Document:

Exhibit 10.21

 

Amendment Agreement

 

This Amendment Agreement is made this 9th day of
January 2003 (“Effective Date”) by and between:

 

(1)                                  AVANT IMMUNOTHERAPEUTICS INC,
having a place of business at 119 Fourth Avenue, Needham, MA 02494-2725, United
States of America (“AVANT”); and

 

(2)                                  SMITHKLINE BEECHAM PLC,
having its registered office at 980 Great West Road, Brentford, Middlesex TW8
9GS, United Kingdom (“GSK”).

 

Whereas:

 

(A)                              AVANT (as legal successor
of Virus Research Institute, Inc.) and GSK entered in to a License Agreement
dated 1 December 1997 (the “Agreement”) relating to the field of
Rotavirus.

 

(B)                                As a result of, amongst
other things, increased requirements of regulatory authorities for clinical
safety data, the initiation of a Phase III clinical study under an IND in the
US, and therefore payment of the second milestone fee, has been delayed.

 

(C)                                Whereas GSK is
proposing to undertake a Phase III clinical study in Latin America.

 

(D)                               The parties hereto
(“Parties”) wish to amend the Agreement on the terms set out in this Amendment
Agreement.

 

Therefore, the Parties have agreed for good and valuable consideration,
receipt of which is hereby acknowledged:

 

1.                                       Paragraph
5.01 shall be deleted and replaced by the following:

 

“5.01                     Subject to the provisions of
Paragraph 5.02 below and the further provisions of this Paragraph 5.01,
LICENSEE will, in accordance with LICENSEE’s reasonable business and scientific
judgement, exercise its reasonable efforts and diligence in developing VACCINE.

 

Only in the event that:

 

(a)                                  a competitor vaccine
product against rotavirus is registered in one or more MAJOR MARKETS (each a
“RELEVANT MAJOR MARKET”): and

 

(b)                                 LICENSEE has
significant Phase IV data (as defined below) from countries that are not MAJOR
MARKETS to support applications for

 

 

governmental approvals to market VACCINE in the RELEVANT MAJOR
MARKET(S),

 

shall LICENSEE be obliged to use its reasonable efforts and diligence
to undertake investigations and actions required to obtain appropriate
governmental approvals to market VACCINE in the RELEVANT MAJOR MARKET(S) and to
commercialise VACCINE in those RELEVANT MAJOR MARKET(S) in which such
governmental approval is obtained. For the purpose of this Paragraph 5.01 (b),
“significant Phase IV data” shall mean post-marketing safety data on 2 million
vaccinees with respect to the VACCINE so as to allow a proper assessment of the
Intussusception risk associated with the VACCINE.

 

All such activity shall be undertaken at LICENSEE’s expense. At
LICENSEE’s request and expense, LICENSOR shall supply LICENSEE with reasonable
technical assistance in undertaking such investigations and actions.”

 

2.                                       GSK hereby
agrees to pay AVANT US$1 million within 30 days of the Effective Date of this
Agreement. Such payment shall be considered as in lieu of the “second milestone
fee” of US 1million provided for in Paragraph 5.02(c) and such fee shall be
considered made in full.  For the
avoidance of doubt the proposed Phase III clinical study to be undertaken by
GSK in Latin America shall not be considered to be the pivotal Phase III study
as referred to in Paragraphs 5.02 (c) and (d).

 

3.                                       Paragraph
19.01 shall be deleted and replaced with the following:

 

“19.01            Any notice required or
permitted under this Agreement shall be sent by certified mail, return receipt
requested, postage pre-paid to the following addresses of the parties:

 

if to LICENSOR:

 

AVANT Immunotherapeutics, Inc.,

119 Fourth Avenue

Needham, MA 02494-2725,

USA

Attention: President

 

with a copy to:

Leon R. Yankwich

Yankwich and Associates

201 Broadway

Cambridge, MA  02139

USA

 

2

 

if to LICENSEE:

 

SmithKline Beecham PLC.

980 Great West Road

Brentford

Middlesex TW8 9GS

United Kingdom

Attention: General Counsel

 

with a copy to:

GlaxoSmithKline Biologicals Manufacturing
S.A.

rue de l’lnstitut 89

1330 Rixensart, Belgium

Attention: President

 

4.                                       All other
provisions of the Agreement shall remain unchanged and in full force and
effect.

 

IN WITNESS WHEREOF, the parties, through their authorised officers,
have executed this Amendment Agreement on the date above written.

 

 

AVANT IMMUNOTHERAPEUTICS INC

 

 

	
  BY:

  	
  /s/ Dr. Una S. Ryan, O.B.E.

  	
   

  
	
   

  	
  Dr. Una S. Ryan, O.B.E.

  
	
   

  	
  President and C.E.O.

  
	
   

  	
   

  
	
   

  	
   

  
	
  SMITHKLINE BEECHAM PLC,

  
	
   

  
	
   

  	
   

  
	
  BY:

  	
  /s/ Moncef Slaoui

  	
   

  
	
   

  	
  Moncef Slaoui

  
	
   

  	
  Attorney in fact

  
				

 

3Exhibit 10.22

 

LICENSE
AGREEMENT

 

THIS AGREEMENT, effective this 31st day of January, 2003,
(“the Effective Date”) is entered into by AVANT IMMUNOTHERAPEUTICS, INC.,
(“AVANT” or “LICENSEE” herein) a Delaware corporation having its principal
place of business at 119 Fourth Avenue, Needham, MA 02494, and ELAN DRUG
DELIVERY LIMITED (“ELAN” or “LICENSOR” herein) an English corporation having
its registered office at 1 Mere Way, Ruddington, Nottingham NG11 6JS, England.

 

WHEREAS, LICENSOR has or stands to acquire by assignment from UPT Asset
Holdings, LLC certain PATENT RIGHTS (as defined below) pertaining to methods
for preserving or stabilizing active ingredients as described in patent
applications, granted or otherwise, listed in Schedule A attached hereto
(“Elan Patent Applications”); in patent applications, granted or otherwise,
listed in Schedule B attached hereto (“Related UPT Applications”); and in
patent applications, granted or otherwise, listed in Schedule C attached
hereto (“Elan Stabilization Patents”), in respect of which it is prepared to
grant a license to LICENSEE pursuant to the terms set forth herein.

 

WHEREAS, LICENSEE wishes to acquire a license under PATENT RIGHTS of
LICENSOR.

 

WHEREAS, LICENSEE stands to acquire by asset transfer from UPT Asset
Holdings, LLC certain intellectual property rights listed in Schedule D
(the “Transferred Patent Applications”), in respect of which it is prepared to
covenant not to assert said intellectual property rights against LICENSOR and
entities associated with it, as recited below.

 

WHEREAS, LICENSOR wishes to secure such a covenant of non-assertion
from LICENSEE with respect to the Transferred Patent Applications.

 

NOW, THEREFORE, in consideration of the mutual covenants, payment and
understandings set forth herein and in a Deed of Assignment of Patents and
Patent Applications between UPT Asset Holdings, LLC, OCM Principal
Opportunities Fund, L.P. and ELAN, and an Asset Purchase Agreement between OCM
Principal Opportunities Fund, L.P., UPT Asset Holdings, LLC and AVANT, both
executed on even date herewith, LICENSOR and LICENSEE hereby agree as follows:

 

1. Definitions.

 

As used herein, the following terms shall have the meanings set forth
below:

 

1.1                                 PATENT
RIGHTS means any subject matter that is encompassed by a claim of an
APPLICATION or any division, continuation, continuation in part, reissue,
substitute, and extension thereof, or any patent issuing therefrom, and any
foreign counterparts of any of

 

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the foregoing (except for those counterparts included within the
Transferred Patent Applications or otherwise not prosecuted or maintained by
Elan).

 

1.2                                 APPLICATION
means any of the patents or patent applications listed in Schedule A
(attached hereto), Schedule B (attached hereto), or Schedule C
(attached hereto), and any divisions, continuations, reissues, substitutes, and
extensions thereof.

 

1.3                                 LICENSED
TERRITORY means worldwide.

 

1.4                                 LICENSED
PRODUCT means a product encompassed by PATENT RIGHTS or produced using a
process encompassed by PATENT RIGHTS.

 

1.5                                 LICENSED
PROCESS means any method encompassed by PATENT RIGHTS.

 

1.6                                 AFFILIATE
means any legal entity (such as a corporation, partnership, or limited
liability company) that controls or is controlled by AVANT or by ELAN.  For the purposes of this definition, the
term “control” means (i) beneficial ownership of at least fifty percent (50%)
of the voting securities of a corporation or other business organization with voting
securities or (ii) a fifty percent (50%) or greater interest in the net assets
or profits of a partnership or other business organization without voting
securities.

 

1.7                                 AVANT FIELD
means all stabilization processes, drying processes and methods of formulation,
including but not limited to those involving freeze-drying and/or spray-drying
and/or supercritical fluid, and/or preservation and/or delivery of:

(A) vaccines for oral administration for delivery to the
gastrointestinal tract (excluding buccal and/or sublingual and/or inhalation
routes of administration) or for intravaginal administration, including but not
limited to (i) bacterial vaccines and vectors, and (ii) viral vaccines and
vectors; and

(B) vaccines for administration to animals (i) via the drinking water,
and/or (ii) as a coarse spray, and/or (iii) in the form of eye drops;

(C) vaccines for administration to avian species by any means;

and the vaccines referred to in clauses (A) and (B) and (C) of this
paragraph thus stabilized and/or preserved and/or to be delivered.

The AVANT FIELD shall exclude:

(1) the use of Hydrophobically Derivatised Carbohydrates (“HDCs”) (as
defined in patent publication WO 96/03978 (international application no.
PCT/GB95/01861), “Elan’s Solidose Patent”) where such HDCs are part of either
(i) a vaccine formulation administered in solid form or (ii) a vaccine
formulation administered in liquid form where the HDCs are not in solution; and

(2) the ELAN FIELD as described below.

 

1.8                                 ELAN FIELD
means all stabilization processes, drying processes and methods of formulation,
including but not limited to those involving freeze-drying and/or spray-drying
and/or supercritical fluid, and/or preservation and/or delivery of:

 

2

 

(A) vaccines and/or active pharmaceutical
ingredients for administration (i) by injection, including but not limited to
intra-epidermal, intra-dermal, sub-cutaneous, intra-muscular and
intra-peritoneal administration; (ii) into, onto and/or across the skin,
including but not limited to intra-epidermal, intra-dermal, sub-cutaneous,
intra-muscular and intra-peritoneal administration; (iii) to and/or via the
nasal cavity and/or pulmonary tract; and/or (iv) by buccal and/or sub-lingual
routes of administration (excluding oral administration for delivery to the
gastrointestinal tract);

(B) blood factors including but not limited
to Factor VIII;

(C) blood cells including but not limited to
platelets;

(D) materials used in connection with the
diagnosis of disease and/or genetic disorders;

(E) materials used in connection with the
measurement of glucose in blood, plasma, serum and/or interstitial fluid; and

(F) materials used in connection with the in
vitro analysis of human specimens and predictive medicine in
pharmacogenomics

and the vaccines and/or ingredients, blood factors, blood cells, and/or
other materials thus stabilized and/or preserved and/or to be delivered.

The ELAN FIELD shall exclude the AVANT FIELD.

 

2. Grant of Rights.

 

2.1                                 License
Grant.

 

LICENSOR hereby grants to LICENSEE:

(1) a worldwide, royalty-free, exclusive
license in the AVANT FIELD under Elan Patent Applications and Related UPT
Applications to make, have made, use, sell, offer to sell, have sold, and
import LICENSED PRODUCTS and to practice LICENSED PROCESSES;

(2) a worldwide, royalty-free, non-exclusive license under Elan Patent
Applications and Related UPT Applications in all fields of use excluding the
ELAN FIELD to make, have made, use, sell, offer to sell, have sold, and import
LICENSED PRODUCTS and to practice LICENSED PROCESSES;

(3) a worldwide, royalty-free, non-exclusive license in the AVANT FIELD
under Elan Stabilization Patents to make, have made, use, sell, offer to sell,
have sold, and import LICENSED PRODUCTS and to practice LICENSED PROCESSES;

(4) a worldwide, royalty-free license under Elan Patent Applications
(Schedule A) and Related UPT Applications (Schedule B),  for the benefit of Stratagene, as licensee
from Universal Preservation Technologies, Inc. (“UPT”) in the field described
in the Exclusive License Agreement dated March 1, 2002, and as amended, by
and between UPT and Stratagene (“the Stratagene License Agreement”, copy
attached as Schedule E) to make, have made, use, sell, offer to sell, have
sold, and import Licensed Products as such term is defined in the Stratagene
License Agreement.

 

LICENSOR further agrees that subsequent to October 24, 2002, no
additional or further licenses under the Elan Patent Applications or the
Related UPT Applications have been or

 

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will be granted by LICENSOR 
with respect to the manufacture, use, sale, offer for sale, and
importation of Licensed Products (as such term is defined in the Stratagene
License Agreement) within the Licensed Field (as such term is defined in the
Stratagene License Agreement).

 

LICENSEE acknowledges that, through the Asset Purchase Agreement,
LICENSEE shall be assigned the Development and License Agreement entered into
between American Home Products Corporation, acting through its Fort Dodge
Animal Health division (“FDAH”), and Universal Preservation Technologies(“UPT”)
dated August 25, 1998, which agreement granted a license from UPT to FDAH
of certain UPT patents and patent applications now being assigned to Elan
pursuant to the Deed of Assignment and licensed to Avant pursuant to this  LICENSE AGREEMENT.  The field of said FDAH-UPT agreement is limited to avian vaccines
and does not extend to vaccines for administration to humans.

 

LICENSEE further acknowledges and agrees that, except as specifically
provided above, no other license is granted or implied under PATENT RIGHTS or
any other patent rights, and agrees not to practice PATENT RIGHTS outside of
the license grant pursuant to Section 2.1(1) to (4) inclusive

 

2.2                                 Sublicenses.

 

Except as set forth with respect to the existing Stratagene licensee in
this subsection, LICENSEE may sublicense, directly or indirectly, through
multiple tiers, the rights and licenses granted to LICENSEE in accordance with
Section 2.1.  LICENSEE shall give
written notice of each sublicense to LICENSOR promptly, and any such sublicense
shall include terms of confidentiality at least as strict as those set forth in
Section 6 below.  The rights of
Stratagene to sublicense the rights granted hereunder shall be governed by the
Stratagene License Agreement (Schedule E).

 

LICENSEE shall be liable for all acts and omissions of its
sub-licensees which, if committed by LICENSEE, would constitute a breach of any
of the covenants or obligations of LICENSEE in this  LICENSE AGREEMENT.

 

2.3                                 Retained
Rights. Except as set forth in Sections 2.1 and 2.2 above, LICENSOR shall
retain all other rights in PATENT RIGHTS.

 

3. Consideration for Grant of Rights.

 

3.1                                 In
consideration of the license of the PATENT RIGHTS hereunder, upon execution of
this LICENSE AGREEMENT, LICENSEE agrees to pay LICENSOR the non-refundable sum
of Five Hundred Thousand U.S. Dollars (US$500,000.00).  No further royalties, payments, or other
consideration will be exchanged between the parties in connection with the
execution of this LICENSE AGREEMENT.

 

4

 

The foregoing sum shall not be subject to any future performance
obligations of LICENSOR to LICENSEE and shall not be applicable against future
services provided by LICENSOR to LICENSEE. The terms of this Clause 3 are
independent and distinct from the other terms of this Agreement.  For the avoidance of doubt, the foregoing
shall be without prejudice to LICENSOR’S other obligations under this LICENSE
AGREEMENT which are assumed in consideration of LICENSEE’S other obligations
hereunder.

 

4. Licensee Obligations.

 

4.1           Indemnification.

 

(a) Indemnity.  LICENSEE or its permitted sublicensees or
any party acting on its behalf, shall indemnify, defend, and hold harmless ELAN
and its directors, officers, employees, and agents and their respective
successors, heirs and assigns (the “Indemnitees”), against any liability,
damage, loss, or expense (including reasonable attorneys fees and expenses of
litigation) incurred by or imposed upon any of the Indemnitees in connection
with any claims, suits, actions, demands or judgments arising out of any theory
of liability (including without limitation actions in the form of tort,
warranty, or strict liability and regardless of whether such action has any
factual basis) concerning any product, process, or service that is made, used,
sold, offered for sale, or imported pursuant to any right or license granted
under this LICENSE AGREEMENT; provided, however, that such indemnification
shall not apply to any liability, damage, loss, or expense to the extent
directly attributable to the gross negligence or wilful misconduct of the
Indemnitees.  LICENSEE’S indemnification
obligations shall specifically extend to any such claim, suit, action or demand
brought by a third party alleging that the making, using, selling, offering for
sale or importing of a LICENSED PRODUCT infringes any intellectual property
rights of a third party.

 

(b) Procedures.  The Indemnitees agree to provide LICENSEE
with prompt written notice of any claim, suit, action, demand, or judgment for
which indemnification is sought under this LICENSE AGREEMENT, but any delay in
notification shall relieve LICENSEE of its liability to indemnify hereunder
only to the extent that LICENSEE is actually prejudiced thereby.  LICENSEE agrees, at its own expense, to
provide attorneys reasonably acceptable to the Indemnitees to defend against
any such claim.  The Indemnitees shall
cooperate fully with LICENSEE in such defense and will permit LICENSEE to conduct
and control such defense and the disposition of such claim, suit, or action
(including all decisions relative to litigation, appeal, and settlement);
provided, however, that any Indemnitee shall have the right to retain its own
counsel, at its own expense, if representation of such Indemnitee by the
counsel retained by LICENSEE is deemed inappropriate because of perceived or
potential conflicts in the interests of such Indemnitee and any other party
represented by such counsel.  LICENSEE
agrees to keep the Indemnitees informed of the progress in the defense and
disposition of such claim and to consult with the Indemnitees with regard to
any proposed settlement.  In defending
against such claim, suit, action, demand or judgment, LICENSEE shall not take
any position adverse to the validity of the PATENT RIGHTS without the prior
written consent of  LICENSOR, which
shall not be unreasonably refused.

 

5

 

4.2.          Use
of ELAN Name.  LICENSEE and its
AFFILIATES shall not use the name “Elan” or “Elan Drug Delivery Limited” or any
variation of those names in connection with the marketing or sale of any
LICENSED PRODUCTS without the prior written consent of ELAN.

 

4.3.          Marking of
LICENSED PRODUCTS.  To the extent
commercially feasible and consistent with prevailing business practices,
LICENSEE shall mark, and shall cause its AFFILIATES to mark, all LICENSED
PRODUCTS that are manufactured or sold under this LICENSE AGREEMENT with the
number of each issued patent under the PATENT RIGHTS that applies to such
LICENSED PRODUCT.

 

4.4           Orange
Book Submission.  LICENSEE shall
submit to the Food & Drug Administration, or other relevant agency,
documents necessary to include in the Orange Book, or similar publication, each
issued patent under the PATENT RIGHTS that applies to a LICENSED PRODUCT sold
by LICENSEE.

 

4.5.          Compliance
with Law.  LICENSEE shall comply
with, and shall ensure that its AFFILIATES comply with, all local, state, and
federal laws and regulations relating to the development, manufacture, use, and
sale of LICENSED PRODUCTS.

 

4.6           Non-Assertion.  LICENSEE covenants and agrees not to assert
outside the AVANT FIELD the Transferred Patent Applications and/or any patents
issuing from any of the Transferred Patent Applications and/or any patents
which are subsequently abandoned by LICENSOR and taken over by LICENSEE
pursuant to the provisions of this LICENSE AGREEMENT, against ELAN, its
AFFILIATES, successors, customers, and/or licensees (both current and future).  If LICENSEE assigns or licenses (except with
respect to the Stratagene licensee mentioned above) or otherwise disposes of
all or any of the patents or patent rights referred to in this
Section 4.6, such assignment or license shall include a comparable non-assertion
provision.

 

5. Patents and Infringement.

 

5.1.          Responsibility
for PATENT RIGHTS.  In connection
with LICENSOR’S prosecution of APPLICATIONS, LICENSOR shall, subject to
subsection 5.3 below, use commercially reasonable efforts to obtain claims
in the AVANT FIELD.  Limited to the
extent related to the AVANT FIELD, LICENSOR shall generally keep LICENSEE
informed about significant prosecution activities relating to the Elan Patent
Applications and the Related UPT Applications and give LICENSEE personnel reasonable
access to patent personnel of LICENSOR involved in or knowledgeable of such
prosecution activities, with instructions to cooperate with LICENSEE as to
matters relating to the Elan Patent Applications and Related UPT Applications
and licenses granted pursuant to this LICENSE AGREEMENT.

 

5.2.          Cooperation.  If requested by the LICENSOR, the LICENSEE
shall cooperate fully with the LICENSOR in the preparation, filing,
prosecution, and maintenance of all PATENT RIGHTS.  In the same manner, LICENSOR shall cooperate fully with LICENSEE

 

6

 

as reasonably necessary in
preparation, filing, prosecution, and maintenance of applications added to
Transferred Patent Applications subsequent to the Effective Date pursuant to
Section 5.3 below.  Such
cooperation includes, without limitation, (i) promptly executing all papers and
instruments or requiring employees of LICENSOR or LICENSEE to execute such
papers and instruments as reasonable and appropriate so as to enable LICENSOR
or LICENSEE to file, prosecute, and maintain such PATENT RIGHTS in any country;
and (ii) promptly informing the other party of matters that may affect the
preparation, filing, prosecution, or maintenance of any such PATENT RIGHTS
(such as becoming aware of an additional inventor who is not listed as an
inventor in a patent application).

 

5.3.          Abandonment.  LICENSOR shall have the right, but not the
obligation, to continue to prosecute and maintain the APPLICATIONS and any
patents issuing therefrom.  In the event
that LICENSOR desires to abandon any patent or APPLICATION within the Elan
Patent Applications (Schedule A) or the Related UPT Applications
(Schedule B), LICENSOR shall, strictly subject to its other third party
obligations:

(i) notify LICENSEE in advance and in a timely manner with respect to
upcoming deadlines where LICENSOR is not intending to take steps to meet the
deadline; and

(ii) give LICENSEE the opportunity to take over the prosecution and/or
maintenance, at its own expense, of any such patent or APPLICATION.  In the event that LICENSOR elects not to
continue prosecuting or maintaining an APPLICATION or any patent issuing
therefrom in any jurisdiction, LICENSOR shall notify LICENSEE, and, subject to
any third party agreements existing as of the date hereof, LICENSEE shall have
the option to prosecute and/or maintain, at its own expense, such APPLICATION
or patent in such jurisdictions. 
LICENSOR agrees, subject to any third party agreements existing as of
the date thereof, to assign to LICENSEE any such APPLICATION that LICENSEE
elects to prosecute and/or maintain after LICENSOR’S decision to abandon.  LICENSOR agrees, upon LICENSEE’S request,
and at LICENSEE’S expense, to execute all legal documents required for
preparation, filing, prosecution, and maintenance of any APPLICATION or patent
issuing therefrom for which LICENSEE has taken over prosecution and/or
maintenance responsibility.  Any
APPLICATION or patent transferred in accordance with this Section 5.3 from
LICENSOR or LICENSEE shall be regarded as a patent or patent right belonging to
the Transferred Patent Applications, and following such transfer such patents
or patent rights shall be treated under this LICENSE AGREEMENT in accordance
with the provisions herein relating to the Transferred Patent Applications
(including but not limited to Section 4.6).

 

5.4.          Infringement.

 

(a) Notification of Infringement.  Each party agrees to provide written notice
to the other party promptly after becoming aware of any infringement of the
PATENT RIGHTS, save that the LICENSOR shall be under no obligation to provide
such notice to the LICENSEE in relation to any infringement in the ELAN FIELD.

 

(b) LICENSEE Right to Enforce.  LICENSEE, as the exclusive licensee in
accordance with Section 2.1(1) in the AVANT FIELD, shall have the right,
under its own control and at its own expense, to bring suit against any third
party for infringement in the AVANT FIELD of the Related UPT Applications and
the Elan Patent Applications.  Prior to

 

7

 

commencing any such action,
LICENSEE shall consult with LICENSOR and shall consider the views of LICENSOR
regarding the advisability of the proposed action and its effect on the public
interest.  LICENSEE shall not enter into
any settlement, consent judgment, or other voluntary final disposition of any
infringement action under this Subsection 5.4(b) without the prior written
consent of LICENSOR, which consent shall not be unreasonably withheld or
delayed.  LICENSEE shall not take any
position adverse  to the validity of the
Related UPT Applications or the Elan Patent Applications without first
consulting with LICENSOR.  Any recovery
obtained in an action under this Subsection 5.4(b) shall be distributed as
follows: (i) LICENSEE shall be reimbursed for any expenses incurred in bringing
and prosecuting the action, (ii) LICENSOR shall be reimbursed for any
non-reimbursed expenses (see Subsection 5.4(f) below), and (iii) from any
remaining recovery, LICENSEE shall receive seventy-five percent (75%) and
LICENSOR shall receive twenty-five percent (25%).

 

(c) LICENSOR Right to  Enforce.  In the event that LICENSEE elects not to exercise its right of
enforcement under Subsection 5.4(b) or fails to initiate an infringement
action within nine months after it first becomes aware of the basis for such
action, LICENSOR shall have the right to bring suit against any third party for
infringement within the AVANT FIELD, under its sole control and at its sole
expense, and any recovery obtained shall be distributed as follows: (i)
LICENSOR shall be reimbursed for any expenses incurred in bringing and
prosecuting the action, (ii) LICENSEE shall be reimbursed for any
non-reimbursed expenses (see Subsection 5.4(f) below) and (iii) from any remaining
recovery, LICENSOR shall receive one hundred percent (100%).  LICENSOR shall have the sole right to bring
suit under PATENT RIGHTS against a third party for infringement in the ELAN
FIELD, or to answer and defend a declaratory judgement action involving any
PATENT RIGHTS, and any recovery obtained in such an action by LICENSOR shall be
the sole property of LICENSOR.  LICENSOR
shall have the unilateral right to enter into any settlement, consent judgment,
or other voluntary final disposition of an infringement action under this
Subsection 5.4(c), except that as part of such settlement, consent
judgment, or other voluntary final disposition, LICENSOR shall not take a
position adverse to the validity of the Related UPT Applications or the Elan Patent
Applications without prior written consent of LICENSEE which shall not be
unreasonably refused.

 

(d) LICENSEE Second Right to Enforce.  LICENSOR shall have the right, under its own
control and at its own expense, to bring suit against any third party for infringement
of PATENT RIGHTS outside the AVANT FIELD and outside the ELAN FIELD, and
recovery obtained in such an action by LICENSOR shall be the sole property of
LICENSOR.  LICENSOR shall have the
unilateral right to enter into any settlement, consent judgment, or other
voluntary final disposition of an infringement action under this
Subsection 5.4(d), except that, as part of such settlement, consent
judgment, or other voluntary final disposition, LICENSOR shall not take a
position adverse to the validity of the Related UPT Applications or the Elan
Patent Applications without prior written consent of LICENSEE which shall not
be unreasonably refused.  In the event
that LICENSOR elects not to exercise its right of enforcement under this
Subsection 5.4(d) with respect to Related UPT Applications or Elan Patent
Applications or fails to initiate an infringement action within nine months
after it first becomes aware of the basis for such action under the Related UPT

 

8

 

Applications or Elan Patent
Applications, subject to third party rights existing as of the date hereof,
LICENSEE shall have the right to bring suit against any third party for
infringement, under its sole control and at its sole expense; provided however,
that LICENSEE shall not take any position adverse to the validity of the
Related UPT Applications or Elan Patent Applications without  prior written consent of LICENSOR which
shall not be unreasonably refused.  Any
recovery for a suit brought by LICENSEE pursuant to this Subsection 5.4(d)
shall be distributed as follows:  (i)
LICENSEE shall be reimbursed for any expenses incurred in bringing and
prosecuting the action, (ii) LICENSOR shall be reimbursed for any
non-reimbursed expenses (see Subsection 5.4(f) below), and (iii) from any
remaining recovery, LICENSEE shall receive one hundred percent (100%).

 

(e) LICENSEE shall have the sole right to
bring suit under Transferred Patent Applications against a third party for
infringement, or to answer and defend a declaratory judgement action involving
any Transferred Patent Applications, and any recovery obtained in such an
action by LICENSEE shall be the sole property of LICENSEE.  LICENSEE shall have the unilateral right to
enter into any settlement, consent judgment, or other voluntary final
disposition of an infringement action under this Subsection 5.4(e).

 

(f) Cooperation.  Each party agrees to cooperate fully in any
action brought under this Section 5.4 that is controlled by the other
party, provided that the controlling party reimburses the cooperating party
promptly for any costs and expenses incurred by the cooperating party in
connection with providing such assistance.

 

6. Confidential Information; Publications; Publicity.

 

6.1.          Confidential
Information.

 

(a) Designation.  Confidential Information that is disclosed
pursuant to this LICENSE AGREEMENT in writing shall be marked with a legend
indicating its confidential status (such as “Confidential” or “Proprietary”).  Confidential Information that is disclosed
pursuant to this LICENSE AGREEMENT orally or visually shall be documented in a
written notice prepared by the Disclosing Party and delivered to the Receiving
Party within thirty (30) days of the date of disclosure; such notice shall
summarize the Confidential Information disclosed to the Receiving Party and
reference the time and place of disclosure.

 

(b) Obligations.  For a period of five (5) years after
disclosure of any portion of Confidential Information, the Receiving Party
shall (i) maintain such Confidential Information in strict confidence, except
that the Receiving Party may disclose or permit the disclosure of any
Confidential Information to its directors, officers, employees, consultants,
and advisors who are obligated to maintain the confidential nature of such
Confidential Information and who have a need to know such Confidential
Information; (ii) use such Confidential Information solely for the purposes of
this LICENSE AGREEMENT; and (iii) allow its directors, officers, employees, consultants,
and advisors to reproduce the Confidential Information only to the extent
necessary for the purposes of this LICENSE AGREEMENT, with all such
reproductions being also considered Confidential Information.

 

9

 

(c) Exceptions.  The obligations of the Receiving Party under
Subsection 6.1(b) above shall not apply to any Confidential Information to
the extent that the Receiving Party can demonstrate that such Confidential
Information (i) was in the public domain prior to the time of its disclosure to
the Receiving Party; (ii) entered the public domain after the time of its
disclosure to the Receiving Party through means other than an unauthorized
disclosure resulting from an act or omission by the Receiving Party; (iii) was
independently developed or discovered by the Receiving Party without use of or
reference to the Confidential Information; (iv) is or was disclosed to the
Receiving Party at any time, whether prior to or after the time of its
disclosure under this LICENSE AGREEMENT, by a third party having no fiduciary
relationship with the Disclosing Party and having no obligation of
confidentiality with respect to such Confidential Information; or (v) is
required to be disclosed to comply with applicable laws or regulations, or with
a court or administrative order, provided that the Disclosing Party receives
reasonable prior written notice of such disclosure and the Receiving Party
cooperates in legal efforts to limit such disclosure.

 

(d) Ownership and Return.  The Receiving Party acknowledges that the
Disclosing Party (or any third party entrusting its own information to the
Disclosing Party) retains a proprietary interest in its Confidential
Information in the possession of the Receiving Party.  Upon the expiration or termination of this LICENSE AGREEMENT, and
at the request of the Disclosing Party, the Receiving Party shall return to the
Disclosing Party all originals, copies, and summaries of documents, materials,
and other tangible manifestations of Confidential Information in the possession
or control of the Receiving Party, except that the Receiving Party may retain
one copy of the Confidential Information in the possession of its legal counsel
solely for the purpose of monitoring its obligations under this LICENSE
AGREEMENT.

 

6.2. Publications.  Both parties and their employees will be
free to publicly disclose (through journals, lectures, or otherwise) the
results of any research relating to the subject matter of the PATENT RIGHTS.

 

6.3.          Publicity
Restrictions.

 

(a)  The specific terms of this LICENSE AGREEMENT are
confidential and shall not be disclosed to a third party without the prior
written approval of the other party, except that either party may disclose this
LICENSE AGREEMENT (1) to its  AFFILIATES
and professional advisers or in connection with the sale or proposed sale of
all or substantially all of the assets related to the subject matter of this
LICENSE AGREEMENT; and (2) in any prospective, offering memorandum, or other
document or filing required by applicable securities laws or other applicable
law or regulation.  To the extent
disclosure of this LICENSE AGREEMENT, or the terms thereof, is required by law,
the disclosing party shall take all reasonable steps necessary to preserve the
continued confidentiality of this LICENSE AGREEMENT.

 

(b)  Except as set forth above in
Subsection 6.3(a), neither party will, without the prior written consent
of the other party, issue any press release or promotional

 

10

 

material or make any other
public announcement or furnish any public statement to any person concerning
this LICENSE AGREEMENT.

 

7. Term and Termination.

 

7.1.          Term.  This LICENSE AGREEMENT shall commence on the
Effective Date and shall remain in effect on a country by country basis until
the expiration of the last to expire of any patent issuing from the
APPLICATIONS in that country.

 

7.2.          Voluntary
Termination by LICENSEE.  LICENSEE
shall have the right to terminate this LICENSE AGREEMENT, for any reason, upon
ninety (90) days prior written notice to LICENSOR.  In the event that LICENSEE terminates this LICENSE AGREEMENT
under this Section 7.2., all licensed rights granted to LICENSEE, including
those granted for the benefit of Stratagene, shall revert to LICENSOR.  Voluntary termination by LICENSEE under this
Section 7.2 shall not reverse any assignment of PATENT RIGHTS that has
occurred pursuant to Section 5.3 above.

 

7.3.          Termination
for Default.  In the event that
either party commits a material breach of its obligations under this LICENSE
AGREEMENT and fails to cure that breach within sixty (60) days after receiving
written notice thereof, the other party may initiate executive discussions
regarding resolution of the breach.  If
these good-faith discussions fail to yield a resolution of the breach within
another sixty (60) day period, the other party may terminate this LICENSE
AGREEMENT upon written notice to the party in breach.

 

7.4.          Termination
by LICENSOR.  In the event that
LICENSEE institutes legal action against LICENSOR challenging the validity,
ownership or scope of the PATENT RIGHTS, LICENSOR shall be entitled to
terminate this LICENSE AGREEMENT by written notice, with respect to the PATENT
RIGHTS so challenged.

 

7.5.          Force
Majeure.  Neither party will be
responsible for delays resulting from causes beyond the reasonable control of
such party, including without limitation, fire, explosion, flood, war, strike,
or riot, provided that the nonperforming party uses commercially reasonable
efforts to avoid or remove such causes of nonperformance and continues
performance under this LICENSE AGREEMENT with reasonable dispatch whenever such
causes are removed.

 

7.6.          Effect
of Termination.  The following
provisions shall survive the expiration or termination of this LICENSE
AGREEMENT: Articles 1 and 8; Sections 4.1, 4.4, 4.5, 4.6, 6.1, 6.3, and
7.6.  Upon the early termination of this
LICENSE AGREEMENT, LICENSEE and its AFFILIATES may complete and sell any
work-in-progress and inventory of LICENSED PRODUCTS that exist as of the
effective date of termination, provided that 
LICENSEE and its AFFILIATES complete and sell all work-in-progress and
inventory of LICENSED PRODUCTS within one year after the effective date of
termination.  Upon the termination of
this LICENSE AGREEMENT pursuant to the terms and conditions herein, LICENSEE
and its AFFILIATES shall stop using all LICENSED PRODUCTS and stop

 

11

 

practicing LICENSED PROCESSES
except as permitted in the preceding sentence; and any sublicense granted
hereunder shall automatically terminate.

 

8. Dispute Resolution.

 

In the event of any dispute arising out of or relating to this LICENSE
AGREEMENT, the affected party shall notify the other party, and the parties
shall attempt in good faith to resolve the matter within thirty (30) days after
the date of such notice (the “Notice Date”). 
Any disputes not resolved by good faith discussions shall be referred to
senior executives of each party, who shall meet at a mutually acceptable time
and location within sixty (60) days after the Notice Date and attempt to
negotiate a settlement.  In the absence
of settlement the parties shall have the liberty to resort to the courts under
the jurisdiction of the State of  New
York.

 

9. Miscellaneous.

 

9.1.          Representations
and Warranties.

(a) LICENSOR represents and warrants that it
is owner of the entire right, title, and interest in the Elan Patent
Applications and the Elan Stabilization Patents and that it has authority to
grant the rights and licenses set forth in this LICENSE AGREEMENT.  LICENSOR MAKES NO OTHER WARRANTIES
CONCERNING THE PATENT RIGHTS, INCLUDING WITHOUT LIMITATION ANY EXPRESS OR
IMPLIED WARRANTY OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE.  Specifically, LICENSOR makes no warranty or
representation (i) regarding the validity or scope of the PATENT RIGHTS, (ii)
that the exploitation of the PATENT RIGHTS or manufacture, use, sale, offer for
sale, or importation of any LICENSED PRODUCT will not infringe any patents or
other intellectual property rights of a third party, and (iii) that any third
party is not currently infringing or will not infringe the PATENT RIGHTS.

 

(b) LICENSEE represents and warrants that it
is prepared to receive and, upon the execution of an Asset Purchase Agreement
of even date between OCM Principal Opportunities Fund, L.P., UPT Asset
Holdings, LLC and Avant, will receive the entire right, title, and interest in
the Transferred Patent Applications and that it has authority to grant the
rights and covenants set forth in this LICENSE AGREEMENT.  LICENSEE MAKES NO OTHER WARRANTIES
CONCERNING THE TRANSFERRED PATENT APPLICATIONS, INCLUDING WITHOUT LIMITATION
ANY EXPRESS OR IMPLIED WARRANTY OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR
PURPOSE.  Specifically, LICENSEE makes
no warranty or representation (i) regarding the validity or scope of the
Transferred Patent Applications, (ii) that the exploitation of the Transferred
Patent Applications or manufacture, use, sale, offer for sale, or importation
of any products thereunder will not infringe any patents or other intellectual
property rights of a third party, and (iii) that any third party is not
currently infringing or will not infringe patent rights encompassed by the Transferred
Patent Applications.

 

12

 

9.2.          Counterparts.  This LICENSE AGREEMENT may be executed in
one or more counterparts, each of which shall be deemed an original, and all of
which together shall be deemed to be one and the same instrument.

 

9.3.          Headings.  All headings are for convenience only and
shall not affect the meaning of any provision of this LICENSE AGREEMENT.

 

9.4.          Binding
Effect.  This LICENSE AGREEMENT
shall be binding upon and inure to the benefit of the parties and their
respective successors and assigns.

 

9.5.          Assignment.  This LICENSE AGREEMENT may not be assigned
by LICENSEE without the prior written consent of LICENSOR, except that either
party may assign this LICENSE AGREEMENT without consent of the other party to
an AFFILIATE or to a successor in connection with the merger, consolidation, or
sale of all or substantially all of its assets or that portion of its business
to which this LICENSE AGREEMENT relates.

 

9.6.          Amendment
and Waiver.  This LICENSE AGREEMENT
may be amended, supplemented, or otherwise modified only by means of a written
instrument signed by both parties.  Any
waiver of any rights or failure to act in a specific instance shall relate only
to such instance and shall not be construed as an agreement to waive any rights
or fail to act in any other instance, whether or not similar.

 

9.7.          Governing
Law.  This LICENSE AGREEMENT shall
be governed by and construed in accordance with the laws of the State of  New York irrespective of any conflicts of
law principles.

 

9.8.          Notice.  Any notices required or permitted under this
LICENSE AGREEMENT shall be in writing, shall specifically refer to this LICENSE
AGREEMENT, and shall be sent by hand, recognized international courier, confirmed
facsimile transmission, or registered or certified mail, to the following
addresses or facsimile numbers of the parties:

 

If to LICENSEE:

 

Una S. Ryan, Ph.D.

President and CEO

AVANT Immunotherapeutics, Inc.

119 Fourth Avenue

Needham, MA 02494

U.S.A.

 

Tel:                            (781) 433-0771

Fax:                           (781) 433-0262

 

13

 

If to LICENSOR:

 

Mr Rajan Uppal

Senior Vice President

Elan Drug Delivery Limited

1 Mere Way

Ruddington

Nottingham 
NG11 6JS

England

 

Tel:                            (+44) (0)115-974 7474

Fax:                           (+44) (0)115-974 8420

 

All notices under this LICENSE AGREEMENT shall be deemed effective upon
receipt.  A party may change its contact
information immediately upon written notice to the other party in the manner
provided in this Section.

 

9.9. Severability.  In the event that any provision of this
LICENSE AGREEMENT shall be held invalid or unenforceable for any reason, such
invalidity or unenforceability shall not affect any other provision of this
LICENSE AGREEMENT, and the parties shall negotiate in good faith to modify the
LICENSE AGREEMENT to preserve (to the extent possible) their original
intent.  If the parties fail to reach a
modified agreement within sixty (60) days after the relevant provision is held
invalid or unenforceable, then the dispute shall be resolved in accordance with
the procedures set forth in Article 8.

 

9.10. Entire Agreement.  This LICENSE AGREEMENT constitutes the
entire agreement between the parties with respect to its subject matter and
supersedes all prior agreements or understandings between the parties relating
to its subject matter.

 

14

 

IN WITNESS WHEREOF, the parties have caused this LICENSE AGREEMENT to
be executed by their duly authorized representatives as of the date first
written above.

 

 

	
  AVANT IMMUNOTHERAPEUTICS, INC.

  	
   

  	
  ELAN DRUG DELIVERY LTD.

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
  By:

  	
  /s/ Una S. Ryan, Ph.D.

  	
   

  	
  By:

  	
  /s/ Rajan Uppal

  
	
  Name:

  	
  Una S. Ryan, Ph.D.

  	
   

  	
  Name:

  	
  Rajan Uppal

  
	
  Title:

  	
  President and CEO

  	
   

  	
  Title:

  	
  Director

  
							

 

15

 

ATTACHMENTS:

 

	
  Schedule A:

  	
   

  	
  Elan Patent Applications

  
	
   

  	
   

  	
   

  
	
  Schedule B:

  	
   

  	
  Related UPT Applications

  
	
   

  	
   

  	
   

  
	
  Schedule C:

  	
   

  	
  Elan Stabilization Patents

  
	
   

  	
   

  	
   

  
	
  Schedule D:

  	
   

  	
  Transferred Patent Applications

  
	
   

  	
   

  	
   

  
	
  Schedule E:

  	
   

  	
  copy of the Stratagene License Agreement
  and the amendment thereto

  

 

16

 

Schedule A.                               Elan Patent
Applications

As of December 20, 2002

 

Foamed Glass
Matrices

 

	
  a)

  	
   

  	
  European Patent Office

  	
   

  	
   

  	
   

  	
  Appl. No. 96917569.4

  	
   

  	
  (7 Jun 96)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  b)

  	
   

  	
  United States

  	
   

  	
   

  	
   

  	
  Appl. No. 08/923783

  	
   

  	
  (7 Jun 95)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  c)

  	
   

  	
  Israel

  	
   

  	
  Pat. No. 122482 (30 Jan 00)

  	
   

  	
  Appl. No. 122482

  	
   

  	
  (7 Jun 96)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  d)

  	
   

  	
  Mexico

  	
   

  	
   

  	
   

  	
  Appl. No. 9709716

  	
   

  	
  (7 Jun 96)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  e)

  	
   

  	
  Norway

  	
   

  	
   

  	
   

  	
  Appl. No. 975773

  	
   

  	
  (7 Jun 96)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  f)

  	
   

  	
  Japan

  	
   

  	
   

  	
   

  	
  Appl. No. 500235/97

  	
   

  	
  (7 Jun 96)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  g)

  	
   

  	
  Poland

  	
   

  	
   

  	
   

  	
  Appl. No. P323902

  	
   

  	
  (7 Jun 96)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  h)

  	
   

  	
  Canada

  	
   

  	
   

  	
   

  	
  Appl. No. 2223438

  	
   

  	
  (7 Jun 96)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  i)

  	
   

  	
  China

  	
   

  	
   

  	
   

  	
  Appl. No. 96194617.2

  	
   

  	
  (7 Jun 96)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  j)

  	
   

  	
  Australia

  	
   

  	
  Pat. No. 713599 (23 Mar 00)

  	
   

  	
  Appl. No. 60098/96

  	
   

  	
  (7 Jun 96)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  k)

  	
   

  	
  New Zealand

  	
   

  	
  Pat. No. 309841 (8 Feb 00)

  	
   

  	
  Appl. No. 309841

  	
   

  	
  (7 Jun 96)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  l)

  	
   

  	
  ARIPO

  	
   

  	
  Pat. No. AP852  (30 Jun 00)

  	
   

  	
  Appl. No. AP/P/97/01151

  	
   

  	
  (7 Jun 96)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  m)

  	
   

  	
  Brazil

  	
   

  	
   

  	
   

  	
  Appl. No. PI9609188.6

  	
   

  	
  (7 Jun 96)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  n)

  	
   

  	
  Singapore

  	
   

  	
  Pat. No. 
  51104  (19 Dec 00)

  	
   

  	
  Appl. No. 9705893-7

  	
   

  	
  (7 Jun 96)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  o)

  	
   

  	
  Slovak Republic

  	
   

  	
   

  	
   

  	
  Appl. No. PV 1675/97

  	
   

  	
  (7 Jun 96)

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  p)

  	
   

  	
  Czech Republic

  	
   

  	
   

  	
   

  	
  Appl. No. PV 3912-97

  	
   

  	
  (7 Jun 96)

  

 

17

 

as well as any substitutes, divisionals, continuations,
continuations-in-part, or reissue applications that claim priority to any of
the above patents or patent applications, and any foreign counterparts of any
of the foregoing.

 

18

 

Schedule B.                               Related UPT Applications

As of December 20, 2002

 

1)              Preservation by Foam
Formation (patent in interference)

 

	
  a)

  	
   

  	
  United States

  	
   

  	
  Pat. No. 5,766,520(16 June 98)

  	
   

  	
  Appl. No. 08/785,473

  	
   

  	
  (17 Jan 97)

  
	
  b)

  	
   

  	
  Australia

  	
   

  	
  Pat. No. 714328 (6 April 00)

  	
   

  	
  Appl. No. 36606/97

  	
   

  	
  (14 July 97)

  
	
  c)

  	
   

  	
  Brazil

  	
   

  	
   

  	
   

  	
  Appl. No. PI9711808-7

  	
   

  	
  (14 July 97)

  
	
  d)

  	
   

  	
  Canada

  	
   

  	
   

  	
   

  	
  Appl. No. 2260233

  	
   

  	
  (14 July 97)

  
	
  e)

  	
   

  	
  China

  	
   

  	
   

  	
   

  	
  Appl. No. 97196422.X

  	
   

  	
  (14 July 97)

  
	
  f)

  	
   

  	
  Czech Republic

  	
   

  	
   

  	
   

  	
  Appl. No. PV79-99

  	
   

  	
  (14 July 97)

  
	
  g)

  	
   

  	
  Eurasian Regional

  	
   

  	
  Pat. No. 001138 (17 July 00)

  	
   

  	
  Appl. No. 199900268/26

  	
   

  	
  (14 July 97)

  
	
  h)

  	
   

  	
  European Regional

  	
   

  	
   

  	
   

  	
  Appl. No. 97933415.8

  	
   

  	
  (14 July 97)

  
	
  i)

  	
   

  	
  Hungary

  	
   

  	
   

  	
   

  	
  Appl. No. P9903917

  	
   

  	
  (14 July 97)

  
	
  j)

  	
   

  	
  Israel

  	
   

  	
  Pat. No. 127971 (16 Dec 01)

  	
   

  	
  Appl. No. 127971

  	
   

  	
  (14 July 97)

  
	
  k)

  	
   

  	
  Japan

  	
   

  	
   

  	
   

  	
  Appl. No. 506201/1998

  	
   

  	
  (14 July 97)

  
	
  l)

  	
   

  	
  Korea

  	
   

  	
   

  	
   

  	
  Appl. No. 1019997000253 

  	
   

  	
  (14 July 97)

  
	
  m)

  	
   

  	
  Mexico

  	
   

  	
   

  	
   

  	
  Appl. No. 990592

  	
   

  	
  (14 July 97)

  
	
  n)

  	
   

  	
  Norway

  	
   

  	
   

  	
   

  	
  Appl. No. P990158

  	
   

  	
  (14 July 97)

  
	
  o)

  	
   

  	
  New Zealand

  	
   

  	
  Pat. No. 333738 (11 Jan 01)

  	
   

  	
  Appl. No. 333738

  	
   

  	
  (14 July 97)

  
	
  p)

  	
   

  	
  Poland

  	
   

  	
   

  	
   

  	
  Appl. No. P331174

  	
   

  	
  (14 July 97)

  
	
  q)

  	
   

  	
  Singapore

  	
   

  	
  Pat. No. 61161 (24 May 01)

  	
   

  	
  Appl. No. 9900222-2

  	
   

  	
  (14 July 97)

  
	
  r)

  	
   

  	
  Turkey

  	
   

  	
  Pat. No. 199900127 (21 Dec 99)

  	
   

  	
  Appl. No. 99/00127

  	
   

  	
  (14 July 97)

  
	
  s)

  	
   

  	
  Ukraine

  	
   

  	
   

  	
   

  	
  Appl. No. 99-02-0968/N

  	
   

  	
  (14 July 97)

  

 

2)              Scalable Long-Term
Shelf Preservation (CIP of Foam patent)

 

	
  a)

  	
   

  	
  United States

  	
   

  	
   

  	
   

  	
  Appl. No. 08/979,458

  	
   

  	
  (26 Nov 97)

  
	
  b)

  	
   

  	
  Canada

  	
   

  	
   

  	
   

  	
  Appl. No. 2312233

  	
   

  	
  (26 Nov 97)

  
	
  c)

  	
   

  	
  Chile

  	
   

  	
   

  	
   

  	
  Appl. No. 2859-98

  	
   

  	
  (25 Nov 97)

  
	
  d)

  	
   

  	
  China

  	
   

  	
   

  	
   

  	
  Appl. No. 97182498.3

  	
   

  	
  (26 Nov 97)

  
	
  e)

  	
   

  	
  European Regional

  	
   

  	
   

  	
   

  	
  Appl. No. 97948550.5

  	
   

  	
  (26 Nov 97)

  
	
  f)

  	
   

  	
  India

  	
   

  	
   

  	
   

  	
  Appl. No. 2064/CAL/98

  	
   

  	
  (23 Nov 97)

  
	
  g)

  	
   

  	
  Japan

  	
   

  	
   

  	
   

  	
  Appl. No. 522213/2000

  	
   

  	
  (26 Nov 97)

  
	
  h)

  	
   

  	
  Mexico

  	
   

  	
   

  	
   

  	
  Appl. No. 5123

  	
   

  	
  (26 Nov 97)

  
	
  i)

  	
   

  	
  Russia

  	
   

  	
   

  	
   

  	
  Appl. No. 2000112399/20

  	
   

  	
  (26 Nov 97)

  
	
  j)

  	
   

  	
  Saudi Arabia

  	
   

  	
   

  	
   

  	
  Appl. No. 99191193

  	
   

  	
  (11 Mar 99)

  
	
  k)

  	
   

  	
  Thailand

  	
   

  	
   

  	
   

  	
  Appl. No. 047344

  	
   

  	
  (24 Nov 97)

  

 

3)              Industrial Scale
Barrier Technology For Preservation

 

	
  a)

  	
   

  	
  United States

  	
   

  	
  Pat. No. 6,306,345 (23 Oct 01)

  	
   

  	
  Appl. No. 09/306,137

  	
   

  	
  (6 May 99)

  
	
  b)

  	
   

  	
  Canada

  	
   

  	
   

  	
   

  	
  Appl. No. 2360032

  	
   

  	
  (5 Jan 00)

  
	
  c)

  	
   

  	
  European Regional

  	
   

  	
   

  	
   

  	
  Appl. No. 00903099.0

  	
   

  	
  (5 Jan 00)

  
	
  d)

  	
   

  	
  Japan

  	
   

  	
   

  	
   

  	
  Appl. No. 2000-592394

  	
   

  	
  (5 Jan 00)

  

 

4)              Industrial Scale
Barrier Technology For Preservation (CIP)

 

	
  a)

  	
   

  	
  United States

  	
   

  	
   

  	
   

  	
  Appl. No. 09/589,381

  	
   

  	
  (7 Jun 00)

  
	
  b)

  	
   

  	
  PCT

  	
   

  	
   

  	
   

  	
  Appl. No. US00/19667

  	
   

  	
  (19 Jul 00)

  

 

5)              Vacuum Control
System for Foam Drying Apparatus

 

	
  a)

  	
   

  	
  United States

  	
   

  	
   

  	
   

  	
  Appl. No. 09/869,886

  	
   

  	
  (5 Jul 01)

  
	
  b)

  	
   

  	
  Canada

  	
   

  	
   

  	
   

  	
  Appl. No. 2360112

  	
   

  	
  (5 Jan 00)

  
	
  c)

  	
   

  	
  European Regional

  	
   

  	
   

  	
   

  	
  Appl. No. 00903104.8

  	
   

  	
  (5 Jan 00)

  
	
  d)

  	
   

  	
  Japan

  	
   

  	
   

  	
   

  	
  Appl. No. 2000-592581

  	
   

  	
  (5 Jan 00)

  

 

19

 

6)              Long-Term Shelf
Preservation by Vitrification

 

	
  a)

  	
   

  	
  United States

  	
   

  	
   

  	
   

  	
  Appl. No. 09/734,970

  	
   

  	
  (17 Jan 97)

  
	
  b)

  	
   

  	
  Canada

  	
   

  	
   

  	
   

  	
  Appl. No. 2256333

  	
   

  	
  (28 May 97)

  
	
  c)

  	
   

  	
  European Regional

  	
   

  	
   

  	
   

  	
  Appl. No. 97927769.6

  	
   

  	
  (28 May 97)

  
	
  d)

  	
   

  	
  Japan

  	
   

  	
   

  	
   

  	
  Appl. No. 542857/1997

  	
   

  	
  (28 May 97)

  

 

7)              Formulation of
Preservation Mixtures (α-methyl glucose)

 

	
  a)

  	
   

  	
  United States

  	
   

  	
   

  	
   

  	
  Appl. No. 09/721,609

  	
   

  	
  (22 Nov 00)

  
	
  b)

  	
   

  	
  Australia

  	
   

  	
   

  	
   

  	
  Appl. No. 17986/01

  	
   

  	
  (22 Nov 00)

  
	
  c)

  	
   

  	
  Brazil

  	
   

  	
   

  	
   

  	
  Appl. No. PI0015738-4

  	
   

  	
  (22 Nov 00)

  
	
  d)

  	
   

  	
  Canada

  	
   

  	
   

  	
   

  	
  Appl. No.

  	
   

  	
  (22 Nov 00)

  
	
  e)

  	
   

  	
  China

  	
   

  	
   

  	
   

  	
  Appl. No. 00817902.6

  	
   

  	
  (22 Nov 00)

  
	
  f)

  	
   

  	
  Czech Republic

  	
   

  	
   

  	
   

  	
  Appl. No. PV2002-1835

  	
   

  	
  (22 Nov 00)

  
	
  g)

  	
   

  	
  European Regional

  	
   

  	
   

  	
   

  	
  Appl. No. 00980766.0

  	
   

  	
  (22 Nov 00)

  
	
  h)

  	
   

  	
  Hungary

  	
   

  	
   

  	
   

  	
  Appl. No. P9903917

  	
   

  	
  (22 Nov 00)

  
	
  i)

  	
   

  	
  Israel

  	
   

  	
   

  	
   

  	
  Appl. No. 149778

  	
   

  	
  (22 Nov 00)

  
	
  j)

  	
   

  	
  India

  	
   

  	
   

  	
   

  	
  Appl. No. INPCT0200779

  	
   

  	
  (22 Nov 00)

  
	
  k)

  	
   

  	
  Japan

  	
   

  	
   

  	
   

  	
  Appl. No. 2001-539285

  	
   

  	
  (22 Nov 00)

  
	
  l)

  	
   

  	
  Korea

  	
   

  	
   

  	
   

  	
  Appl. No. 1020027006561 

  	
   

  	
  (22 Nov 00)

  
	
  m)

  	
   

  	
  Mexico

  	
   

  	
   

  	
   

  	
  Appl. No. 2002005115

  	
   

  	
  (22 Nov 00)

  
	
  n)

  	
   

  	
  New Zealand

  	
   

  	
   

  	
   

  	
  Appl. No. 519367

  	
   

  	
  (22 Nov 00)

  
	
  o)

  	
   

  	
  Singapore

  	
   

  	
   

  	
   

  	
  Appl. No. 200202945-2

  	
   

  	
  (22 Nov 00)

  

 

8)              Preservation and
Formulation in Hydrophobic Carriers

 

	
  a)

  	
   

  	
  United States

  	
   

  	
   

  	
   

  	
  Appl. No. 10/130,840

  	
   

  	
  (20 May 02)

  
	
  b)

  	
   

  	
  PCT

  	
   

  	
   

  	
   

  	
  Appl. No. US00/32071

  	
   

  	
  (22 Nov 00)

  

 

9)              Preservation of
Bacterial Cells (Modified Fermentation)

 

	
  a)

  	
   

  	
  United States

  	
   

  	
   

  	
   

  	
  Appl. No. 10/089,003

  	
   

  	
  (22 Mar 02)

  
	
  b)

  	
   

  	
  Canada

  	
   

  	
   

  	
   

  	
  Appl. No. 2382061

  	
   

  	
  (21 Aug 00)

  
	
  c)

  	
   

  	
  European Regional

  	
   

  	
   

  	
   

  	
  Appl. No. 00969011.6

  	
   

  	
  (21 Aug 00)

  

 

10)        Methods of Forming a
Humidity Barrier (Notice of Allowance 10/22/02)

 

	
  a)

  	
   

  	
  United States

  	
   

  	
   

  	
   

  	
  Appl. No. 09/694,630

  	
   

  	
  (23 Oct 00)

  

 

11)        Loading And Unloading Of
Permeating Protectants For Cryopreservation

 

	
  a)

  	
   

  	
  United States

  	
   

  	
   

  	
   

  	
  Appl. No. 09/194,397

  	
   

  	
  (4 Mar 99)

  
	
  b)

  	
   

  	
  Canada

  	
   

  	
   

  	
   

  	
  Appl. No. 2256714

  	
   

  	
  (29 May 97)

  
	
  c)

  	
   

  	
  European Regional

  	
   

  	
   

  	
   

  	
  Appl. No. 97928712.5

  	
   

  	
  (29 May 97)

  
	
  d)

  	
   

  	
  Japan

  	
   

  	
   

  	
   

  	
  Appl. No. 542954/1997

  	
   

  	
  (29 May 97)

  

 

12)        Vitrification Solutions
for Cryopreservation

 

	
  a)

  	
   

  	
  United States

  	
   

  	
   

  	
   

  	
  Appl. No. 09/254,563

  	
   

  	
  (5 Mar 99)

  
	
  b)

  	
   

  	
  European Regional

  	
   

  	
   

  	
   

  	
  Appl. No. 97940831.7

  	
   

  	
  (5 Sep 97)

  
	
  c)

  	
   

  	
  Israel

  	
   

  	
   

  	
   

  	
  Appl. No. 128855

  	
   

  	
  (5 Sep 97)

  
	
  d)

  	
   

  	
  Japan

  	
   

  	
   

  	
   

  	
  Appl. No. 512916/1998

  	
   

  	
  (5 Sep 97)

  

 

as well as any substitutes, divisionals, continuations, continuations-in-part,
or reissue applications that claim priority to any of the above patents or
patent applications, and any foreign counterparts of any of the foregoing.

 

20

 

Schedule C.                               Elan Stabilization Patents

As of December 23, 2002

 

	
  Client

  Reference

  	
   

  	
  Country

  	
   

  	
  Application

  Number

  	
   

  	
  Application

  Date

  	
   

  	
  Publication

  No.

  	
   

  	
  Grant

  Date

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  QS1

  	
   

  	
  Australia

  	
   

  	
  61363/86

  	
   

  	
  09/07/1986

  	
   

  	
  591160

  	
   

  	
   

  
	
  QS1

  	
   

  	
  Austria

  	
   

  	
  86904281.2

  	
   

  	
  09/07/1986

  	
   

  	
  EP0229810

  	
   

  	
  16/10/91

  
	
  QS1

  	
   

  	
  Belgium

  	
   

  	
  86904281.2

  	
   

  	
  09/07/1986

  	
   

  	
  EP0229810

  	
   

  	
  16/10/91

  
	
  QS1

  	
   

  	
  Canada

  	
   

  	
  531500

  	
   

  	
  09/03/1987

  	
   

  	
  1307485

  	
   

  	
   

  
	
  QS1

  	
   

  	
  Denmark

  	
   

  	
  1207/87

  	
   

  	
  09/07/1986

  	
   

  	
  170173

  	
   

  	
   

  
	
  QS1

  	
   

  	
  France

  	
   

  	
  86904281.2

  	
   

  	
  09/07/1986

  	
   

  	
  EP0229810

  	
   

  	
  16/10/91

  
	
  QS1

  	
   

  	
  Germany

  	
   

  	
  86904281.2

  	
   

  	
  09/07/1986

  	
   

  	
  EP0229810

  	
   

  	
  16/10/91

  
	
  QS1

  	
   

  	
  Italy

  	
   

  	
  86904281.2

  	
   

  	
  09/07/1986

  	
   

  	
  EP0229810

  	
   

  	
  16/10/91

  
	
  QS1

  	
   

  	
  Japan

  	
   

  	
  503940/61

  	
   

  	
  09/07/1986

  	
   

  	
  2140344

  	
   

  	
   

  
	
  QS1

  	
   

  	
  Luxembourg

  	
   

  	
  86904281.2

  	
   

  	
  09/07/1986

  	
   

  	
  EP0229810

  	
   

  	
  16/10/91

  
	
  QS1

  	
   

  	
  Netherlands

  	
   

  	
  86904281.2

  	
   

  	
  09/07/1986

  	
   

  	
  EP0229810

  	
   

  	
  16/10/91

  
	
  QS1

  	
   

  	
  Sweden

  	
   

  	
  86904281.2

  	
   

  	
  09/07/1986

  	
   

  	
  EP0229810

  	
   

  	
  16/10/91

  
	
  QS1

  	
   

  	
  Switzerland

  	
   

  	
  86904281.2

  	
   

  	
  09/07/1986

  	
   

  	
  EP0229810

  	
   

  	
  16/10/91

  
	
  QS1

  	
   

  	
  UK

  	
   

  	
  8704890.6

  	
   

  	
  09/07/1986

  	
   

  	
  2187191

  	
   

  	
   

  
	
  QS1

  	
   

  	
  United
  States of America

  	
   

  	
  026695

  	
   

  	
  09/07/1986

  	
   

  	
  4981319

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  QS2

  	
   

  	
  Argentina

  	
   

  	
  313044

  	
   

  	
  20/01/1989

  	
   

  	
  240255

  	
   

  	
   

  
	
  QS2

  	
   

  	
  Austria

  	
   

  	
  89901874.1

  	
   

  	
  18/01/1989

  	
   

  	
  EP0357709

  	
   

  	
  29/09/93

  
	
  QS2

  	
   

  	
  Belgium

  	
   

  	
  89901874.1

  	
   

  	
  18/01/1989

  	
   

  	
  EP0357709

  	
   

  	
  29/09/93

  
	
  QS2

  	
   

  	
  Canada

  	
   

  	
  588875

  	
   

  	
  23/01/1989

  	
   

  	
  1333562

  	
   

  	
   

  
	
  QS2

  	
   

  	
  Czechoslovakia

  	
   

  	
  PV
  402-89

  	
   

  	
  20/01/1989

  	
   

  	
  276472

  	
   

  	
   

  
	
  QS2

  	
   

  	
  France

  	
   

  	
  89901874.1

  	
   

  	
  18/01/1989

  	
   

  	
  EP0357709

  	
   

  	
  29/09/93

  
	
  QS2

  	
   

  	
  Germany

  	
   

  	
  89901874.1

  	
   

  	
  18/01/1989

  	
   

  	
  EP0357709

  	
   

  	
  29/09/93

  
	
  QS2

  	
   

  	
  Italy

  	
   

  	
  89901874.1

  	
   

  	
  18/01/1989

  	
   

  	
  EP0357709

  	
   

  	
  29/09/93

  
	
  QS2

  	
   

  	
  Japan

  	
   

  	
  1-501732

  	
   

  	
  18/01/1989

  	
   

  	
  2135928

  	
   

  	
   

  
	
  QS2

  	
   

  	
  Luxembourg

  	
   

  	
  89901874.1

  	
   

  	
  18/01/1989

  	
   

  	
  EP0357709

  	
   

  	
  29/09/93

  
	
  QS2

  	
   

  	
  Netherlands

  	
   

  	
  89901874.1

  	
   

  	
  18/01/1989

  	
   

  	
  EP0357709

  	
   

  	
  29/09/93

  
	
  QS2

  	
   

  	
  Spain

  	
   

  	
  8900206

  	
   

  	
  20/01/1989

  	
   

  	
  8900206

  	
   

  	
   

  
	
  QS2

  	
   

  	
  Sweden

  	
   

  	
  89901874.1

  	
   

  	
  18/01/1989

  	
   

  	
  EP0357709

  	
   

  	
  29/09/93

  
	
  QS2

  	
   

  	
  Switzerland

  	
   

  	
  89901874.1

  	
   

  	
  18/01/1989

  	
   

  	
  EP0357709

  	
   

  	
  29/09/93

  
	
  QS2

  	
   

  	
  UK

  	
   

  	
  89901874.1

  	
   

  	
  18/01/1989

  	
   

  	
  EP0357709

  	
   

  	
  29/09/93

  
	
  QS2

  	
   

  	
  United
  States of America

  	
   

  	
  07/411473

  	
   

  	
  18/01/1989

  	
   

  	
  5149653

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  QS12

  	
   

  	
  European
  Patent Office

  	
   

  	
  97947793.2

  	
   

  	
  05-Dec-97

  	
   

  	
   

  	
   

  	
   

  
	
  QS12

  	
   

  	
  United
  States of America

  	
   

  	
  08/985343

  	
   

  	
  35768

  	
   

  	
  6468782

  	
   

  	
   

  

 

21

 

	
  QS12

  	
   

  	
  India

  	
   

  	
  932/Del/2002

  	
   

  	
  05-Dec-97

  	
   

  	
   

  	
   

  	
   

  
	
  QS12

  	
   

  	
  South
  Africa

  	
   

  	
  97/10974

  	
   

  	
  05-Dec-97

  	
   

  	
   

  	
   

  	
  31-Mar-99

  
	
  QS12

  	
   

  	
  Australia

  	
   

  	
  54034/98

  	
   

  	
  05-Dec-97

  	
   

  	
   

  	
   

  	
  12-Oct-00

  
	
  QS12

  	
   

  	
  Canada

  	
   

  	
  2272821

  	
   

  	
  05-Dec-97

  	
   

  	
   

  	
   

  	
   

  
	
  QS12

  	
   

  	
  China

  	
   

  	
  97180328.5

  	
   

  	
  05-Dec-97

  	
   

  	
   

  	
   

  	
   

  
	
  QS12

  	
   

  	
  Japan

  	
   

  	
  10-525367

  	
   

  	
  05-Dec-97

  	
   

  	
   

  	
   

  	
   

  
	
  QS12.1

  	
   

  	
  United
  States of America

  	
   

  	
  10/215060

  	
   

  	
  04-Dec-97

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  QD1

  	
   

  	
  European
  Patent Office

  	
   

  	
  95927856.5

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
   

  
	
  QD1

  	
   

  	
  United
  States of America

  	
   

  	
  08/349029

  	
   

  	
  02-Dec-94

  	
   

  	
  6290991

  	
   

  	
  18-Sep-01

  
	
  QD1

  	
   

  	
  Australia

  	
   

  	
  71864/98

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
  28-Oct-99

  
	
  QD1.1

  	
   

  	
  United
  States of America

  	
   

  	
  09/628380

  	
   

  	
  02-Dec-94

  	
   

  	
  6331310

  	
   

  	
  18-Dec-01

  
	
  QD1.2

  	
   

  	
  United
  States of America

  	
   

  	
  09/945180

  	
   

  	
  02-Dec-94

  	
   

  	
   

  	
   

  	
   

  
	
  QD1.1
  (Glaxo)

  	
   

  	
  United
  States of America

  	
   

  	
  10/280468

  	
   

  	
  02-Dec-94

  	
   

  	
   

  	
   

  	
   

  
	
  QD1/2

  	
   

  	
  Poland

  	
   

  	
  P318898

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
   

  
	
  QD1/2

  	
   

  	
  Japan

  	
   

  	
  506345/96

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
   

  
	
  QD1/2.1

  	
   

  	
  European
  Patent Office

  	
   

  	
  01116638.6

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
   

  
	
  QD2

  	
   

  	
  European
  Patent Office

  	
   

  	
  01116637.8

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
   

  
	
  QD2

  	
   

  	
  Brazil

  	
   

  	
  PI1100784.2

  	
   

  	
  12-May-97

  	
   

  	
   

  	
   

  	
   

  
	
  QD2

  	
   

  	
  Romania

  	
   

  	
  97-00293

  	
   

  	
  13-Feb-97

  	
   

  	
   

  	
   

  	
   

  
	
  QD2

  	
   

  	
  United
  States of America

  	
   

  	
  09/755737

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
   

  
	
  QD2

  	
   

  	
  Czech
  Republic

  	
   

  	
  PV
  476/97

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
   

  
	
  QD2

  	
   

  	
  Australia

  	
   

  	
  31851/95

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
  01-Oct-98

  
	
  QD2

  	
   

  	
  Canada

  	
   

  	
  2197982

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
   

  
	
  QD2

  	
   

  	
  China

  	
   

  	
  95195496.2

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
   

  
	
  QD2

  	
   

  	
  Estonia

  	
   

  	
  P19970006-2

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
  19-Feb-02

  
	
  QD2

  	
   

  	
  Finland

  	
   

  	
  970867

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
   

  
	
  QD2

  	
   

  	
  Hungary

  	
   

  	
  P9800694

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
   

  
	
  QD2

  	
   

  	
  New
  Zealand

  	
   

  	
   

  	
   

  	
  04-Aug-95

  	
   

  	
  290896

  	
   

  	
   

  
	
  QD2

  	
   

  	
  Norway

  	
   

  	
  P971688

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
   

  
	
  QD2

  	
   

  	
  Russian
  Federation

  	
   

  	
  97103529

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
  10-Jan-02

  
	
  QD2

  	
   

  	
  Singapore

  	
   

  	
  9700739.7

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
  22-Feb-99

  
	
  QD2

  	
   

  	
  Mexico

  	
   

  	
  97134

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
   

  
	
  QD2

  	
   

  	
  Slovak
  Republic

  	
   

  	
  PV
  277/97

  	
   

  	
  04-Aug-95

  	
   

  	
   

  	
   

  	
   

  

 

22

 

	
  QPA5

  	
   

  	
  European
  Patent Office

  	
   

  	
  94921046.2

  	
   

  	
  19-Jul-94

  	
   

  	
  EP063947

  	
   

  	
   

  
	
  QPA5

  	
   

  	
  Austria

  	
   

  	
  94921046.2

  	
   

  	
  19-Jul-94

  	
   

  	
   

  	
   

  	
   

  
	
  QPA5

  	
   

  	
  Belgium

  	
   

  	
  94921046.2

  	
   

  	
  19-Jul-94

  	
   

  	
   

  	
   

  	
   

  
	
  QPA5

  	
   

  	
  Switzerland

  	
   

  	
  94921046.2

  	
   

  	
  19-Jul-94

  	
   

  	
   

  	
   

  	
   

  
	
  QPA5

  	
   

  	
  Germany

  	
   

  	
  94921046.2

  	
   

  	
  19-Jul-94

  	
   

  	
   

  	
   

  	
   

  
	
  QPA5

  	
   

  	
  Denmark

  	
   

  	
  94921046.2

  	
   

  	
  19-Jul-94

  	
   

  	
   

  	
   

  	
   

  
	
  QPA5

  	
   

  	
  Spain

  	
   

  	
  94921046.2

  	
   

  	
  19-Jul-94

  	
   

  	
   

  	
   

  	
   

  
	
  QPA5

  	
   

  	
  France

  	
   

  	
  94921046.2

  	
   

  	
  19-Jul-94

  	
   

  	
   

  	
   

  	
   

  
	
  QPA5

  	
   

  	
  Greece

  	
   

  	
  94921046.2

  	
   

  	
  19-Jul-94

  	
   

  	
   

  	
   

  	
   

  
	
  QPA5

  	
   

  	
  Ireland

  	
   

  	
  94921046.2

  	
   

  	
  19-Jul-94

  	
   

  	
   

  	
   

  	
   

  
	
  QPA5

  	
   

  	
  Italy

  	
   

  	
  94921046.2

  	
   

  	
  19-Jul-94

  	
   

  	
   

  	
   

  	
   

  
	
  QPA5

  	
   

  	
  Luxembourg

  	
   

  	
  94921046.2

  	
   

  	
  19-Jul-94

  	
   

  	
   

  	
   

  	
   

  
	
  QPA5

  	
   

  	
  Monaco

  	
   

  	
  94921046.2

  	
   

  	
  19-Jul-94

  	
   

  	
   

  	
   

  	
   

  
	
  QPA5

  	
   

  	
  Netherlands

  	
   

  	
  94921046.2

  	
   

  	
  19-Jul-94

  	
   

  	
   

  	
   

  	
   

  
	
  QPA5

  	
   

  	
  Portugal

  	
   

  	
  94921046.2

  	
   

  	
  19-Jul-94

  	
   

  	
   

  	
   

  	
   

  
	
  QPA5

  	
   

  	
  Sweden

  	
   

  	
  94921046.2

  	
   

  	
  19-Jul-94

  	
   

  	
   

  	
   

  	
   

  
	
  QPA5

  	
   

  	
  Australia

  	
   

  	
  71920/94

  	
   

  	
  19-Jul-94

  	
   

  	
   

  	
   

  	
  02-Jul-98

  
	
  QPA5

  	
   

  	
  United
  States of America

  	
   

  	
  08/397270

  	
   

  	
  19-Jul-94

  	
   

  	
  5728574

  	
   

  	
  17-Mar-98

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  QPA2

  	
   

  	
  United
  Kingdom

  	
   

  	
  Not Yet
  Known

  	
   

  	
  19-Dec-02

  	
   

  	
   

  	
   

  	
   

  

 

as well as any substitutes, divisionals, continuations,
continuations-in-part, or reissue applications that claim priority to any of
the above patents or patent applications, and any foreign counterparts of any
of the foregoing.

 

23

 

Schedule D.                               Transferred Patent Applications

As of December 20, 2002

 

1)            Bulk
Drying and Bubble Nucleation

 

	
  a)

  	
   

  	
  United States

  	
   

  	
   

  	
   

  	
  Appl. No. 10/274,719

  	
   

  	
  (18 Oct 02)

  

 

2)            Preservation
of Competent Bacteria

 

	
  a)

  	
   

  	
  PCT

  	
   

  	
   

  	
   

  	
  Appl. No. US02/14552

  	
   

  	
  (7 May 02)

  

 

3)            Scalable
Long-Term Shelf Preservation

 

	
  a)

  	
   

  	
  Australia

  	
   

  	
   

  	
   

  	
  Appl. No. 54596/98

  	
   

  	
  (26 Nov 97)

  
	
  b)

  	
   

  	
  Korea

  	
   

  	
   

  	
   

  	
  Appln. No. 1020007005794 

  	
   

  	
  (26 Nov 97)

  
	
  c)

  	
   

  	
  South Africa

  	
   

  	
  Pat. No. 98/10789 (29 Sep 99)

  	
   

  	
  Appl. No. 98/10789

  	
   

  	
  (25 Nov 98)

  

 

as well as any substitutes, divisionals, continuations,
continuations-in-part, or reissue applications that claim priority to any of
the above patent applications, and any foreign counterparts of any of the
foregoing.

 

24

 

Schedule E.                                 [Stratagene License Agreement plus
amendment document]

 

25

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00056-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00056-of-00352.parquet"}]]