, and individual Biocept personnel as authors as appropriate, on any scientific manuscript or abstract that is submitted for
publication or presentation that includes information that has been either directly or indirectly 

  
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derived from the Research Support and Services on the Samples and related to the specific SOW under which the Samples were provided and the Research Support and Services were performed under this
Agreement and SOW. Biocept shall be notified of such planned inclusion of its, and its personnel’s, name on scientific manuscripts or abstracts, provide permission for such inclusion, and be permitted to review and comment upon any publication
or abstract on which its name or personnel are listed prior to submission. 
 11.2 By Biocept. In
compliance with Section 6, Biocept shall not undertake publication of the results of any Research Support and Service without first receiving written permission from Institution. Publication of material relating to Biocept Technology, products
or services shall not identify Institution or contain data encompassing Confidential Information belonging to Institution or derived from Samples provided by Institution without first receiving written permission from Institution. 

 

	12.	 TERM AND TERMINATION 

 12.1 Term. The term of this Agreement (the “Term”) shall commence on the Effective Date and, unless sooner terminated by mutual agreement or pursuant to any other provision of this
Agreement, shall terminate five (5) years from the Effective Date. 
 12.2 Termination of Agreement by
Either Party. Either Party may terminate this Agreement for any material breach by the other Party, providing that the terminating Party gives the breaching Party written notice of such breach, and the breach remains uncured after the expiration
of thirty (30) days after such written notice was given. In addition, either Party, in its sole discretion, may elect to terminate this Agreement by giving at least thirty (30) days advance written notice thereof to the other Party;
provided, however, that any SOW ongoing at such time shall be completed pursuant to the terms of this Agreement as if otherwise in effect. A termination of a particular SOW by either Party pursuant to the provisions of Section 12.3 or
Section 12.4 below shall not, by itself, have the effect of or be deemed a termination of this Agreement in its entirety. 
 12.3 Termination of a SOW by Institution. Institution may, in its sole discretion, elect to terminate a SOW being performed under this Agreement by providing written notice thereof to Biocept,
whereupon the following shall occur: 
 a) Biocept shall terminate the work as soon as is reasonably possible,
and in any event within ten (10) days of receipt of the notice; and 
 b) Biocept shall invoice Institution
for, and Institution shall promptly pay, all charges up to the effective date of termination, and any Research Support and Services performed within ten (10) days of receipt of notice, such work intended to efficiently terminate the SOW.

 12.4 Termination of a SOW by Biocept. In the event of non-payment by Institution of any amount due and
owing to Biocept pursuant to the Cost Schedule for a SOW as appropriately invoiced, and upon written notice thereof to Institution, Biocept may (in its sole discretion and in addition to any other remedies that Biocept may have at law or in equity)
terminate such SOW in 

  
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any reasonable manner (and stop work on other Research Support and Services being performed for Institution, if any, without any adverse effect on Biocept’s rights in connection with such
Research Support and Services or SOW). 
 12.5 Effect of Termination or Expiration. Termination or
expiration of this Agreement for any reason shall not relieve the Parties of any obligation accruing prior thereto and shall be without prejudice to the rights and remedies of either Party with respect to any antecedent breach of any of the
provisions of this Agreement. In the event of termination of this Agreement prior to the completion of Research Support specified in any SOW, Biocept shall be paid for all work completed through the effective date of termination in accordance with
this Agreement, and such SOW(s), including reasonable and documented out-of-pocket expenses, and unless this Agreement is terminated by Biocept for convenience or Institution for default, any non-cancellable commitments incurred by Biocept in
accordance with this Agreement and such SOW. Except as set forth in the preceding sentence, Biocept shall promptly refund to Institution any prepaid amounts not earned by Biocept prior to the effective date of such termination. Sections 2, 4,
5, 8, 6.4, 8, 9, 10, 11 and 15.2 of this Agreement shall survive expiration or any termination hereof. 
  

	 	13.	 NOTICES 

 13.1 All notices given under this Agreement shall be in writing and shall be delivered personally, sent by facsimile transmission (receipt confirmed), overnight express courier (such as FedEx) or
certified mail, return receipt requested, to the Parties at the addresses set forth on the signature page of this Agreement, or such other addresses as the Parties may designate in writing. A notice shall be deemed delivered and effective
(i) if sent by facsimile transmission (receipt confirmed), on the business day following the date such facsimile transmission was sent and confirmed, (ii) if sent by overnight express courier, on the business day delivery is confirmed by
signature of the receiving party, and (iii) if sent by certified mail, on the second business day following mailing. 
  

	 	14.	 PAYMENTS TO BIOCEPT PURSUANT TO COST SCHEDULE 

14.1 Institution and Biocept shall agree upon a budget for all Research Support and Services to be provided under a SOW
by Biocept, which shall specify the fees for individual Samples or a Study. The schedule will be attached to the individual SOW (the “Cost Schedule”), which is hereby incorporated in this Agreement by this reference. Costs specified in the
SOW are estimated prior to commencement of a Study, and Institution shall pay Biocept the amounts indicated there, as Research Support and Services are provided. The aggregate fees payable by Institution to Biocept for Research Support and Services
shall not exceed the budget for such Research Support as in the SOW, regardless of the number of Samples or transactions processed, unless Institution shall expressly consent in writing to an increase in such budget, although Biocept shall only be
responsible for testing the number of Samples indicated in the SOW without such written modification. 

  
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 14.2 Once each calendar month, Biocept shall submit to Institution a single
written invoice detailing amounts due to Biocept for performance of Research Support and Services as detailed in each SOW. 
 14.3 Institution shall pay Biocept invoiced amounts within forty-five (45) days of receipt of each invoice. Notwithstanding the foregoing, Biocept shall not be entitled to payment for invoiced
amounts in excess of the costs for Research Support and Services specified in a SOW unless Biocept has obtained prior written authorization from Institution for such excess cost. Material amendments, deletions or additions to the SOW requested by
Institution or by Biocept shall be the subject of separate additional cost estimates and require Institution’s and Biocept’s written acceptance thereto. 

14.4 If any Research Support and Services are improperly performed, or Samples are unusable due to a delay caused by
Biocept or as the result of an error, omission, or other wrongdoing or negligence by Biocept in performance of the Research Support and Services, Biocept will re-run the affected Service or portion of the work as promptly as possible at no cost to
Institution, provided that Institution sends replacement Samples for testing. 
 14.5 Test results will be
forwarded to Institution or its designee no later than fourteen (14) days after delivery of a Sample to Biocept, unless otherwise agreed by Biocept. 
 14.6 Biocept will not employ subcontractors to perform the laboratory services contemplated hereby without Institution’s prior written consent. 

 

	 	15.	 MISCELLANEOUS PROVISIONS 

 15.1 Assignment. Neither this Agreement nor any rights or obligations hereunder may be assigned by either Party without the prior written consent of the other Party (which consent shall not be
unreasonably withheld); provided, however, that either Party may assign this Agreement and its rights and obligations hereunder without the other Party’s consent in connection with the transfer or sale to a third party of all or substantially
all of the business of such Party to which this Agreement relates, whether by merger, sale of stock, sale of assets or otherwise. The rights and obligations of the Parties under this Agreement shall be binding upon and inure to the benefit of the
successors and permitted assigns of the Parties, and the name of a Party appearing herein will be deemed to include the name of such Party’s successors and permitted assigns to the extent necessary to carry out the intent of this section. Any
assignment not in accordance with this Agreement shall be void. 
 15.2 Applicable Law. The Parties agree
to remain silent on applicable law. 
 15.3 Independent Contractor. Nothing herein shall create any
association, partnership, joint venture, fiduciary duty or the relation of principal and agent between the Parties hereto, it being understood that each Party is acting as an independent contractor, and neither Party shall have the authority to bind
the other or the other’s representatives in any way. 

  
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 15.5 Remedies. The Parties acknowledge that breach of this Agreement
or use of information provided by a Party contrary to the provisions of this Agreement may cause irreparable harm for which damages at law may not be an adequate remedy. Either Party may seek injunctive or other equitable relief from any court of
competent jurisdiction as may be necessary to protect the rights or property of that Party 
 15.6
Force Majeure. Except for the obligation to pay money, a Party shall be excused from performing its obligations under this Agreement if its performance is delayed or prevented by any cause beyond such Party’s reasonable control,
including, but not limited to, fire, flood, storm, tornado, earthquake, civil commotion, legal prohibition, strike, disease, Act of God, explosion, war, hostilities, vandalism or any catastrophe (a “Force Majeure Event”).
Performance shall be excused only to the extent of and during the continuance of the Force Majeure Event. Any deadline or time for performance specified in the SOW which falls due during or subsequent to the occurrence of a Force Majeure Event shall
be automatically extended for a period of time equal to the period of such Force Majeure Event. Any Party claiming disability of performance due to a Force Majeure Event shall promptly notify the other Party in writing of such Force Majeure Event.
If Biocept is rendered practicably incapable of completing a Study or SOW within the time schedule required by Institution as a result of a Force Majeure Event, Biocept shall endeavor to conclude such Study or SOW in such a manner as to secure all
possible data and information relevant to the objective of such Study or SOW without engaging in substantial further work. Under such circumstances, neither Party shall have any claims against the other except with respect to Institution’s
liability to pay all charges accrued or earned up to the date of such termination (on a prorated basis, if appropriate). 
 15.7 Entire Agreement; Amendments; Severability; Headings. This Agreement represents the entire understanding and agreement between Biocept and Institution with respect to the subject matter
hereof, and shall control over any previous or contemporaneous agreements, oral or written, between Institution and Biocept. Changes and additional provisions to this Agreement shall be binding on the Parties only if mutually agreed to, laid down in
writing and signed effectively by the Parties. If any one or more of the provisions of this Agreement is held to be invalid, illegal or unenforceable to any extent in any context, this Agreement shall nevertheless be enforced to the fullest extent
allowed by law, and the validity, legality and enforceability of the remaining provisions shall not in any way be affected or impaired thereby. The headings of the paragraphs herein are for convenience only, and they shall not be of any effect in
construing the contents of the respective paragraphs. 
 15.8 Neutral Construction. Each Party
acknowledges that in the negotiation and drafting of this Agreement they have been represented by and have relied upon the advice of counsel of their choice. The Parties affirm that they and their counsel have had a substantial role in such
negotiation and drafting and, therefore, the Parties agree that this Agreement shall be deemed to have been drafted by all the Parties hereto and the rule of construction to the effect that any contract ambiguities are to be resolved against the
drafting party shall not be employed in the interpretation of this Agreement or any exhibit hereto. 
 15.9
Waiver. No delay on the part of either Party hereto in exercising any power or right hereunder shall operate as a waiver thereof, nor shall any single or partial exercise of any 

  
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power or right hereunder preclude other or further exercise thereof or the exercise of any other power or right. No waiver of this Agreement or any provision hereof shall be enforceable against
any Party hereto unless in writing, signed by the Party against whom such waiver is claimed, and shall be limited solely to the one event. Each Party’s rights and remedies hereunder are cumulative and not exclusive. 

15.10 Third-Party Beneficiaries. The Parties agree that there are no third-party beneficiaries of any kind to this
Agreement. 
 15.11 Signatures; Counterparts. Each Party agrees that a facsimile of its signature
printed by a receiving fax machine or an electronic copy of its signature stored in a PDF software application format shall be regarded as an original signature. Each Party further agrees that this Agreement may be executed in any number of
counterparts, each of which shall be effective upon delivery and thereafter shall be deemed an original, and all of which shall be taken to be one and the same instrument. 
 IN WITNESS WHEREOF, INTENDING TO BE LEGALLY BOUND, the Parties have executed and delivered this Agreement by their duly authorized representatives, to be effective as of July 9, 2012. 

Signatures on the following page 

  
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	 Biocept, Inc.
 5810 Nancy Ridge Drive, Suite 150
 San Diego, California 92121

Phone: (858) 320-8200
 Fax: (858) 320-
	  	 Dana Farber Partners Cancer Care, Inc.

450 Brookline Avenue, BP319
 Boston, Massachusetts 02115
 Phone: 617-582-7717

Fax: 617-632-4452

				
	 By:
	 	 /s/ Michael J. Dunn
	  	 By:
	  	 /s/ Moira Hayes Waligory

	 Name:
	 	 Michael J. Dunn
	  	 Name:
	  	 Moira Hayes Waligory, RN, JD

	 Title:
	 	 SVP of Corporate Development
	  	 Title:
	  	 Clin. Res. Contracts Assoc.

  
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 Statement of Work – Sample 

This Statement of Work (“SOW”), dated and effective [Month, Date, Year], submitted in connection with the Master Laboratory Services Agreement
by and between Biocept and Dana Farber Partners Cancer Care, Inc. dated July 9, (“Agreement”), is hereby agreed to by the Parties. 

Pursuant to Section 2 of the Agreement, this SOW (including any attachments hereto) shall be governed by the terms and conditions of the Agreement
and, if applicable, any modifications to the Agreement agreed to by the Parties and set forth in this SOW under the section below, entitled “Modifications to Agreement.” Any modifications shall apply only to this SOW, and not to any
previous or subsequent SOWs, unless expressly stated otherwise in such other SOW. 
 Modifications to Agreement 

INSERT MODIFICATIONS: 
 Study 

Biocept shall conduct the following testing for Dana Farber Partners Cancer Care, Inc.: 

 

			
	Study Title and Scope	  	Total Cost
	 XXX
	  	XXX

 Cost Schedule/Budget 
 Dana Farber Partners Cancer Care, Inc. shall pay Biocept for the SOW as follows:             

Study Directors 
 Biocept: 

Dana Farber Partners Cancer Care, Inc.: 
 Any
invoices provided pursuant to this SOW shall be submitted to Dana Farber Partners Cancer Care, Inc., 450 Brookline Avenue, BP317, Boston, MA 02215 in accordance with the terms and conditions set forth in the Agreement and directed to the attention
of: James Huse. 
  
  

			
	 Biocept, Inc.
	  	 Dana Farber Partners Cancer Care, Inc.

		
	 By: 
                                         
                           
	  	By: 
                                         
                           

  
 14 

			
	 Name: 
                                         
                      
	  	 Name: 
                                         
                      

		
	 Title: 
                                         
                         
	  	 Title: 
                                         
                         

		
	 Date: 
                                         
                         
	  	 Date: 
                                         
                         

  
 15 

 Statement of Work – Biocept #01 

This Statement of Work (“SOW”), dated and effective June 20, 2012, submitted in connection with the Master Laboratory Services
Agreement by and between Biocept and Dana Farber Partners Cancer Care, Inc. dated July 9, 2012 (“Agreement”), is hereby agreed to by the Parties. 
 Pursuant to Section 1 of the Agreement, this SOW (including any attachments hereto) shall be governed by the terms and conditions of the Agreement and, if applicable, any modifications to the Agreement
agreed to by the Parties and set forth in this SOW under the section below, entitled “Modifications to Agreement.” Any modifications shall apply only to this SOW, and not to any previous or subsequent SOWs, unless expressly stated
otherwise in such other SOW. 
 Modifications to Agreement 
 Study 
 Biocept shall conduct the following testing for Dana Farber Partners Cancer Care,
Inc: 
  

			
	Study Title and Scope	  	Total Cost
	 Phase 1 study of metastatic breast
cancer patients who are HER2- by tumor, HER2+ by CTC, testing treatment with Herceptin (see attached Appendix)
	  	Est. up to
[**]

 Cost Schedule/Budget 
 Dana Farber Partners Cancer Care, Inc. shall pay Biocept for the SOW as follows: 

[**] per Sample tested, with up to 250 patients screened to identify 35 study patients, who will each be tested 3 times during the course
of the study. 
 Study Directors 

Biocept: Farideh Bischoff, Ph.D. Dana Farber Partners Cancer Care, Inc.: Ian Krop, MD 

Any invoices provided pursuant to this SOW shall be submitted to Dana Farber Partners Cancer Care, Inc., 450 Brookline Avenue, BP317,
Boston, MA 02215 in accordance with the terms and conditions set forth in the Agreement and directed to the attention of: James Huse 
  

			
	 Biocept, Inc.
	  	 Dana Farber Partners Cancer Care, Inc.

		
	 By: 
                                         
                           
	  	By: 
                                         
                           
		
	 Name: 
                                         
                      
	  	 Name: 
                                         
                      

		
	 Title: 
                                         
                         
	  	 Title: 
                                         
                         

		
	 Date: 
                                         
                         
	  	 Date: 
                                         
                         

 [**] Confidential portions omitted and filed separately with the Commission. 

  
 16 

 Appendix 
 Sample Collection 
 Blood samples (“Samples”) are to be collected
during the screening evaluation. Samples may be drawn [**] (unless prior arrangements to receive the Sample have been made). Samples are to be collected in preservative tubes provided by Biocept Inc (7.5 mL). One tube is needed; however,
the goal is [**]. Gently invert each tube 8 times to prevent clotting immediately after filling the tube. Label tube with sample identifier / number, protocol number, submitting investigator and date of collection. Ensure the
peripheral blood collection occurs prior to the administration of IV therapy. If the patient is being treated with radiation or had a recent CT scan, it is recommended to wait at least 3 days after administration before drawing a blood
sample.
 Sample storage and transport 
  

The blood sample can be transported and stored at room temperature (15-30° C) until processing. Do not refrigerate or freeze the Sample. Samples must be processed at Biocept
Laboratories within [**] hours of collection, but best results are obtained if the Sample is processed as soon as possible. Do not submit clotted Samples. Samples should be shipped by same day courier or overnight parcel. 

Testing and notification

CTCs will be measured at Biocept Laboratories Inc in a CLIA-approved laboratory. As outlined in Mayer et al, Cancer Genetics, 2011, CTCs
will be captured using an antibody cocktail directed to ten different tumor-associated cell surface antigens, further labeled with a biotin-conjugated secondary antibody, and captured in a proprietary streptavidin-derivatized microchannel. FISH
assays for HER2 and EGFR will be performed in the microchannel using Abbott probes, and will be evaluated and scored by cytotechnicians at high power under the microscope. CTCs will be analyzed per Sample and Samples will be considered amplified if
the ratio of HER2 copy number to CEP17 copy number is 32.0. If a Sample is FISH positive by this definition, the patient’s treating physician will be notified that the patient is eligible for
this study. 
 [**] Confidential portions omitted and filed separately with the Commission. 

  
 17EX-10.17

 Exhibit 10.17 
 AMENDED AND RESTATED LOAN AGREEMENT 
 BETWEEN 
 GOODMAN CO.
LTD. 
 AND 
 BIOCEPT, INC. 
 WHEREAS, Biocept,
Inc., a California corporation (“Borrower”) and Goodman Co. Ltd. (“Lender”) are parties to that certain Amended and Restated Loan Agreement dated January 29, 2009 (the “Prior Loan Agreement”), which amended and
restated that certain Amended and Restated Loan Agreement dated June 26, 2007 (the “First Amended Loan Agreement”), which amended and restated that certain Loan Agreement dated April 20, 2005; 

WHEREAS, the Lender has agreed to amend the terms of the Prior Loan Agreement effective on the Effective Date (as defined below)
in order to extend the Maturity Date (as defined below), amend the timing of payments made by Borrower to Lender, and to provide for such other amendments as provided for herein; and 

WHEREAS, in order to document these amendments, Borrower and Lender desire to amend and restate in its entirety the Prior Loan
Agreement and to accept the rights and obligations created pursuant hereto in lieu of the rights and obligations granted them under the Prior Loan Agreement. 
 NOW THEREFORE, for good and valuable consideration, receipt of which is hereby acknowledged, the parties to the Prior Loan Agreement hereby agree that the Prior Loan Agreement shall be superseded
and replaced in its entirety by this Amended and Restated Loan Agreement, and the parties hereto further agree as follows: 
 1.
Promise to Pay. Borrower hereby unconditionally promises to pay to the order of Lender in lawful money of the United States of America and in immediately available funds, the principal sum of Three Million Dollars ($3,000,000.00) (the
“Loan”), together with accrued and unpaid interest thereon, due and payable as set forth below. Once repaid, amounts under the Loan may not be reborrowed. 
 2. Funding. On April 20, 2005 (the “Closing Date”), Lender credited by wire transfer the full principal amount of the Loan at such time to Borrower’s account with such bank as
Borrower specified in writing to Lender. 
 3. Interest. 

(a) From the date of execution of the First Amended Loan Agreement through January 31, 2009, interest accrued in the
amount of and was paid in accordance with the First Amended Loan Agreement. 
 (b) From February 1, 2009
through April 30, 2010, interest began accruing on all amounts outstanding under the Loan at the rate of the variable rate of interest, per annum, published as the “prime lending rate” in the Wall Street Journal (the “Prior
Interest Obligation”). 

  
 1 

 The accrued Prior Interest Obligation was due and payable quarterly in arrears on the last
business day of each three-month quarter beginning February 1, 2009 through April 30, 2010 and was calculated on the basis of a 365 day year for the actual number of days elapsed. 

(c) On the Effective Date, Borrower shall pay Lender all unpaid interest which has accrued under the Loan pursuant to
Section 3(a) and 3(b) above. 
 (d) Following April 30, 2010, interest began accruing on all amounts
outstanding under the Loan at the fixed rate of 3.25% per annum (the “Revised Interest Obligation”). The accrued Revised Interest Obligation shall be due and payable quarterly in arrears on the last business day of each three-month
quarter beginning May 1, 2010 and shall be calculated on the basis of a 365 day year for the actual number of days elapsed. 
 4. Effective Date Balloon Payment. On the Effective Date, Borrower shall pay Lender $750,000, which such amount shall be credited towards the principal balance outstanding under the Loan, such that
immediately following the Effective Date, the principal sum of $2,250,000 shall be outstanding under the Loan. 
 5.
Quarterly Principal Payments. Beginning May 1, 2010, Borrower shall pay Lender the applicable Quarterly Principal Payment, which such amount shall be due and payable quarterly in advance on the first business day of each three-month
quarter beginning on May 1, 2010, which such amount shall be credited towards the principal balance outstanding under the Loan; provided, however, that the parties hereby agree that the Quarterly Principal Payment otherwise due and
payable on May 3, 2010 shall be paid to Lender on the Effective Date. The “Quarterly Principal Payment” shall be an amount equal to: 
 (a) for payments due and payable during the period between May 1, 2010 through December 31, 2011, the Quarterly Principal Payment shall be an amount equal to $45,000; 

(b) for payments due and payable during the period between January 1, 2012 through December 31, 2013, the
Quarterly Principal Payment shall be an amount equal to $90,000; and 
 (c) for payments due and payable during
the period between January 1, 2014 through the Maturity Date, the Quarterly Principal Payment shall be an amount equal to $150,000. 
 6. Maturity. On the earliest to occur of (a) the tenth anniversary of the Closing Date, (b) the date immediately prior to Borrower’s closing of an Acquisition or Asset Transfer (each
as defined in Borrower’s Amended and Restated Articles of Incorporation), or (c) the first business day following the closing of an equity financing transaction involving the sale by the Borrower of its equity securities, or securities
that are otherwise convertible into equity securities of the Borrower, in which the Borrower receives an aggregate of at least $25,000,000 in cumulative gross proceeds, any principal and interest amounts that remain outstanding under the Loan shall
be fully due and payable (the “Maturity Date”). 
 7. Prepayment. Borrower at any time may prepay any principal
amounts in whole or in part, together with the interest on the amount being prepaid up to the date of such payment, without penalty or premium. 
 8. Place of Payment. Unless another place of payment shall be specified in writing by Lender, all amounts payable hereunder shall be paid by wire transfer to Lender’s account with RESONA BANK,
LIMITED IMAIKE BRANCH as provided below: 

  
 2 

 RESONA BANK, LIMITED IMAIKE BRANCH 

5-1-5 IMAIKE, CHIKUSA-KU, NAGOYA, JAPAN 

Telegraphic Address: N/A 
 ABA Routing Number (SWIFT Address): DIWAJPT 
 Beneficiary Name:
GOODMAN CO., LTD. 

                    
            108 Fujigaoka, Meito-ku, Nagoya 465-0032 Japan 
 Account Number: 103571 
 Telephone: +81(52)774-4350 

9. Application of Payments. Except as otherwise provided for in Section 4 and Section 5, payments under this Amended and
Restated Loan Agreement shall be applied first to accrued interest, and thereafter to the outstanding principal balance hereof. 

10. Preferred Stock Warrant. In exchange for entering into the Prior Loan Agreement, Borrower issued Lender a Warrant to Purchase
Preferred Stock, exercisable for 1,000,000 shares of the Borrower’s Series AA Preferred Stock. 
 11. Security
Agreement. In exchange for entering into this Amended and Restated Loan Agreement, Borrower and Lender shall enter into a Subordinated Security Agreement, substantially in the form attached hereto as Exhibit A (the “Security
Agreement”), pursuant to which any principal and interest amounts that remain outstanding under the Loan shall be secured by a security interest in the assets of the Borrower as provided for in the Security Agreement. 

12. Binding Arbitration. Any dispute regarding this Amended and Restated Loan Agreement shall be resolved by binding arbitration.
Any such arbitration shall be conducted under the auspices of the International Arbitration Association and such proceedings shall be conducted under the Rules of Conciliation and Arbitration of the International Chamber of Commerce. 

13. Choice of Law. This Amended and Restated Loan Agreement shall be construed in accordance with the laws of the State of
California, excluding conflict of laws principles that would cause the application of laws of any other jurisdiction. 

[REMAINDER OF PAGE INTENTIONALLY LEFT BLANK.] 

  
 3 

 IN WITNESS WHEREOF, the parties hereto have caused this Amended and Restated Loan Agreement
to be executed on May 18, 2010 (the “Effective Date”). 
  

							
	 BORROWER
	 		 		 	 LENDER

				
	 BIOCEPT, INC.
	 		 		 	 GOODMAN CO. LTD.

				
	 By: /s/ S. M. Coutts
	 		 		 	 By: /s/ Takehito Yogo

				
	 Name: Stephen M. Coutts
	 		 		 	 Name: Takehito Yogo

				
	 Title: President & CEO
	 		 		 	 Title: President & CEO

 [SIGNATURE PAGE TO AMENDED AND
RESTATED LOAN AGREEMENT] 

  

 EXHIBIT A 

SECURITY AGREEMENT 

 SUBORDINATED SECURITY AGREEMENT 

THIS SUBORDINATED SECURITY AGREEMENT
dated as of May 18, 2010 (the “Security Agreement”), is made by BIOCEPT, INC., a California corporation (“Grantor”), in favor of GOODMAN
CO. LTD (“Secured Party”). 

RECITALS 
 A. Secured Party has entered into that certain Amended and Restated Loan Agreement dated May 18, 2010 (the “Loan Agreement”), pursuant to which Secured Party has loaned
Grantor an aggregate of $3,000,000 (the “Loan”). 
 B. Secured
Party is willing to enter into the Loan Agreement, but only upon the condition, among others, that Grantor shall have executed and delivered to Secured Party this Security Agreement. 

AGREEMENT 
 NOW, THEREFORE, in order to induce Secured Party to enter into the Loan Agreement and for other good and valuable consideration, the receipt and
adequacy of which are hereby acknowledged, and intending to be legally bound, Grantor hereby represents, warrants, covenants and agrees as follows: 
 1. DEFINED TERMS. When used in this Security Agreement the following terms shall have the following meanings (such meanings being equally
applicable to both the singular and plural forms of the terms defined): 

“Bankruptcy Code” means Title XI of the United States Code.

 “Collateral” shall have the meaning assigned to such term in
Section 2 of this Security Agreement. 
 “Contracts” means all contracts
(including any customer, vendor, supplier, service or maintenance contract), leases, licenses, undertakings, purchase orders, permits, franchise agreements or other agreements (other than any right evidenced by Chattel Paper, Documents or
Instruments), whether in written or electronic form, in or under which Grantor now holds or hereafter acquires any right, title or interest, including, without limitation, with respect to an Account, any agreement relating to the terms of payment or
the terms of performance thereof. 
 “Copyright License” means any
agreement, whether in written or electronic form, in which Grantor now holds or hereafter acquires any interest, granting any right in or to any Copyright or Copyright registration (whether Grantor is the licensee or the licensor thereunder)
including, without limitation, licenses pursuant to which Grantor has obtained the exclusive right to use a copyright owned by a third party. 
 “Copyrights” means all of the following now owned or hereafter acquired or created (as a work for hire for the benefit of Grantor) by Grantor or in which Grantor now
holds or hereafter 

  
 1. 

 
acquires or receives any right or interest, in whole or in part: (a) all copyrights, whether registered or unregistered, held pursuant to the laws of the United States, any State thereof or
any other country; (b) registrations, applications, recordings and proceedings in the United States Copyright Office or in any similar office or agency of the United States, any State thereof or any other country; (c) any continuations,
renewals or extensions thereof; (d) any registrations to be issued in any pending applications, and shall include any right or interest in and to work protectable by any of the foregoing which are presently or in the future owned, created or
authorized (as a work for hire for the benefit of Grantor) or acquired by Grantor, in whole or in part; (e) prior versions of works covered by copyright and all works based upon, derived from or incorporating such works; (f) income,
royalties, damages, claims and payments now and hereafter due and/or payable with respect to copyrights, including, without limitation, damages, claims and recoveries for past, present or future infringement; (g) rights to sue for past, present
and future infringements of any copyright; and (h) any other rights corresponding to any of the foregoing rights throughout the world. 
 “Event of Default” means any material breach of the Loan Agreement by Grantor, which such breach is not cured by Grantor within thirty (30) days of receipt of a
written notice of such breach by Secured Party. 
 “Intellectual Property” means any
intellectual property, in any medium, of any kind or nature whatsoever, now or hereafter owned or acquired or received by Grantor or in which Grantor now holds or hereafter acquires or receives any right or interest, and shall include, in any event,
any Copyright, Copyright License, Trademark, Trademark License, Patent, Patent License, trade secret, customer list, marketing plan, internet domain name (including any right related to the registration thereof), proprietary or confidential
information, mask work, source, object or other programming code, invention (whether or not patented or patentable), technical information, procedure, design, knowledge, know-how, software, data base, data,
skill, expertise, recipe, experience, process, model, drawing, material or record. 

“License” means any Copyright License, Patent License, Trademark License or other license of
rights or interests, whether in-bound or out-bound, whether in written or electronic form, now or hereafter owned or acquired or received by Grantor or in which Grantor now holds or hereafter acquires or receives any right or interest, and shall
include any renewals or extensions of any of the foregoing thereof. 

“Lien” means any mortgage, lien, deed of trust, charge, pledge, security interest
or other encumbrance. 
 “Money” means a medium of exchange authorized or
adopted by a domestic or foreign government and includes a monetary unit of account established by an intergovernmental organization or by agreement between two or more nations. 

“Patent License” means any agreement, whether in written or electronic form, in which Grantor now
holds or hereafter acquires any interest, granting any right with respect to any invention on which a Patent is in existence (whether Grantor is the licensee or the licensor thereunder). 

  
 2. 

 “Patents” means all of the following in which
Grantor now holds or hereafter acquires any interest: (a) all letters patent of the United States or any other country, all registrations and recordings thereof and all applications for letters patent of the United States or any other country,
including, without limitation, registrations, recordings and applications in the United States Patent and Trademark Office or in any similar office or agency of the United States, any State thereof or any other country; (b) all reissues,
divisions, continuations, renewals, continuations-in-part or extensions thereof; (c) all petty patents, divisionals and patents of addition; (d) all patents to issue in any such applications; (e) income, royalties, damages, claims and
payments now and hereafter due and/or payable with respect to patents, including, without limitation, damages, claims and recoveries for past, present or future infringement; and (f) rights to sue for past, present and future infringements of
any patent. 
 “Permitted Lien” means: (a) any Liens existing on the date of this
Security Agreement and set forth on Schedule B attached hereto; (b) Liens for taxes, fees, assessments or other governmental charges or levies, either not delinquent or being contested in good faith by appropriate proceedings;
(c) Liens (i) upon or in any Equipment acquired or held by Grantor to secure the purchase price of such Equipment or indebtedness (including capital leases) incurred solely for the purpose of financing the acquisition of such Equipment or
(ii) existing on such Equipment at the time of its acquisition, provided that the Lien is confined solely to the Equipment so acquired, improvements thereon and the Proceeds of such Equipment; (d) leases or subleases and licenses or
sublicenses granted to others in the ordinary course of Grantor’s business if such are not otherwise prohibited under this Security Agreement and do not interfere in any material respect with the business of Grantor; (e) any right, title
or interest of a licensor under a license; (f) Liens arising from judgments, decrees or attachments to the extent and only so long as such judgment, decree or attachment has not caused or resulted in an Event of Default; (g) easements,
reservations, rights-of-way, restrictions, minor defects or irregularities in title and other similar Liens affecting real property not interfering in any material respect with the ordinary conduct of the business of Grantor; (h) Liens in favor
of customs and revenue authorities arising as a matter of law to secure payment of customs duties in connection with the importation of goods; (i) Liens arising solely by virtue of any statutory or common law provision relating to banker’s
liens, rights of setoff or similar rights and remedies as to deposit accounts or other funds maintained with a creditor depository institution; (j) Liens in favor of a depository bank or a securities intermediary pursuant to such depository
bank’s or securities intermediary’s customary customer account agreement; provided that any such Liens shall at no time secure any indebtedness or obligations other than customary fees and charges payable to such depository bank or
securities intermediary; (k) statutory or common law Liens of landlords and carriers, warehousemen, mechanics, suppliers, materialmen, repairmen and other similar Liens, arising in the ordinary course of business and securing obligations that
are not yet delinquent or are being contested in good faith by appropriate proceedings; (l) Liens incurred or deposits made to secure the performance of tenders, bids, leases, statutory or regulatory obligations, surety and appeal bonds,
government contracts, performance and return-of-money bonds, and other obligations of like nature, in each case, in the ordinary course of business; (m) Liens incurred or deposits made in the ordinary course of business in connection with
workers’ compensation, unemployment insurance and other types of social security; (n) pledges and deposits securing liability for reimbursement or indemnification obligations in respect of letters of credit or bank guarantees for the
benefit of landlords; and (o) Liens incurred in connection with the extension, renewal or refinancing of indebtedness secured by Liens permitted under the preceding clauses, provided 

  
 3. 

 
that any extension, renewal or replacement Lien shall be limited to the property encumbered by the existing Lien and the principal amount of the indebtedness being extended, renewed or refinanced
does not increase. 
 “Secured Obligations” means (a) the obligation
of Grantor to repay Secured Party all of the unpaid principal amount of, and accrued interest on (including any interest that accrues after the commencement of bankruptcy), the Loan, and (b) the obligation of Grantor to pay any fees, costs and
expenses of Secured Party under the Loan Agreement or this Security Agreement. 
 “Security
Agreement” means this Security Agreement and all Schedules hereto, as the same may from time to time be amended, modified, supplemented or restated. 

“Senior Indebtedness” shall mean the principal of, unpaid interest on and amounts reimbursable,
fees, expenses, costs of enforcement and other amounts due in connection with (a) those certain Secured Convertible Promissory Notes executed by Grantor in favor of The Reiss Family GST Exempt Marital Deduction Trust on December 22, 2008
and (b) that certain Note and Warrant Purchase Agreement dated December 22, 2008, by and between Grantor and The Reiss Family GST Exempt Marital Deduction Trust. 

“Trademark License” means any agreement, whether in written or electronic form, in
which Grantor now holds or hereafter acquires any interest, granting any right in and to any Trademark or Trademark registration (whether Grantor is the licensee or the licensor thereunder). 

“Trademarks” means any of the following in which Grantor now holds or hereafter
acquires any interest: (a) any trademarks, tradenames, corporate names, company names, business names, trade styles, service marks, logos, other source or business identifiers, prints and labels on which any of the foregoing have appeared or
appear, designs and general intangibles of like nature, now existing or hereafter adopted or acquired, all registrations and recordings thereof and any applications in connection therewith, including, without limitation, registrations, recordings
and applications in the United States Patent and Trademark Office or in any similar office or agency of the United States, any State thereof or any other country (collectively, the
“Marks”); (b) any reissues, extensions or renewals thereof; (c) the goodwill of the business symbolized by or associated with the Marks; (d) income, royalties, damages,
claims and payments now and hereafter due and/or payable with respect to the Marks, including, without limitation, damages, claims and recoveries for past, present or future infringement; and (e) rights to sue for past, present and future
infringements of the Marks. 
 “UCC” means the Uniform Commercial Code as
the same may from time to time be in effect in the State of California (and each reference in this Security Agreement to an Article thereof (denoted as a Division of the UCC as adopted and in effect in the State of California) shall refer to
that Article (or Division, as applicable) as from time to time in effect,); provided, however, in the event that, by reason of mandatory provisions of law, any or all of the attachment, perfection or priority of Secured Party’s
security interest in any Collateral is governed by the Uniform Commercial Code as in effect in a jurisdiction other than the State of California, the term “UCC” shall mean the Uniform Commercial Code (including the Articles thereof)
as in effect at such time in such other jurisdiction for purposes of the provisions hereof 

  
 4. 

 
relating to such attachment, perfection or priority and for purposes of definitions related to such provisions. 

In addition, the following terms shall be defined terms having the meaning set forth for such terms in the UCC:
“Account”, “Account Debtor”, “Chattel Paper”, “Commodity Account”, “Deposit Account”, “Documents”, “Equipment”, “Fixtures”, “General Intangible”,
“Goods”, “Instrument”, “Inventory”, “Investment Property”, “Letter-of-Credit Right”, “Money”, “Payment Intangibles”, “Proceeds”, “Promissory Notes”,
“Securities Account”, and “Supporting Obligations”. Each of the foregoing defined terms shall include all of such items now owned, or hereafter acquired, by Grantor. 

2. GRANT OF SECURITY INTEREST.
Subject to Section 7, as collateral security for the full, prompt, complete and final payment and performance when due (whether at stated maturity, by acceleration or otherwise) of all the Secured Obligations and in order to induce Secured
Party to enter into the Loan Agreement, Grantor hereby assigns, conveys, mortgages, pledges, hypothecates and transfers to Secured Party, and hereby grants to Secured Party, a security interest in all of Grantor’s right, title and interest in,
to and under the following, whether now owned or hereafter acquired (all of which being collectively referred to herein as the “Collateral”): 

(a) All Accounts of Grantor; 

(b) All Chattel Paper of Grantor; 

(c) All Commodity Accounts of Grantor; 

(d) All Contracts of Grantor; 

(e) All Deposit Accounts of Grantor; 

(f) All Documents of Grantor; 

(g) All General Intangibles of Grantor, including, without limitation, Intellectual Property; 

(h) All Goods of Grantor, including, without limitation, Equipment, Inventory and Fixtures; 

(i) All Instruments of Grantor, including, without limitation, Promissory Notes; 

(j) All Investment Property of Grantor; 

(k) All Letter-of Credit Rights of Grantor; 

(l) All Money of Grantor; 

(m) All Securities Accounts of Grantor; 

  
 5. 

 (n) All Supporting Obligations of Grantor; 

(o) All property of Grantor held by Secured Party, or any other party for whom Secured Party is acting as agent,
including, without limitation, all property of every-description now or hereafter in the possession or custody of or in transit to Secured Party or such other party for any purpose, including, without limitation, safekeeping, collection or pledge,
for the account of Grantor, or as to which Grantor may have any right or power; 
 (p) All other goods
and personal property of Grantor, wherever located, whether tangible or intangible, and whether now owned or hereafter acquired, existing, leased or consigned by or to Grantor; and 

(q) To the extent not otherwise included, all Proceeds of each of the foregoing and all accessions to,
substitutions and replacements for and rents, profits and products of each of the foregoing. 
 Notwithstanding
the foregoing provisions of this Section 2, the grant, assignment and transfer of a security interest as provided herein shall not extend to, and the term “Collateral” shall not include: (a) the collateral which is subject
to the Liens set forth on Schedule B attached hereto, excluding the collateral subject to the terms of that certain Security Agreement dated December 22, 2008 granted to The Reiss Family GST Exempt Marital Deduction Trust, (b) the
Intellectual Property listed on Schedule A attached hereto, (c) “intent-to-use” trademarks at all times prior to the first use thereof, whether by the actual use thereof in commerce, the recording of a statement of use with the
United States Patent and Trademark Office or otherwise or (d) any Account, Chattel Paper, General Intangible or Promissory Note in which Grantor has any right, title or interest if and to the extent such Account, Chattel Paper, General
Intangible or Promissory Note includes a provision containing a restriction on assignment such that the creation of a security interest in the right, title or interest of Grantor therein would be prohibited and would, in and of itself, cause or
result in a default thereunder enabling another person party to such Account, Chattel Paper, General Intangible or Promissory Note to enforce any remedy with respect thereto; provided that the foregoing exclusion shall not apply if
(i) such prohibition has been waived or such other person has otherwise consented to the creation hereunder of a security interest in such Account, Chattel Paper, General Intangible or Promissory Note or (ii) such prohibition would be
rendered ineffective pursuant to Sections 9-406(d), 9-407(a) or 9-408(a) of the UCC, as applicable and as then in effect in any relevant jurisdiction, or any other applicable law (including the Bankruptcy Code) or principles of equity); provided
further that immediately upon the ineffectiveness, lapse or termination of any such provision, the Collateral shall include, and Grantor shall be deemed to have granted on the date hereof a security interest in, all its rights, title and
interests in and to such Account, Chattel Paper, General Intangible or Promissory Note as if such provision had never been in effect; and provided further that the foregoing exclusion shall in no way be construed so as to limit, impair or
otherwise affect Secured Party’s unconditional continuing security interest in and to all rights, title and interests of Grantor in or to any payment obligations or other rights to receive monies due or to become due under any such Account,
Chattel Paper, General Intangible or Promissory Note and in any such monies and other proceeds of such Account, Chattel Paper, General Intangible or Promissory Note. 

  
 6. 

 3. RIGHTS OF SECURED PARTY;
COLLECTION OF ACCOUNTS. 
 (a) Notwithstanding anything
contained in this Security Agreement to the contrary, Grantor expressly agrees that it shall remain liable under each of its Contracts, Chattel Paper, Documents, Instruments and Licenses to observe and perform all the conditions and obligations to
be observed and performed by it thereunder and that it shall perform all of its duties and obligations thereunder, all in accordance with and pursuant to the terms and provisions of each such Contract, Chattel Paper, Document, Instrument or License.
Secured Party shall not have any obligation or liability under any such Contract, Chattel Paper, Document, Instrument, or License by reason of or arising out of this Security Agreement or the granting to Secured Party of a lien therein or the
receipt by Secured Party of any payment relating to any such Contract, Chattel Paper, Document, Instrument, or License pursuant hereto, nor shall Secured Party be required or obligated in any manner to perform or fulfill any of the obligations of
Grantor under or pursuant to any such Contract, Chattel Paper, Document, Instrument, or License, or to make any payment, or to make any inquiry as to the nature or the sufficiency of any payment received by it or the sufficiency of any performance
by any party under any such Contract, Chattel Paper, Document, Instrument, or License, or to present or file any claim, or to take any action to collect or enforce any performance or the payment of any amounts which may have been assigned to it or
to which it may be entitled at any time or times. 
 (b) Secured Party authorizes Grantor to collect its
Accounts. Subject to the limitations set forth in Section 7, at the request of Secured Party, Grantor shall deliver all original and other documents evidencing and relating to the performance of labor or service which created such Accounts,
including, without limitation, all original orders, invoices and shipping receipts. 
 (c) Subject to
the limitations set forth in Section 7, Secured Party may at any time, upon the occurrence and during the continuance of any Event of Default, notify Account Debtors of Grantor, parties to the Contracts of Grantor, and obligors in respect of
Instruments of Grantor and obligors in respect of Chattel Paper of Grantor that the Accounts and the right, title and interest of Grantor in and under such Contracts, Instruments and Chattel Paper have been assigned to Secured Party and that
payments shall be made directly to Secured Party. Subject to the limitations set forth in Section 7, upon the occurrence and during the continuance of any Event of Default, upon the request of Secured Party, Grantor shall so notify such Account
Debtors, parties to such Contracts, obligors in respect of such Instruments and obligors in respect of such Chattel Paper. Secured Party may, in its name or in the name of others, communicate with such Account Debtors, parties to such Contracts,
obligors in respect of such Instruments and obligors in respect of such Chattel Paper to verify with such parties, to Secured Party’s satisfaction, the existence, amount and terms of any such Accounts, Contracts, Instruments or Chattel Paper.

 4. REPRESENTATIONS AND WARRANTIES. Grantor
hereby represents and warrants to Secured Party that: 
 (a) Except for the security interest
granted to Secured Party under this Security Agreement and Permitted Liens, Grantor is the sole legal and equitable owner of each item of the Collateral in which it purports to grant a security interest hereunder. 

  
 7. 

 (b) No effective security agreement, financing statement, equivalent
security or lien instrument or continuation statement covering all or any part of the Collateral exists, except such as may have been filed by Grantor in favor of Secured Party pursuant to this Security Agreement and except for Permitted Liens.

 (c) This Security Agreement creates a legal and valid security interest on and in all of the
Collateral in which Grantor now has rights. 
 (d) Grantor’s taxpayer identification number is set
forth in the signature page hereof. Grantor’s chief executive office, principal place of business, and the place where Grantor maintains its records concerning the Collateral are presently located at the address set forth on the signature page
hereof. The Collateral consisting of goods, other than motor vehicles and such other mobile goods, is presently located at such address and at such additional addresses set forth on Schedule C attached hereto. 

(e) All Collateral of Grantor consisting of Chattel Paper, Instruments or Investment Property is set forth on
Schedule D attached hereto. 
 (f) The name and address of each depository institution at which
Grantor maintains any Deposit Account and the account number and account name of each such Deposit Account is listed on Schedule E attached hereto. The name and address of each securities intermediary or commodity intermediary at which
Grantor maintains any Securities Account or Commodity Account and the account number and account name is listed on Schedule E attached hereto. Grantor agrees to amend Schedule E upon Secured Party’s request to reflect the opening
of any additional Deposit Account, Securities Account or Commodity Account, or closing or changing the account name or number on any existing Deposit Account, Securities Account, or Commodity Account. 

(g) All Intellectual Property that is registered or recorded with any governmental agency now owned or held by
the Grantor is listed on Schedule F attached hereto. 
 5. COVENANTS. Unless
Secured Party otherwise consents (which consent shall not be unreasonably withheld), Grantor covenants and agrees with Secured Party that from and after the date of this Security Agreement and until the Secured Obligations have been performed and
paid in full (other than inchoate indemnity obligations): 
 5.1 Disposition of Collateral. Subject to
Section 7, Grantor shall not sell, lease, transfer or otherwise dispose of any of the Collateral (each, a “Transfer”), or attempt or contract to do so, other than (a) the sale of Inventory in the
ordinary course of business, (b) the granting of Licenses in the ordinary course of business and (c) the disposal of worn-out or obsolete Equipment. 
 5.2 Change of Jurisdiction of Organization, Relocation of Business. Grantor shall not change its jurisdiction of organization or relocate its chief executive office, principal place of
business or its records from such address(es) provided to Secured Party pursuant to Section 4(d) above without at least seven (7) days prior notice to Secured Party. 

  
 8. 

 5.3 Limitation on Liens on Collateral. Grantor shall not, directly
or indirectly, create, permit or suffer to exist, and shall defend the Collateral against and take such other action as is necessary to remove, any Lien on the Collateral, except (a) Permitted Liens and (b) the Lien granted to Secured
Party under this Security Agreement. 
 5.4 Insurance. Grantor shall maintain insurance policies
insuring the Collateral against loss or damage from such risks and in such amounts and forms and with such companies as are customarily maintained by businesses similar to Grantor. 

5.5 Taxes, Assessments, Etc. Grantor shall pay promptly when due all property and other taxes, assessments and
government charges or levies imposed upon, and all claims (including claims for labor, materials and supplies) against, the Goods, except to the extent the validity or amount thereof is being contested in good faith and adequate reserves are being
maintained in connection therewith. 
 5.6 Defense of Intellectual Property. Grantor shall use
commercially reasonable efforts to (i) protect, defend and maintain the validity and enforceability of all Copyrights, Patents and Trademarks material to Grantor’s business and (ii) detect infringements of all Copyrights, Patents and
Trademarks material to Grantor’s business. 
 5.7 Further Assurances. At any time and from time to
time, upon the written request of Secured Party, and at the sole expense of Grantor, Grantor shall promptly and duly execute and deliver any and all such further instruments and documents and take such further action as Secured Party may reasonably
deem necessary or desirable to obtain the full benefits of this Security Agreement, including, without limitation, (a) executing, delivering and causing to be filed any financing or continuation statements under the UCC with respect to the
security interests granted hereby, (b) at Secured Party’s reasonable request, filing or cooperating with Secured Party in filing any forms or other documents required to be recorded with the United States Patent and Trademark Office or the
United States Copyright Office, (c) at Secured Party’s reasonable request, placing the interest of Secured Party as lienholder on the certificate of title (or similar evidence of ownership) of any vehicle, watercraft or other Equipment
constituting Collateral owned by Grantor which is covered by a certificate of title (or similar evidence of ownership), (d) at Secured Party’s reasonable request, executing and delivering and using commercially reasonable efforts to cause
the applicable depository institution, securities intermediary, commodity intermediary or issuer or nominated party under a letter of credit to execute and deliver a collateral control agreement with respect to any Deposit Account, Securities
Account or Commodity Account or Letter-of-Credit Right in or to which Grantor has any right or interest and (e) at Secured Party’s reasonable request, using commercially reasonable efforts to obtain acknowledgments from bailees having
possession of any Collateral and waivers of liens from landlords and mortgagees of any location where any of the Collateral may from time to time be stored or located. Grantor also hereby authorizes Secured Party to file any such financing or
continuation statement without the signature of Grantor. 
 6. SECURED
PARTY’S APPOINTMENT AS ATTORNEY-IN-FACT; PERFORMANCE BY SECURED
PARTY. 

  
 9. 

 (a) Subject to Section 6(b) and Section 7, Grantor hereby
irrevocably constitutes and appoints Secured Party, and any officer or agent of Secured Party, with full power of substitution, as its true and lawful attorney-in-fact with full, irrevocable power and authority in the place and stead of Grantor and
in the name of Grantor or in its own name, from time to time at Secured Party’s discretion, for the purpose of carrying out the terms of this Security Agreement, to take any and all appropriate action and to execute and deliver any and all
documents and instruments which may be necessary or desirable to accomplish the purposes of this Security Agreement and, without limiting the generality of the foregoing, hereby gives Secured Party the power and right, on behalf of Grantor, without
notice to or assent by Grantor to do the following: 
 (i) to ask, demand, collect, receive and give
acquittances and receipts for any and all monies due or to become due under any Collateral and, in the name of Grantor, in its own name or otherwise to take possession of, endorse and collect any checks, drafts, notes, acceptances or other
Instruments for the payment of monies due under any Collateral and to file any claim or take or commence any other action or proceeding in any court of law or equity or otherwise deemed appropriate by Secured Party for the purpose of collecting any
and all such monies due under any Collateral whenever payable; 
 (ii) to pay or discharge any Liens,
including, without limitation, any tax lien, levied or placed on or threatened against the Collateral, to effect any repairs or any insurance called for by the terms of this Security Agreement and to pay all or any part of the premiums therefor and
the costs thereof, which actions shall be for the benefit of Secured Party and not Grantor; 
 (iii) to
(1) direct any person liable for any payment under or in respect of any of the Collateral to make payment of any and all monies due or to become due thereunder directly to Secured Party or as Secured Party shall direct, (2) receive payment
of any and all monies, claims and other amounts due or to become due at any time arising out of or in respect of any Collateral, (3) sign and endorse any invoices, freight or express bills, bills of lading, storage or warehouse receipts, drafts
against debtors, assignments, verifications and notices in connection with Accounts and other Instruments and Documents constituting or relating to the Collateral, (4) commence and prosecute any suits, actions or proceedings at law or in equity
in any court of competent jurisdiction to collect the Collateral or any part thereof and to enforce any other right in respect of any Collateral, (5) defend any suit, action or proceeding brought against Grantor with respect to any Collateral,
(6) settle, compromise or adjust any suit, action or proceeding described above, and in connection therewith, give such discharges or releases as Secured Party may deem appropriate, (7) license, or, to the extent permitted by an applicable
License, sublicense, whether general, special or otherwise, and whether on an exclusive or non-exclusive basis, any Copyright, Patent or Trademark throughout the world for such term or terms, on such conditions and in such manner as Secured Party
shall in its discretion determine and (8) sell, transfer, pledge, make any agreement with respect to or otherwise deal with any of the Collateral as fully and completely as though Secured Party were the absolute owner thereof for all purposes;
and 
 (iv) to do, at Secured Party’s option and Grantor’s expense, at any time, or from time
to time, all acts and things which Secured Party may reasonably deem 

  
 10.

 
necessary to protect, preserve or realize upon the Collateral and Secured Party’s security interest therein in order to effect the intent of this Security Agreement, all as fully and
effectively as Grantor might do. 
 (b) Secured Party agrees that, subject to the limitations set forth
in Section 7 and except upon the occurrence and during the continuation of an Event of Default, it shall not exercise the power of attorney or any rights granted to Secured Party pursuant to this Section 6. Grantor hereby ratifies, to the
extent permitted by law, all that said attorney shall lawfully do or cause to be done by virtue hereof. The power of attorney granted pursuant to this Section 6 is a power coupled with an interest and shall be irrevocable until the Secured
Obligations are completely and indefeasibly paid and performed in full. 
 (c) If Grantor fails to
perform or comply with any of its agreements contained herein and Secured Party, as provided for by the terms of this Security Agreement, shall perform or comply, or otherwise cause performance or compliance, with such agreement, the reasonable
expenses, including reasonable attorneys’ fees and costs, of Secured Party together with interest thereon at a rate of interest equal to the highest per annum rate of interest charged on the Loan, incurred in connection with such performance or
compliance, shall be payable by Grantor to Secured Party within five (5) business days of demand and shall constitute Secured Obligations secured hereby. 
 7. SUBORDINATION. The indebtedness evidenced by the Loan Agreement is hereby expressly subordinated, to the extent and in the manner hereinafter set forth, in right of payment to the
prior payment in full of the Senior Indebtedness. 
 7.1 Insolvency Proceedings. If there shall occur
any receivership, insolvency, assignment for the benefit of creditors, bankruptcy, reorganization, or arrangements with creditors (whether or not pursuant to bankruptcy or other insolvency laws), sale of all or substantially all of the assets,
dissolution, liquidation, or any other marshaling of the assets and liabilities of Grantor, (a) no amount shall be paid by Grantor in respect of the principal of, interest on or other amounts due with respect to the Loan or the Loan Agreement
at the time outstanding, unless and until the principal of and interest on the Senior Indebtedness then outstanding shall be paid in full, and (b) no claim or proof of claim shall be filed by or on behalf of Secured Party which shall assert any
right to receive any payments in respect of the principal of and interest due under the Loan or the Loan Agreement except subject to the payment in full of the principal of and interest on all of the Senior Indebtedness then outstanding. 

7.2 Default on Senior Indebtedness. If there shall occur an event of default which has been declared in writing
with respect to any Senior Indebtedness, as defined therein, or in the instrument under which it is outstanding, permitting the holder to accelerate the maturity thereof and Secured Party shall have received written notice thereof from the holder of
such Senior Indebtedness, then, unless and until such event of default shall have been cured or waived or shall have ceased to exist, or all Senior Indebtedness shall have been paid in full, no payment shall be made in respect of the principal of or
interest on the Loan Agreement. 
 7.3 Further Assurances. By acceptance of this Security Agreement,
Secured Party agrees to execute and deliver customary forms of subordination agreement requested from 

  
 11.

 
time to time by the holder of the Senior Indebtedness and, as a condition to Secured Party’s rights hereunder, Grantor may require that Secured Party execute such forms of subordination
agreement, provided that such forms shall not impose on Secured Party terms less favorable than those provided herein. 
 7.4 Subrogation. Subject to the payment in full of all Senior Indebtedness, Secured Party shall be subrogated to the rights of the holder of such Senior Indebtedness (to the extent of the payments
or distributions made to the holder of such Senior Indebtedness pursuant to the provisions of this Section 7) to receive payments and distributions of assets of Grantor applicable to the Senior Indebtedness. No such payments or distributions
applicable to the Senior Indebtedness shall, as between Grantor and its creditors, other than the holders of Senior Indebtedness and Secured Party, be deemed to be a payment by Grantor to or on account of the Loan or the Loan Agreement; and for
purposes of such subrogation, no payments or distributions to the holders of Senior Indebtedness to which Secured Party would be entitled except for the provisions of this Section 7 shall, as between Grantor and its creditors, other than the
holders of Senior Indebtedness and Secured Party, be deemed to be a payment by Grantor to or on account of the Senior Indebtedness. 
 7.5 No Impairment. Subject to the rights, if any, of the holder of Senior Indebtedness under this Section 7 to receive cash, securities or other properties otherwise payable or deliverable to
Secured Party, nothing contained in this Section 7 shall impair, as between Grantor and Secured Party, the obligation of Grantor, subject to the terms and conditions hereof, to pay to Secured Party the principal and interest under the Loan
Agreement as and when the same become due and payable, or shall prevent Secured Party, upon default hereunder, from exercising all rights, powers and remedies otherwise provided herein or by applicable law. 

7.6 Lien Subordination. Any Lien or security interest of Secured Party, whether now or hereafter existing in
connection with the amounts due under the Loan Agreement, on any assets or property of Grantor or any proceeds or revenues therefrom which Secured Party may have at any time as security for any amounts due and obligations under the Loan Agreement,
including the Lien and security interest created by this Security Agreement, shall be subordinate to all Liens or security interests now or hereafter granted to the holder of Senior Indebtedness by Grantor or by law notwithstanding the date, order
or method of attachment or perfection of any such Lien or security interest or the provisions of any applicable law. 
 7.7 Applicability of Priorities. The priority of the holder of the Senior Indebtedness provided for herein with respect to security interests and Liens are applicable only to the extent that such
security interests and Liens are enforceable and perfected and have not been avoided; if a security interest or Lien is judicially determined to be unenforceable or unperfected or is judicially avoided with respect to any claim of the holder of the
Senior Indebtedness or any part thereof, the priority provided for herein shall not be available to such security interest or Lien to the extent that it is avoided or determined to be unenforceable or unperfected. The foregoing notwithstanding,
Secured Party covenants and agrees that it shall not challenge, attack or seek to avoid any security interest or Lien to the extent that it secures the holder of the Senior Indebtedness. Nothing in this Section 7.7 affects the operation of any

  
 12.

 
subordination of indebtedness or turnover of payment provisions hereof, or of any other agreements among any of the parties hereto. 

7.8 Reliance of Holders of Senior Indebtedness. Secured Party, by its acceptance hereof, shall be deemed to
acknowledge and agree that the foregoing subordination provisions are, and are intended to be, an inducement to and a consideration of the holder of Senior Indebtedness, whether such Senior Indebtedness was created or acquired before or after the
creation of the indebtedness evidenced by the Loan Agreement, and the holder of Senior Indebtedness shall be deemed conclusively to have relied on such subordination provisions in acquiring and holding, or in continuing to hold, such Senior
Indebtedness. 
 8. RIGHTS AND REMEDIES UPON
DEFAULT. Subject to the provisions of Section 7, beginning on the date which is ten (10) business days after any Event of Default shall have occurred and while such Event of Default is continuing: 

(a) Secured Party may exercise in addition to all other rights and remedies granted to it under this Security
Agreement or the Loan Agreement, all rights and remedies of a secured party under the UCC. Without limiting the generality of the foregoing, Grantor expressly agrees that in any such event Secured Party, without demand of performance or other
demand, advertisement or notice of any kind (except the notice specified below of time and place of public or private sale) to or upon Grantor or any other person, may (i) reclaim, take possession, recover, store, maintain, finish, repair,
prepare for sale or lease, shop, advertise for sale or lease and sell or lease (in the manner provided herein) the Collateral, and in connection with the liquidation of the Collateral and collection of the accounts receivable pledged as Collateral,
use any Trademark, Copyright, or process used or owned by Grantor and (ii) forthwith collect, receive, appropriate and realize upon the Collateral, or any part thereof, and may forthwith sell, lease, assign, give an option or options to
purchase or sell or otherwise dispose of and deliver said Collateral (or contract to do so), or any part thereof, in one or more parcels at public or private sale or sales, at any exchange or broker’s board or at any of Secured Party’s
offices or elsewhere at such prices as it may deem commercially reasonable, for cash or on credit or for future delivery without assumption of any credit risk. Grantor further agrees, at Secured Party’s request, to assemble the Collateral and
make it available to the Secured Party at places which Secured Party shall reasonably select, whether at Grantor’s premises or elsewhere. Secured Party shall apply the net proceeds of any such collection, recovery, receipt, appropriation,
realization or sale as provided in Section 8(e), below, with Grantor remaining liable for any deficiency remaining unpaid after such application. Grantor agrees that Secured Party need not give more than twenty (20) days’ notice of
the time and place of any public sale or of the time after which a private sale may take place and that such notice is reasonable notification of such matters. 

(b) As to any Collateral constituting certificated securities or uncertificated securities, if, at any time when
Secured Party shall determine to exercise its right to sell the whole or any part of such Collateral hereunder, such Collateral or the part thereof to be sold shall not, for any reason whatsoever, be effectively registered under Securities Act of
1933, as amended (as so amended the “Act”), Secured Party may, in its discretion (subject only to applicable requirements of law), sell such Collateral or part thereof by private sale in such manner and under such
circumstances as Secured Party may deem necessary or advisable, but 

  
 13.

 
subject to the other requirements of this Section 8(b), and shall not be required to effect such registration or cause the same to be effected. Without limiting the generality of the
foregoing, in any such event Secured Party may, in its sole discretion, (i) in accordance with applicable securities laws, proceed to make such private sale notwithstanding that a registration statement for the purpose of registering such
Collateral or part thereof could be or shall have been filed under the Act; (ii) approach and negotiate with a single possible purchaser to effect such sale; and (iii) restrict such sale to a purchaser who will represent and
agree that such purchaser is purchasing for its own account, for investment, and not with a view to the distribution or sale of such Collateral or part thereof. In addition to a private sale as provided above in this Section 8(b), if
any of such Collateral shall not be freely distributable to the public without registration under the Act at the time of any proposed sale hereunder, then Secured Party shall not be required to effect such registration or cause the same to be
effected but may, in its sole discretion (subject only to applicable requirements of law), require that any sale hereunder (including a sale at auction) be conducted subject to such restrictions as Secured Party may, in its sole discretion,
deem necessary or appropriate in order that such sale (notwithstanding any failure so to register) may be effected in compliance with the Bankruptcy Code and other laws affecting the enforcement of creditors’ rights and the Act and all
applicable state securities laws. 
 (c) Grantor also agrees to pay all fees, costs and expenses of
Secured Party, including, without limitation, attorneys’ fees, incurred in connection with the enforcement of any of its rights and remedies hereunder. 
 (d) Grantor hereby waives presentment, demand, protest or any notice (to the maximum extent permitted by applicable law) of any kind in connection with this Security Agreement or any Collateral.

 (e) Subject to the provisions of Section 7, the Proceeds of any sale, disposition or other
realization upon all or any part of the Collateral shall be distributed by Secured Party in the following order of priorities: 
 FIRST, to Secured Party in an amount sufficient to pay in full the costs of Secured Party in connection with such sale, disposition or other realization, including all
fees, costs, expenses, liabilities and advances incurred or made by Secured Party in connection therewith, including, without limitation, attorneys’ fees; 

SECOND, to Secured Party in an amount equal to the then unpaid Secured Obligations;
and 
 FINALLY, upon payment in full of the Secured Obligations, to
Grantor or its representatives, in accordance with the UCC or as a court of competent jurisdiction may direct. 

9. INDEMNITY. Grantor agrees to defend, indemnify and hold harmless Secured Party and its officers,
employees, and agents against (a) all obligations, demands, claims, and liabilities claimed or asserted by any other party in connection with the transactions contemplated by this Security Agreement and (b) all losses or expenses in any
way suffered, incurred, or paid by Secured Party as a result of or in any way arising out of, following or consequential to transactions between Secured Party and Grantor, whether under this Security

  
 14.

 
Agreement or otherwise (including without limitation, reasonable attorneys fees and expenses), except for losses arising from or out of Secured Party’s gross negligence or willful
misconduct. 
 10. REINSTATEMENT. This Security Agreement shall remain in full force and
effect and continue to be effective should any petition be filed by or against Grantor for liquidation or reorganization, should Grantor become insolvent or make an assignment for the benefit of creditors or should a receiver or trustee be appointed
for all or any significant part of Grantor’s property and assets, and shall continue to be effective or be reinstated, as the case may be, if at any time payment and performance of the Secured Obligations, or any part thereof, is, pursuant to
applicable law, rescinded or reduced in amount, or must otherwise be restored or returned by any obligee of the Secured Obligations, whether as a “voidable preference,” “fraudulent conveyance,” or otherwise, all as though such
payment or performance had not been made. In the event that any payment, or any part thereof, is rescinded, reduced, restored or returned, the Secured Obligations shall be reinstated and deemed reduced only by such amount paid and not so rescinded,
reduced, restored or returned. 
 11. MISCELLANEOUS. 

11.1 Waivers; Amendments. Any amendment of this Security Agreement shall require the written consent of the
Grantor and the Secured Party. 
 11.2 Termination of this Security Agreement. Subject to
Section 10 hereof, this Security Agreement shall terminate upon the payment and performance in full of the Secured Obligations (other than inchoate indemnity obligations). 

11.3 Successor and Assigns. This Security Agreement and all obligations of Grantor hereunder shall be binding
upon the successors and assigns of Grantor, and shall, together with the rights and remedies of Secured Party hereunder, inure to the benefit of Secured Party, any future holder of any of the Secured Obligations and their respective successors and
assigns. No sales of participations, other sales, assignments, transfers or other dispositions of any agreement governing or instrument evidencing the Secured Obligations or any portion thereof or interest therein shall in any manner affect the lien
granted to Secured Party hereunder. 
 11.4 Governing Law. In all respects, including all matters of
construction, validity and performance, this Security Agreement shall be governed by, and construed and enforced in accordance with, the laws of the State of California applicable to contracts made and performed in such state, without regard to the
principles thereof regarding conflict of laws, except to the extent that the UCC provides for the application of the law of a different jurisdiction. 

  
 15.

 IN WITNESS WHEREOF, each
of the parties hereto has caused this Security Agreement to be executed and delivered by its duly authorized officer on the date first set forth above. 
  

									
	 ADDRESS OF GRANTOR
	 		 	 BIOCEPT, INC., as Grantor

				
	 5810 Nancy Ridge Dr.
	 		 	By:	 	 /s/ Stephen M. Coutts

	 San Diego, CA 92121
	 		 	Printed Name: Stephen M. Coutts
		 		 	Title: CEO, President
				
	 TAXPAYER IDENTIFICATION NUMBER
OF
 GRANTOR
	 		 		 	 JURISDICTION OF ORGANIZATION
OF
 GRANTOR

				
	 33-0757995
	 		 		 	 California

  

									
	 ACCEPTED AND ACKNOWLEDGED
BY:
  

GOODMAN CO, LTD., as Secured Party
	 		 	
					
	By:	 	 /s/ Takehito Yogo
	 		 		 	
	 Printed Name: Takehito Yogo
	 		 		 	
	 Title:President & CEO
	 		 		 	

 SCHEDULE A 

EXCLUDED IP 
 Cell-Free Fetal Nucleic Acids Patents 
  

							
	 DOCKET NO.
	  	 FILING

DATA
	  	PRIORITY
DATE
	  	 RELATED STATUS
INFORMATION

	 BIOE-006/01/US
	  	 US 20070243549
 11/734,224 filed 04/11/2007
 Enrichment of Circulating Fetal
DNA
	  	04/12/2006	  	 Abandoned—Notice of
 Abandonment mailed on
 03/30/2009

 
 Assigned to BAYLOR

COLLEGE OF MEDICINE

				
	 BIOE-006/01/WO
	  	 WO 2007/121276
 PCT/US2007/066475 filed 04/11/2007
 Enrichment of Circulating Fetal
DNA
 National Phase Applications filed in
 CN, EP, IN, JP, KR
	  	04/12/2006	  	 All National Phase Applications,
 except IN, Abandoned

				
	 BIOE-007/01US
	  	 12/235,540 filed 09/22/2008
 Identification and Isolation of Fetal Cells and Nucleic Acids
	  	09/21/07	  	 Abandoned – Notice of
 Abandonment mailed 06/25/2009

				
	 BIOE-007/02US
	  	 12/725,331 filed 03/06/2010
 Identification and Isolation of Fetal Cells and Nucleic Acids
	  	09/21/07	  	Pending
				
	 BIOE-007/01WO
	  	 WO 2009/039507
 PCT/US2008/077251 filed 09/22/2008
 Identification and Isolation of Fetal Cells
and Nucleic Acids
 National Phase Applications filed in

AU, BR, CA, CN, EG, IL, JP
	  	09/21/07	  	 30-Month National Phase
 Deadline has passed

				
	 BIOE-009/01US
	  	 US 20080176237
 11/952,459 filed 12/07/2007
 Noninvasive Prenatal Genetic
Screen
	  	12/07/06	  	Pending
				
	 BIOE-009/01WO
	  	 WO 2008/070862
 PCT/US2007/086862
 Noninvasive Prenatal Genetic Screen

National Phase Application filed in EP
	  	12/07/06	  	 30-Month National Phase
 Deadline has passed

				
	 BIOE-009/01EP
	  	 EP 2140027
 EP 07869055.9, filed 10/23/2009
 Noninvasive Prenatal Genetic
Screen
	  	12/07/06	  	Pending

							
	 DOCKET NO.
	  	 FILING

DATA
	  	PRIORITY
DATE
	  	 RELATED STATUS
INFORMATION

	 BIOE-015/00US
	  	 61/028,064 filed 02/12/2008

Method for Isolating Cell Free Apoptotic or Fetal Nucleic Acids
	  	02/12/08	  	Expired (PCT filed)
				
	 BIOE-015/01WO
	  	 WO 2009/102632

PCT/US2009/33375 filed 02/06/2009
 Isolation
of Circulating Fetal DNA from Maternal Blood for Fetal Genetic Testing
	  	02/12/08	  	Pending
				
	 BIOE-016/00US
	  	 61/043,028 filed 04/07/2008

Device Utilizing Electric Field and Size Cut-Off for the Separation of Charged Species
	  	04/07/08	  	Expired
				
	 BIOE-017/00US
	  	 61/082,169 filed 07/18/2008

Non-Invasive Fetal RhD Genotyping from Maternal Whole Blood
	  	07/18/08	  	Expired (PCT filed)
				
	 BIOE-017/01WO
	  	 WO 2010/009440

PCT/US2009/51061, filed 07/17/2009

Non-Invasive Fetal RhD Genotyping from Maternal Whole Blood
	  	07/18/08	  	Pending
				
	 BIOE-018/00US
	  	 61/024,872 filed 01/30/2008

Two-Stage Enrichment of Cell-Free Fetal DNA in Maternal Plasma
	  	01/30/08	  	Expired (PCT filed)
				
	 BIOE-018/01WO
	  	 WO 2009/097511

PCT/US2009/32614 filed 01/30/2009
 Two-Stage
Enrichment of Cell-Free Fetal DNA in Maternal Plasma
	  	01/30/08	  	Pending
				
		  	 US Patent No. 7,468,249 (Issued 12/23/2008)
 Detection of Chromosomal Disorders
	  	05/05/2004	  	 In Force
 Assigned to BIOCEPT, INC.

				
		  	 WO 2005/111237

PCT/US2005/013070 filed 04/18/2005
 Detection
of Chromosomal Disorders
 National Phase applications filed in EP, CN, JP, KR
	  	05/05/2004	  	 30-Month National Phase
 Deadline has passed

				
		  	 EP 1759011 A
 EP
05740284.4 filed 12/04/2006
 Detection of Chromosomal Disorders
	  	05/05/2004	  	Pending

 Whole Fetal Cell Patents 

 

							
	 DOCKET NO.
	  	 FILING

DATA
	  	PRIORITY
DATE
	  	 RELATED STATUS
INFORMATION

	 BIOE-003/00US
	  	 US 20070224588
 11/277,218
filed 03/22/2006
 Trophoblast

Preservation/Pretreatment
 Medium and
Method
	  	03/22/06	  	 Abandoned – Notice of
 Abandonment mailed 04/10/2009
  
 Assigned to BIOCEPT, INC.

				
	 BIOE-004/00US
	  	 US 20070224597
 11/277,288
filed 3/23/2006
 Isolating Fetal Trophoblasts
	  	03/23/06	  	 Abandoned– Notice of
 Abandonment mailed 03/05/2009
  
 Assigned to BIOCEPT, INC.

				
	 BIOE-004/01WO
	  	 WO 2007/112281
 PCT/US07/64705
filed
 03/22/2007
 Isolating Fetal
Trophoblasts
 National Phase applications filed in EP, CN, JP, IN, KR
	  	03/23/06	  	 30-Month National Phase
 Deadline has passed
 All National Phase Applications

Abandoned

				
	 BIOE-004/01EP
	  	 EP 07759181.6
 Isolating
Fetal Trophoblasts
	  	03/23/06	  	Abandoned
				
	 BIOE-013/00US
	  	 60/953,812 filed 8/3/2007

In-Situ Hybridization to
 Detect RNA
and DNA Markers
	  	08/03/07	  	Expired (PCT filed)
				
	 BIOE-013/01US
	  	 12/671,902, filed 02/02/2010

In-Situ Hybridization to
 Detect RNA
and DNA Markers
	  	08/03/07	  	Pending
				
	 BIOE-013/01WO
	  	 WO 2009/020932

PCT/US2008/072143 filed
 08/04/2008

In-Situ Hybridization to
 Detect RNA
and DNA Markers
 National Phase Applications filed in
 AU, BR, CA, CN, EG, EP, IL, JP,
 KR, MX, NZ, UA, US, ZA
	  	08/03/07	  	 30-Month National Phase
 Deadline has passed

				
	 BIOE-014/00US
	  	 60/984,698 filed 11/01/2007

Non-Invasive Isolation Of
 Fetal
Nucleic Acid
	  	11/01/07	  	Expired (PCT filed)

							
	 DOCKET NO.
	  	 FILING

DATA
	  	PRIORITY
DATE
	  	 RELATED STATUS
INFORMATION

	 BIOE-014/01WO
	  	 WO 2009/058997

PCT/US2008/81780 filed 10/30/2008

Non-Invasive Isolation Of
 Fetal
Nucleic Acid
	  	11/01/07	  	Pending
				
	 BIOE-021/00US
	  	 U.S. Patent No. 5,731,156

(Issued 3/24/98)
 Use of Anti-Embryonic
Hemoglobin Antibodies to
 Identify Fetal Cells
	  	10/21/96	  	 Issued – In Force
 Assigned to BIOCEPT, INC.

				
	 BIOE-021/01US
	  	 U.S. Patent No. 5,962,234

(Issued 10/5/99)
 Use of Anti-Embryonic
Hemoglobin Antibodies to Identify Fetal Cells
	  	10/21/96	  	 Issued – In Force
 Assigned to BIOCEPT, INC.

				
	 BIOE-021/01EP
	  	 EP 1007965 B1
 Use of
Anti-Embryonic Hemoglobin Antibodies to Identify Fetal Cells
	  	10/21/96	  	 Granted – All National
 Validations now Abandoned

				
	 BIOE-021/01DE
	  	 EP 1007965 B1
 Use of
Anti-Embryonic Hemoglobin Antibodies to Identify Fetal Cells
	  	10/21/96	  	Abandoned
				
	 BIOE-021/01FR
	  	 EP 1007965 B1
 Use of
Anti-Embryonic Hemoglobin Antibodies to Identify Fetal Cells
	  	10/21/96	  	Abandoned
				
	 BIOE-021/01GB
	  	 EP 1007965 B1
 Use of
Anti-Embryonic Hemoglobin Antibodies to Identify Fetal Cells
	  	10/21/96	  	Abandoned
				
	 BIOE-021/01CH
	  	 EP 1007965 B1
 Use of
Anti-Embryonic Hemoglobin Antibodies to Identify Fetal Cells
	  	10/21/96	  	Abandoned

 SCHEDULE B 

LIENS EXISTING ON THE DATE OF THIS SECURITY AGREEMENT 
 1. The Reiss Family GST Exempt Marital Deduction Trust was granted a security interest on the assets of the Grantor pursuant to the terms of that certain Security Agreement dated December 22, 2008.

 2. Olympus America, Inc. has been granted a security interest on certain assets of the Grantor. 

3. Ervin Leasing Company has been granted a security interest on certain assets of the Grantor. 

4. VGM Financial Services has been granted a security interest on certain assets of the Grantor. 

5. Key Equipment Finance Inc. has been granted a security interest on certain assets of the Grantor. 

 SCHEDULE C 

LOCATION OF GOODS 
  

			
	 ENTITY
	  	 ADDRESS

	 Biocept, Inc.
	  	5810 Nancy Ridge Dr., San Diego, CA 92121

 SCHEDULE D 

LIST OF CHATTEL PAPER, INSTRUMENTS, AND 
 INVESTMENT PROPERTY 
 (CERTIFICATED
SECURITIES) 
 None 

 SCHEDULE E 

DEPOSIT ACCOUNTS, SECURITIES ACCOUNTS AND 
 COMMODITY ACCOUNTS 
 (Including Type of Account, Account Name, Account Number and Name and
Address of Institution/Intermediary) 
  

							
	 Description
	  	Type of Account	  	Account Name	  	Account Number
	 California Coast Credit Union
	  	Savings	  	Biocept Inc.	  	7100001171
	 Address:
	  	California Coast Credit Union, PO Box 502080, San Diego, CA 92150-2080
	 SVB General Account
	  	Analysis Checking	  	Biocept Inc.	  	3300575742
	 Address:
	  	Silicon Valley Bank, 3003 Tasman Drive, Santa Clara, CA 95054
	 Merrill Lynch Checking
	  	WCMA	  	Biocept Inc.	  	778-07010
	 Address:
	  	Merrill Lynch, 150 Fayetteville Street, Suite 2000, Raleigh, NC 27601-2919
	 Merrill Lynch Investment
	  	WCMA/MLPA	  	Biocept Inc.	  	778-07007
	 Address:
	  	Merrill Lynch, 150 Fayetteville Street, Suite 2000, Raleigh, NC 27601-2919
	 Ulster Bank Account
	  	Corporate Checking	  	Biocept Europe	  	35180007
	 Address:
	  	Ulster Bank, Donegal County Business Centre, 2nd Floor, 12-14 Main Street Letterkenny, Co Donegal, Ireland

 SCHEDULE F 

INTELLECTUAL PROPERTY 

Issued/Granted Patents: 
  

																			
	 Attorney
Docket #
	 	 Outside
Counsel
	 	 Title
	 	 Inventor(s)
	 	 Product
	 	 Country
	 	 Assign.
Date/

Reel/Frame
	 	 Date Filed/

Serial #
	 	 Pub. Date/

Pub. #
	 	 Date Issued/

Patent #

	62685	 	Fitch, Even, Tabin &	 	Method of Using an Improved Peptide Nucleic	 	 S. Hahn
 A. Patron
	 	PNA	 	Europe (PCT)	 	N/A	 	 01/07/1999
 99933646.4
	 	 5/2/2001
 EP1095054
	 	 10/25/2006
 EP 1,095,054 B1

		 	Flannery	 	Acid Universal Library to Optimize DNA Sequence Hybridization	 	R. Fagnani	 		 	 Korea
 (PCT)
	 	N/A	 	 01/07/1999
 7000159
	 	—	 	 3/7/2007
 694914

										
	62829	 	Fitch, Even, Tabin & Flannery	 	Method of Making Biochips and the Biochips Resulting Therefrom	 	S. Hahn	 	Hydroarray	 	US	 	 7/19/1999
 010110/0277
	 	 04/26/1999
 09/299,831
	 	N/A	 	 01/16/2001
 6,174,683

										
	66152	 	Fitch, Even, Tabin & Flannery	 	Peptide Nucleic Acid Precursors and Methods of Preparing Same (CIP-abandoned)	 	 A. Patron
 A. Pervin
	 	PNA	 	US	 	 1/5/2000
 010523/0685
	 	 01/05/2000
 09/479,320
	 	N/A	 	 08/13/2002
 6,433,134

										
	66233	 	Fitch, Even, Tabin & Flannery	 	Method of Making Biochips and The Biochips Resulting Therefrom	 	 R. Fagnani
 S. Hahn
 P. Tsinberg
	 	Hydroarray	 	Europe (PCT)	 	N/A	 	 04/26/2000
 00928450.6
	 	 1/23/2002
 EP1173620
	 	 11/8/2006
 EP 1,173,620 B1

		 		 		 		 		 	Germany	 	N/A	 	 11/8/2006
 600 31 772.2-08
	 	N/A	 	 9/6/2007
 DE 600 31 772 T2

		 		 		 		 		 	Korea (PCT)	 	N/A	 	 04/26/2001
 7013634/2001
	 	—	 	 4/13/2007
 709795

										
	69905	 	Fitch, Even, Tabin & Flannery	 	Three Dimensional Format Biochips	 	 R. Fagnani
 S. Hahn
 X. Dong
	 	Hydroarray	 	Australia (PCT)	 	N/A	 	 10/26/2001
 2002246918
	 	N/A	 	 1/11/2007
 AU 2002246918 B2

		 		 		 	 T. Pircher
 S. Matsumoto
 P. Tsinberg
	 		 	Europe (PCT)	 	N/A	 	 10/26/2001
 01994529.4
	 	 7/23/2003
 EP1328810
	 	 Published
 No further submissions

  
 1 

																			
	 Attorney
Docket #
	 	 Outside
Counsel
	 	 Title
	 	 Inventor(s)
	 	 Product
	 	 Country
	 	 Assign.
Date/

Reel/Frame
	 	 Date Filed/

Serial #
	 	 Pub. Date/

Pub. #
	 	 Date Issued/

Patent #

	71716	 	Fitch, Even, Tabin & Flannery	 	Microwell Biochip	 	 P. Tsinberg
 P. Roycroft
 Y. Gerassi

S. Hahn
	 	Microwell	 	Europe (PCT)	 	N/A	 	 10/15/2002
 2772545.0-2204
	 	 8/11/2004
 EP 1,444,500
	 	 6/11/08
 1,444,500

		 		 		 		 		 	Japan (PCT)	 	N/A	 	 10/15/2002
 2003-536,713
	 	 3/3/2005
 2005-506,530
	 	 Published
 No further submissions

	72711	 	Fitch, Even, Tabin & Flannery	 	Methods and Gel Compositions for Encapsulating Living Cells and Organic Molecules	 	 S. Hahn
 R. Fagnani
 X. Dong

C. Edman
 P.
Tsinberg
	 	Hydrogel	 	US	 	 8/7/2003
 013857/0723
	 	 04/02/2003
 10/398,725
	 	 2/12/2004
 2004/0029241
	 	 02/6/2007
 7,172,866

		 		 		 		 		 	 Europe
 (PCT)
	 	N/A	 	 04/02/2002
 02763911.1-2405
	 	 1/2/2004
 EP1373472
	 	 6/27/2007
 1,373,472 – Filed in GE, FR, GB

		 		 		 		 		 	Germany	 	N/A	 	 6/27/2007
 602 20 893.9-08
	 	N/A	 	 3/6/2008
 DE60220893T2

										
	81633	 	Fitch, Even, Tabin & Flannery	 	Microarray Hybridization Device Having Bubble-Fracturing Elements	 	 S. Hahn
 J. Steadman
 P. Tsinberg

T. Watanaskul
 Y.
Gerassi
	 	Hybridization Device	 	US	 	 11/24/2003
 014756/0001
	 	 11/24/2003
 10/722,290
	 	 05/26/2005
 2005/0112589
	 	 07/3/2007
 7,238,521

		 		 		 		 		 	Europe (PCT)	 	N/A	 	 11/03/2004
 04800599.5
	 	 8/9/2006
 EP1687080
	 	 6/24/08
 1,687,080

										
	81634	 	Fitch, Even, Tabin & Flannery	 	Reflective Substrate and Algorithms for 3D Biochip	 	D. Rachlin	 	Substrate	 	US	 	 11/4/2004
 015338/0315
	 	 09/16/2003
 10/664,248
	 	Filed w/Non-Publication Notice	 	 04/3/2007
 7,198,901

										
	81674	 	Fitch, Even, Tabin & Flannery	 	Alleviation of Non-Specific Binding in Microarray Assays	 	 Y. Gerassi
 P. Tsinberg
	 	Protein	 	US	 	 11/3/2004
 015332/0733
	 	 8/19/2004
 10/922,387
	 	 2/23/2006
 2006/0040407
	 	 08/21/07
 7,258,990

		 		 		 		 		 	Europe (PCT)	 	N/A	 	 2/21/2007
 05,808,506.9
	 	 5/23/2007
 1,787,120
	 	Abandoned
										
	81721	 	Fitch, Even, Tabin & Flannery	 	 Microwell Biochip
 (Cont.
71716)
	 	 Y. Gerassi
 S. Hahn
 P. Roycroft

P. Tsinberg
	 	Microwell	 	US	 	 10/14/2004
 015248/0196
	 	 04/12/2004
 10/823,021
	 	 9/30/2004
 2004/0191891
	 	 05/15/2007
 7,217,520

										
	81736	 	Fitch, Even Tabin & Flannery	 	mRNA Expression Analysis	 	T. Pircher	 	Expression Analysis	 	Europe (PCT)	 	N/A	 	 6/18/2004
 04776771.0-2405
	 	 4/26/06
 EP1649060
	 	Abandoned

  
 2 

 Pending Applications: 

 

																			
	 Attorney
Docket #
	 	 Outside
Counsel
	 	 Title
	 	 Inventor(s)
	 	 Product
	 	 Country
	 	 Assign. Date/

Reel/Frame
	 	Date Filed/
Serial #	 	Pub. Date/
Pub. #	 	 Date Issued/

Patent #

	62685	 	Fitch, Even, Tabin &	 	Method of Using an Improved Peptide Nucleic	 	 S. Hahn
 A. Patron
	 	PNA	 	WO (PCT)	 	N/A	 	01/07/1999

PCT/
US99/14969
	 	01/20/2000
 WO0002899
	 	N/A
		 	Flannery	 	Acid Universal Library to Optimize DNA Sequence Hybridization	 	R. Fagnani	 		 	 Japan
 (PCT)
	 	N/A	 	01/07/1999
 2000-559,128
	 	7/9/2002
 2002-520,008
	 	Published
										
	66233	 	Fitch, Even, Tabin & Flannery	 	Method of Making Biochips and The Biochips Resulting Therefrom	 	 R. Fagnani
 S. Hahn
 P. Tsinberg
	 	Hydroarray	 	 WO
 (PCT)
	 	N/A	 	04/26/2000

PCT/
US001/11282
	 	11/02/2000
 WO/0065097
	 	N/A
		 		 		 		 		 	 Japan
 (PCT)
	 	N/A	 	4/26/2000
 2000-614,431
	 	/2002
 2002-543,398
	 	Published
										
	69905	 	Fitch, Even, Tabin & Flannery	 	Three Dimensional Format Biochips	 	 R. Fagnani
 S. Hahn
 X. Dong

T. Pircher
 S.
Matsumoto
 P. Tsinberg
	 	Hydroarray	 	WO (PCT)	 	N/A	 	10/26/2001

PCT/
US01/51265
	 	8/1/2002
 WO02059372
	 	N/A
		 		 		 		 		 	 China
 (PCT)
	 	N/A	 	10/26/2001	 	01 994 529.4	 	Published
		 		 		 		 		 	 Japan
 (PCT)
	 	N/A	 	10/26/2001
 2002-559,854
	 	6/17/2004
 2004-518,138
	 	
		 		 		 		 		 	 Korea
 (PCT)
	 	N/A	 	10/26/2001
 7008285/2002
	 	Pending	 	
										
	71716	 	Fitch, Even, Tabin & Flannery	 	Microwell Biochip	 	 P. Tsinberg
 P. Roycroft
 Y. Gerassi

S. Hahn
	 	Microwell	 	WO (PCT)	 	N/A	 	10/15/2001

PCT/
US02/32751
	 	04/24/2003
 WO2003034026
	 	N/A
										
	71726	 	Fitch, Even, Tabin & Flannery	 	Three-Dimensional Format Biochips (CIP)	 	 R. Fagnani
 S. Hahn
 X. Dong

T. Pircher
 S.
Matsumoto
 P. Tsinberg
	 	Hydroarray	 	US	 	 5/28/2002
 012736/0060
	 	10/25/2001

10/054,728
	 	2/17/2005

2005/0037343
	 	 Published
 No Further Submissions

  
 3 

																			
	 Attorney
Docket #
	 	 Outside
Counsel
	 	 Title
	 	 Inventor(s)
	 	 Product
	 	 Country
	 	 Assign. Date/

Reel/Frame
	 	Date Filed/
Serial #	 	Pub. Date/
Pub. #	 	 Date Issued/

Patent #

	72711	 	Fitch, Even, Tabin & Flannery	 	Methods and Gel Compositions for Encapsulating Living Cells and Organic Molecules	 	 S. Hahn
 R. Fagnani
 X. Dong

C. Edman
	 	Hydrogel	 	WO (PCT)	 	N/A	 	04/02/2002

PCT/
US02/10411
	 	10/17/2002
 WO2002/081662
	 	N/A
		 		 		 	P. Tsinberg	 		 	 Canada
 (PCT)
	 	N/A	 	04/02/2002
 2,443,060
	 	Published	 	Maintain – no further submissions
		 		 		 		 		 	 Israel
 (PCT)
	 	N/A	 	04/02/2002
 158128
	 	—	 	N/A
		 		 		 		 		 	 Japan
 (PCT)
	 	N/A	 	04/02/2002
 2002-580,026
	 	11/4/2004
 2004-533,500
	 	N/A
										
	81633	 	Fitch, Even, Tabin & Flannery	 	Microarray Hybridization Device	 	 S. Hahn
 J. Steadman
 P. Tsinberg

T. Watanaskul
 Y.
Gerassi
	 	Hybridization Device	 	WO	 	N/A	 	11/03/2004

PCT/
US04/036475
	 	6/16/2005
 WO2005/053827
	 	N/A
		 		 		 		 		 	China (PCT)	 	N/A	 	5/22/2006
 200480034517.7
	 	12/20/2006
 CN1882382A
	 	Abandoned
		 		 		 		 		 	Hong Kong	 	N/A	 	6/5/2007
 07105921.6
	 	9/28/2007
 1100820
	 	Abandoned
		 		 		 		 		 	India (PCT)	 	N/A	 	09/21/2006

2316/CHENP/
2006
	 		 	Abandoned
		 		 		 		 		 	Japan (PCT)	 	N/A	 	11/7/2006
 2006-541216
	 	6/14/2007
 2007-515627
	 	Abandoned
		 		 		 		 		 	Korea (PCT)	 	N/A	 	6/22/2006
 7012472/2006
	 	Pending	 	Abandoned

  
 4 

																			
	 Attorney
Docket #
	  	Outside
Counsel	  	Title	  	Inventor(s)	  	Product	  	Country	 	Assign. Date/
Reel/Frame	  	 Date Filed/

Serial #
	  	Pub. Date/
Pub. #	  	 Date Issued/

Patent #

	 81665
	  	Fitch, Even,
Tabin &
Flannery	  	Detection of
Chromosomal Disorders	  	S. Hahn
 Z. Xie

T. Watanaskul
	  	Chromosomal
Disorder
Detection	  	US	 	10/4/2004

015217/0311
	  	 05/05/2004
 10/840,208
	  	11/10/2005

2005/0250111
	  	 12/23/2008
 US Patent #
 7,468,249

		  		  		  		  		  	WO	 	N/A	  	 04/18/2005
 PCT/US2005/013070
	  	11/24/2005
 WO2005/111237
	  	N/A
		  		  		  		  		  	China
 (PCT)
	 	N/A	  	 12/21/06
 200580020530.1
	  	6/13/2007
 CN1981052A
	  	—
		  		  		  		  		  	Hong
Kong	 	N/A	  	 11/6/07
 07112041.7
	  	3/14/08
 1,106,553
	  	—
		  		  		  		  		  	Europe
 (PCT)
	 	N/A	  	 12/4/2006
 05740274.4
	  	3/7/2007
 EP1759011
	  	—
		  		  		  		  		  	India
 (PCT)
	 	N/A	  	4473/CHENP/2006	  	Pending	  	—
		  		  		  		  		  	Japan
 (PCT)
	 	N/A	  	 11/6/2006
 2007-511389
	  	12/13/2007
 2007-535928
	  	—
		  		  		  		  		  	Korea
 (PCT)
	 	N/A	  	 12/1/2006
 7025434/2006
	  	Pending	  	—
										
	81671	  	Fitch, Even,
Tabin &
Flannery	  	Detection of STRP
Such as Fragile X
Syndrome	  	S. Hahn	  	Chromosomal
Disorder
Detection	  	US	 	4/21/2004

014538/0289
	  	 03/01/2004
 10/791,209
	  	9/1/2005

2005/0191636
	  	Abandoned
		  		  		  		  		  	WO	 	N/A	  	 02/28/2005
 PCT/US05/007049
	  	09/15/2005
 WO2005/085476
	  	N/A
		  		  		  		  		  	China
 (PCT)
	 	N/A	  	 08/31/2006
 200580006466.1
	  	03/23/2007
 CN1926247A
	  	—
		  		  		  		  		  	Hong
Kong	 	N/A	  	 6/26/2007
 07106812.6
	  	11/2/2007
 1,102,059
	  	—
		  		  		  		  		  	Europe
 (PCT)
	 	N/A	  	 09/21/2006
 05,724,566.4
	  	11/22/2006
 EP1723261
	  	—
		  		  		  		  		  	India
 (PCT)
	 	N/A	  	 2/28/2005
 3600/CHENP/2006
	  	Pending	  	—
		  		  		  		  		  	Japan
 (PCT)
	 	N/A	  	 01/16/2007
 501418993
	  	9/13/2007
 2007-525998
	  	—
		  		  		  		  		  	Korea
 (PCT)
	 	N/A	  	 10/2/2006
 7020635/2006
	  	Pending	  	—

  
 5 

																			
	 Attorney
Docket #
	  	Outside
Counsel	  	 Title
	  	Inventor(s)	  	Product	  	Country	 	Assign. Date/
Reel/Frame	  	Date Filed/
Serial #	  	Pub. Date/
Pub. #	  	Date Issued/
Patent #
	81672	  	Fitch, Even,
Tabin &
Flannery	  	Protein Microarrays	  	P. Tsinberg	  	Protein	  	US	 	11/18/2004

015391/0794
	  	8/17/2004

10/921,073
	  	2/23/06

2003/0040377
	  	N/A
		  		  		  		  		  	WO	 	N/A	  	8/9/2005

PCT/
US2005/028225
	  	3/2/2006
 WO2006/023324
	  	N/A
		  		  		  		  		  	China
(PCT)	 	N/A	  	2/12/2007
 200580027771.9
	  	Pending	  	No further
submissions
		  		  		  		  		  	Hong
Kong	 	N/A	  	3/26/2008
 08103346.7
	  	Pending	  	No further
submissions
		  		  		  		  		  	Europe
 (PCT)
	 	N/A	  	2/21/2007
 05,784,703.0
	  	5/2/2007
 1,779,114
	  	No further
submissions
		  		  		  		  		  	India
 (PCT)
	 	N/A	  	8/9/2005
 1108/CHENP/
2007
	  	Pending	  	No further
submissions
		  		  		  		  		  	Japan
 (PCT)
	 	N/A	  	4/19/2007
 2007-527867
	  	4/3/08
 2008-510165
	  	No further
submissions
		  		  		  		  		  	Korea
 (PCT)
	 	N/A	  	3/15/2007
 7006000/2007
	  	—	  	No further
submissions
										
	81673	  	Fitch, Even,
 Tabin &

Flannery
	  	 Microarrays Utilizing Hydrogels
	  	P. Tsinberg	  	Hydrogel	  	US	 	10/18/2004

0152561/0623
	  	8/19/2004

10/922,391
	  	2/23/06

2006/0040274
	  	No further
submissions
		  		  		  		  		  	WO	 	N/A	  	8/9/2005

PCT/
US2005/028224
	  	3/2/06
 WO2006/023323
	  	N/A
		  		  		  		  		  	China
(PCT)	 	N/A	  	2/25/2007
 200580028415.9
	  	9/26/07
 CN101044401

A
	  	No further
submissions
		  		  		  		  		  	Hong
Kong	 	N/A	  	3/26/2008
 08103349.4
	  	Pending	  	No further
submissions
		  		  		  		  		  	Europe
(PCT)	 	N/A	  	2/21/2007
 05,784,526.5
	  	5/2/2007
 1,779,113
	  	No further
submissions
		  		  		  		  		  	India
(PCT)	 	N/A	  	10/2007
 1144/CHENP/
2007
	  	Pending	  	No further
submissions
		  		  		  		  		  	Japan
(PCT)	 	N/A	  	2/19/2007
 2007-527866
	  	4/3/08
 2008-510164
	  	No further
submissions
		  		  		  		  		  	Korea
(PCT)	 	N/A	  	3/15/2007
 7006001/2007
	  	Pending	  	No further
submissions

  
 6 

																			
	 Attorney
Docket #
	  	Outside
Counsel	  	 Title
	  	Inventor(s)	  	Product	  	Country	 	Assign. Date/
Reel/Frame	  	Date Filed/
Serial #	  	Pub. Date/
Pub. #	  	Date Issued/
Patent #
	81674	  	Fitch, Even,
 Tabin &

Flannery
	  	 Alleviation of Non-Specific Binding in Microarray Assays
	  	Y. Gerassi

P. Tsinberg
	  	Protein	  	WO	 	N/A	  	8/11/2005

PCT/
US2005/028690
	  	3/2/2006
 WO2006/023383
	  	N/A
		  		  		  		  		  	China
(PCT)	 	N/A	  	2/25/2007
 200580028345.7
	  	8/29/2007
 CN101027559

A
	  	Abandoned
		  		  		  		  		  	Hong
Kong	 	N/A	  	11/23/2007
 07112786.6
	  	4/3/2008
 1,107,400
	  	Abandoned
		  		  		  		  		  	India
(PCT)	 	N/A	  	10/2007
 1142/CHENP/
2007
	  	Pending	  	Abandoned
		  		  		  		  		  	Japan
(PCT)	 	N/A	  	2/19/2007
 2007-527889
	  	4/3/08
 2008-510167
	  	Abandoned
		  		  		  		  		  	Korea
(PCT)	 	N/A	  	3/16/2007
 7006187/2007
	  	Pending	  	Abandoned
										
	81736	  	Fitch, Even,
 Tabin &

Flannery
	  	 mRNA Expression Analysis
	  	T. Pircher	  	Expression
Analysis	  	WO	 	N/A	  	06/21/2004

PCT/
US04/019559
	  	01/06/2005
 WO2005/001139
	  	N/A
		  		  		  		  		  	Japan
(PCT)	 	N/A	  	12/27/2005
 2006-517413
	  	11/29/2007
 2007-534298
	  	Abandoned
										
	81835	  	Fitch, Even,
 Tabin &

Flannery
	  	 3D Format Biochips and Method of Use (CIP 71726)
	  	T. Pircher	  	Cell
Separation	  	US	 	2/4/2005

015660/0316
	  	12/16/2004

11/015,459
	  	05/12/2005

2005/0100951
	  	N/A
										
	86357	  	Fitch, Even,
 Tabin &

Flannery
	  	 Methods and Gel Compositions for Encapsulating Living Cells and Organic Molecules (DIV of 72711)
	  	S. Hahn
 R. Fagnani

X. Dong

C. Edman

P. Tsinberg
	  	Hydrogel	  	US	 	N/A	  	02/01/2007

11/670,061
	  	6/21/2007

2007/0141164
	  	Response
to
Office
Action
Filed

  
 7 

																			
	 Attorney
 Docket #
	  	Outside
Counsel	  	 Title
	  	Inventor(s)	  	Product	  	Country	 	Assign. Date/
Reel/Frame	  	Date Filed/
Serial #	  	Pub. Date/
Pub. #	  	Date Issued/
Patent #
	 BIOE-001/ 00US
	  	Cooley LLP	  	Recovery of Rare Cells Using a Microchannel Apparatus with Patterned Posts (Foreign see 86213)	  	Z. Tang
 R. Bhatt

P. Tsinberg
	  	MEMs
Channel	  	US	 	3/11/2005

015884/0336
	  	1/18/2005

11/038,920
	  	7/20/2006

2006/0160243
	  	Response to
Office Action
filed
										
	 BIOE-001/ 01US
	  	Cooley LLP	  	Detection or Isolation of Target Molecules Using a Microchannel Apparatus (CONT. 81816)	  	Z. Tang
 R. Bhatt

P. Tsinberg
	  	MEMs
Channel	  	US	 	N/A	  	7/19/2006

11/458,668
	  	11/9/2006

2006/0252087
	  	Response to
Office Action
filed
										
	 BIOE-001/

01WO
	  		  		  		  		  	WO	 	N/A	  	7/18/2007

PCT/
US07/073817
	  	01/24/2008
 WO2008/011486
	  	N/A
										
	 BIOE-001/

03US
	  	Cooley LLP	  	Cell Separation Using Microchannel Having Patterned Posts (Incorps. 81816 & BIOE-001/02US)	  	P. Tsinberg
 Z. Tang

R. Bhatt
	  	MEMs
Channel	  	US
 (PCT)
	 	Pending	  	7/18/2007

11/814,276
	  	Pending	  	Pending Exam
Requested
										
	 BIOE-001/

03WO
	  		  		  		  		  	WO	 	N/A	  	1/5/2006

PCT/
US2006/000383
	  	07/27/2006
 WO2006/078470
	  	N/A
										
	 BIOE-001/ 03CN
	  		  		  		  		  	China
 (PCT)
	 	N/A	  	1/5/2006
 200680002401.4
	  	1/9/2008
 CN101102847

A
	  	—
										
	 BIOE-001/ 003EP
	  		  		  		  		  	Europe
 (PCT)
	 	N/A	  	5/31/2007
 06717562.0
	  	Pending	  	—
										
	 BIOE-001/ 03IN
	  		  		  		  		  	India
 (PCT)
	 	N/A	  	8/14/2007

2991/KOLNP/
2007
	  	Pending	  	—
										
	 BIOE-001/

03IL
	  		  		  		  		  	Israel
 (PCT)
	 	N/A	  	Preparing to File	  	—	  	—
										
	 BIOE-001/ 03JP
	  		  		  		  		  	Japan
 (PCT)
	 	N/A	  	Preparing to File	  	—	  	—
										
	 BIOE-001/ 03KR
	  		  		  		  		  	Korea
 (PCT)
	 	N/A	  	Preparing to File	  	—	  	—
										
	 BIOE-001/ 03TW
	  		  		  		  		  	Taiwan	 	N/A	  	5/2/2006
 95115566
	  	11/16/2007
 200742612
	  	Request for
Exam. Due
5/2/09

  
 8 

																			
	 Attorney
 Docket #
	 	 Outside
Counsel
	 	 Title
	 	 Inventor(s)
	 	 Product
	 	 Country
	 	 Assign. Date/

Reel/Frame
	 	 Date Filed/

Serial #
	 	 Pub. Date/

Pub. #
	 	 Date Issued/

Patent #

	 BIOE-002/ 00WO
	 	Cooley LLP	 	Isolation of Cells or the Like from Bodily Fluids (Beads)	 	 R. Bhatt
 P. Tsinberg
	 	Cell Separation	 	WO	 	N/A	 	 12/21/2005
 PCT/US2005/046961
	 	 7/6/2006
 WO2006/071824
	 	N/A –No National Filing
										
	 BIOE-002/ 00US
	 	Cooley LLP	 	Isolation of Cells or the Like from Bodily Fluids (Beads)	 	 R. Bhatt
 P. Tsinberg
	 	Cell Separation	 	US	 	 3/4/2005
 015838/0143
	 	 12/23/2004
 11/021,304
	 	 6/29/2006
 2006/0141045
	 	 Issue Fee Paid
 Awaiting Published

										
	 BIOE-003/ 00US
	 	Cooley LLP	 	Trophoblast Preservation/ Pretreatment Medium and Method	 	T. Pircher	 	Transport Medium	 	US	 	 4/24/2006
 017518/0416
	 	 3/22/2006
 11/277,218
	 	 9/27/2007
 2007/0224588
	 	Abandoned
										
	 BIOE-004/ 00US
	 	Cooley LLP	 	Isolating Fetal Trophoblasts (Mucus Dissolution)	 	 T. Pircher
 R. Fagnani
	 	Cell Separation	 	US	 	 5/1/2006
 017556/0667
	 	 3/23/2006
 11/277,288
	 	 9/27/2007
 2007/0224597
	 	Abandoned
	 BIOE-004/ 01WO
	 		 		 		 		 	WO	 	N/A	 	 3/22/2007
 PCT/US2007/64705
	 	 10/4/2007
 WO2007/112281
	 	N/A
										
	 BIOE-005/ 00US
	 	Cooley LLP	 	Device for Cell Separation and Analysis and Method of Using (covered)	 	 P. Tsinberg
 Z. Tang
	 	MEMs Channel	 	US	 	 2/6/2006
 017238/0401
	 	 01/12/2006
 11/331,988
	 	 7/12/2007
 2007/0161051
	 	Pending Published
										
	 BIOE-005/ 01WO
	 		 		 		 		 	WO	 	N/A	 	 1/12/2007
 PCT/US2007/060518
	 	 1/19/2007
 WO2007/082302
	 	N/A
										
	 BIOE-005/ 01CN
	 		 		 		 		 	China (PCT)	 	—	 	Preparing to File	 	—	 	—
										
	 BIOE-005/ 01EP
	 		 		 		 		 	Europe (PCT)	 	—	 	Preparing to File	 	—	 	—
										
	 BIOE-005/ 01JP
	 		 		 		 		 	Japan (PCT)	 	—	 	Preparing to File	 	—	 	—
										
	 BIOE-005/ 01IN
	 		 		 		 		 	India (PCT)	 	—	 	Preparing to File	 	—	 	—
										
	 BIOE-005/ 01KR
	 		 		 		 		 	Korea (PCT)	 	—	 	Preparing to File	 	—	 	—
										
	 BIOE-006/ 01US
	 	Cooley LLP	 	Enrichment of Circulating Fetal DNA (BAYLOR)	 	F. Bischoff	 	Cell Separation	 	US	 	 8/23/2007
 019739/0966
	 	 4/11/2007
 11/734,224
	 	 10/18/2007
 2007/0243549
	 	Abandoned
	 BIOE-006/ 01WO
	 		 		 		 		 	WO	 	N/A	 	 4/11/2007
 PCT/US2007/66475
	 	 10/25/2007
 WO2007/121276
	 	N/A

  
 9 

																			
	 Attorney
 Docket #
	 	 Outside
Counsel
	 	 Title
	 	 Inventor(s)
	 	 Product
	 	 Country
	 	 Assign. Date/

Reel/Frame
	 	 Date Filed/

Serial #
	 	 Pub. Date/

Pub. #
	 	 Date Issued/

Patent #

	 BIOE-006/

01CN
	 		 		 		 		 	China (PCT)	 	—	 	—	 	—	 	—
										
	 BIOE-006/

01EP
	 		 		 		 		 	Europe (PCT)	 	—	 	—	 	—	 	—
										
	 BIOE-006/

01JP
	 		 		 		 		 	Japan (PCT)	 	—	 	—	 	—	 	—
										
	 BIOE-006/

01IN
	 		 		 		 		 	India (PCT)	 	—	 	—	 	—	 	—
										
	 BIOE-006/

01KR
	 		 		 		 		 	Korea (PCT)	 	—	 	—	 	—	 	—
										
	 BIOE-

007/ 00US
	 	Cooley LLP	 	Identification and Isolation of Fetal Cells and Nucleic Acid (PROVISIONAL)	 	F. Bischoff	 	Cell Separation	 	US	 	—	 	 9/21/2007
 60/974,392
	 	N/A	 	Application Filed; 30-Month National Phase Deadline has passed
										
	 BIOE-

007/01 US
	 		 	Identification and Isolation of Fetal Cells and Nucleic Acids	 		 		 	US	 	09/22/2008	 	 09/21/2007
 12/235,540
	 	9/22/2008	 	
										
	 BIOE-

007/01 WO
	 		 	Identification and Isolation of Fetal Cells and Nucliec Acid	 		 		 	WO	 		 	 9/21/2007
 PCT US2008/077251
	 	 9/22/2008
 WO 2009/039507
	 	
										
	 BIOE-

007/01 AU
	 		 		 		 		 	AU	 	—	 	—	 	—	 	—
										
	 BIOE-

007/01 BR
	 		 		 		 		 	BR	 	—	 	—	 	—	 	—
										
	 BIOE-

007/01 CA
	 		 		 		 		 	CA	 		 		 		 	
										
	 BIOE-

007/01 CN
	 		 		 		 		 	CN	 	—	 	—	 	—	 	—
										
	 BIOE-

007/01 EG
	 		 		 		 		 	EG	 	—	 	PCT445/2010	 	—	 	—

  
 10 

																			
	 Attorney
 Docket #
	 	 Outside
Counsel
	 	 Title
	 	 Inventor(s)
	 	 Product
	 	 Country
	 	 Assign. Date/

Reel/Frame
	 	 Date Filed/

Serial #
	 	 Pub. Date/

Pub. #
	 	 Date Issued/

Patent #

	 BIOE-

007/01 EP
	 		 		 		 		 	EP	 	—	 	—	 	—	 	—
										
	 BIOE-

007/01 IL
	 		 		 		 		 	IL	 	—	 	—	 	—	 	—
										
	 BIOE-

007/01 JP
	 		 		 		 		 	JP	 	—	 	—	 	—	 	—
										
	 BIOE-

007/01 KR
	 		 		 		 		 	KR	 	—	 	—	 	—	 	—
										
	 BIOE-

007/01 MX
	 		 		 		 		 	MX	 	—	 	—	 	—	 	—
										
	 BIOE-

007/01 NZ
	 		 		 		 		 	NZ	 	—	 	—	 	—	 	—
										
	 BIOE-

007/01 UA
	 		 		 		 		 	UA	 	—	 	—	 	—	 	—
										
	 BIOE-

007/01 ZA
	 		 		 		 		 	ZA	 	—	 	—	 	—	 	—
										
	 BIOE-

007/02US
	 		 	Identification and Isolation of Fetal Cells and Nucleic Acids	 		 		 	US	 	—  	 	 Priority Date 9/21/07
 12/725,331
	 	03/06/2010	 	—  

  
 11 

																			
	 Attorney
Docket #
	  	Outside
Counsel	  	 Title
	  	Inventor(s)	  	Product	  	Country	  	Assign.
Date/
Reel/Frame	  	Date Filed/
Serial #	  	Pub. Date/
Pub. #	  	Date Issued/
Patent #
	 BIOE-

009/ 00US
	  	Cooley LLP	  	Non-Invasive Prenatal Genetic Screen	  	R. Bhatt
 W. Fan

R. Tim

F. Bischoff
	  	Cell
Separation	  	US	  	020377/0504	  	12/7/2007

11/952,459
	  	Converted
to PCT
and US	  	Application Filed
 National
Phase
Due 6/7/2009

										
	 BIOE-

009/ 01US
	  		  	Non-Invasive Prenatal Genetic Screen	  		  		  	US	  		  	12/07/2006

US 20080176237
	  		  	
										
	 BIOE-

009/01WO
	  		  		  		  		  	WO	  	—	  	Priority Date:
 12/07/2006

PCT/US2007/86862
	  	—	  	N/A
										
	 BIOE-

009/01EP
	  		  		  		  		  	EP	  		  	Priority Date:
 12/07/2006

EP2140027

EP 07869055.9
	  	10/23/2009	  	
										
	 BIOE-

010/ 01US
	  	Cooley LLP	  	Non-Invasive Detection of Endometrial Cancer (Priority date of 5/2/07)	  	H. Radisch
 Q. Le
	  	Cell
Separation	  	US	  	Pending	  	05/02/2008

12/114,584
	  	—	  	Application Filed

Abandoned

										
		  		  		  		  		  	WO	  	—	  	5/1/2008
 PCT/US2008/062286
	  	—	  	N/A
										
	 BIOE-

013/ 00US
	  	Cooley LLP	  	 In-Situ
 Hybridization to
Detect RNA and DNA Markers
 (PROVISIONAL)
	  	R. Bhatt
 W. Fan

R. Tim
	  	Cell
Separation	  	US	  	01/04/2008

020319/0009
	  	8/3/2007

60/953,812
	  	N/A	  	National Phase
Due 2/3/2010
										
	 BIOE-

013/ 01US
	  		  	In-Situ Hybridization to Detect RNA and DNA Markers	  		  		  	US	  	2/02/10	  	8/03/2007

12/671,902
	  	8/03/2007	  	
										
	 BIOE-

013/01 WO
	  		  		  		  		  	WO	  		  	Priority Date

8/03/2007

PCT/US2008/072143
	  	8/04/2008	  	
										
		  		  		  		  		  	AU	  		  	2008284024	  	8/04/2008	  	
										
		  		  		  		  		  	BR	  		  	Priority Date

8/03/2007
	  	8/04/2008	  	

  
 12 

																			
	 Attorney
 Docket #
	  	Outside
Counsel	  	 Title
	  	Inventor(s)	  	Product	  	Country	  	Assign. Date/
Reel/Frame	  	Date Filed/
Serial #	  	Pub. Date/
Pub. #	  	Date Issued/
Patent #
		  		  		  		  		  	CA	  		  	Priority Date
 8/03/2007
	  	8/04/2008	  	
		  		  		  		  		  	CN	  		  	Priority Date
 8/03/2007
	  	8/04/2008	  	
		  		  		  		  		  	EG	  		  	Priority Date
 8/03/2007

PCT173/2010
	  	8/04/2008	  	
		  		  		  		  		  	EP	  		  	Priority Date
 8/03/2007

08797146.1
	  	8/04/2008	  	
		  		  		  		  		  	IL	  		  	Priority Date
 8/03/2007

203673
	  	8/04/2008	  	
		  		  		  		  		  	JP	  		  	Priority Date
 8/03/2007
	  	8/04/2008	  	
		  		  		  		  		  	KR	  		  	Priority Date
 8/03/2007

10-2010-7004769
	  	8/04/2008	  	
		  		  		  		  		  	MX	  		  	Priority Date
 8/03/2007
	  	8/04/2008	  	
		  		  		  		  		  	NZ	  		  	Priority Date
 8/03/2007

583365
	  	8/04/2008	  	
		  		  		  		  		  	UA	  		  	Priority Date
 8/03/2007
	  	8/04/2008	  	
		  		  		  		  		  	ZA	  		  	Priority Date
 8/03/2007

2010/00836
	  	8/04/2008	  	

  
 13 

																			
	 Attorney
 Docket #
	  	Outside
Counsel	  	 Title
	  	Inventor(s)	  	Product	  	Country	  	Assign. Date/
Reel/Frame	  	Date Filed/
Serial #	  	Pub. Date/
Pub. #	  	Date Issued/
Patent #
	 BIOE-014/

00US
	  	Cooley LLP	  	 Non-Invasive Isolation of Fetal

Nucleic Acid (Partial Lysis) (PROVISIONAL)
	  	R. Bhatt
 K. Kosco

I. Postor
 W.
Fan
	  	Cell
Separation	  	US	  	—	  	11/1/2007

60/984,698
	  	N/A	  	Application
Filed
										
	 BIOE-

014/01WO
	  		  	Non-Invasive Isolation of Fetal Nucleic Acid (Partial Lysis) (PROVISIONAL)	  		  		  	WO	  		  	11/01/2007

PCT/
US2008/81780
	  	10/30/2008

WO
2009/058997
	  	
										
	 BIOE-0015/

00US
	  	Cooley LLP	  	 Method for Isolating Cell Free Apoptotic or Fetal Nucleic Acids
 (PROVISIONAL)
	  	R. Bhatt
 W. Fan
	  	Cell
Separation	  	US	  	6/9/2008

021068/0429
	  	2/12/2008

61/028,064
	  	N/A	  	Application
Filed
										
	 BIOE-

015/01 WO
	  		  		  		  		  		  		  		  	02/06/2009

WO
2009/102632
	  	
										
	 BIOE-0016/

00US
	  	Cooley LLP	  	 Device Utilizing Electric Field and Size Cut-Off for the Separation of Changed Species (Electrophoresis)

(PROVISIONAL)
	  	Z. Tang	  	Cell
Separation	  	US	  	5/19/2008

020968/0447
	  	4/7/2008

61/043,028
	  	N/A	  	Application
 Filed

Abandoned

										
	 BIOE-0017/

00US
	  		  	Non-Invasive Fetal RhD Genotyping from Maternal Whole Blood	  		  		  	US	  		  	7/18/08

61/082,169
	  		  	
										
	 BIOE-0017/

01WO
	  		  	Non-Invasive Fetal RhD Genotyping from Maternal Whole Blood	  		  		  		  		  	Priority date

7/18/2008

PCT/
US2009/51061
	  	7/17/2009

WO
2010/009440
	  	
										
	 BIOE-018/ 00US
	  	Cooley LLP	  	Two-Stage Enrichment of Cell Free Fetal DNA in Maternal Plasma (PROVISIONAL)	  	F.
Bischoff	  	Cell
Separation	  	US	  	—	  	1/30/2008

61/024,872
	  	N/A	  	Application
Filed

  
 14 

																			
	 Attorney
Docket #
	 	Outside
Counsel	 	 Title
	 	Inventor(s)	 	Product	 	Country	 	Assign. Date/
Reel/Frame	 	Date Filed/
Serial #	 	Pub. Date/
Pub. #	 	 Date
Issued/

Patent #

										
	BIOE-018/
01WO	 		 	Two-Stage Enrichment of Cell Free Fetal DNA in Maternal Plasma (PROVISIONAL)	 		 		 	WO	 		 	Priority Date
1/30/2008
PCT/
US2009/32614
	 	1/30/2009

WO
2009/097511
	 	
										
	BIOE-
021/00US	 		 	Use of Anti-Embryonic Hemoglobin Antibodies to Identify Fetal Cells	 		 		 	US	 		 	10/21/96	 		 	 3/24/98
 US Patent # 5,731,156

										
	BIOE-
021/01US	 		 	Use of Anti-Embryonic Hemoglobin Antibodies to Identify Fetal Cells	 		 		 	US	 		 	10/21/96	 		 	 10/01/99
 US Patent # 5,962,234

										
	BIOE-
021/01EP	 		 	Use of Anti-Embryonic Hemoglobin Antibodies to Identify Fetal Cells	 		 		 	EP	 		 	10/21/96	 	EP 1007965 B1	 	
										
	BIOE-
021/01DE	 		 		 		 		 	DE	 		 	10/21/96	 	EP 1007965 B1	 	
										
	BIOE-
021/01FR	 		 		 		 		 	FR	 		 	10/21/96	 	EP 1007965 B1	 	
										
	BIOE-
021/01GB	 		 		 		 		 	GB	 		 	10/21/96	 	EP 1007965 B1	 	
										
	BIOE-
021/01CH	 		 		 		 		 	CH	 		 	10/21/96	 	EP 1007965 B1	 	

  
 15 

 Pending Drafts: 
  

													
	 Attorney
Docket #
	  	Outside
Counsel	  	 Title
	  	Inventor(s)	  	Product	  	Country	  	Status
	BIOE-012/
00US	  	Cooley LLP	  	Collection, Separation, Purification and Testing of Trophoblasts	  	T. Pircher	  	Cell Separation	  	US	  	Abandoned
							
	BIOE-011/
 00US
	  	Cooley LLP	  	Method and Kit for Cell Separation (Double-Sided Slide)	  	R. Bhatt	  	Cell Separation	  	US	  	Abandon

  
 16 

 Registered Trademarks: 

 

											
	 Outside Counsel
	  	 Mark
	  	Int’l Class(es)	  	Registry	  	Date Filed/
Serial #	  	Date Registered/
Registration
#
	
	US
						
	Cooley LLP	  	Biocept®	  	9	  	Principal	  	03/22/2002
 78/116,876
	  	08/31/2004
 2,880,222

						
	Cooley LLP	  	Biocept Laboratories®	  	9/42	  	Principal	  	05/04/2004
 78/412,723
	  	10/17/2006
 3,159,956

						
	Cooley LLP	  	CEE®	  	44	  	Principal	  	06/10/2005
 78/648,645
	  	10/30/2007
 3,326,287

						
	Cooley LLP	  	ChipCalc®	  	9	  	Principal	  	12/15/2003
 78/341,146
	  	09/20/2005
 2,999,101

						
	Cooley LLP	  	HydroArray®	  	1/9	  	Principal	  	08/01/2003
 78/282,032
	  	03/22/2005
 2,934,749

						
	Cooley LLP	  	3D HydroArray®	  	1/9	  	Principal	  	09/12/2003
 78/299,957
	  	09/27/2005
 3,000,775

						
	Cooley LLP	  	Engineering new directions in diagnosticsTM	  	42/44	  	Principal	  	5/27/2008	  	07/01/08
 3,458,860

	
	European Community (CTM)
						
	Cooley LLP	  	preCEEd®	  	9/42	  	N/A	  	11/16/2005
 4724101
	  	11/16/2006
 4724101

	
	Japan
						
	Cooley LLP	  	preCEEd®	  	9/44	  	N/A	  	11/11/2005

2005-106514
	  	05/11/2007
 5046520

  
 17

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