Document:

EX-10.5

Exhibit 10.5 to the Registration Statement

CERTAIN
CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY
ASTERISKS, HAS BEEN OMITTED AND FILED SEPARATELY WITH THE SECURITIES
AND EXCHANGE COMMISSION PURSUANT TO RULE 406 UNDER THE SECURITIES ACT
OF 1933, AS AMENDED.

EXCLUSIVE

LICENSE AGREEMENT

     THIS EXCLUSIVE LICENSE AGREEMENT is made and entered into this ___day of December
1996 between THE UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL having an address at CB # 4105, 308
Bynum Hall, Chapel Hill, N.C. 27599-4105 (hereinafter referred to as “University”) and Xanthon,
Inc., a corporation organized and existing under the laws of Delaware and having an address at c/o
Intersouth Partners, 1000 Park Forty Plaza, Suite 290, Research Triangle Park, North Carolina 27709
(hereinafter referred to as “Licensee”).

WITNESSETH

WHEREAS, University owns and controls the inventions described in U.S. Patent Application Serial
No. 08/495,8I7; Filed 27 June 1995; entitled

ELECTROCHEMICAL
DETECTION OF DNA HYBRIDIZATION, University file *,

Provisional Application filed 19 April 1996 entitled ELECTROCHEMICAL DETECTION OF NUCLEIC
ACID HYBRIDIZATION; University files *, and

Continuation-in-part Application filed 20 June 1996 entitled: ELECTROCHEMICAL DETECTION OF
NUCLEIC ACID HYBRIDIZATION; University files * (collectively the
“Inventions”); and

     WHEREAS, the Inventions were developed by Drs. Holden Thorp, Dean Johnston, Mark Sistare, J.
Kim, Mary Napier of the University and Dr. Carson Loomis (collectively the “Inventors”);

     WHEREAS, Licensee is desirous of producing, using and selling products which include the use
of the Inventions and is willing to expend best efforts to do so if it can obtain a license to use
the Inventions under the terms and conditions set forth herein; and

     WHEREAS, University desires to facilitate a timely transfer of its information and technology
concerning the Inventions for the ultimate benefit of the public and this transfer is best
accomplished by the grant of this license; and

     WHEREAS, in the opinion of the University, this transfer can best be accomplished consistent
with its mission by affiliation with Licensee;

     NOW THEREFORE, for and in consideration of the covenants, conditions, and undertakings
hereinafter set forth, it is agreed by and between the, parties as follows.

 

 

1. Definitions

          1.1. “University Technology” means any unpublished research and development information,
unpatented inventions, discoveries, and technical data (i) which relate to and are necessary for
the practice of the Inventions or any New Licensed Technology; and (ii) are in the possession of
Dr. Holden Thorp and the University prior to the effective date of this Agreement or are conceived
or reduced to practice or come into the possession of Dr. Thorp and the University during the term
of this Agreement; and (iii) which University has the right to provide to Licensee.

          1.2. “Licensed Products” means any service, method, procedure, product, or component part
thereof whose manufacture, sale, or use includes any use of University Technology or is covered by
the Patent Rights.

          1.3. “Patent Rights” means any unexpired U.S. patents and/or pending patent applications
covering the Inventions or any New Licensed Technology owned or controlled by University during the
term of this Agreement and which University has the right to provide to Licensee, as well as any
additions, continuations, continuations-in-part, divisions, extensions, reissues, renewals or
substitutions of such patents and/or pending patent applications, and any foreign counterpart of
any of the foregoing.

          1.4. “Net Sales Price” means the invoiced sales price, less (a) trade, quantity and cash
discounts or rebates actually allowed, (b) credits or allowances actually given for rejections or
returns, (c) any charges for sales, use, value added or excise taxes and tariffs or duties and any
other governmental charges paid or allowed by a selling party and imposed upon the production,
importation, use or sale of Licensed Products, or other taxes separately stated on the invoice and
(d) freight, shipping, insurance or other costs of transportation.

     In the event any Licensed Product is sold as a component. of a combination of
functional elements, Net Sales Price for purposes of determining royalty payments on such
combination shall be calculated by *. In the event that there is no separate sale
of such above designated Licensed Product or other element of the combination during the accounting
period in which the sale of the combination was made, Net Sales Price
shall be calculated by *.

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          1.5. “Net Sales” means the total Net Sales Price of Licensed Products. Licensed Products will
be considered sold when billed out, or when delivered or paid for, whichever first occurs.

          1.6. “Licensed Territory” means the entire world.

          1.7. “New Licensed Technology” shall have the meaning set forth in Section 8(b) of the
Sponsored Research Agreement.

          1.8. “Sponsored Research Agreement” means the sponsored research agreement attached as
Exhibit A.

2. Grant of License and Term

          2.1. University grants to Licensee to the extent of the Licensed Territory, an exclusive
license (with the right to grant sublicenses) under the Patent Rights and under University
Technology to make, have made, use and sell and have sold License Products, upon the terms and
Conditions set forth herein and to practice, use and exploit the University Technology and Patent
Rights.

          2.2. Any license granted herein is for the term beginning on the date of execution of this
Agreement and, unless terminated sooner as herein provided, ending at the expiration of the last to
expire patent included in the Patent Rights, or if no patents issue from said Patent Rights, such
license shall terminate 15 years from the date of its commencement or, in the case of New Licensed
Technology, 15 years from the date on which it becomes licensed pursuant to Section 8 of the
Sponsored Research Agreement.

          2.3. University, through Dr. Holden Thorp, shall promptly disclose to Licensee the University
Technology and provide Licensee with copies of the physical embodiments thereof. Dr. Holden Thorp,
while a University employee, shall provide reasonable assistance in understanding and implementing
the University Technology. Licensee shall not disclose any unpublished University Technology and
patent applications included in the Patent Rights furnished by University pursuant to Paragraph 2.1
above to third parties during the term of this Agreement or any time thereafter, provided, however,
that disclosure may be made of any such patent application or University Technology at any time:
(I) with prior written consent of University; (2) after the same shall have become known publicly
through no fault of Licensee; (3) as demonstrated by documentary evidence, if the same was
independently developed or discovered by Licensee prior to the time of its disclosure; (4) if the
same is or was disclosed to Licensee at any time, whether prior to or after the time of its
disclosure under this Agreement, by a third party having no fiduciary relationship with University
or having no obligation of confidentiality with respect to such patent application and University
Technology; or (5) if the same is required to be disclosed to comply with applicable laws or
governmental regulations, provided the University receives prior written notice of such disclosure and that Licensee takes
all reasonable and lawful actions to minimize the extent of such disclosure and if possible, to
possible, to avoid such disclosure. The Confidential Disclosure Agreement between University

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and Licensee, executed
on March 27, 1996, is terminated as of the effective date of this License Agreement.

          2.4. Notwithstanding the foregoing, any and all licenses granted hereunder are subject to the
rights of the United States Government which arise out of its sponsorship of the research which led
to the Inventions or any New Licensed Technology, none of which existed upon execution hereof to
the best knowledge of the University.

3. License Fee, Payments, and Royalties

          3.1. (a) In consideration of the license granted under Section 2.1 of this Agreement, Licensee
shall issue, to the University * shares of Licensee’s common
stock, par value *, which shall equal * of Licensee’s total shares issued before capitalization.
The capitalization of the Licensee as of the date hereof is reflected on Exhibit B.

          (b) Licensee will also reimburse the University for properly documented past and future costs
(including attorney’s fees) arising out of the patenting of the Inventions and New Licensed
Technology pursuant to Article 10 of this Agreement. Such reimbursements shall be due within
thirty (30) days of receipt of bills from University.

          3.2. Beginning on the date of the first commercial sale of Licensed Product and continuing for
the life of this Agreement, Licensee will pay University a running royalty on all Net Sales of the
Licensed Product(s) that are sold by Licenses as follows:

	 	 	 	 	 
	Year *:
	 	 	*	
	Year *:
	 	 	*	
	Year *:
	 	 	*	
	Year *:
	 	 	*	
	All subsequent years:
	 	 	*	

          3.3. After the first commercial sale of a Licensed Product by Licensee or a sub-licensee,
Licensee agrees to make quarterly written reports to University within thirty (30) days after the
first day of each January, April, July, and October during the term of this Agreement and as of
such dates, stating in each report the number, description, and aggregate Net Selling Prices of
Licensed Products sold or otherwise disposed of during the preceding three calendar months and upon
which royalty is payable as provided in Article 3.2 or 5.3 hereof. The first such report shall
include all such Licensed Products so sold or otherwise disposed of prior to the date of such
report. Until Licensee or sublicensee has achieved a first commercial sale of a Licensed Product a
report shall be submitted by Licensee at the end of each January, April, July and October after the
effective date of this Agreement and will include a full written report
describing Licensees and/or sublicensee’s technical and other efforts towards such first
commercial sale for all fields of use under development.

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          3.4. Concurrently with the making of each report, Licensee shall pay to the University
royalties at the rate specified in Article 3.2 and Article 5.3 of this Agreement on the Net Sales
of Licensed Products reported therein.

          3.5. In the event of default in payment of any payment owing to University under the terms of
this Agreement, and if it becomes necessary for the University to undertake legal action to collect
said payment, Licensee shall pay all properly documented legal fees and costs incurred by
University in connection therewith.

          3.6. In the event that Licensee is legally required to pay royalties to one or more third
parties under patents other than the Patent Rights in order to make, use or sell a Licensed
Product, then the running royalties described in Section 3.2 as to sales of that Licensed Product
will be reduced to *.

4. Diligence Requirements

          4.1. Licensee shall use its best efforts to proceed diligently with the development,
manufacture and sale of Licensed Products and after the commercialization thereof shall earnestly
and diligently offer and continue to offer for sale such Licensed Products both under reasonable
market conditions for the useful life of such Licensed Products, during the term of this Agreement.

5. Sublicenses

          5.1. Subject to this Article, Licensee may grant sublicenses under its rights under section
2.1 above provided that each sublicense contains a provision that such sublicense and the rights
thereby granted are personal to the sublicensee thereunder and such sublicense cannot be further
sublicensed.

          5.2. Any sublicense granted pursuant to this Article shall be in accordance with the terms and
conditions of this Agreement. Licensee shall provide University with a copy of all sublicense
agreements within thirty (30) days of execution.

          5.3. Beginning on the effective date of this Agreement and continuing for the life of this
Agreement, Licensee will pay University a percentage of sublicensee royalties to Licensee as
follows:

	 	 	 	 	 
	Year *:
	 	 	*	%
	Year *:
	 	 	*	%
	Year *:
	 	 	*	%
	All subsequent years:
	 	 	*	%

     If non-monetary consideration is so received, then a commercially reasonable monetary value
will be assigned for purposes of calculating University’s share of sublicense royalty income.
Subject to the provisions of paragraphs 5.4 and 5.5, Licensee shall retain the entirety of

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all other payments received from such sublicensees, including without limitation research and
development payments.

          5.4. Beginning on the effective date of this Agreement and continuing for the life of this
Agreement, Licensee will pay University * of any fully paid license fees received
by Licensee for the grant of perpetual, non-royalty bearing sublicensees, said payment to be made
by Licensee to University within thirty (30) days of Licensee’s receipt of a fully paid license
fee.

          5.5. Beginning on the effective date of this Agreement and continuing for the life of this
Agreement, Licensee will pay University * of any “up-front” license fees received
by Licensee for the grant of royalty bearing sublicenses, and thereafter Licensee will pay
University the percentages of sublicense royalties to Licensee, as provided in Section 5.3 hereof,
said payment to be made by Licensee to University within thirty (30) days of Licensee’s receipt of
an up front license fee.

6. Termination

          6.1. It is expressly agreed that, notwithstanding the provisions of any other paragraph of
this contract, if Licensee should fail to deliver to University any payment at the time or times
that the same should be due to University or if Licensee should in any respect violate or fail to
keep or perform any material covenant, condition, or undertaking of this Agreement on its part to
be kept or performed hereunder, then and in such event University shall have the right to cancel
and terminate its Agreement, and the license herein provided for, by written notice to Licensee if
Licensee has failed to cure any such breach within forty-five (45) days of receipt of written
notice of University describing such breach; provided, however, that the University shall not be
entitled to terminate the Agreement as long as Licensee is using reasonable efforts to attempt to
cure any such breach. In determining whether the University has the right to declare a breach of
this Agreement, all of the circumstances of the breach shall be considered, including the extent to
which Licensee has performed its obligations and the hardship to Licensee of a termination.

          6.2. Alternatively, should Licensee be in breach or default as set forth above, and if
Licensee’s right to cure such breach or default shall have lapsed, should University be in a
position where it could rightfully terminate this Agreement, than in its sole discretion,
University may convert this exclusive license to a nonexclusive license upon giving notice of such
decision to Licensee.

          6.3. If Licensee should be adjudged bankrupt or enter into an assignment for the benefit of
its creditors because of inability timely to pay its bills as they become due, then in such event
University shall have the right to cancel or terminate this Agreement, and the license herein
provided for, by written notice to Licensee.

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          6.4. Any termination or cancellation under any provision of this Agreement shall not relieve
Licensee of its obligation to pay any royalty or other fees (including attorney’s fees pursuant to
Article 3.1 hereof) due or owing at the time of such cancellation or termination.

7. Disposition of Licensed Products On Hand Upon Cancellation or Termination

          7.1. Upon cancellation of this Agreement or upon termination in whole or in part, Licensee shall
provide University with a written inventory of all University Technology and Licensed Products in
process of manufacture, in use or in stock. Except with respect to termination pursuant to
paragraph 6.1 , Licensee shall have the privilege of disposing of the
inventory of such Licensed Products within a period of one hundred and eighty (180) days of
such termination upon conditions most favorable to University that Licensee can reasonably obtain.
Licensee will also have the right to complete performance of all contracts requiring use of the
University, Technology, Patent Rights (except in the case of termination pursuant to
Paragraph 6.1) or Licensed Products within and beyond said 180-day period provided that the
remaining term of any such contract does not exceed one year.

8. Use of University’s Name

          8.1. The use of the name of University, or any contraction thereof, or the names of University
Inventors in any manner in connection with the exercise of this license is expressly prohibited
except with prior written consent of University.

          8.2. The foregoing paragraph 8.1 notwithstanding, Licensee shall have the right to identify
the University as the Licensor and to disclose the terms of this Agreement to prospective
investors, sublicensees, investment bankers, regulatory authorities, in connection with its
financing, regulatory, development and stockholder relations activities or that it may deem to be
required in any prospectus, offering memorandum, or other document or filing prepared in connection
with Licensee compliance obligations under applicable securities laws or other applicable law or
regulation; provided, that Licensee uses the following language, or a reasonable approximation
thereof: (1) “...based upon inventions licensed from the University of North Carolina at Chapel
Hill;” or (2) “...based upon research conducted at the University of North Carolina at Chapel
Hill.” Otherwise Licensee shall have given University at least five (5) days prior written notice
of the proposed text of any such identification or disclosure for the purpose of giving University
the opportunity to comment on such proposed text.

9. University Use

          9.1. It is expressly agreed that, notwithstanding any provisions herein, Licensor is free to
make non-commercial use of University Technology, New Licensed Technology, Patent Rights and
Licensed Products for its own internal, not for profit research, teaching and educational purposes
without payment of royalties. Furthermore Licensor reserves, on behalf of the Principal
Investigator and other Licensor employees and/or students, the right to disseminate or publish
University Technology; provided, however, Licensor shall make no such disclosure unless Licensor
shall have provided Licensee with a copy of any proposed publication

7

 

thirty (30) days in advance of the submission by Licensor or any author to a third party of
any written materials intended for publication. If the proposed disclosure contains Licensee’s
confidential information, Licensor shall remove or cause the author to remove such Licensee
confidential information prior to submission for publication or other public disclosure. Licensee
may request, and Licensor shall agree to, or shall cause the author to agree to, a delay of such
proposed submission for publication for an additional period, not to exceed forty-five (45) days,
in order to protect the potential patentability of any invention described therein by having
Licensor or Licensee prepare and file a patent application. It is specifically agreed that nothing
contained in this Agreement will interfere with the publication or oral defense of research theses
and dissertations of graduate students.

10. Patents and Infringements

          10.1. Licensee shall reimburse University for properly documented past and future costs of
preparation, filing, prosecuting and maintaining patent applications and patents relating to
Inventions and included within Patent Rights. Such filings and prosecution shall be by counsel of
University’s choosing who shall be reasonably acceptable to Licensee. University shall keep
Licensee advised as to the prosecution of such applications by forwarding to Licensee copies of all
official correspondence, (including, but not limited to, Applications, Office Actions, responses,
etc.) relating thereto. Licensee shall have the right to advise University as to such prosecution,
and further, shall have the right to make reasonable requests as to the conduct of such
prosecution.

          10.2. As regards filing of foreign patent applications and maintenance of issued patents
corresponding to the U.S. applications described in Paragraph 10.1 above, Licensee shall designate
that country or those countries, if any, in which Licensee desires such corresponding patent
application(s) to be filed. Such designation shall be made within 9 months of filing of each U.S.
patent application, or for U.S. or international patent applications pending at execution of this
Agreement, within sixty days of execution of this Agreement. Licensee shall pay properly
documented costs and legal fees associated with the preparation and filing of such designated
foreign patent application and maintenance of issued patents, and such application shall be in the
University’s name and by counsel of the University’s choosing and reasonably acceptable to
Licensee. University may elect to file corresponding patent applications in countries other than
those designated by Licensee, but in that event University shall be responsible for all costs
associated with such non-designated filings. In such event Licensee shall forfeit its rights under
this license in the country or countries where University exercises its option to file such
corresponding patent applications and University shall be free to license to third parties.

          10.3. If the production, sale or use of Licensed products under this Agreement by Licensee
results in any claim for patent infringement against Licensee, Licensee shall promptly notify the
University thereof in writing, setting forth the facts of such claim in reasonable detail. As
between the parties to this Agreement, Licensee shall have the first and primary right and
responsibility at its own expense to defend and control the defense of any such

8

 

claim against Licensee, by counsel of its own choice. It is understood that any settlement of
such actions must be approved by University, such approval not to be unreasonably withheld;
provided that Licensee may settle such actions without University’s consent if such settlement
contains a complete release of all liability on the part of University and if all costs of such
settlement are borne by Licensee. Inventors and University agree to cooperate with Licensee in any
reasonable manner deemed by Licensee to be necessary in defending any such action. Licensee shall
reimburse University for any out of pocket expenses incurred in providing such assistance.

          10.4. If an action is brought against Licensee as described in Section 10.3, Licensee may
offset the royalty paid to University in each quarterly royalty
period by * of
the amount of expenses incurred by Licensee in that royalty period as a result of such action, said
expenses to include costs, attorney’s fees, judgments, and all other expenses incident to the
infringement action, to a maximum of * of the amount otherwise payable to
University in that royalty period. Expenses in excess of the amounts due in any royalty period may
be carried over to subsequent royalty periods.

          10.5. In the event that any Patent Rights licensed to Licensee are infringed by a third party,
Licensee shall have the primary right, but not the obligation, to institute, prosecute and control
any action or proceeding with respect to such infringement, by counsel of its choice, including any
declaratory judgment action arising from such infringement. University agrees to cooperate with
Licensee in any reasonable manner deemed by Licensee to be necessary in defending any such action,
including joining such action if the University is an indispensable party, provided that Licensee
shall reimburse University of its out-of-pocket expenses incurred in providing such assistance.
Any damages, royalties, settlement fees, recovery, reimbursement or other consideration awarded to
and/or collected by Licensee (hereinafter “Recovery”) shall, after deduction of Licensee’s fees and
expenses incurred in connection with such litigation, be deemed to reflect loss of income from
sales of Licensed Products, and Licensee shall pay royalties to University on such loss of income
at the rate provided for in Article 5.3 of this Agreement.

          10.6. Notwithstanding the foregoing, and in University’s sole discretion, University shall be
entitled, at its own cost and expense, to participate through counsel of its own choosing in any
legal action involving the Inventions. Nothing in the foregoing sections shall be construed in any
way which would limit the authority of the Attorney General of North Carolina.

11. Waiver

          11.1. It is agreed that no waiver by either party hereto of any breach or default of any of
the covenants or agreements herein set forth shall be deemed a waiver as to any subsequent and/or
similar breach or default.

12. License Restrictions

          12.1. It is agreed that the rights and privileges granted to Licensee are each and all
expressly conditioned upon the faithful performance on the part of the Licensee of every

9

 

requirement herein contained, and that each of such conditions and requirements may be and the
same are specific license restrictions.

13. Assignments

          13.1. This Agreement is binding upon and shall inure to the benefit of the University, its
successors and assigns. This Agreement shall not be assignable or otherwise transferable by either
party without the prior written consent of the other, which consent shall not be unreasonably
withheld; provided, however, Licensee may assign or otherwise transfer its rights under this
Agreement to the following parties without obtaining consent: (a) a successor to Licensee’s
business, by sale, exchange, transfer, merger or consolidation or a successor to that portion of
Licensee’s business that pertains to the subject matter of the Patent Rights or any University
Technology, and (b) any entity or entities controlled by, controlling or under common control with
Licensee.

14. Indemnity

          14.1. Licensee agrees to indemnify, hold harmless and defend University, its officers,
employees, and agents, against any and all claims, suits, losses, damage, cost, fees, and expenses
asserted by third parties, both government and private, resulting from or arising out of the
exercise of this license to the extent caused by the act or omission of Licensee.

15. Insurance

          15.1. Licensee is required to maintain in force at its sole cost and expense, with reputable
insurance companies, general liability insurance and product liability insurance coverage (or, at
Licensee’s election, product liability self-insurance coverage) in an amount reasonably sufficient
to protect against liability under paragraph 14 above. The University shall have the right to
ascertain from time to time that such coverage exists, such right to be exercised in a reasonable,
manner.

16. Independent Contractor Status

          16.1. Neither party hereto is an agent of the other for any purpose.

17. Late Payments

          17.1. In the event royalty payments or fees or reimbursements are not received by University
when due, Licensee shall pay to University interest and charges at
the *.

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18. Warranties

          18.1. University represents that as of the effective date hereof, the entire right, title, and
interest in the patent applications or patents comprising the Patent Rights have been assigned to
it free and clear of all liens, claims and encumbrances of any inventor, any governmental authority
or agency or any third party and that University has all requisite power and authority to grant the
license contained in this Agreement under said Patent Rights. The University represents that this
Agreement constitutes the legal, valid and binding obligation of the University enforceable against
the University in accordance with its terms. University also represents that it has received no
notification that the Patent Rights are invalid nor that the exercise by Licensee of the rights
granted hereunder will infringe on any patent or other proprietary right of any third party.
University makes no warranties that any patent will issue on University Technology, Inventions or
New Licensed Technology. University has conducted no patent search for the purpose of determining
whether the Patent Rights are invalid or whether exercise of the rights granted hereunder will
infringe the rights of any third party. University further makes no warranties, express or implied
as to any matter whatsoever, including, without limitation, the condition of any invention(s) or
product(s), that are the subject of this Agreement; or the merchantability or fitness for a
particular purpose of any such invention or product. University shall not be liable for any direct,
consequential, or other damages suffered by Licensee or any others resulting from the use of
University Technology, New Licensed Technology, the Inventions or Licensed Products. University
shall not during the term of this Agreement enter into any other agreements on behalf of Inventors
of Patent Rights licensed under this Agreement that conflict with rights or obligations provided
hereunder.

19. Accounting and Records

          19.1. Licensee will keep complete, true and accurate books of account and records for the
purpose of showing the derivation of all amounts payable to University under this Agreement. Such
books and records will be kept at Licensee’s principal place of business for at least three (3)
years following the end of the calendar quarter to which they pertain, and will be open at all
reasonable times for inspection by a representative of University for the purpose of verifying
Licensee’s royalty statements, or Licensee’s compliance in other respects with this Agreement. The
representative will be obliged to treat as confidential all relevant matters.

          19.2. Such inspections shall be at the expense of University, unless a variation or error
exceeding *  is discovered in the course of any such inspection, whereupon all costs
relating thereto shall be paid by Licensee.

          19.3. Licensee will promptly pay to University the full amount of any underpayment together
with interest thereon at the *. Licensee will be entitled to a credit for any overpayment.

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20. Compliance with Laws

          20.1. In exercising its rights under this license, Licensee shall fully comply with the
requirements of any and all applicable laws, regulations, rules and orders of any governmental body
having jurisdiction over the exercise of rights under this license. Licensee further agrees to
indemnify and hold University harmless from and against any costs, expenses, attorney’s fees,
citation, fine, penalty and liability of every kind and nature which might be imposed by reason of
any asserted or established violation of any such laws, order, rules and/or regulations to the
extent caused by the act or omission of Licensee.

21. Further Assistance

          21.1. From time to time during the term of this Agreement, Licensee and the University and the
Inventors shall execute all additional instruments, licenses, and certificates and shall take all
other actions as Licensee or the University, as the case may be, may reasonably request in
connection with the consummation of this Agreement and in effectuating the intent hereof.

22. U.S. Manufacture

          22.1. It is agreed that any Licensed Product sold in the United States shall be substantially
manufactured in the United States so long as the University research leading to development of the
University Technology or Patent Rights included in or infringed by such Licensed Product was funded
in whole or in part by the United States Government.

23. Notices

          23.1. Any notice required or permitted to be given to the parties hereto shall be deemed to
have been properly given when received by means of confirmed facsimile transmission, recognized
overnight courier, delivered in person or mailed by first-class certified mail to the other party
at the appropriate address or facsimile numbers as set forth below or to such other addresses or
facsimile numbers as may be designated in writing by the parties from time to time during the term
of this Agreement.

	 	 	 
	UNIVERSITY	 	LICENSEE
	 
	 	 
	Director

	 	Xanthon, Inc.
	Office of Technology Development

	 	c/o Intersouth Partners
	CB #4105, 308 Bynum Hall

	 	1000 Park Forty Plaza
	University of North Carolina at Chapel

	 	Suite 290
	Hill Chapel Hill, NC 27599-4105

	 	Research Triangle Park, NC 27709
	Telephone: 919/966-3929

	 	Attn: James Skinner
	Facsimile: 919/962-0646

	 	Telephone: 919/544-6473
	 

	 	Facsimile; 919/544-6645

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24. Governing Laws

          24.1. This Agreement shall be interpreted and construed in accordance with the laws of the
State of North Carolina,

25. Complete Agreement

          25.1. It is understood and agreed between University and Licensee that this Agreement and the
Exhibits attached hereto constitute the entire Agreement, both written and oral, between the
parties, and that all prior agreements respecting the subject matter hereof, either written or
oral, expressed or implied, shall be abrogated, canceled, and are null and void and of no effect.

26. Severability

          26.1. In the event that a court of competent jurisdiction holds any provision of this
Agreement-to be invalid, such holding shall have no effect on the remaining provisions of this
Agreement, and they shall continue in full force and effect.

27. Force Majeure

          27.1. Neither party will be responsible for delays resulting from acts beyond the control of
such party, provided that the nonperforming party uses reasonable efforts to avoid or remove such
causes of nonperformance and continued performance hereunder with reasonable dispatch whenever such
causes are removed,

28. Miscellaneous

          28.1. The provisions of Articles 7, 8, 9, 10, 14, 15, 19, 20, 22, 24, and 25 shall survive the
expiration or termination of this Agreement.

          28.2. This Agreement may be executed in several counterparts, and each such counterpart shall
be deemed an original and all such counterparts, taken together, shall constitute one and the same
instrument.

[REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]

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     IN WITNESS OF, both University and Licensee have executed this Agreement, in duplicate
originals, by their respective officers hereunto duty authorized, the day and year first above
written. Inventors have likewise indicated their acceptance of the terms hereof by signing below.

	 	 	 	 	 	 	 	 	 	 	 
	THE UNIVERSITY OF NORTH CAROLINA XANTHON, INC. AT CHAPEL HILL	 	 	 	XANTHON, INC.	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	By:

	 	/s/ Francis Meyer
 

Francis Meyer, Ph.D.
Associate Vice Provost,
Technology Development
	 	 	 	By:
	 	/s/ James Skinner
 

Name: James Skinner

Title: President & CEO
	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	CONSENTED TO BY LEAD INVENTOR:	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	/s/ Holden Thorp	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 
	H. Holden Thorp	 	 	 	 	 	 	 	 

 

 

CERTAIN
CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY
ASTERISKS, HAS BEEN OMITTED AND FILED SEPARATELY WITH THE SECURITIES
AND EXCHANGE COMMISSION PURSUANT TO RULE 406 UNDER THE SECURITIES ACT
OF 1933, AS AMENDED.

ATTACHMENT A

FIRST AMENDMENT TO EXCLUSIVE LICENSE AGREEMENT

     THIS FIRST AMENDMENT TO EXCLUSIVE LICENSE AGREEMENT (the “Amendment”) is made as of January
10, 2003, by and between the University of North Carolina at Chapel Hill (hereinafter the
“University”) and Motorola, Inc., a Delaware corporation having a principal office at 1303 E.
Algonquin Road, Schaumburg, IL 60196 (the “Licensee”).

RECITALS

A. The University granted an exclusive license to Xanthon, Inc., a corporation organized and
existing under the laws of Delaware and having an address at c/o Intersouth Partners, 1000 Park
Forty Plaza Suite 290, Research Triangle Park, North Carolina 27709 (hereinafter referred to as
“Xanthon”) pursuant to an Exclusive License Agreement between Xanthon and the University dated
December 19, 1996 (the “Exclusive License Agreement”).

B. The University acknowledges the assignment by Xanthon of the Exclusive License Agreement to
Licensee, pursuant to the Acknowledgement Letter dated January 10, 2003,

C. The University owns and controls the inventions described in the following:

1) U.S. Patent Application Serial No. 08/495,817 filed June 27, 1995 entitled Electrochemical
Detection Of Nucleic Acid Hybridization (University file OTD *);

2) Provisional U.S. Patent Application, Serial No. 60/016,265 filed April 19, 1996 entitled
Electrochemical Detection Of Nucleic Acid Hybridization;

3) Continuation-in-part U.S. Patent Application Serial No. 08/667,338 filed June 20, 1996 entitled
Electrochemical Detection Of Nucleic Acid Hybridization (University
file OTD *), now U.S. Patent No.
5,871,918;

4)
U.S. Patent Application Serial No, 09/019,679 (published as US 2002/0012943) filed February 6,
1998 entitled Electrochemical Probes For Detection Of Molecular Interactions And Drug Discovery;

5) U.S. Provisional Patent Application Serial No, 60/226,l13 filed August 18, 2000 entitled
Electrical Devices Employing Molten Compositions of Biomolecules; and

6)
U.S. Provisional Patent Application Serial Nor 60/324,388 filed September 24, 2001 entitled
Methods For Electrochemical Detection Of Multiple Target Compounds, collectively (the
“Inventions”).

D. The University and the Licensee wish to amend the terms of the Exclusive License Agreement as
set forth herein.

 

 

     NOW
THEREFORE, in consideration for the foregoing premises, of the mutual covenants set forth
herein, and other good and valuable consideration, the receipt and sufficiency of which hereby are
acknowledged, effective as of the date of this Amendment, the parties to this Amendment hereby amend
the Exclusive License Agreement as follows:

1. Article 2 Grant of License and Term.

Section 2.3 of the Exclusive License Agreement is hereby deleted in its entirety and replaced with
the following:

     “Licensee agrees not to disclose any unpublished University Technology disclosed by the
University, through Dr. Holden Thorp, to Licensee or any patent applications included in the Patent
Rights furnished by University pursuant to Paragraph 2.1 above to third parties during the term of
this Agreement or any time thereafter, provided, however, that disclosure may be made of any such
patent application or University Technology at any time; (1) with prior written consent of
University; (2) after the same shall have become known publicly through no fault of Licensee; (3)
as demonstrated by documentary evidence, if the same was independently developed or discovered by
Licensee prior to the time of its disclosure; (4) if the same is or was disclosed to Licensee at
any time, whether prior to or after the time of its disclosure under this Agreement, by a third
party having no fiduciary relationship with the University or having no obligation of
confidentiality with respect to such patent application and University Technology; or (5) if the
same is required to be disclosed to comply with applicable laws or governmental regulations,
provided the University receives prior written notice of such disclosure and that Licensee takes
all reasonable and lawful actions to minimize the extent of such disclosure if possible, to avoid
such disclosure.”

2.
Article 3 License Fee, Payments, and Royalties.

(a) Section 3.1 of the Exclusive License Agreement is hereby deleted in its entirety.

(b) Article 3 is hereby amended to add:

     “3.7 Licensee agrees to negotiate in good faith with University a Sponsored Research Agreement to
provide research support for Dr. Thorp’s laboratory for at least * years in the amount of * per
year of total costs. The parties agree that the negotiations will be completed within ninety (90)
days of the effective date of this Amendment,”

3. Article 4 Diligence Requirements.

Section 4.1 of the Exclusive License Agreement is hereby deleted in its entirety and replaced with
the following:

     “Licensee shall use its best reasonable efforts to proceed diligently with the development of
the University Technology; provided that, Licensee’s research, development, and patent prosecution
costs, paid by Licensee in accordance with Section 10,1 of this Agreement, shall be taken into
account in determining whether Licensee has met its obligations herein.”

 

 

4. Article 6 Termination. Article 6 is hereby amended to add:

     “6.5 Licensee may terminate the Agreement, with or without cause, upon thirty (30) days prior
written notice to the University.”

5. Article 10 Patents and Infringements.

(a) The first sentence of Section 10.1. is hereby deleted in its entirety and replaced with the
following:

     “
Effective as of the date of this Amendment, Licensee shall reimburse University for
documented future costs of preparing, filing, prosecuting and maintaining patent applications and
patents relating to Inventions and included within Patent Rights. Such reimbursements shall be due
within thirty (30) days of receipt by Licensee of invoices from University.”

(b) The third sentence of Section 10.3 is hereby deleted in its entirety and replaced with the
following:

     “It is understood that any settlement of such actions must be approved by University, such
approval not to be unreasonably withheld; provided that Licensee may settle such actions without
University’s consent if (1) Motorola agrees in writing to indemnify University against monetary
damages up to * resulting from a claim of patent infringement against University by the same third
party and (2) all costs of such settlement are borne by Licensee.”

6. Article 23 Notices.

The LICENSEE contact information of Section 23.1 is hereby deleted in its entirety and replaced
with the following:

LICENSEE

Motorola, Inc.

126 W. Del Mar Blvd.

Pasadena, CA 91105

Attn: Gary Blackburn

Telephone: (626)584-5900

Facsimile: (626)584-0252

7. No Other Amendment.

Except as expressly set forth herein, this Amendment does not supersede or amend the terms and
conditions of the Exclusive License Agreement and the Exclusive License Agreement shall continue in
full force and effect,

 

 

8. Entire Agreement

The terms and conditions in this Amendment and in the Exclusive License Agreement constitute the
entire agreement, both written and oral, between the parties, and that all prior agreements
respecting the subject matter hereof, whether written or oral, expressed or implied, shall be
abrogated, canceled, and are null and void and to no effect. Such terms and conditions shall not be
modified or amended except by a writing signed by authorized representative of both parties.

     IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be duly executed as of
the date first above written.

	 	 	 	 	 
	UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL

 	 	 
	By:  	/s/ Nancy Suttenfield
 	 	 
	 	Name:  	Nancy Suttenfield 	 	 
	 	Title:  	Vice Chancellor for Finance & Administration 	 	 
	 

	 	 	 	 	 
	MOTOROLA, INC.

 	 	 
	By:  	/s/ Jon Kayyem
 	 	 
	 	Name:  	Jon Faiz Kayyem 	 	 
	 	Title:  	Vice President & General Manager 

Motorola Life SciencesEX-10.6

Exhibit 10.6 to the Registration Statement

CERTAIN
CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY
ASTERISKS, HAS BEEN OMITTED AND FILED SEPARATELY WITH THE SECURITIES
AND EXCHANGE COMMISSION PURSUANT TO RULE 406 UNDER THE
SECURITIES ACT OF 1933, AS AMENDED.

AMENDED AND RESTATED

LICENSE AGREEMENT

BETWEEN

PRESIDENT AND FELLOWS OF HARVARD COLLEGE

AND

CLINICAL MICRO SENSORS, INC

Effective as of July 14, 1997

Re: Harvard Case No(s). 1063 and 1339

In consideration of the mutual promises and covenants set forth below, the parties hereto
agree as follows:

ARTICLE I

BACKGROUND

HARVARD has entered into an agreement, effective July 14, 1997 (“the License Agreement”),
with LICENSEE granting LICENSEE certain rights under PATENT RIGHTS. The parties hereto
agree that this Amended and Restated License Agreement supercedes and replaces the July 14,
1997 License Agreement.

ARTICLE II

DEFINITIONS

As used in this Agreement, the following terms shall have the following meanings:

	2.1	 	AFFILIATE: any company, corporation, or business(a) which owns or controls at least fifty
percent (50%) of the voting stock or other ownership of LICENSEE; or (b) of which LICENSEE
owns or controls at least fifty percent (50%) of the voting stock or other ownership. Unless
otherwise specified, the term LICENSEE includes AFFILIATES.
	 
	2.2	 	EFFECTIVE DATE: shall mean July 14, 1997
	 
	2.3	 	FIELD: shall mean all fields of use
	 
	2.4	 	HARVARD: President and Fellows of Harvard College, a nonprofit Massachusetts educational
corporation having offices at the Office for

 

 

	 	 	Technology and Trademark Licensing, 124 Mt.
Auburn Street, Suite 410 South, Cambridge, Massachusetts 02138.
	 
	2.5	 	LICENSED PROCESSES: the processes covered by PATENT RIGHTS.
	 
	2.6	 	LICENSED PRODUCTS: products covered by PATENT RIGHTS or products made or services provided
in accordance with or by means of LICENSED PROCESSES.
	 
	2.7	 	LICENSEE: Clinical Micro Sensors, Inc a corporation organized under the laws of California
having its principal offices at 101 Waverly Drive, Pasadena, CA 91105.
	 
	2.8	 	NET SALES: the amount billed, invoiced, or received (whichever occurs first) for sales,
leases, or other transfers of LICENSED PRODUCTS, less:

	 	(a)	 	customary trade, quantity or cash discounts and non-affiliated brokers’ or
agents’ commissions actually allowed and taken;
	 
	 	(b)	 	amounts repaid or credited by reason of rejection or return; and
	 
	 	(c)	 	to the extent separately stated on purchase orders, invoices, or other
documents of sale, taxes levied on and/or other governmental charges made as to
production, sale, transportation, delivery or use and paid by or on behalf of LICENSEE
or sublicensees.
	 
	 	(d)	 	reasonable charges for delivery or transportation provided by third parties,
if separately stated.

	 	 	NET SALES also includes the fair market value of any non-cash consideration received by
LICENSEE or sublicensees for the sale, lease, or transfer of LICENSED PRODUCTS.
	 
	2.9	 	NON-COMMERCIAL RESEARCH PURPOSES: use of PATENT RIGHTS for academic research or other
not-for-profit scholarly purposes which are undertaken at a non-profit or governmental
institution that does not use the PATENT RIGHTS in the production or manufacture of products
for sale or the performance of services for a fee.
	 
	2.10	 	NON-ROYALTY SUBLICENSE INCOME: Sublicense issue fees, sublicense maintenance fees,
sublicense milestone payments, and similar non-royalty payments made by sublicensees to
LICENSEE on account of sublicenses pursuant to this Agreement.
	 
	2.11	 	PATENT RIGHTS: United States patents and patent applications listed in Appendix A, including
USSN Serial No. 08/312,388 filed 9/26/94,
entitled “Molecular Recognition at Surfaces Derivatized with Self Assembled Monolayers”
and United States patent application entitled “Surface-Immobilized

2

 

	 	 	Nucleic Acid and
Electron-Transfer Devices and Methods”, filed on 1/21/97, the inventions described and
claimed therein, and any divisions, continuations, continuations-in-part to the extent
the claims are directed to subject matter specifically described and dominated by the
claims of the existing PATENT RIGHTS, patents issuing thereon or reissues thereof, and
any and all foreign patents and patent applications corresponding thereto, all to the
extent owned or controlled by HARVARD.
	 
	2.12	 	TERRITORY: Any and all countries for which PATENT RIGHTS exist.
	 
	2.13	 	The terms “Public Law 96-517” and “Public Law 98-620” include all amendments to those
statutes.
	 
	2.14	 	The terms “sold” and “sell” include, without limitation, leases and other transfers and
similar transactions.

ARTICLE III

REPRESENTATIONS

	3.1	 	HARVARD is sole owner by assignment from Drs. C. Bamdad, J. Strominger, G. Sigal and G.
Whitesides of their entire right, title and interest in United States Patent Application
Serial No. 08/312,388 filed 9/26/94 entitled ‘Molecular Recognition at Surfaces Derivatized
with Self Assembled Monolayers’ (H.U. Case #1063) and from Dr. C. Bamdad of her entire right
title and interest in United States Patent Application entitled ‘Surface-Immobilized Nucleic
Acid and Electron Transfer Devices or Methods filed 1/21/97 (HU Case #1339) in the foreign
patent applications corresponding thereto, and in the inventions described and claimed
therein.
	 
	3.2	 	HARVARD has the authority to issue licenses under PATENT RIGHTS.
	 
	3.3	 	HARVARD warrants that all intellectual property rights to HU Case nos. 1063 and 1339 are
included in PATENT RIGHTS.
	 
	3.4	 	HARVARD is committed to the policy that ideas or creative works produced at HARVARD should be
used for the greatest possible public benefit, and believes that every reasonable incentive
should be provided for the prompt introduction of such ideas into public use, all in a manner
consistent with the public interest.
	 
	3.5	 	LICENSEE is prepared and intends to diligently develop the invention and to bring products to
market which are subject to this Agreement.
	 
	3.6	 	LICENSEE is desirous of obtaining an exclusive license in the TERRITORY and in the FIELD in
order to practice the above-referenced invention covered by
PATENT RIGHTS in the United States and in certain foreign countries, and to manufacture,
use and sell in the commercial market the products made in

3

 

	 	 	accordance therewith, and
HARVARD is desirous of granting such a license to LICENSEE in accordance with the terms of
this Agreement.

ARTICLE IV

GRANT OF RIGHTS

	4.1	 	HARVARD hereby grants to LICENSEE and LICENSEE accepts, subject to the terms and conditions
hereof an exclusive commercial license in the TERRITORY and in the FIELD under PATENT RIGHTS
to make and have made, to use and have used, to sell and have sold the LICENSED PRODUCTS, and
to practice the LICENSED PROCESSES, for the life of the PATENT RIGHTS. Such licenses shall
include the right to grant sublicenses, subject to HARVARD’s review. In order to provide
LICENSEE with commercial exclusivity for so long as the license under PATENT RIGHTS remains
exclusive, HARVARD agrees that it will not grant licenses under PATENT RIGHTS to others except
as required by HARVARD’s obligations in paragraph 3.2(a)or as permitted in paragraph 3.2(b).
	 
	4.2	 	The granting and exercise of this license is subject to the following conditions:

	 	(a)	 	HARVARD’s “Statement of Policy in Regard to Inventions, Patents and
Copyrights,” dated March 17, 1986, Public Law 96-517, Public Law 98-620, and HARVARD’s
obligations under agreements with other sponsors of research. To the best of HARVARD’s
knowledge, the only sponsor of the research from which PATENT RIGHTS arise is the
federal government. Any right granted in this Agreement greater than that permitted
under Public Law 96-517, or Public Law 98-620, shall be subject to modification as may
be required to conform to the provisions of those statutes.
	 
	 	(b)	 	HARVARD reserves the right to make and use, and grant to others non-exclusive
licenses to make and use for NON-COMMERCIAL RESEARCH PURPOSES the subject matter
described and claimed in PATENT RIGHTS.
	 
	 	(c)	 	LICENSEE shall use diligent efforts to effect introduction of the LICENSED
PRODUCTS into the commercial market as soon as practicable, consistent with sound and
reasonable business practice and judgment; thereafter, until the expiration of this
Agreement, LICENSEE shall endeavor to keep LICENSED PRODUCTS reasonably available to
the public.
	 
	 	(d)	 	At any time after five (5) years from the EFFECTIVE DATE, HARVARD may
terminate or render this license non-exclusive if, in HARVARD’s
reasonable judgment, the Progress Reports furnished by LICENSEE do not demonstrate
that LICENSEE:

4

 

	 	(i)	 	has put the licensed subject matter into commercial use in
the country or countries hereby licensed, directly or through a sublicense,
and is not keeping the licensed subject matter reasonably available to the
public, or
	 
	 	(ii)	 	is engaged in research, development, manufacturing, marketing
or sublicensing activity appropriate to achieving 3.3(d)(i), and
	 
	 	(iii)	 	has adhered directly or through a sublicensee to the
following performance milestones:

1. Within five (5) years from the effective date, LICENSEE shall have
designed and built at least one prototype device based on PATENT RIGHTS
and shall provide HARVARD with documentation of such.

2. Within seven (7) years from the effective date, LICENSEE shall be
manufacturing at least one device based on PATENT RIGHTS and shall provide
HARVARD with documentation of such.

3. Within eight (8) years from the effective date, LICENSEE shall provide
HARVARD with documentation of the commercial sale of at least one device
or service based on PATENT RIGHTS.

LICENSEE will inform HARVARD promptly in writing about any material problem, delay or
requirement in connection with the commercial, development and/or manufacture, use, sale or
marketing of LICENSED PRODUCTS. LICENSEE and HARVARD may modify the above performance
milestones accordingly and as mutually agreed.

	 	(e)	 	In all sublicenses granted by LICENSEE hereunder, LICENSEE shall include a
requirement that the sublicensee use its best efforts to bring the subject matter of
the sublicense into commercial use as quickly as is reasonably possible. LICENSEE
shall further provide in such sublicenses that such sublicenses are subject and
subordinate to the terms and conditions of this Agreement, except the sublicensee may
not further sublicense. Copies of all sublicense agreements shall be provided promptly
to HARVARD.
	 
	 	(f)	 	During the period of exclusivity of this license in the United States,
LICENSEE shall cause any LICENSED PRODUCT produced for sale in the United States to be
manufactured substantially in the United States.

	4.3	 	All rights reserved to the United States Government and others under Public Law 96-517, and
Public Law 98-620, shall remain and shall in no way be affected by this Agreement.

5

 

ARTICLE V

ROYALTIES

	5.1	 	LICENSEE has paid to HARVARD a non-refundable license royalty
fee in the sum of *.
	 
	5.2	 	(a) Sales/Sublicenses in the Nucleic Acid Sensor Market: LICENSEE shall pay to
HARVARD during the term of this Agreement a royalty of * of NET SALES by
LICENSEE and sublicensees. In the case of sublicenses that are based solely on PATENT RIGHTS,
LICENSEE shall also pay to HARVARD * percent of any NON-ROYALTY SUBLICENSE
INCOME. Such additional payments shall only be due for sublicenses executed prior to the four
year anniversary of the EFFECTIVE DATE. For any sublicense agreement concluded after the four
year anniversary of the EFFECTIVE DATE, and for any sublicense agreement that is not based
solely on PATENT RIGHTS, there shall be no payments due based on NON-ROYALTY SUBLICENSE
INCOME; however LICENSEE shall pay to HARVARD a * royalty on sublicensee NET
SALES.

	 	(b)	 	Sales/Sublicenses in the Protein Sensor Market: LICENSEE shall pay to HARVARD
during the term of this Agreement a royalty of * of NET SALES by LICENSEE
and a royalty of * of NET SALES by sublicensees. In the case of sublicenses
that are based solely on PATENT RIGHTS or sublicenses which include both the Nucleic Acid
Sensor Field and the Protein Sensor Field, LICENSEE shall also pay to
HARVARD * of any NON-ROYALTY SUBLICENSE INCOME. In the case of sublicenses that are not
based solely on PATENT RIGHTS, LICENSEE shall pay to HARVARD * of any
NON-ROYALTY SUBLICENSE INCOME. Such additional payments shall only be due for sublicenses
executed prior to the five year anniversary of the EFFECTIVE DATE. For sublicense agreement
executed after the five year anniversary of the EFFECTIVE DATE, there will be no payments
based on NON-ROYALTY SUBLICENSE INCOME; however LICENSEE shall pay to
HARVARD a * royalty on sublicensee NET SALES.

	 	(i)	 	If LICENSEE’s cumulative NET SALES on any one LICENSED
PRODUCT reach *, LICENSEE may reduce the
royalty due to HARVARD under this Section 5.2(b) from NET SALES of such
LICENSED PRODUCT by * to a final royalty of *.
	 
	 	(ii)	 	If LICENSEE is required to obtain license(s)/sublicense(s)
for third party patents infringed as a result of practising the subject matter
of PATENT RIGHTS, then royalties due HARVARD under this Section 5.2(b) will be
reduced by * (“Infringing Royalty”);

6

 

	 	 	 	however, the royalty due HARVARD will not be reduced
by more than * .
	 
	 	(iii)	 	If royalties are paid by LICENSEE to an entity (other than
an AFFILIATE) for LICENSED PRODUCT OR LICENSED PROCESSES for which royalties
are also due to HARVARD under this Section 5.2(b) (“Other Royalties”) and
total royalties excluding Infringing Royalty for a LICENSED PRODUCT or
LICENSED PROCESS exceed *  of NET SALES, then the royalties
due to HARVARD shall be reduced by *, but only to the extent that the Other Royalties, which are
equal to or greater than the royalty due to HARVARD, are reduced in a like
manner. The royalty due HARVARD shall never be reduced by more than *
in any one year. These reductions may not be accumulated and
carried over into future years.
	 
	 	(iv)	 	In no event may the royalty payable to HARVARD under this
Section 5.2(b) be reduced below * as a result of all the
reductions of Sections 5.2(b)(i)-(iii).

	 	(c)	 	Only one royalty for each specific sale of a LICENSED PRODUCT shall be
payable irrespective of the number of patents or patent applications in PATENT RIGHTS
covering the manufacture, use or sale of such LICENSED PRODUCTS.
	 
	 	(d)	 	If the license pursuant to this Agreement is converted to a non-exclusive one
and if other non-exclusive licenses in the same field and territory are granted, the
above royalties shall not exceed the royalty rate to be paid by other licensees in the
same field and territory during the term of the non-exclusive license.
	 
	 	(e)	 	On sales between LICENSEE and its AFFILIATES or sublicensees for resale, the
royalty shall be paid on the NET SALES of the AFFILIATE or sublicensee.

	5.3	 	No later than sixty (60) days from January 1 of each calendar year after the effective date
of this Agreement, LICENSEE shall pay to HARVARD the following non-refundable license
maintenance royalty and/or advance on royalties. Such payments may be credited against running
royalties due for that calendar year and Royalty Reports shall reflect such a credit. Such
payments shall not be credited against milestone
payments (if any) nor against
royalties due for any subsequent
calendar year.

7

 

	 	 	 	 	 
	February 28, 1998
	 	$	*	 
	February 28, 1999
	 	$	*	 
	February 28, 2000 and each year thereafter
	 	$	*	 

ARTICLE VI

REPORTING

	6.1	 	Prior to signing this Agreement, LICENSEE has provided to HARVARD a written research and
development plan under which LICENSEE intends to bring the subject matter of the licenses
granted hereunder into commercial use upon execution of this Agreement.
	 
	6.2	 	No later than February 28 of each calendar year, LICENSEE shall provide to HARVARD a written
annual Progress Report describing progress on research and development, regulatory approvals,
manufacturing, sublicensing, marketing and sales during the preceding calendar year and plans
for the forthcoming year. If multiple technologies are covered by the license granted
hereunder, the Progress Report shall provide the information set forth above for each
technology. LICENSEE shall also provide any reasonable additional data HARVARD requires to
evaluate LICENSEE’s performance.
	 
	6.3	 	LICENSEE shall report to HARVARD the date of first sale of LICENSED PRODUCTS (or results of
LICENSED PROCESSES) in each country within thirty (30) days of occurrence.
	 
	6.4	 	(a) LICENSEE shall submit to HARVARD on or before February 28 of each calendar year, a
Royalty Report setting forth for such preceding year at least the following information:

	 	(i)	 	the number of LICENSED PRODUCTS sold by LICENSEE, its
AFFILIATES and sublicensees in each country;
	 
	 	(ii)	 	total billings for such LICENSED PRODUCTS;
	 
	 	(iii)	 	an accounting for all LICENSED PROCESSES used or sold;
	 
	 	(iv)	 	deductions applicable to determine the NET SALES thereof;
	 
	 	(v)	 	the amount of NON-ROYALTY SUBLICENSE INCOME received by
LICENSEE; and
	 
	 	(vi)	 	the amount of royalty due thereon, or, if no royalties are
due to HARVARD for any reporting period, the statement that no royalties are
due.

8

 

	 	 	 	Such report shall be certified as correct by an officer of LICENSEE and shall
include a detailed listing of all deductions from royalties.
	 
	 	(b)	 	LICENSEE shall pay to HARVARD with each such Royalty Report the amount of
royalty due with respect to such year. If multiple technologies are covered by the
license granted hereunder, LICENSEE shall specify which PATENT RIGHTS are utilized for
each LICENSED PRODUCT and LICENSED PROCESS included in the Royalty Report.
	 
	 	(c)	 	All payments due hereunder shall be deemed received when funds are credited
to Harvard’s bank account and shall be payable by check or wire transfer in United
States dollars. Conversion of foreign currency to U.S. dollars shall be made at the
conversion rate existing in the United States (as reported in the New York Times or
the Wall Street Journal) on the last working day of each royalty period. No transfer,
exchange, collection or other charges shall be deducted from such payments.
	 
	 	(d)	 	All such reports shall be maintained in confidence by HARVARD except as
required by law; however, HARVARD may include in its usual reports annual amounts of
royalties paid.
	 
	 	(e)	 	Late payments shall be subject to a charge of *, or $*, whichever is greater.

ARTICLE VII

RECORD KEEPING

	7.1	 	LICENSEE shall keep, and shall require its AFFILIATES and sublicensees to keep, accurate
records (together with supporting documentation) of LICENSED PRODUCTS made, used or sold under
this Agreement, appropriate to determine the amount of royalties due to HARVARD hereunder.
Such records shall be retained for at least three (3) years following the end of the reporting
period to which they relate. They shall be available during normal business hours for
examination by an accountant selected by HARVARD, for the sole purpose of verifying reports
and payments hereunder. In conducting examinations pursuant to this paragraph, HARVARD’s
accountant shall have access to all records which HARVARD reasonably believes to be relevant
to the calculation of royalties under Article IV.
	 
	7.2	 	HARVARD’s accountant shall not disclose to HARVARD any information other than information
relating to the accuracy of reports and payments made hereunder.
	 
	7.3	 	Such examination by HARVARD’s accountant shall be at HARVARD’s expense, except that if such
examination shows an underreporting or underpayment in excess of * for any
twelve (12) month period, then LICENSEE shall pay the cost of such examination as well as any
additional sum that would

9

 

	 	 	have been payable to HARVARD had the LICENSEE reported correctly,
plus interest on said sum at the rate of *.

ARTICLE VIII

DOMESTIC AND FOREIGN PATENT FILING AND MAINTENANCE

	8.1	 	Within sixty (60) days of the execution of this Agreement, LICENSEE shall reimburse HARVARD
for all reasonable expenses HARVARD has incurred for the preparation, filing, prosecution and
maintenance of PATENT RIGHTS. Thereafter, LICENSEE shall reimburse HARVARD for all such future
expenses upon receipt of invoices from HARVARD. Late payment of these invoices shall be
subject to interest charges of * per month. HARVARD shall, in
its sole discretion, be responsible for the preparation, filing, prosecution and maintenance
of any and all patent applications and patents included in PATENT RIGHTS. HARVARD shall
consult with LICENSEE as to the preparation, filing, prosecution and maintenance of such
patent applications and patents and shall furnish to LICENSEE copies of documents relevant to
any such preparation, filing, prosecution or maintenance.
	 
	8.2	 	Upon receipt of LICENSEE’s payment of expenses incurred for the preparation, filing,
prosecution and maintenance of PATENT RIGHTS according to 8.1, HARVARD shall provide to
LICENSEE copies of the complete file history for all patents and patent applications in PATENT
RIGHTS.
	 
	8.3	 	HARVARD and LICENSEE shall cooperate fully in the preparation, filing, prosecution and
maintenance of PATENT RIGHTS and of all patents and patent applications licensed to LICENSEE
hereunder, executing all papers and instruments or requiring members of HARVARD to execute
such papers and instruments so as to enable HARVARD to apply for, to prosecute and to maintain
patent applications and patents in HARVARD’s name in any country. Each party shall provide to
the other prompt notice as to all matters which come to its attention and which may affect the
preparation, filing, prosecution or maintenance of any such patent applications or patents.
	 
	8.4	 	LICENSEE may elect to surrender its PATENT RIGHTS in any country upon sixty (60) days written
notice to HARVARD. Such notice shall not relieve LICENSEE from responsibility to reimburse
HARVARD for patent-related
expenses incurred prior to the expiration of the (60)-day notice period (or such longer
period specified in LICENSEE’s notice).

ARTICLE IX

INFRINGEMENT

	9.1	 	With respect to any PATENT RIGHTS that are exclusively licensed to LICENSEE pursuant to this
Agreement, LICENSEE shall have the right to

10

 

	 	 	prosecute in its own name and at its own expense
any infringement in the HELD of such patent, so long as such license is exclusive in the FIELD
at the time of the commencement of such action. HARVARD agrees to notify LICENSEE promptly of
each infringement of such patents of which HARVARD is or becomes aware. Before LICENSEE
commences an action with respect to any infringement of such patents, LICENSEE shall give
careful consideration to the views of HARVARD and to potential effects on the public interest
in making its decision whether or not to sue.
	 
	9.2	 	(a) If LICENSEE elects to commence an action as described above, Harvard may, to the extent
permitted bylaw, elect to join as a party in that action. Regardless of whether HARVARD elects
to join as a party, HARVARD shall cooperate fully with LICENSEE in connection with any such
action.

	 	(b)	 	If HARVARD elects to join as a party pursuant to subparagraph (a), HARVARD
shall jointly control the action with LICENSEE.
	 
	 	(c)	 	LICENSEE shall reimburse HARVARD for any costs HARVARD incurs, including
reasonable attorneys’ fees, as part of an action brought by LICENSEE, irrespective of
whether HARVARD becomes a co-plaintiff.

	9.3	 	If LICENSEE elects to commence an action as described above, LICENSEE may deduct from its
royalty payments to HARVARD with respect to the patent(s) subject to suit an amount not
exceeding *  of LICENSEE’s expenses and costs of such action, including
reasonable attorneys’ fees; provided, however, that such reduction shall not exceed
*  of the total royalty due to HARVARD with respect to the patent(s) subject to
suit, for each calendar year. If such *  of LICENSEE’s expenses and costs
exceeds the amount of royalties deducted by LICENSEE for any calendar year, LICENSEE may to
that extent reduce the royalties due to HARVARD from LICENSEE in succeeding calendar years,
but never by more than * of the total royalty due in any one year with
respect to the patent(s) subject to suit.
	 
	9.4	 	No settlement, consent judgment or other voluntary final disposition of the suit may be
entered into without the prior written consent of HARVARD, which consent shall not be
unreasonably withheld.
	 
	9.5	 	Recoveries or reimbursements from actions commenced pursuant to this Article shall first be
applied to reimburse LICENSEE and HARVARD for litigation costs not paid from royalties and
then to reimburse HARVARD for royalties deducted by LICENSEE pursuant to paragraph 8.3. Any
remaining recoveries or reimbursements shall be shared as follows:

	 	(i)	 	If the amount is lost profits, LICENSEE shall receive an
amount equal to the damages the court determines LICENSEE has suffered as a
result of the infringement less the amount of any royalties that

11

 

	 	 	 	would have
been due HARVARD on sales of LICENSED PRODUCTS lost by LICENSEE as a result of
the infringement had LICENSEE made such sales and HARVARD shall
receive * have received if such sales had been
made by LICENSEE; or
	 
	 	(ii)	 	As to awards other than lost profits, * percent to
LICENSEE and * percent to HARVARD.

	9.6	 	If LICENSEE elects not to exercise its right to prosecute an infringement of the PATENT
RIGHTS pursuant to this Article, HARVARD may do so at its own expense, controlling such action
and retaining all recoveries therefrom. LICENSEE shall cooperate fully with HARVARD in
connection with any such action. Any reasonable legal expenses incurred by LICENSEE as a
direct result of such cooperation shall be reimbursed from HARVARD’s recoveries.
	 
	9.7	 	Without limiting the generality of paragraph 9.6, HARVARD may, at its election and by notice
to LICENSEE, establish a time limit of sixty (60) days for LICENSEE to decide whether to
prosecute any infringement of which HARVARD is or becomes aware. If, by the end of such sixty
(60)-day period, LICENSEE has not commenced such an action, HARVARD may prosecute such an
infringement at its own expense, controlling such action and retaining all recoveries
therefrom. With respect to any such infringement action prosecuted by HARVARD in good faith,
LICENSEE shall pay over to Harvard any payments (whether or not designated as “royalties”)
made by the alleged infringer to LICENSEE under any existing or future sublicense authorizing
LICENSED PRODUCTS, up to the amount of HARVARD’s unreimbursed litigation expenses (including,
but not limited to, reasonable attorneys’ fees).
	 
	9.8	 	If a declaratory judgment action is brought naming LICENSEE as a defendant and alleging
invalidity of any of the PATENT RIGHTS, HARVARD may elect to take over the sole defense of the
action at its own expense. LICENSEE shall cooperate fully with HARVARD in connection with any
such action.
	 
	9.9	 	In the event that an action is brought against LICENSEE or any of its sublicensees alleging
direct infringement of a patent right due to the manufacture, use, offer for sale or sale of
LICENSED PRODUCTS, LICENSEE may terminate this Agreement upon giving HARVARD written notice of
termination. In the event
LICENSEE chooses not to terminate this Agreement, LICENSEE and HARVARD shall consult and
decide upon an appropriate course of action regarding defence of the action and payment of
royalties.

12

 

ARTICLE X

TERMINATION OF AGREEMENT

	10.1	 	This Agreement, unless terminated as provided herein, shall remain in effect until the last
patent or patent application in PATENT RIGHTS has expired or been abandoned.
	 
	10.2	 	HARVARD may terminate this Agreement as follows:

	 	(a)	 	If LICENSEE does not make a payment due hereunder and fails to cure such
non-payment (including the payment of interest in accordance with paragraph 6.4(e))
within forty-five (45) days after the date of notice in writing of such non-payment by
HARVARD.
	 
	 	(b)	 	If LICENSEE defaults in its obligations under paragraph 11.3(c)and(d) to
procure and maintain insurance.
	 
	 	(c)	 	If, at any time after five years from the date of this Agreement, HARVARD
determines that the Agreement should be terminated pursuant to paragraph 4.2(d).
	 
	 	(d)	 	If LICENSEE shall become insolvent, shall make an assignment for the benefit
of creditors, or shall have a petition in bankruptcy filed for or against it. Such
termination shall be effective immediately upon HARVARD giving written to LICENSEE.
	 
	 	(e)	 	If an examination by Harvard’s accountant pursuant to Article VII shows a
repeated pattern of fraudulent underreporting or underpayment by LICENSEE in excess of
* for any twelve (12) month period.
	 
	 	(f)	 	If LICENSEE is convicted of a felony and has exhausted its appeals to such
conviction relating to the manufacture, use, or sale of LICENSED PRODUCTS.
	 
	 	(g)	 	Except as provided in subparagraphs (a), (b),(c),(d), (e)and (f) above, if
LICENSEE defaults in the performance of any obligations under this Agreement and the
default has not been remedied within ninety (90) days after the date of notice in
writing of such default by HARVARD.

	10.3	 	LICENSEE shall provide, in all sublicenses granted by it under this Agreement, that
LICENSEE’s interest in such sublicenses shall at HARVARD’s option terminate or be assigned to
HARVARD upon termination of this Agreement.

	10.4	 	LICENSEE may terminate this Agreement by giving ninety (90) days advance written notice of
termination to HARVARD. Upon termination, LICENSEE shall submit a final Royalty Report to
HARVARD and any royalty payments and

13

 

	 	 	unreimbursed patent expenses invoiced by HARVARD shall
become immediately payable.
	 
	10.5	 	Paragraphs 7.1, 7.2, 7.3, 8.1, 9.5, 10.4, 10.5, 11.2, 11.3, 11.4, 11.5, 11.8 and 11.9 of this
Agreement shall survive termination.

ARTICLE XI

GENERAL

	11.1	 	HARVARD does not warrant the validity of the PATENT RIGHTS licensed hereunder and makes no
representations whatsoever with regard to the scope of the licensed PATENT RIGHTS or that such
PATENT RIGHTS may be exploited by LICENSEE, an AFFILIATE, or sublicensee without infringing
other patents.
	 
	11.2	 	HARVARD EXPRESSLY DISCLAIMS ANY AND ALL IMPLIED OR EXPRESS WARRANTIES AND MAKES NO EXPRESS OR
IMPLIED WARRANTIES OF MERCHANTABILITY OR FITNESS FOR ANY PARTICULAR PURPOSE OF THE PATENT
RIGHTS, OR INFORMATION SUPPLIED BY HARVARD, LICENSED PROCESSES OR LICENSED PRODUCTS
CONTEMPLATED BY THIS AGREEMENT.
	 
	11.3	 	(a) LICENSEE shall indemnify, defend and hold harmless HARVARD and its current or former
directors, governing board members, trustees, officers, faculty, medical and professional
staff, employees, students, and agents and their respective successors, heirs and assigns
(collectively, the “Indemnitees”), against any liability, damage, loss or expenses (including
reasonable attorneys’ fees and expenses of litigation) incurred by or imposed upon the
Indemnitees or any of them in connection with any claims, suits, actions, demands or judgments
arising out of any theory of product liability (including, but not limited to, actions in the
form of tort, warranty, or strict liability) concerning any product, process or service made,
used or sold pursuant to any right or license granted under this Agreement.

	 	(b)	 	LICENSEE shall, at its own expense, provide attorneys reasonably acceptable
to HARVARD to defend against any actions brought or filed against any Indemnitee
hereunder with respect to the subject of indemnity contained herein, whether or not
such actions are rightfully brought.
	 
	 	(c)	 	Beginning at the time any such product, process or service is being
commercially distributed or sold (other than for the purpose of obtaining regulatory
approvals) by LICENSEE or by a sublicensee, AFFILIATE or agent of LICENSEE, LICENSEE
shall, at its sole cost and expense,
procure and maintain commercial general liability insurance in amounts not less
than * per incident and * annual aggregate and naming the
Indemnitees as additional insureds. During clinical trials of any such product,
process or service, LICENSEE shall, at its sole cost and

14

 

	 	 	 	expense, procure and
maintain commercial general liability insurance in such equal or lesser amount as
HARVARD shall require, naming the Indemnitees as additional insureds. Such
commercial general liability insurance shall provide (i) product liability coverage
and (ii) broad form contractual liability coverage for LICENSEE’s indemnification
under this Agreement. If LICENSEE elects to self-insure all or part of the limits
described above (including deductibles or retentions which are in excess of
$*) such self-insurance program must be acceptable to
HARVARD and the Risk Management Foundation of the Harvard Medical Institutions,
Inc. in their sole discretion. The minimum amounts of insurance coverage required
shall not be construed to create a limit of LICENSEE’s liability with respect to
its indemnification under this Agreement.
	 
	 	(d)	 	LICENSEE shall provide HARVARD with written evidence of such insurance upon
request of HARVARD. LICENSEE shall provide HARVARD with written notice at least
fifteen (15) days prior to the cancellation, non-renewal or material change in such
insurance; if LICENSEE does not obtain replacement insurance providing comparable
coverage within such fifteen (15) day period, HARVARD shall have the right to
terminate this Agreement effective at the end of such fifteen (15) day period without
notice or any additional waiting periods.
	 
	 	(e)	 	LICENSEE shall maintain such commercial general liability insurance beyond
the expiration or termination of this Agreement during (i) the period that any
product, process, or service, relating to, or developed pursuant to, this Agreement is
being commercially distributed or sold by LICENSEE or by a sublicensee, AFFILIATE or
agent of LICENSEE and (ii) a reasonable period after the period referred to in (e)(i)
above which in no event shall be less than fifteen (15) years.

	11.4	 	LICENSEE shall not use HARVARD’s name or insignia, or any adaptation of them, or the name of
any of HARVARD’s inventors in any advertising, promotional or sales literature without the
prior written approval of HARVARD.
	 
	11.5	 	HARVARD shall not use LICENSEE’s name or logos in any advertising or promotional literature
without the prior written approval of LICENSEE, nor may HARVARD disclose the financial terms
of this Agreement without LICENSEE’s prior written approval, except as required by law.
HARVARD may use LICENSEE’s name and royalty information in its own internal confidential
reports.
	 
	11.6	 	Without the prior written approval of HARVARD in each instance, neither this Agreement nor
the rights granted hereunder shall be transferred or assigned in whole or in part by LICENSEE
to any person whether voluntarily or involuntarily, by operation of law or otherwise. This
Agreement shall be binding

15

 

	 	 	upon the respective successors, legal representatives and assignees
of HARVARD and LICENSEE.
	 
	11.7	 	The interpretation and application of the provisions of this Agreement shall be governed by
the laws of the Commonwealth of Massachusetts.
	 
	11.8	 	LICENSEE shall comply with all applicable laws and regulations. In particular, it is
understood and acknowledged that the transfer of certain commodities and technical data is
subject to United States laws and regulations controlling the export of such commodities and
technical data, including all Export Administration Regulations of the United States
Department of Commerce. These laws and regulations among other things, prohibit or require a
license for the export of certain types of technical data to certain specified countries.
LICENSEE hereby agrees and gives written assurance that it will comply with all United States
laws and regulations controlling the export of commodities and technical data, that it will be
solely responsible for any violation of such by LICENSEE or its AFFILIATES or sublicensees,
and that it will defend and hold HARVARD harmless in the event of any legal action of any
nature occasioned by such violation.
	 
	11.9	 	LICENSEE agrees (i) to obtain all regulatory approvals required for the manufacture and sale
of LICENSED PRODUCTS and LICENSED PROCESSES and (ii) to utilize appropriate patent marking on
such LICENSED PRODUCTS. LICENSEE also agrees to register or record this Agreement as is
required by law or regulation in any country where the license is in effect.
	 
	11.10	 	Any notices to be given hereunder shall be sufficient if signed by the party (or party’s
attorney) giving same and either (a) delivered in person, or (b) mailed certified mail return
receipt requested, or (c) faxed to other party if the sender has evidence of successful
transmission and if the sender promptly sends the original by ordinary mail, in any event to
the following addresses:

If to LICENSEE:

Jon Faiz Kayyem, PhD

President and CEO

Clinical Micro Sensors, Inc

101 Waverly Drive

Pasadena, CA 91105

Fax: 818-584-5900

16

 

If to Harvard to:

Office for Technology and

Trademark Licensing

Harvard University

124 Mt. Auburn Street, Suite 410 South

Cambridge, MA 02138

Fax No.: 617-495-9568

By such notice either party may change their address for future notices.

	 	 	Notices delivered in person shall be deemed given on the date delivered. Notices sent by
fax shall be deemed given on the date faxed. Notices mailed shall be deemed given on the
date postmarked on the envelope.
	 
	11.11	 	Should a court of competent jurisdiction later hold any provision of this Agreement to be
invalid, illegal, or unenforceable, and such holding is not reversed on appeal, it shall be
considered severed from this Agreement. All other provisions, rights and obligations shall
continue without regard to the severed provision, provided that the remaining provisions of
this Agreement are in accordance with the intention of the parties.
	 
	11.12	 	This Agreement constitutes the entire understanding between the parties and neither party
shall be obligated by any condition or representation other than those expressly stated herein
or as may be subsequently agreed to by the parties hereto in writing.

17

 

IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed by their duly
authorized representatives.

	 	 	 
	PRESIDENT AND FELLOWS	 	 
	OF HARVARD COLLEGE	 	LICENSEE
	 
	 	 
	/s/ Joyce Brinton

	 	/s/ Jon Kayyem
	
 

	 	 
	Joyce Brinton, Director 

Office for Technology and Trademark Licensing

	 	Signature
	 
	 	 
	 

	 	Jon Faiz Kayyem, Ph. D.
	 

	 	 
	 

	 	Name
	 
	 	 
	 

	 	President & CEO
	 

	 	 
	 

	 	Title
	 
	 	 
	 

	 	January 13, 1998
	 

	 	 
	Date

	 	Date

18

 

Appendix A

The following comprise PATENT RIGHTS:

US patent application serial no. 08/312,388, filed 9/26/94, entitled “Molecular Recognition at
Surfaces Derivatized with Self Assembled Monolayers”

Continuation-in-part of USSN 08/312, 388 filed 1/21/97, serial no. 08/786,187

US patent application entitled “Immobilized Nucleic Acid and Electron Transfer Devices or
Methods”, filed 1/21/97, serial no. 08/786,153 (abd)

Continuation-in-part of US patent application filed 1/21/97 entitled “Immobilized Nucleic Acid and
Electron Transfer Devices or Methods”, such CIP was filed on 2/24/97 and is entitled
“Electronic-Property Probing of Biological Molecules at Surfaces”, serial no. 08/804,883 (abd)

Continuation-in-part of US patent application filed 1/21/97 entitled “Immobilized Nucleic Acid and
Electron Transfer Devices or Methods”, such CIP was filed on 4/10/97 and is entitled
“Electronic-Property Probing of Biological Molecules at Surfaces”, serial no. 08/843,623

19

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