Document:

Exhibit 10.84

 

	
   

  	
  Defense Threat Reduction Agency

  	
   

  
	
  8725 John J. Kingman Road, MSC 6201

  	
   

  
	
  Fort Belvoir, VA 22060-6201

  	
   

  
	
   

  	
   

  
	
  Contract Number
  HDTRA1-10-C-0079

  	
   

  
	
  between

  	
   

  
	
  Defense Threat Reduction Agency

  	
   

  
	
  and

  	
   

  
	
  AVI BioPharma, Inc

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  June 4,
  2010

  
				

 

Dear
Mr. David Boyle,

 

This
letter constitutes a contract on the terms set forth herein and signifies the
intention of the Defense Threat Reduction Agency to execute a formal
Cost-Plus-Fixed-Fee Contract with AVI BioPharma, Inc.  Services shall be provided as set forth in
Attachments 1, 2, and 3, which are incorporated into and made a part of this
Letter Contract, upon the terms and conditions therein stated.

 

You
are hereby directed in accordance with FAR 52.216-23 clause entitled, “Execution
and Commencement of Work” to proceed with performance of the work, effective
immediately, and pursue such work with all diligence to the end that the
services may be performed within the time and funds specified in Attachment 1.

 

Please
indicate your acceptance of the forgoing by signing three copies of this letter
and returning this letter to the following email address:
victor.cramer@dtra.mil

 

	
   

  	
  Sincerely,

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  /s/
  Victor.E. Cramer

  
	
   

  	
  Victor.E.
  Cramer

  
	
   

  	
  Contracting
  Officer

  

 

	
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LETTER CONTRACT HDTRA1-10-C-0079

 

The
contractor agrees to furnish and deliver all items or perform all services set
forth above for the consideration stated above. 
The rights and obligations of the parties to this letter contract shall
be subject to and governed by the terms and conditions set forth above.

 

Executed
as of the date shown below:

 

 

	
  /s/
  J. David Boyle II

  	
   

  	
  June 4,
  2010

  
	
  J.
  David Boyle II, Sr. Vice President and CFO

  	
   

  	
  Date

  
	
  AVI
  BioPharma

  	
   

  	
   

  

 

 

Attachments:

 

1.   Terms and Conditions

2.   Statement of Work (provided under separate
cover)

3.   CDRLs

 

	
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ATTACHMENT 1

 

1.     EFFECTIVE DATE:  The effective date of this letter contract is
the same date as the contracting officer’s signature.

 

2.     CONTRACT TYPE:  Cost-Plus-Fixed-Fee.

 

3.     DESCRIPTION:   Supplies/services are to be provided in
accordance with the Statement of Work (SOW), entitled “AVI BioPharma Project -
H1N1 Countermeasure Development” dated 19 May 2010.

 

4.     CEILING PRICE:  $18,000,000.00 NTE

 

5.     The anticipated contract line item number (CLIN)
Structure is:

 

	
  CLIN
  0001 Work to be performed IAW SOW 1 Lot

  	
  $[†]

  
	
  CLIN
  000101 Information - Funding

  	
   

  
	
  ACRN AA applies

  	
   

  
	
  CLIN
  0002 CDRLs

  	
  NSP

  

 

6.     DELIVERY SCHEDULE:  See attached Statement of Work.

 

7.     PERIOD OF PERFORMANCE:  The period of performance of this letter
contract commences with the effective date cited in paragraph 1 of this
attachment and concludes twelve months thereafter.

 

8.     INSPECTION AND ACCEPTANCE TERMS:  Supplies/services will be inspected/accepted
at destination by the Government.

 

252.246-9000
INSPECTION AND ACCEPTANCE:

 

The
Contracting Officer’s Representative (COR) or Project Manager shall be
responsible for inspection and acceptance of all work to be performed at any
and all times during this contract in accordance with FAR 52.246-8
Inspection of Research and Development — Cost Reimbursement.  Government inspection and acceptance of data
shall be as specified on the Contract Data Requirements List, DD Form 1423,
Exhibit A to the Contract.

 

9.     CONTRACT ADMINISTRATION: Fiscal Year (FY)
2010 Research Development Test & Evaluation (RDT&E) funds in the
amount of $[†] have been obligated for this letter contract.  Pursuant to the Department of Defense Federal
Acquisition Regulation (FAR) Supplement, additional funding for this letter contract
shall not be obligated until the Government receives a fully supportable and
auditable proposal.

 

	
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ACCOUNTING
AND APPROPRIATION DATA

 

AA:         9700400.2620 1000 B63D 255999
BD33747000 S49012

AMOUNT:      $[†]

 

252.201-9001
CONTRACTING OFFICE POINT OF CONTACT (POC)

 

The
POC in the Procuring Contracting Office for this contract action is Victor E.
Cramer, Contracting Officer, DTRA BE-BCRC, telephone number (703) 767-8769,
email address: victor.cramer@dtra.mil.

 

252.201-9002
CONTRACTING OFFICER’S REPRESENTATIVE

 

a.     The Contracting Officer’s Representative
for this contract is:

 

Heather
A. Manley, PhD

Transformational
Medical Technologies (TMT)

Defense
Threat Reduction Agency

8725
John J. Kingman Road, MS 6201

Fort Belvoir, VA 
22060-6201

Telephone (703) 767-6281

Email address: heather.manley@dtra.mil

 

b.     The COR will act as the Contracting Officer’s
Representative for technical matters providing technical direction and
discussion as necessary with respect to the specification/statement of work and
monitoring the progress and quality of the Contractor’s performance.  The COR is NOT an Administrative
Contracting Officer (ACO) and does not have the authority to take any action,
either directly or indirectly that would change the pricing, quality, quantity,
place of performance, delivery schedule, or any other terms and conditions of
the contract, or to direct the accomplishment of effort, which goes beyond the
scope of the specifications/statement of work in the contract.

 

c.     When, in the opinion of the Contractor, the
COR requests effort outside the existing scope of the contract, the Contractor
shall promptly notify the Contracting Officer in writing.  No action shall be taken by the Contractor
under such direction until the Contracting Officer has issued a modification to
the Contract or has otherwise resolved the issue.

 

	
  252.204-9002

  	
  PAYMENT
  INSTRUCTIONS FOR MULTIPLE ACCOUNTING CLASSIFICATION CITATIONS (REF: DFARS
  204.7107)

  

 

Payment
shall be made from ACRN AA until fully expended.  Payment shall then be made from ACRN AB.

 

	
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252.232-9012
WIDE AREA WORK FLOW (WAWF) — RECEIPT AND ACCEPTANCE (RA) INSTRUCTIONS

 

(a) As
prescribed in DFARS clause 252.232-7003 Electronic Submission of Payment
Requests (Jan 2004), Contractors must submit payment requests in electronic
form.  Paper copies will no longer be
accepted or processed for payment unless the conditions of DFARS clause
252.232- 7003(c) apply.  To
facilitate this electronic submission, the Defense Threat Reduction Agency
(DTRA) has implemented the DoD sanctioned Wide Area WorkFlow-Receipt and
Acceptance (WAWF-RA) for contractors to submit electronic payment requests and
receiving reports.  The contractor shall
submit electronic payment requests and receiving reports via WAWF-RA. Vendors
shall send an email notification to the Contracting Officer Representative
(COR), Program/Project Manager or other government acceptance official
identified in the contract by clicking on the Send More Email Notification link
upon submission of an invoice/cost voucher in WAWF-RA.  To access WAWF, go to https://wawf.eb.mil//.

 

(b) Definitions:

 

Acceptor:  Contracting Officer’s Representative,
Program/Project Manager, or other government acceptance official as identified
in the contract/order.

 

Pay
Official:  Defense
Finance and Accounting Service (DFAS) payment office identified in the
contract/order.

 

SHIP
To/Service Acceptor DoDAAC:  Acceptor DoDAAC or DCMA DoDAAC (as specified
in the contract/order).

 

DCAA
Auditor DoDAAC:  Used when
DCAA invoice approval is required by the contract/order and the field is marked
as mandatory in WAWF-RA.  (Click the DCAA
Audit Office Locator Link in WAWF-RA and enter zip code of your CAGE code
address).

 

(c) WAWF-RA
Contractor Input Information - ** IMPORTANT! **

 

The
contractor shall use the following information in creating electronic payment
requests in WAWF-RA:

 

Invoice
Type in WAWF-RA:

 

If
billing for Materials Only, select “Combo”

If
billing for Materials and Service, select “Combo”

If
billing for Services Only, select “2-n-1 (Services Only)”

If
billing for Cost Type/Reimbursable Contracts, select “Cost Voucher”

(**Cost
Vouchers are only used when contracts/orders require invoices be sent to DCAA
for approval.**)

 

SF
26, SF 33, SF 1449 and DD 1155

 

	
  Invoice
  Type:  Invoice and Receiving Report:

  
	
   

  

 

	
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  Description

  	
  SF
  26

  	
  SF
  33

  	
  SF
  1449

  	
  DD
  1155

  
	
  Located
  in Block/Section

  
	
   

  	
   

  
	
  Contract
  Number

  	
  2

  	
  2

  	
  2

  	
  1

  
	
  Delivery
  Order

  	
  See
  Individual Order

  	
  4

  	
  2

  
	
  Cage
  Code

  	
  7

  	
  15a

  	
  17a

  	
  9

  
	
  Paying
  Office

  	
  12

  	
  25

  	
  18a

  	
  15

  
	
  Inspection

  	
  Section E
  (except SF 1449, See Entitled): 

  INSPECTION AND ACCEPTANCE

  
	
  Acceptance

  	
  Section E
  (except SF 1449, See Entitled): 

  INSPECTION AND ACCEPTANCE

  
	
  Issue
  Date

  	
  3

  	
  5

  	
  3

  	
  3

  
	
  Issue
  By DoDAAC

  	
  5

  	
  7

  	
  9

  	
  6

  
	
  Admin
  DoDAAC

  	
  6

  	
  24

  	
  16

  	
  7

  
	
  Ship
  to Code

  	
  6

  	
  24

  	
  16

  	
  7

  
	
  Ship
  to Extension

  	
  11

  	
  Section F:
  Deliveries or Performance

  	
  15

  	
  14

  
	
  Services
  or Supplies

  	
  Based
  on majority of requirement as determined by monetary value

  
	
  Shipment
  Number

  	
  Contractor
  Shipment Number, Invoice Number (supplies) or period of performance
  (service). Refer to Appendix F-301 of the DoD FAR Supplement for creating
  Shipment Numbers.

  
	
  Final
  Invoice?

  	
  Changing
  “N” (no) to “Y” (yes) will terminate your ability to invoice against this
  contract and deobligated remaining funds. 
  Change “N” to “Y” for the final invoice ONLY.

  

 

(d) Final
Invoices/Vouchers -Final Payment shall be made in accordance
with the Federal Acquisition Regulation (FAR) 52.216-7, entitled “Allowable
Cost and Payment.”

 

Invoices - Invoice 2-n-1 (Services Only) and Invoice
and Receiving Report (Combo)

 

Select
the “Y” selection from the “Final Invoice?” drop-down box
when submitting the final invoice for payment for a contract. Upon successful
submission of the final invoice, click on the Send
More Email Notifications link to send an additional email
notification to the Contracting Officer Representative (COR), Program/Project
Manager or other government acceptance official identified in the contract.

 

Cost Vouchers - Once the final DCAA audit
is complete for cost reimbursable contracts and authorization is received to
submit the final cost voucher, select the “Y”
selection from the “Final Voucher”
drop-down box when submitting the final cost voucher. Upon successful 

 

	
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submission
of the final cost voucher, click on the Send More Email
Notifications link to send an additional email notification to
the following email address: finalcostvouchers@dtra.mil

 

(e) 
WAWF Training may be accessed online at http://www.wawftraining.com//.  To practice creating documents in WAWF, visit
practice site at https://wawftraining.eb.mil//. 
Payment information may be accessed using the DFAS website at
http://www.dod.mil/dfas//. Your purchase order/contract number or invoice will
be required to check status of your payment. Note:  For specific invoice related inquiries email:
wawfvendorpay@dtra.mil.  Vendors shall
forward any additional DTRA related WAWF questions to wawfhelp@dtra.mil.

 

10.  SPECIAL CONTRACT REQUIREMENTS:

 

252.204-9000
OFFICIAL DTRA ADDRESSES IN THE NATIONAL CAPITAL REGION (NCR)

 

DTRA
has 2 official mailing addresses in the NCR. Due to heightened security
measures, hand-carried packages cannot be accepted, therefore contractors are
to select one address below based on the method of mailing.

 

1.     The official United States Postal Service
(USPS) mailing address for DTRA:

 

Defense Threat Reduction Agency

Attn:  Dr. Heather A. Manley/TMTP*

8725
John J. Kingman Rd. Stop 6201

Fort
Belvoir, VA 22060-6201

 

2.     DTRA cannot accept packages delivered via commercial
express and ground carrier to any address other than the one listed below.
For all incoming packages to DTRA activities in the Washington DC area (this
includes packages sent via Federal Express, DHL, Airborne, UPS and other
commercial carriers), use the following address:

 

Defense Threat Reduction Agency

Attn: Dr. Heather A. Manley/TMTP*

6200 Meade Road

Fort Belvoir, VA 22060-5264

 

Note:
This address shall also be used in all contracts for delivery of
supplies/materials.

 

*
Mail sent without an office symbol may be misdirected within DTRA. Please use
the most current office symbol assigned. If an office symbol changes during the
term of this contract, the contracting officer may advise of this change via
letter in lieu of a contract modification.

 

	
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11.
CONTRACT CLAUSES

 

52.216-23       EXECUTION AND COMMENCEMENT OF WORK (APR
1984)

 

The
Contractor shall indicate acceptance of this letter contract by signing three
copies of the contract and returning them to the Contracting Officer not later
than June 4, 2010. Upon acceptance by both parties, the Contractor shall
proceed with performance of the work, including purchase of necessary materials.

 

(End
of clause)

 

52.216-24       LIMITATION OF GOVERNMENT LIABILITY (APR
1984)

 

(a) In
performing this contract, the Contractor is not authorized to make expenditures
or incur obligations exceeding $[†] dollars.

 

(b) The
maximum amount for which the Government shall be liable if this contract is
terminated is $[†] dollars.

 

(End
of clause)

 

52.216-26       PAYMENTS OF ALLOWABLE COSTS BEFORE
DEFINITIZATION (DEC 2002)

 

(a) Reimbursement
rate. Pending the placing of the definitive contract referred to in this letter
contract, the Government will promptly reimburse the Contractor for all
allowable costs under this contract at the following rates:

 

(1) One
hundred percent of approved costs representing financing payments to
subcontractors under fixed-price subcontracts, provided that the Government’s
payments to the Contractor will not exceed 80 percent of the allowable costs of
those subcontractors.

 

(2) One
hundred percent of approved costs representing cost-reimbursement subcontracts;
provided, that the Government’s payments to the Contractor shall not exceed 85
percent of the allowable costs of those subcontractors.

 

(3) Eighty-five
percent of all other approved costs.

 

(b) Limitation
of reimbursement. To determine the amounts payable to the Contractor under this
letter contract, the Contracting Officer shall determine allowable costs in
accordance with the applicable cost principles in Part 31 of the Federal
Acquisition Regulation (FAR). The total reimbursement made under this paragraph
shall not exceed 85 percent of the maximum amount of the Government’s
liability, as stated in this contract.

 

	
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(c) Invoicing.
Payments shall be made promptly to the Contractor when requested as work
progresses, but (except for small business concerns) not more often than every
2 weeks, in amounts approved by the Contracting Officer.  The Contractor may submit to an authorized
representative of the Contracting Officer, in such form and reasonable detail
as the representative may require, an invoice or voucher supported by a
statement of the claimed allowable cost incurred by the Contractor in the
performance of this contract.

 

(d) Allowable
costs. For the purpose of determining allowable costs, the term “costs” includes—

 

(1) Those
recorded costs that result, at the time of the request for reimbursement, from
payment by cash, check, or other form of actual payment for items or services
purchased directly for the contract;

 

(2) When
the Contractor is not delinquent in payment of costs of contract performance in
the ordinary course of business, costs incurred, but not necessarily paid, for—

 

(i) Supplies
and services purchased directly for the contract and associated financing
payments to subcontractors, provided payments determined due will be made—

 

(A) In
accordance with the terms and conditions of a subcontract or invoice; and

 

(B) Ordinarily
within 30 days of the submission of the Contractor’s payment request to the
Government;

 

(ii) Materials
issued from the Contractor’s stores inventory and placed in the production
process for use on the contract;

 

(iii) Direct
labor;

 

(iv) Direct
travel;

 

(v) Other
direct in-house costs; and

 

(vi) Properly
allocable and allowable indirect costs as shown on the records maintained by
the Contractor for purposes of obtaining reimbursement under Government
contracts; and

 

(3) The
amount of financing payments that the Contractor has paid by cash, check, or other
forms of payment to subcontractors.

 

(e) Small
business concerns. A small business concern may receive more frequent payments
than every 2 weeks.

 

(f) Audit.
At any time before final payment, the Contracting Officer may have the
Contractor’s invoices or vouchers and statements of costs audited. Any payment
may be (1) reduced by any 

 

	
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amounts
found by the Contracting Officer not to constitute allowable costs or (2) adjusted
for overpayments or underpayments made on preceding invoices or vouchers.

 

(End
of clause)

 

252.217-7027      CONTRACT DEFINITIZATION (OCT 1998)

 

(a) A
Cost-Plus-Fixed Fee contract is contemplated. The Contractor agrees to begin
promptly negotiating with the Contracting Officer the terms of a definitive
contract that will include (1) all clauses required by the Federal
Acquisition Regulation (FAR) on the date of execution of the undefinitized
contract action, (2) all clauses required by law on the date of execution
of the definitive contract action, and (3) any other mutually agreeable
clauses, terms, and conditions. The Contractor agrees to submit a
Cost-Plus-Fixed Fee proposal and cost or pricing data supporting its proposal.

 

(b) The
schedule for definitizing this contract is as follows:

 

	
   

  	
  Proposal
  Received

  	
  6
  July 2010

  	
   

  
	
   

  	
  Complete
  Negotiations

  	
  8
  September 2010

  	
   

  
	
   

  	
  Definitization

  	
  8
  October 2010

  	
   

  

 

(c) If
agreement on a definitive contract action to supersede this undefinitized
contract action is not reached by the target date in paragraph (b) of this
clause, or within any extension of it granted by the Contracting Officer, the
Contracting Officer may, with the approval of the head of the contracting
activity, determine a reasonable price or fee in accordance with subpart 15.4
and part 31 of the FAR, subject to Contractor appeal as provided in the
Disputes clause. In any event, the Contractor shall proceed with completion of
the contract, subject only to the Limitation of Government Liability clause.

 

(1) After
the Contracting Officer’s determination of price or fee, the contract shall be
governed by—

 

(i) All
clauses required by the FAR on the date of execution of this undefinitized
contract action for either fixed-price or cost-reimbursement contracts, as
determined by the Contracting Officer under this paragraph (c);

 

(ii) All
clauses required by law as of the date of the Contracting Officer’s
determination; and

 

(iii) Any
other clauses, terms, and conditions mutually agreed upon.

 

(2) To
the extent consistent with paragraph (c)(1) of this clause, all clauses,
terms, and  conditions included in this
undefinitized contract action shall continue in effect, except those that by
their nature apply only to an undefinitized contract action.

 

(d) The
definitive contract resulting from this undefinitized contract action will
include a 

 

	
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negotiated
cost/price ceiling (including fee) in no event to exceed $18,000,000.00.

 

(End
of clause)

 

12.  LIST OF DOCUMENTS, EXHIBITS AND OTHER
ATTACHMENTS:

 

252.215-9001      LIST OF DOCUMENTS, EXHIBITS AND OTHER
ATTACHMENTS

 

List
of Documents, Exhibits and Other Attachments

 

a.  Attachments applicable to this contract are
identified as follows:

 

	
  ATTACHMENT

  	
   

  	
  DESCRIPTION

  
	
  2

  	
   

  	
  Statement
  of Work, entitled “AVI BioPharma Project - H1N1 Countermeasure Development”,
  dated 19 May 2010, 2 Pages

  
	
   

  	
   

  	
   

  
	
  3

  	
   

  	
  Exhibit A
  — CDRL, 8 Pages dated 25 May 2010

  

 

	
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  TREATMENT FILED SEPARATELY WITH THE COMMISSION

  

 

 

HDTRA1-10-C-0079

Attachment 2

 

AVI BioPharma Project — H1N1 Countermeasure Development

19 May 2010

Statement of Work

 

[†]

 

Task
1: [†]

 

Task
2: [†]

 

Task
3. [†]

 

Task
4: [†]

 

Task
4.1: [†]

 

Task  4.2: [†]

 

Task
4.3: [†]

 

Task
4.4: [†]

 

TASK
4.5: [†]

 

TASK
4.6:  [†]

 

TASK
5. [†]

 

Task
5.1:  [†]

 

Task
5.2:  [†]

 

Task
5.3:  [†]

 

Task
5.4:  [†]

 

	
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  TREATMENT FILED SEPARATELY WITH THE COMMISSION

  

 

1

 

Task
5.5:  [†]

 

Task
6:  [†]

 

Task
6.1: [†]

 

Task
6.2: [†]

 

Task
6.3: [†]

 

Task
7:  [†]

 

Task
8:  [†]

 

	
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2

 

	
  CONTRACT
  DATA REQUIREMENTS LIST

  (2
  Data Items)

  	
  Form Approved

  OMB
  No. 0704-0188

  
	
   

  	
   

  
	
  The public reporting
  burden for this collection of information is estimated to average 220 hours
  per response, including the time for reviewing instructions, searching
  existing data sources, gathering and maintaining the data needed, and
  completing and reviewing the collection of information.  Send comments regarding this burden
  estimate or any other aspect of this collection of information,
  including suggestions for reducing the burden, to the Department of Defense,
  Executive Services Directorate (0704-0188). 
  Respondents should be aware that notwithstanding any other provision
  of law, no person shall be subject to any penalty for failing to comply with
  a collection of information if it does not display a currently valid OMB
  control number.  Please do
  not return your form to the above organization.  Send completed form to the Government Issuing
  Contracting Officer for the Contract/PR No. Listed in Block E.

  
	
   

  
	
  A.
  CONTRACT LINE ITEM NO.

  	
  B.
  EXHIBIT

  	
  C.
  CATEGORY

  
	
  n/a

  	
  A

  	
  TDP

  	
   

  	
  TM

  	
   

  	
  OTHER

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  D.
  SYSTEM/ITEM

  	
  E.
  CONTRACT/PR NO.

  	
  F.
  CONTRACTOR

  
	
  Transformational
  Medical Technologies

  	
   

  	
  AVI BioPharma

  
	
   

  	
   

  	
   

  
	
  1.  DATA ITEM NO.

  	
  2.
  TITLE OF DATA ITEM

  	
  3.
  SUBTITLE

  
	
  A001

  	
  Work Breakdown Structure

  	
  3-Level Work Breakdown
  Structure

  
	
   

  	
   

  	
   

  
	
  4.
  AUTHORITY (Data Acquisition Document No.)

  	
  5.
  CONTRACT REFERENCE

  	
  6.
  REQUIRING OFFICE

  
	
  DI-MGMT-81334C

  	
  n/a

  	
  DTRA/TMT

  
	
   

  	
   

  	
   

  
	
  7.  DD 250 REQ 

  	
  9. DIST STATEMENT REQUIRED

  	
  10
  FREQUENCY

  	
  12. DATE OF FIRST SUBMISSION

  	
  14.

  	
  DISTRIBUTION

  
	
  LT

  	
   

  	
  See Blk 16

  	
  See Blk 16

  	
   

  	
   

  
	
   

  	
  n/a

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  b.
  COPIES

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  Final

  	
   

  
	
  8. APP
  CODE

  	
   

  	
  11. AS
  OF DATE

  	
  13. DATE OF SUBSEQUENT

  	
   

  	
  a.
  ADDRESSEE

  	
   

  	
  Draft

  	
   

  	
  Reg

  	
   

  	
  Repro

  	
   

  
	
   

  	
   

  	
   

  	
  SUBMISSION

  	
   

  	
  DTRA/TMT

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  0

  	
   

  
	
  A

  	
   

  	
  See Blk 16

  	
  See Blk 16

  	
   

  	
  DTRA/BCR

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  0

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  15. TOTAL ^

  	
   

  	
  0

  	
   

  	
  2

  	
   

  	
  0

  	
   

  
																					

 

16.
REMARKS

 

3-Level Work Breakdown
Structure with associated costs and schedule per each level (top level is
program, level 2 is base, level 3 are major tasks).  For lowest task level show breakdown for
labor, materials, other indirect costs.

 

Blocks 10-13: First report
due within 15 days of contract initiation as part of Project Management Plan
submission (CDRL A011).

 

Government may
provide acceptable format.  Government
review/approval is 15 days after receipt of first submittal.  Provide changes to draft within 10 days of
such request.  Provide a final document
within 10 days after approval of changes is received.

 

17.
PRICE GROUP

 

18. ESTIMATED
TOTAL PRICE

 

 

	
  1.  DATA ITEM NO.

  	
  2.
  TITLE OF DATA ITEM

  	
  3.
  SUBTITLE

  
	
  A002

  	
  Monthly Invoice Report

  	
  n/a

  
	
   

  	
   

  	
   

  
	
  4.
  AUTHORITY (Data Acquisition Document No.)

  	
  5.
  CONTRACT REFERENCE

  	
  6.
  REQUIRING OFFICE

  
	
  DI-FNCL-80331A

  	
  n/a

  	
  DTRA/TMT

  
	
   

  	
   

  	
   

  
	
  7.  DD 250 REQ

  	
  9. DIST STATEMENT REQUIRED

  	
  10
  FREQUENCY

  	
  12. DATE OF FIRST SUBMISSION

  	
  14.

  	
  DISTRIBUTION

  
	
  LT

  	
   

  	
  Monthly

  	
  See Blk 16

  	
   

  	
   

  
	
   

  	
  n/a

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  b.
  COPIES

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  Final

  	
   

  
	
  8. APP
  CODE

  	
   

  	
  11. AS
  OF DATE

  	
  13. DATE OF SUBSEQUENT

  	
   

  	
  a.
  ADDRESSEE

  	
   

  	
  Draft

  	
   

  	
  Reg

  	
   

  	
  Repro

  	
   

  
	
   

  	
   

  	
   

  	
  SUBMISSION

  	
   

  	
  DTRA/TMT

  	
   

  	
  0

  	
   

  	
  1

  	
   

  	
  0

  	
   

  
	
  A

  	
   

  	
  See Blk 16

  	
  See Blk 16

  	
   

  	
  DTRA/BCR

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  15. TOTAL ^

  	
   

  	
  0

  	
   

  	
  2

  	
   

  	
  0

  	
   

  
																	

 

16.
REMARKS

 

Summary of invoices
submitted during the previous month or last month for which unreported data are
available.

 

Blocks 11-13:  Report after first business day of the month
after contract initiation and every month thereafter.

 

17.
PRICE GROUP

 

18.
ESTIMATED TOTAL PRICE

 

 

	
  G.  PREPARED BY

  	
   

  	
  H. DATE

  	
   

  	
  I.
  APPROVED BY

  	
   

  	
  J. DATE

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  /s/Heather A. Manley

  	
   

  	
  25 May 10

  	
   

  	
   

  	
   

  	
   

  

 

DD
FORM 1423-2, AUG
96                                   PREVIOUS
EDITION MAY BE USED

 

	
  †

  	
  DESIGNATES PORTIONS OF
  THIS DOCUMENT THAT HAVE BEEN OMITTED PURSUANT TO A REQUEST FOR CONFIDENTIAL
  TREATMENT FILED SEPARATELY WITH THE COMMISSION

  

 

1

 

	
  CONTRACT
  DATA REQUIREMENTS LIST

  (2
  Data Items)

  	
  Form Approved

  OMB
  No. 0704-0188

  
	
   

  	
   

  
	
  The public reporting
  burden for this collection of information is estimated to average 220 hours
  per response, including the time for reviewing instructions, searching existing
  data sources, gathering and maintaining the data needed, and completing
  and reviewing the collection of information. 
  Send comments regarding this burden estimate or any other aspect
  of this collection of information, including suggestions for reducing the
  burden, to the Department of Defense, Executive Services Directorate
  (0704-0188).  Respondents should be
  aware that notwithstanding any other provision of law, no person shall be
  subject to any penalty for failing to comply with a collection of information
  if it does not display a currently valid OMB control number.  Please do not return
  your form to the above organization. 
  Send completed form to the Government Issuing Contracting Officer for
  the Contract/PR No. Listed in Block E.

  
	
   

  
	
  A.
  CONTRACT LINE ITEM NO.

  	
  B.
  EXHIBIT

  	
  C.
  CATEGORY

  
	
  n/a

  	
  A

  	
  TDP

  	
   

  	
  TM

  	
   

  	
  OTHER

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  D.
  SYSTEM/ITEM

  	
  E.
  CONTRACT/PR NO.

  	
  F.
  CONTRACTOR

  
	
  Transformational
  Medical Technologies

  	
   

  	
  AVI BioPharma

  
	
   

  	
   

  	
   

  
	
  1.  DATA ITEM NO.

  	
  2.
  TITLE OF DATA ITEM

  	
  3.
  SUBTITLE

  
	
  A003

  	
  Quarterly Status Report

  	
  Quarterly Contract
  Performance Report

  
	
   

  	
   

  	
   

  
	
  4.
  AUTHORITY (Data Acquisition Document No.)

  	
  5.
  CONTRACT REFERENCE

  	
  6.
  REQUIRING OFFICE

  
	
  DI-MGMT-80368A

  	
  n/a

  	
  DTRA/TMT

  
	
   

  	
   

  	
   

  
	
  7.  DD 250 REQ 

  	
  9. DIST STATEMENT REQUIRED

  	
  10
  FREQUENCY

  	
  12. DATE OF FIRST SUBMISSION

  	
  14.

  	
  DISTRIBUTION

  
	
  LT

  	
   

  	
  Quarterly

  	
  See Blk 16

  	
   

  	
   

  
	
   

  	
  n/a

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  b.
  COPIES

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  Final

  	
   

  
	
  8. APP
  CODE

  	
   

  	
  11. AS
  OF DATE

  	
  13. DATE OF SUBSEQUENT

  	
   

  	
  a.
  ADDRESSEE

  	
   

  	
  Draft

  	
   

  	
  Reg

  	
   

  	
  Repro

  	
   

  
	
   

  	
   

  	
   

  	
  SUBMISSION

  	
   

  	
  DTRA/TMT

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  0

  	
   

  
	
  A

  	
   

  	
  See Blk 16

  	
  See Blk 16

  	
   

  	
  DTRA/BCR

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  0

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  15. TOTAL ^

  	
   

  	
  0

  	
   

  	
  2

  	
   

  	
  0

  	
   

  
																					

 

16.
REMARKS

 

Blocks 11-13: First
report due within 15 days after the end of the first Fiscal Quarter (FQ) after
award.  Subsequent reports due within 15
days of end of each FQ.  Report will address
cost, schedule and performance (including pertinent technical data), and risk
to include updates to project expenditures.  The 4th quarterly report for each Fiscal Year
(FY) will include an Executive Summary for the entire FY.  The US Government may provide acceptable
format.  US Government
review/approval is 15 days after receipt of first submittal.  Provide changes to draft within 10
days of such request.  Provide final
document within 10 days after approval of changes received.

 

17.
PRICE GROUP

 

18.
ESTIMATED TOTAL PRICE

 

 

	
  1.  DATA ITEM NO.

  	
  2.
  TITLE OF DATA ITEM

  	
  3.
  SUBTITLE

  
	
  A004

  	
  Integrated Master
  Schedule

  	
  n/a

  
	
   

  	
   

  	
   

  
	
  4.
  AUTHORITY (Data Acquisition Document No.)

  	
  5.
  CONTRACT REFERENCE

  	
  6.
  REQUIRING OFFICE

  
	
  DI-MGMT-81650

  	
  n/a

  	
  DTRA/TMT

  
	
   

  	
   

  	
   

  
	
  7.  DD 250 REQ

  	
  9. DIST STATEMENT REQUIRED

  	
  10 FREQUENCY

  	
  12. DATE OF FIRST SUBMISSION

  	
  14.

  	
  DISTRIBUTION

  
	
  LT

  	
   

  	
  See Blk 16

  	
  See Blk 16

  	
   

  	
   

  
	
   

  	
  n/a

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  b.
  COPIES

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  Final

  	
   

  
	
  8. APP
  CODE

  	
   

  	
  11. AS
  OF DATE

  	
  13. DATE OF SUBSEQUENT

  	
   

  	
  a.
  ADDRESSEE

  	
   

  	
  Draft

  	
   

  	
  Reg

  	
   

  	
  Repro

  	
   

  
	
   

  	
   

  	
   

  	
  SUBMISSION

  	
   

  	
  DTRA/TMT

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  0

  	
   

  
	
  A

  	
   

  	
  See Blk 16

  	
  See Blk 16

  	
   

  	
  DTRA/BCR

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  15. TOTAL ^

  	
   

  	
  0

  	
   

  	
  2

  	
   

  	
  0

  	
   

  
																	

 

16.
REMARKS

 

Blocks 10-13:  First report due 15
days after contract initiation. 
Microsoft Project compatible file required.  Subsequent updates due within 15 days of FQ
end.  US Government may provide
acceptable format.  US Government
review/approval is 15 days after receipt of first submittal.  Provide changes to draft within 10 days of
such request.  Provide final document
within 10 days after approval of changes is received.

 

17.
PRICE GROUP

 

18.
ESTIMATED TOTAL PRICE

 

 

	
  G.  PREPARED BY

  	
   

  	
  H. DATE

  	
   

  	
  I.
  APPROVED BY

  	
   

  	
  J. DATE

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  /s/Heather A. Manley

  	
   

  	
  25 May 10

  	
   

  	
   

  	
   

  	
   

  

 

DD FORM 1423-2, AUG 96                            PREVIOUS EDITION MAY BE USED

 

	
  †

  	
  DESIGNATES PORTIONS OF
  THIS DOCUMENT THAT HAVE BEEN OMITTED PURSUANT TO A REQUEST FOR CONFIDENTIAL
  TREATMENT FILED SEPARATELY WITH THE COMMISSION

  

 

2

 

	
  CONTRACT
  DATA REQUIREMENTS LIST

  (2
  Data Items)

  	
  Form Approved

  OMB
  No. 0704-0188

  
	
   

  	
   

  
	
  The public reporting
  burden for this collection of information is estimated to average 220 hours
  per response, including the time for reviewing instructions, searching
  existing data sources, gathering and maintaining the data needed, and
  completing and reviewing the collection of information.  Send comments regarding this burden
  estimate or any other aspect of this collection of information,
  including suggestions for reducing the burden, to the Department of Defense,
  Executive Services Directorate (0704-0188). 
  Respondents should be aware that notwithstanding any other provision
  of law, no person shall be subject to any penalty for failing to comply with
  a collection of information if it does not display a currently valid OMB
  control number.  Please do
  not return your form to the above organization.  Send completed form to the Government
  Issuing Contracting Officer for the Contract/PR No. Listed in Block E.

  
	
   

  
	
  A.
  CONTRACT LINE ITEM NO.

  	
  B.
  EXHIBIT

  	
  C.
  CATEGORY

  
	
  n/a

  	
  A

  	
  TDP

  	
   

  	
  TM

  	
   

  	
  OTHER

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  D.
  SYSTEM/ITEM

  	
  E.
  CONTRACT/PR NO.

  	
  F.
  CONTRACTOR

  
	
  Transformational
  Medical Technologies

  	
   

  	
  AVI BioPharma

  
	
   

  	
   

  	
   

  
	
  1.  DATA ITEM NO.

  	
  2.
  TITLE OF DATA ITEM

  	
  3.
  SUBTITLE

  
	
  A005

  	
  Final Report

  	
  Final Project Report

  
	
   

  	
   

  	
   

  
	
  4.
  AUTHORITY (Data Acquisition Document No.)

  	
  5.
  CONTRACT REFERENCE

  	
  6.
  REQUIRING OFFICE

  
	
  DI-ADMN-08447A

  	
  n/a

  	
  DTRA/TMT

  
	
   

  	
   

  	
   

  
	
  7.  DD 250 REQ 

  	
  9. DIST STATEMENT REQUIRED

  	
  10
  FREQUENCY

  	
  12. DATE OF FIRST SUBMISSION

  	
  14.

  	
  DISTRIBUTION

  
	
  LT

  	
   

  	
  Once

  	
  See Blk 16

  	
   

  	
   

  
	
   

  	
  n/a

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  b.
  COPIES

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  Final

  	
   

  
	
  8. APP
  CODE

  	
   

  	
  11. AS
  OF DATE

  	
  13. DATE OF SUBSEQUENT

  	
   

  	
  a.
  ADDRESSEE

  	
   

  	
  Draft

  	
   

  	
  Reg

  	
   

  	
  Repro

  	
   

  
	
   

  	
   

  	
   

  	
  SUBMISSION

  	
   

  	
  DTRA/TMT

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  0

  	
   

  
	
  A

  	
   

  	
  Proj. Compl

  	
  See Blk 16

  	
   

  	
  DTRA/BCR

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  0

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  15. TOTAL ^

  	
   

  	
  0

  	
   

  	
  2

  	
   

  	
  0

  	
   

  
																					

 

16.
REMARKS

 

Blocks 11:  Project Completion

 

Blocks 12-13:  Submission within 30 days of completion of
final task on contract.

 

Contractor format
acceptable.  Final report must include
final summary of cost/financial data and project schedule in addition to
performance.  US Government may provide
acceptable format.  US Government
review/approval is 15 days after receipt of first submittal. Provide changes to
draft within 10 days of such request. Provide final document within 5 days
after approval of changes is received.

 

17.
PRICE GROUP

 

18.
ESTIMATED TOTAL PRICE

 

 

	
  1.  DATA ITEM NO.

  	
  2.
  TITLE OF DATA ITEM

  	
  3.
  SUBTITLE

  
	
  A006

  	
  Miscellaneous Data
  Submissions

  	
  Point papers, briefing,
  technical presentations and publications

  
	
   

  	
   

  	
   

  
	
  4.
  AUTHORITY (Data Acquisition Document No.)

  	
  5.
  CONTRACT REFERENCE

  	
  6.
  REQUIRING OFFICE

  
	
  n/a

  	
  n/a

  	
  DTRA/TMT

  
	
   

  	
   

  	
   

  
	
  7.  DD 250 REQ

  	
  9. DIST STATEMENT REQUIRED

  	
  10
  FREQUENCY

  	
  12. DATE OF FIRST SUBMISSION

  	
  14.

  	
  DISTRIBUTION

  
	
  LT

  	
   

  	
  As required

  	
  See Blk 16

  	
   

  	
   

  
	
   

  	
  n/a

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  b.
  COPIES

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  Final

  	
   

  
	
  8. APP
  CODE

  	
   

  	
  11. AS
  OF DATE

  	
  13. DATE OF SUBSEQUENT

  	
   

  	
  a.
  ADDRESSEE

  	
   

  	
  Draft

  	
   

  	
  Reg

  	
   

  	
  Repro

  	
   

  
	
   

  	
   

  	
   

  	
  SUBMISSION

  	
   

  	
  DTRA/TMT

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  0

  	
   

  
	
  A

  	
   

  	
  As required

  	
  See Blk 16

  	
   

  	
  DTRA/BCR

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  15. TOTAL ^

  	
   

  	
  0

  	
   

  	
  2

  	
   

  	
  0

  	
   

  
																	

 

16.
REMARKS

 

Blocks 10-13:  Dates for
submissions will be coordinated. Deliverables shall be compatible electronic
media.  Required submissions include Point
Papers, Briefings, TPP, PDP, ACURO Approvals, HROB Approvals.  Unless US Government format is provided,
contractor format is acceptable. US Government review/approval is 15 days after
receipt of first submittal. Provide changes to draft within 10 days of such
request.  Provide final document within
10 days after approval of changes is received.

 

17.
PRICE GROUP

 

18.
ESTIMATED TOTAL PRICE

 

 

	
  G.  PREPARED BY

  	
   

  	
  H. DATE

  	
   

  	
  I.
  APPROVED BY

  	
   

  	
  J. DATE

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  /s/Heather A. Manley

  	
   

  	
  25 May 10

  	
   

  	
   

  	
   

  	
   

  

 

DD FORM 1423-2, AUG 96                            PREVIOUS EDITION MAY BE USED

 

	
  †

  	
  DESIGNATES PORTIONS OF
  THIS DOCUMENT THAT HAVE BEEN OMITTED PURSUANT TO A REQUEST FOR CONFIDENTIAL
  TREATMENT FILED SEPARATELY WITH THE COMMISSION

  

 

3

 

	
  CONTRACT
  DATA REQUIREMENTS LIST

  (2
  Data Items)

  	
  Form Approved

  OMB
  No. 0704-0188

  
	
   

  	
   

  
	
  The public reporting
  burden for this collection of information is estimated to average 220 hours
  per response, including the time for reviewing instructions, searching existing
  data sources, gathering and maintaining the data needed, and completing
  and reviewing the collection of information. 
  Send comments regarding this burden estimate or any other aspect
  of this collection of information, including suggestions for reducing the
  burden, to the Department of Defense, Executive Services Directorate
  (0704-0188).  Respondents should be
  aware that notwithstanding any other provision of law, no person shall be
  subject to any penalty for failing to comply with a collection of information
  if it does not display a currently valid OMB control number.  Please do not return
  your form to the above organization. 
  Send completed form to the Government Issuing Contracting Officer for
  the Contract/PR No. Listed in Block E.

  
	
   

  
	
  A.
  CONTRACT LINE ITEM NO.

  	
  B.
  EXHIBIT

  	
  C.
  CATEGORY

  
	
  n/a

  	
  A

  	
  TDP

  	
   

  	
  TM

  	
   

  	
  OTHER

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  D.
  SYSTEM/ITEM

  	
  E.
  CONTRACT/PR NO.

  	
  F.
  CONTRACTOR

  
	
  Transformational
  Medical Technologies

  	
   

  	
  AVI BioPharma

  
	
   

  	
   

  	
   

  
	
  1.  DATA ITEM NO.

  	
  2.
  TITLE OF DATA ITEM

  	
  3.
  SUBTITLE

  
	
  A007

  	
  Patents - Reporting of
  Subject Inventions

  	
  n/a

  
	
   

  	
   

  	
   

  
	
  4.
  AUTHORITY (Data Acquisition Document No.)

  	
  5.
  CONTRACT REFERENCE

  	
  6.
  REQUIRING OFFICE

  
	
  n/a

  	
  n/a

  	
  DTRA/TMT

  
	
   

  	
   

  	
   

  
	
  7.  DD 250 REQ 

  	
  9. DIST STATEMENT REQUIRED

  	
  10
  FREQUENCY

  	
  12. DATE OF FIRST SUBMISSION

  	
  14.

  	
  DISTRIBUTION

  
	
  LT

  	
   

  	
  Annually

  	
  See Blk 16

  	
   

  	
   

  
	
   

  	
  n/a

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  b.
  COPIES

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  Final

  	
   

  
	
  8. APP
  CODE

  	
   

  	
  11. AS
  OF DATE

  	
  13. DATE OF SUBSEQUENT

  	
   

  	
  a.
  ADDRESSEE

  	
   

  	
  Draft

  	
   

  	
  Reg

  	
   

  	
  Repro

  	
   

  
	
   

  	
   

  	
   

  	
  SUBMISSION

  	
   

  	
  DTRA/TMT

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  0

  	
   

  
	
  A

  	
   

  	
  See Blk 16

  	
  See Blk 16

  	
   

  	
  DTRA/BCR

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  0

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  15. TOTAL ^

  	
   

  	
  0

  	
   

  	
  2

  	
   

  	
  0

  	
   

  
																					

 

16.
REMARKS

 

Blocks 11-13:
Provide report(s) every 12 months from the date of the contract as
identified in the DFARS 252.227-7039 (Patents - Reporting Subject Inventions
(DD Form 882 attached) and FAR 52.227-11.

 

17.
PRICE GROUP

 

18.
ESTIMATED TOTAL PRICE

 

 

	
  1.  DATA ITEM NO.

  	
  2.
  TITLE OF DATA ITEM

  	
  3.
  SUBTITLE

  
	
  A008

  	
  Regulatory Approvals and
  Technical Data Packages

  	
  Submission Report
  (Regulatory Approval Docs)

  
	
   

  	
   

  	
   

  
	
  4.
  AUTHORITY (Data Acquisition Document No.)

  	
  5.
  CONTRACT REFERENCE

  	
  6.
  REQUIRING OFFICE

  
	
  n/a

  	
  n/a

  	
  DTRA/TMT

  
	
   

  	
   

  	
   

  
	
  7.  DD 250 REQ

  	
  9. DIST STATEMENT REQUIRED

  	
  10
  FREQUENCY

  	
  12. DATE OF FIRST SUBMISSION

  	
  14.

  	
  DISTRIBUTION

  
	
  LT

  	
   

  	
  See Blk 16

  	
  See Blk 16

  	
   

  	
   

  
	
   

  	
  n/a

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  b.
  COPIES

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  Final

  	
   

  
	
  8. APP
  CODE

  	
   

  	
  11. AS
  OF DATE

  	
  13. DATE OF SUBSEQUENT 

  	
   

  	
  a.
  ADDRESSEE

  	
   

  	
  Draft

  	
   

  	
  Reg

  	
   

  	
  Repro

  	
   

  
	
   

  	
   

  	
   

  	
  SUBMISSION

  	
   

  	
  DTRA/TMT

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  0

  	
   

  
	
  A

  	
   

  	
  See Blk 16

  	
  See Blk 16

  	
   

  	
  DTRA/BCR

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  15. TOTAL ^

  	
   

  	
  0

  	
   

  	
  2

  	
   

  	
  0

  	
   

  
																	

 

16.
REMARKS

 

Blocks 10-13:  Contractor will submit pre-IND, IND,
and/or pre-EUA to the FDA.

 

Contractor will provide the US Government copies of all technical data
generated by the contractor to and during performance of contract necessary to
pursue FDA approval of pre-IND, IND, or pre-EUA, and notify the US
Government of FDA decisions.  All written
communications to and/or fromt he FDA will be provided to the US
Government.  US Government review is 15
days after receipt of first submittal and will not impede submission of
documents to the FDA by contractor. 

 

17.
PRICE GROUP

 

18.
ESTIMATED TOTAL PRICE

 

 

	
  G.  PREPARED BY

  	
   

  	
  H. DATE

  	
   

  	
  I.
  APPROVED BY

  	
   

  	
  J. DATE

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  /s/Heather A. Manley

  	
   

  	
  25 May 10

  	
   

  	
   

  	
   

  	
   

  

 

DD FORM
1423-2, AUG
96                                 PREVIOUS EDITION MAY BE USED

 

	
  †

  	
  DESIGNATES PORTIONS OF
  THIS DOCUMENT THAT HAVE BEEN OMITTED PURSUANT TO A REQUEST FOR CONFIDENTIAL
  TREATMENT FILED SEPARATELY WITH THE COMMISSION

  

 

4

 

	
  CONTRACT
  DATA REQUIREMENTS LIST

  (2
  Data Items)

  	
  Form Approved

  OMB
  No. 0704-0188

  
	
   

  	
   

  
	
  The public reporting
  burden for this collection of information is estimated to average 220 hours
  per response, including the time for reviewing instructions, searching
  existing data sources, gathering and maintaining the data needed, and
  completing and reviewing the collection of information.  Send comments regarding this burden
  estimate or any other aspect of this collection of information,
  including suggestions for reducing the burden, to the Department of Defense,
  Executive Services Directorate (0704-0188). 
  Respondents should be aware that notwithstanding any other provision
  of law, no person shall be subject to any penalty for failing to comply with
  a collection of information if it does not display a currently valid OMB
  control number.  Please do
  not return your form to the above organization.  Send completed form to the Government
  Issuing Contracting Officer for the Contract/PR No. Listed in Block E.

  
	
   

  
	
  A.
  CONTRACT LINE ITEM NO.

  	
  B.
  EXHIBIT

  	
  C.
  CATEGORY

  
	
  n/a

  	
  A

  	
  TDP

  	
   

  	
  TM

  	
   

  	
  OTHER

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  D.
  SYSTEM/ITEM

  	
  E.
  CONTRACT/PR NO.

  	
  F.
  CONTRACTOR

  
	
  Transformational
  Medical Technologies

  	
   

  	
  AVI BioPharma

  
	
   

  	
   

  	
   

  
	
  1.  DATA ITEM NO.

  	
  2.
  TITLE OF DATA ITEM

  	
  3.
  SUBTITLE

  
	
  A009

  	
  In-Process Review

  	
  n/a

  
	
   

  	
   

  	
   

  
	
  4.
  AUTHORITY (Data Acquisition Document No.)

  	
  5.
  CONTRACT REFERENCE

  	
  6.
  REQUIRING OFFICE

  
	
  DI-MGMT-80368A

  	
  n/a

  	
  DTRA/TMT

  
	
   

  	
   

  	
   

  
	
  7.  DD 250 REQ 

  	
  9. DIST STATEMENT REQUIRED

  	
  10
  FREQUENCY

  	
  12. DATE OF FIRST SUBMISSION

  	
  14.

  	
  DISTRIBUTION

  
	
  LT

  	
   

  	
  Biannually

  	
  See Blk 16

  	
   

  	
   

  
	
   

  	
  n/a

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  b.
  COPIES

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  Final

  	
   

  
	
  8. APP
  CODE

  	
   

  	
  11. AS
  OF DATE

  	
  13. DATE OF SUBSEQUENT

  	
   

  	
  a.
  ADDRESSEE

  	
   

  	
  Draft

  	
   

  	
  Reg

  	
   

  	
  Repro

  	
   

  
	
   

  	
   

  	
   

  	
  SUBMISSION

  	
   

  	
  DTRA/TMT

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  0

  	
   

  
	
  A

  	
   

  	
  See Blk 16

  	
  See Blk 16

  	
   

  	
  DTRA/BCR

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  0

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  15. TOTAL ^

  	
   

  	
  0

  	
   

  	
  2

  	
   

  	
  0

  	
   

  
																					

 

16.
REMARKS

 

Blocks 11-13:  Contractor will present project status
formally to the US Government no more than every 6 months in accordance with a
US Government provided agenda.  The
information contained in the In Process Review (IPR) is similar to that
contained in the Quarterly Status Report (QSR, CDRL A0003) but in a
presentation format.  Unless Government
format is provided, contractor format is acceptable.  Government review/approval is 15 days after
receipt of first submittal. Provide changes to draft within 10 days of such
request.  Provide final documentation
within 10 days after approval of changes received.

 

17.
PRICE GROUP

 

18.
ESTIMATED TOTAL PRICE

 

 

	
  1.  DATA ITEM NO.

  	
  2.
  TITLE OF DATA ITEM

  	
  3.
  SUBTITLE

  
	
  A010

  	
  Expenditure Forecast

  	
  Project Spend Plan

  
	
   

  	
   

  	
   

  
	
  4.
  AUTHORITY (Data Acquisition Document No.)

  	
  5.
  CONTRACT REFERENCE

  	
  6.
  REQUIRING OFFICE

  
	
  DI-MGMT-81468

  	
  n/a

  	
  DTRA/TMT

  
	
   

  	
   

  	
   

  
	
  7.  DD 250 REQ

  	
  9. DIST STATEMENT REQUIRED

  	
  10
  FREQUENCY

  	
  12. DATE OF FIRST SUBMISSION

  	
  14.

  	
  DISTRIBUTION

  
	
  LT

  	
   

  	
  See Blk 16

  	
  See Blk 16

  	
   

  	
   

  
	
   

  	
  n/a

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  b.
  COPIES

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  Final

  	
   

  
	
  8. APP
  CODE

  	
   

  	
  11. AS
  OF DATE

  	
  13. DATE OF SUBSEQUENT 

  	
   

  	
  a.
  ADDRESSEE

  	
   

  	
  Draft

  	
   

  	
  Reg

  	
   

  	
  Repro

  	
   

  
	
   

  	
   

  	
   

  	
  SUBMISSION

  	
   

  	
  DTRA/TMT

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  0

  	
   

  
	
  A

  	
   

  	
  See Blk 16

  	
  See Blk 16

  	
   

  	
  DTRA/BCR

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  15. TOTAL ^

  	
   

  	
  0

  	
   

  	
  2

  	
   

  	
  0

  	
   

  
																	

 

16.
REMARKS

 

Blocks 10-13:  Contractor will
provide an updated expenditure forecast reflecting actual negotiated costs over
the lifetime of the project 15 days after contract initiation and will update
the forecast as required by the US Government. 
Unless government format is provided, contractor format is acceptable.
US Government review/approval is 15 days after receipt of first submittal.
Provide changes to draft within 10 days of such request.  Provide final document within 10 days after
approval of changes is received.

 

17.
PRICE GROUP

 

18.
ESTIMATED TOTAL PRICE

 

 

	
  G.  PREPARED BY

  	
   

  	
  H. DATE

  	
   

  	
  I.
  APPROVED BY

  	
   

  	
  J. DATE

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  /s/Heather A. Manley

  	
   

  	
  25 May 10

  	
   

  	
   

  	
   

  	
   

  

 

DD FORM 1423-2, AUG
96                     PREVIOUS
EDITION MAY BE USED

 

	
  †

  	
  DESIGNATES PORTIONS OF
  THIS DOCUMENT THAT HAVE BEEN OMITTED PURSUANT TO A REQUEST FOR CONFIDENTIAL
  TREATMENT FILED SEPARATELY WITH THE COMMISSION

  

 

5

 

	
  CONTRACT
  DATA REQUIREMENTS LIST

  (2
  Data Items)

  	
  Form Approved

  OMB
  No. 0704-0188

  
	
   

  	
   

  
	
  The public reporting
  burden for this collection of information is estimated to average 220 hours
  per response, including the time for reviewing instructions, searching
  existing data sources, gathering and maintaining the data needed, and
  completing and reviewing the collection of information.  Send comments regarding this burden
  estimate or any other aspect of this collection of information,
  including suggestions for reducing the burden, to the Department of Defense,
  Executive Services Directorate (0704-0188). 
  Respondents should be aware that notwithstanding any other provision
  of law, no person shall be subject to any penalty for failing to comply with
  a collection of information if it does not display a currently valid OMB
  control number.  Please do
  not return your form to the above organization.  Send completed form to the Government
  Issuing Contracting Officer for the Contract/PR No. Listed in Block E.

  
	
   

  
	
  A.
  CONTRACT LINE ITEM NO.

  	
  B.
  EXHIBIT

  	
  C.
  CATEGORY

  
	
  n/a

  	
  A

  	
  TDP

  	
   

  	
  TM

  	
   

  	
  OTHER

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  D.
  SYSTEM/ITEM

  	
  E.
  CONTRACT/PR NO.

  	
  F.
  CONTRACTOR

  
	
  Transformational
  Medical Technologies

  	
   

  	
  AVI BioPharma

  
	
   

  	
   

  	
   

  
	
  1.  DATA ITEM NO.

  	
  2.
  TITLE OF DATA ITEM

  	
  3.
  SUBTITLE

  
	
  A011

  	
  Project Management Plan

  	
  n/a

  
	
   

  	
   

  	
   

  
	
  4.
  AUTHORITY (Data Acquisition Document No.)

  	
  5.
  CONTRACT REFERENCE

  	
  6.
  REQUIRING OFFICE

  
	
  DI-MGMT-80004A

  	
  n/a

  	
  DTRA/TMT

  
	
   

  	
   

  	
   

  
	
  7.  DD 250 REQ 

  	
  9. DIST STATEMENT REQUIRED

  	
  10
  FREQUENCY

  	
  12. DATE OF FIRST SUBMISSION

  	
  14.

  	
  DISTRIBUTION

  
	
  LT

  	
   

  	
  See Blk 16

  	
  See Blk 16

  	
   

  	
   

  
	
   

  	
  n/a

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  b.
  COPIES

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  Final

  	
   

  
	
  8. APP
  CODE

  	
   

  	
  11. AS
  OF DATE

  	
  13. DATE OF SUBSEQUENT

  	
   

  	
  a.
  ADDRESSEE

  	
   

  	
  Draft

  	
   

  	
  Reg

  	
   

  	
  Repro

  	
   

  
	
   

  	
   

  	
   

  	
  SUBMISSION

  	
   

  	
  DTRA/TMT

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  0

  	
   

  
	
  A

  	
   

  	
  See Blk 16

  	
  See Blk 16

  	
   

  	
  DTRA/BCR

  	
   

  	
   

  	
   

  	
  1

  	
   

  	
  0

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  15. TOTAL ^

  	
   

  	
  0

  	
   

  	
  2

  	
   

  	
  0

  	
   

  
																					

 

16.
REMARKS

 

Blocks 11-13:  Includes organizational chart, initial Work
Breakdown Structure, initial Integrated Master Plan, Risk Management Plan,
Regulatory Affairs Plan. Due 15 days after contract initiation.

 

Government may
provide acceptable format. Government review/approval is 15 days after receipt
of first submittal. Provide changes to draft within 10 days of such
request.  Provide final documentation
within 10 days after approval of changes is received.

 

17.
PRICE GROUP

 

18.
ESTIMATED TOTAL PRICE

 

 

	
  1.  DATA ITEM NO.

  	
  2.
  TITLE OF DATA ITEM

  	
  3.
  SUBTITLE

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  4.
  AUTHORITY (Data Acquisition Document No.)

  	
  5.
  CONTRACT REFERENCE

  	
  6.
  REQUIRING OFFICE

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  7.  DD 250 REQ

  	
  9. DIST STATEMENT REQUIRED

  	
  10
  FREQUENCY

  	
  12. DATE OF FIRST SUBMISSION

  	
  14.

  	
  DISTRIBUTION

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  b.
  COPIES

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  Final

  	
   

  
	
  8. APP
  CODE

  	
   

  	
  11. AS
  OF DATE

  	
  13. DATE OF SUBSEQUENT 

  	
   

  	
  a.
  ADDRESSEE

  	
   

  	
  Draft

  	
   

  	
  Reg

  	
   

  	
  Repro

  	
   

  
	
   

  	
   

  	
   

  	
  SUBMISSION

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  15. TOTAL ^

  	
   

  	
  0

  	
   

  	
  0

  	
   

  	
  0

  	
   

  
																	

 

16.
REMARKS

 

 

17.
PRICE GROUP

 

18. ESTIMATED
TOTAL PRICE

 

 

	
  G.  PREPARED BY

  	
   

  	
  H. DATE

  	
   

  	
  I.
  APPROVED BY

  	
   

  	
  J. DATE

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  /s/Heather A. Manley

  	
   

  	
  25 May 10

  	
   

  	
   

  	
   

  	
   

  

 

DD FORM
1423-2, AUG 96                             PREVIOUS EDITION MAY BE USED

 

	
  †

  	
  DESIGNATES PORTIONS OF
  THIS DOCUMENT THAT HAVE BEEN OMITTED PURSUANT TO A REQUEST FOR CONFIDENTIAL
  TREATMENT FILED SEPARATELY WITH THE COMMISSION

  

 

6

 

	
  CONTRACT
  DATA REQUIREMENTS LIST

  (1
  Data Item)

  	
  Form Approved

  OMB
  No. 0704-0188

  
	
   

  	
   

  
	
  The public reporting
  burden for this collection of information is estimated to average 110 hours
  per response, including the time for reviewing instructions, searching
  existing data sources, gathering and maintaining the data needed, and
  completing and reviewing the collection of information.  Send comments regarding this burden
  estimate or any other aspect of this collection of information,
  including suggestions for reducing the burden, to the Department of Defense,
  Executive Services Directorate (0704-0188). 
  Respondents should be aware that notwithstanding any other provision
  of law, no person shall be subject to any penalty for failing to comply with
  a collection of information if it does not display a currently valid OMB
  control number.  Please do
  not return your form to the above organization.  Send completed form to the Government
  Issuing Contracting Officer for the Contract/PR No. Listed in Block E.

  
	
   

  
	
  A.
  CONTRACT LINE ITEM NO.

  	
  B.
  EXHIBIT

  	
  C.
  CATEGORY

  
	
  n/a

  	
  A

  	
  TDP

  	
   

  	
  TM

  	
   

  	
  OTHER

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  D.
  SYSTEM/ITEM

  	
  E.
  CONTRACT/PR NO.

  	
  F.
  CONTRACTOR

  
	
  Transformational
  Medical Technologies

  	
   

  	
  AVI BioPharma

  
	
   

  	
   

  	
   

  
	
  1.  DATA ITEM NO.

  	
  2.
  TITLE OF DATA ITEM

  	
  3.
  SUBTITLE

  
	
  A012

  	
  Master Government
  Property List

  	
  GFP, GFE, GFM and
  Contractor Acquired Property

  
	
   

  	
   

  	
   

  
	
  4.
  AUTHORITY (Data Acquisition Document No.)

  	
  5.
  CONTRACT REFERENCE

  	
  6.
  REQUIRING OFFICE

  
	
  DI-MGMT-80269

  	
  n/a

  	
  DTRA/BE-BL

  
	
   

  	
   

  	
   

  
	
  7.  DD 250 REQ 

  	
  9. DIST STATEMENT REQUIRED

  	
  10
  FREQUENCY

  	
  12. DATE OF FIRST SUBMISSION

  	
  14.

  	
  DISTRIBUTION

  
	
  LT

  	
   

  	
  Monthly

  	
  See Blk 16

  	
   

  	
   

  
	
   

  	
  n/a

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  b.
  COPIES

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  Final

  	
   

  
	
  8. APP
  CODE

  	
   

  	
  11. AS
  OF DATE

  	
  13. DATE OF SUBSEQUENT

  	
   

  	
  a.
  ADDRESSEE

  	
   

  	
  Draft

  	
   

  	
  Reg

  	
   

  	
  Repro

  	
   

  
	
   

  	
   

  	
   

  	
  SUBMISSION

  	
   

  	
  DTRA/BE-BL

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1

  	
   

  
	
  A

  	
   

  	
  Award

  	
  See Blk 16

  	
   

  	
  DTRA/BE-BF

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  DTRA/BE-BC

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  DTRA/TMT

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  15. TOTAL ^

  	
   

  	
  0

  	
   

  	
  0

  	
   

  	
  4

  	
   

  
																					

 

16.
REMARKS

 

Block 4:  This DID is for reference only.  The report shall be prepared according to the
remarks below.

 

Block 12:  45th calendar day following contract award.

 

Block 13:  Tenth calendar day of each month.

 

During performance of the
Contract, the Contractor may purchase material or equipment using Government
funds [Contractor Acquired Property (CAP)] if it is approved by the Contracting
Officer.  The Contractor shall provide a
Master Government Property List (MGPL) inclusive of all CAP on the 45th calendar
day following Contract award and the tenth calendar of each subsequent month.

 

The MGPL shall include all
equipment/property provided to the contract, including equipment transferred
between projects, broken and obsolete equipment, and items purchased outside
the United States.  The MGPL shall
consist of the following data elements at a minimum:  Accountable Contract, Property Name, Original
Manufacturer’s Name, Description/Commercial Use, Original Manufacturer’s
Part Number, Model Number, Serial Number, DTRA Asset ID Number, Equipment
Identification Number Quantity, Contract to which equipment is assigned, Work
Breakdown Structure Project Number, Item Unique Identifier or equivalent,
Project Descriptor, Equipment Location, Date Placed In Service, Condition of
Property (active, stored, in-transit or waiting disposal), Government Property
Type (Government Furnished Equipment, Government Furnished Material, Government
Furnished Property, CAP), Unit Acquisition Cost (from accounting system) and
Remarks.

 

The MGPL shall be
delivered electronically in a spreadsheet using Microsoft Office Excel.  Abbreviations are not allowed.

 

Ninety (90) days
prior to Contact expiration, the Contractor shall submit a final MGPL suitable
for close-out purposes containing use/disposition recommendation.

 

17.
PRICE GROUP

 

18.
ESTIMATED TOTAL PRICE

 

 

	
  G.  PREPARED BY

  	
   

  	
  H. DATE

  	
   

  	
  I.
  APPROVED BY

  	
   

  	
  J. DATE

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  /s/Heather A. Manley

  	
   

  	
  25 May 10

  	
   

  	
   

  	
   

  	
   

  

 

DD FORM
1423-1, FEB 2001                         PREVIOUS EDITION MAY BE USED

 

	
  †

  	
  DESIGNATES PORTIONS OF
  THIS DOCUMENT THAT HAVE BEEN OMITTED PURSUANT TO A REQUEST FOR CONFIDENTIAL
  TREATMENT FILED SEPARATELY WITH THE COMMISSION

  

 

7

 

	
  CONTRACT
  DATA REQUIREMENTS LIST

  (1
  Data Item)

  	
  Form Approved

  OMB
  No. 0704-0188

  
	
   

  	
   

  
	
  The public reporting
  burden for this collection of information is estimated to average 110 hours
  per response, including the time for reviewing instructions, searching
  existing data sources, gathering and maintaining the data needed, and
  completing and reviewing the collection of information.  Send comments regarding this burden estimate
  or any other aspect of this collection of information, including
  suggestions for reducing the burden, to the Department of Defense, Executive
  Services Directorate (0704-0188). 
  Respondents should be aware that notwithstanding any other provision
  of law, no person shall be subject to any penalty for failing to comply with
  a collection of information if it does not display a currently valid OMB
  control number.  Please do
  not return your form to the above organization.  Send completed form to the Government
  Issuing Contracting Officer for the Contract/PR No. Listed in Block E.

  
	
   

  
	
  A.
  CONTRACT LINE ITEM NO.

  	
  B.
  EXHIBIT

  	
  C.
  CATEGORY

  
	
  n/a

  	
  A

  	
  TDP

  	
   

  	
  TM

  	
   

  	
  OTHER

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  D.
  SYSTEM/ITEM

  	
  E.
  CONTRACT/PR NO.

  	
  F.
  CONTRACTOR

  
	
  Transformational
  Medical Technologies

  	
   

  	
  AVI BioPharma

  
	
   

  	
   

  	
   

  
	
  1.  DATA ITEM NO.

  	
  2.
  TITLE OF DATA ITEM

  	
  3.
  SUBTITLE

  
	
  A013

  	
  Master Government
  Property - Physical Inventory

  	
  GFP, GFE, GFM and
  Contractor Acquired Property

  
	
   

  	
   

  	
   

  
	
  4.
  AUTHORITY (Data Acquisition Document No.)

  	
  5.
  CONTRACT REFERENCE

  	
  6.
  REQUIRING OFFICE

  
	
  DI-MGMT-80441

  	
   

  	
  DTRA/BE-BL

  
	
   

  	
   

  	
   

  
	
  7.  DD 250 REQ 

  	
  9. DIST STATEMENT REQUIRED

  	
  10
  FREQUENCY

  	
  12. DATE OF FIRST SUBMISSION

  	
  14.

  	
  DISTRIBUTION

  
	
  LT

  	
   

  	
  Annually

  	
  See Blk 16

  	
   

  	
   

  
	
   

  	
  n/a

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  b.
  COPIES

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  Final

  	
   

  
	
  8. APP
  CODE

  	
   

  	
  11. AS
  OF DATE

  	
  13. DATE OF SUBSEQUENT

  	
   

  	
  a.
  ADDRESSEE

  	
   

  	
  Draft

  	
   

  	
  Reg

  	
   

  	
  Repro

  	
   

  
	
   

  	
   

  	
   

  	
  SUBMISSION

  	
   

  	
  DTRA/BE-BL

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1

  	
   

  
	
  A

  	
   

  	
  Award

  	
  Annually

  	
   

  	
  DTRA/BE-BF

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  DTRA/BE-BC

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  DTRA/TMT

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  1

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  15. TOTAL ^

  	
   

  	
  0

  	
   

  	
  0

  	
   

  	
  4

  	
   

  
																					

 

16.
REMARKS

 

Block 4:  This DID is for reference only.  The report shall be prepared according to the
remarks below.

 

Block 12:  Date of first submission in one month after
award.

 

The Contractor shall
annually perform, record and disclose physical inventory results of all
Government Property/Contractor Acquired Property (CAP)/Equipment/Material.  A final coordinated physical inventory shall
be performed upon contract completion or termination and approved by the DTRA
Accountable Property Officer.

 

The Physical Inventory Report
shall identify the Contractor’s Point of Contact with telephone number and
signature and shall consist of the following data elements at a minimum:
Accountable Contract, Property Name, Original Manufacturer’s Name,
Description/Commercial Use, Original Manufacturer’s Part Number, Model
Number, Serial Number, DTRA Asset ID Number, Equipment Identification Number
Quantity, Contract to which equipment is assigned, Work Breakdown Structure
Project Number, Item Unique Identifier or equivalent, Project Descriptor,
Equipment Location, Date Placed In Service, Condition of Property (active,
stored, in-transit or waiting disposal), Government Property Type (Government
Furnished Equipment, Government Furnished Material, Government Furnished
Property, CAP), Unit Acquisition Cost (from accounting system) and Remarks.

 

The Physical Inventory
Report shall be documented in writing and validated/confirmed by both the
Contractor’s Property Administrator and the DTRA PM.  Inventory discrepancies must be reported
immediately to the Contracting Officer, PM or the DTRA Accountable Property
Officer, The report shall contain original signatures and be delivered
electronically in a spreadsheet using Microsoft Office Excel.  Abbreviations are not allowed.

 

Ninety (90) days
prior to Contract expiration, the Contractor shall submit a final property
identification listing suitable for close-out purposes containing
use/disposition recommendations.  The
report must be reviewed, approved and signed by the DTRA Accountable Property
Officer prior to contract close out.

 

17.
PRICE GROUP

 

18.
ESTIMATED TOTAL PRICE

 

	
  G.  PREPARED BY

  	
   

  	
  H. DATE

  	
   

  	
  I.
  APPROVED BY

  	
   

  	
  J. DATE

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  /s/Heather A. Manley

  	
   

  	
  25 May 10

  	
   

  	
   

  	
   

  	
   

  

 

DD FORM 1423-1, FEB 2001                         PREVIOUS EDITION MAY BE USED

 

	
  †

  	
  DESIGNATES PORTIONS OF THIS
  DOCUMENT THAT HAVE BEEN OMITTED PURSUANT TO A REQUEST FOR CONFIDENTIAL
  TREATMENT FILED SEPARATELY WITH THE COMMISSION

  

 

8EXHIBIT 10.1

 

PC MALL, INC.

 

AMENDED AND RESTATED

1994 STOCK INCENTIVE PLAN

 

(Amended as of June 19, 2002)

(Further amended as of March 22, 2007)

 

1.                                       Establishment,
Purpose, and Definitions.

 

(a)                                  PC Mall, Inc.
(formerly Creative Computers, Inc. and IdeaMall, Inc.) (the “Company”) hereby adopts its 1994 Stock Incentive Plan (the “Plan”).

 

(b)                                 The purpose of
the Plan is to provide incentives to eligible individuals (as defined in
Section 4 below) for increased efforts and successful achievements on
behalf of or in the interests of the Company and its Affiliates and to maximize
the rewards due them for those efforts and achievements.  The Plan provides employees (including
officers and directors who are employees) of the Company and of its Affiliates
an opportunity to purchase shares of common stock of the Company (“Stock”) pursuant to options which may qualify as incentive
stock options (referred to as “incentive stock options”) under Section 422
of the Internal Revenue Code of 1986, as amended (the “Code”),
and employees, officers, directors, independent contractors and consultants of
the Company and of its Affiliates an opportunity to purchase shares of Stock
pursuant to options which are not described in Sections 422 or 423 of
the Code (referred to as “nonqualified stock options”).  The Plan also provides for (i) the sale
or bonus of Stock to eligible individuals in connection with the performance of
services for the Company or its Affiliates, and (ii) awards which may be
earned in whole or in part upon the passage of time or the attainment of
performance criteria established by the Committee and which may be settled for
cash, Stock or a combination thereof, as established by the Committee (such
awards referred to herein as “Restricted Stock Units”).  Finally, the Plan authorizes the grant of
stock appreciation rights (“SARs”), either
separately or in tandem with stock options, entitling holders to cash
compensation measured by appreciation in the value of the Stock.

 

(c)                                  The term “Affiliate”
as used in the Plan means parent or subsidiary corporations of the Company, as
defined in Sections 424(e) and (f) of the Code (but substituting
“the Company” for “employer corporation”), including parents or subsidiaries of
the Company which become such after adoption of the Plan.

 

2.                                       Administration
of the Plan.

 

(a)                                  The Plan shall
be administered by the Board of Directors of the Company (the “Board”).  The Board
may delegate the responsibility for administering the Plan to a committee,
under such terms and conditions as the Board shall determine (the “Committee”).  The
Committee shall consist of two or more members of the Board or such lesser
number of

 

1

 

members
of the Board as permitted by Rule 16b-3 (or any successor thereto)
promulgated under the Securities Exchange Act of 1934, as amended (“Rule 16b-3”). 
The Committee shall select one of its members as chair of the Committee
and shall hold meetings at such times and places as it may determine.  A majority of the Committee shall constitute
a quorum, and acts of the Committee at which a quorum is present, or acts
reduced to or approved in writing by all the members of the Committee, shall be
the valid acts of the Committee.  If the
Board does not delegate administration of the Plan to the Committee, then each
reference in this Plan to the “Committee” shall be construed to refer to the
Board.

 

(b)                                 The Committee
shall determine which eligible individuals (as defined in Section 4 below)
shall be granted options under the Plan, the timing of such grants, the terms
thereof (including any restrictions on the Stock), and the number of shares
subject to such options.

 

(c)                                  The Committee
shall also determine which eligible individuals (as defined in Section 4
below) shall be granted or issued SARs, Stock (other than pursuant to the
exercise of options), or Restricted Stock Units under the Plan, the timing of
such grants or issuances, the terms thereof (including any restrictions and the
consideration, if any, to be paid therefor) and the number of shares, SARs or
Restricted Stock Units to be granted.

 

(d)                                 The Committee
may amend the terms of any outstanding option or SAR granted under this Plan,
but any amendment which would adversely affect the holder’s rights under an
outstanding option or SAR shall not be made without the holder’s written
consent.  The Committee may, with the
holder’s written consent, cancel any outstanding option or SAR or accept any
outstanding option or SAR in exchange for a new option or SAR.  The Committee also may amend any stock
purchase agreement or stock bonus agreement relating to sales or bonuses of
Stock under the Plan or any outstanding Restricted Stock Unit granted under
this Plan, but any amendment which would adversely affect the individual’s
rights to the Stock or the Restricted Stock Unit shall not be made without his
or her written consent.

 

(e)                                  The Committee
shall have the sole authority, in its absolute discretion to adopt, amend and
rescind such rules and regulations as, in its opinion, may be advisable in
the administration of the Plan, to construe and interpret the Plan, the rules and
the regulations, and the instruments evidencing options, SARs, Stock or
Restricted Stock Units granted or issued under the Plan and to make all other
determinations deemed necessary or advisable for the administration of the
Plan.  All decisions, determinations and
interpretations of the Committee shall be binding on all participants.

 

(f)                                    Notwithstanding
the foregoing provisions of this Section 2, grants of options or any other
awards hereunder to any “Covered Employee,” as such term is defined by Section 162(m) of
the Code shall be made only by a Committee (or subcommittee of a Committee)
which, in addition to meeting other applicable requirements of this Section 2,
is comprised solely of two or more “outside directors,” within the meaning of
Section 162(m) of the Code and the regulations thereunder (the “Subcommittee”)
to the extent it is intended that such grants qualify as “performance-based
compensation” under Section 162(m). 
In the case of such grants to Covered Employees, reference to the “Committee”
shall be deemed to be references to the Subcommittee as specified above.

 

2

 

3.                                       Stock Subject
to the Plan.

 

(a)                                  The maximum
aggregate number of shares of Stock available for issuance under the Plan and
during the life of the Plan shall equal 4,326,324 (subject to adjustment for
any stock splits or reverse stock splits) and, commencing with the first
business day of each calendar year thereafter beginning with January 1,
2003, such maximum aggregate number of shares of Stock shall be increased by a
number equal to three percent (3%) of the number of shares of Stock outstanding
as of December 31 of the immediately preceding calendar year.  Notwithstanding the foregoing, subject to the
provisions of Sections 3(c) and 3(d) below, the maximum aggregate
number of shares of Stock available for grant of incentive stock options shall
be 650,000 shares of Stock, and such number shall not be subject to annual
adjustment as described above. 
Notwithstanding the foregoing, the maximum aggregate number of shares of
Stock which may be issued pursuant to all awards of restricted Stock and
Restricted Stock Units is 100,000 shares.

 

(b)                                 If an option is
surrendered or for any other reason ceases to be exercisable in whole or in
part, the shares of Stock which were subject to such option but as to which the
option had not been exercised shall continue to be available under the Plan.  Any Restricted Stock Units or shares of Stock
forfeited to the Company pursuant to the terms of agreements evidencing
Restricted Stock Units or sales or bonuses of Stock under the Plan shall
continue to be available under the Plan.

 

(c)                                  If there is any
change in the Stock through merger, consolidation, reorganization,
recapitalization, reincorporation, stock split, stock dividend (in excess of
2%), or other change in the corporate structure of the Company, appropriate
adjustments shall be made by the Committee, in order to preserve but not to
increase the benefits to the outstanding options, SARs, Restricted Stock Units
and stock purchase or stock bonus awards under the Plan, including adjustments
to the aggregate number and kind of shares subject to the Plan, or to outstanding
stock purchase or stock bonus agreements, Restricted Stock Unit agreements or
SAR agreements, and the number and kind of shares and the price per share
subject to outstanding options; provided however, that a distribution by the
Company to its stockholders of all or any portion of the securities of any
subsidiary of the Company (a “Spinoff Transaction”) shall not be deemed to be a
change in the Stock for purposes of this Section 3.

 

(d)                                 In the event of
a Spinoff Transaction, the Committee may in its discretion make such
adjustments and take such other action as it deems appropriate with respect to
the outstanding options, SARs, Restricted Stock Units and stock purchase or
stock bonus awards under the Plan, including but not limited to adjustments to
the number and kind of shares, the price per share and the vesting periods of
outstanding options or the substitution, exchange or grant of options to
purchase securities of the subsidiary; provided that the Committee shall not be
obligated to make any such adjustments or take any such action hereunder.

 

3

 

4.                                       Eligible
Individuals.  Individuals
who shall be eligible to have granted to them options, SARs, Restricted Stock
Units or Stock under the Plan shall be such employees, officers, directors,
independent contractors and consultants of the Company or an Affiliate as the
Committee, in its discretion, shall designate from time to time.  Notwithstanding the foregoing, only employees
of the Company or an Affiliate (including officers and directors who are bona
fide employees) shall be eligible to receive incentive stock options.

 

5.                                       The Option
Price.  The exercise price of the each
incentive stock option shall be not less than the per share fair market value of
the Stock subject to such option on the date the option is granted.  The exercise price of each nonqualified stock
option shall be as determined by the Committee. 
Notwithstanding the foregoing, in the case of an incentive stock option
granted to a person possessing more than 10 percent of the combined voting
power of the Company or an Affiliate, the exercise price shall be not less than
110 percent of the fair market value of the Stock on the date the option
is granted.  The exercise price of an
option shall be subject to adjustment to the extent provided in Sections 3(c) and
3(d) above.

 

6.                                       Terms and
Conditions of Options.

 

(a)                                  Each option
granted pursuant to the Plan will be evidenced by a written stock option
agreement executed by the Company and the person to whom such option is
granted.

 

(b)                                 The Committee
shall determine the term of each option granted under the Plan; provided,
however, that the term of an incentive stock option shall not be for more than
ten years and that, in the case of an incentive stock option granted to a
person possessing more than 10 percent of the combined voting power of the
Company or an Affiliate, the term of each incentive stock option shall be no
more than five years.

 

(c)                                  In the case of
incentive stock options, the aggregate fair market value (determined as of the
time such option is granted) of the Stock with respect to which incentive stock
options are exercisable for the first time by an eligible employee in any
calendar year (under this Plan and any other plans of the Company or its
Affiliates) shall not exceed $100,000.

 

(d)                                 The stock
option agreement may contain such other terms, provisions and conditions
consistent with this Plan as may be determined by the Committee.  If an option, or any part thereof is intended
to qualify as an incentive stock option, the stock option agreement shall
contain those terms and conditions which are necessary to so qualify it.

 

(e)                                  The maximum
number of shares of Stock with respect to which options or other awards may be
granted to any individual in any fiscal year under the Plan shall be 650,000
shares, subject to adjustment pursuant to Sections 3(c) and 3(d).  To the extent required by Section 162(m) of
the Code or the regulations thereunder, in applying the foregoing limitation
with respect to an employee, if any option or other award is cancelled, the
cancelled option or award shall continue to count against the maximum number of
shares for which options or awards may be granted to the employee under this Section 6(e).  For this purpose, the repricing of 

 

4

 

an
option or award (or, in the case of a SAR, the base amount on which the stock
appreciation is calculated is reduced to reflect a reduction in the fair market
value of the Stock), shall be treated as a cancellation of the existing option
or award and the grant of a new option or award.

 

7.                                       Terms and
Conditions of Stock Purchases and Bonuses

 

(a)                                  Each sale or
bonus grant of Stock pursuant to the Plan will be evidenced by a written stock
purchase or stock bonus agreement, as applicable, executed by the Company and
the person to whom such stock is sold or granted.

 

(b)                                 The stock
purchase agreement or stock bonus agreement may contain such other terms,
provisions and conditions consistent with this Plan as may be determined by the
Committee, including not by way of limitation, restrictions on transfer,
forfeiture provisions, repurchase provisions and vesting provisions.

 

8.                                       Terms and
Conditions of SARs.  The
Committee may, under such terms and conditions as it deems appropriate,
authorize the issuance of SARs evidenced by a written SAR agreement (which, in
the case of tandem options, may be part of the option agreement to which the
SAR relates) executed by the Company and the person to whom the SARs are
granted.  The SAR agreement shall specify
the term for the SARs covered thereby and contain such other terms, provisions
and conditions consistent with this Plan as may be determined by the Committee.

 

9.                                       Terms and
Conditions of Restricted Stock Units.  The Committee may, under such terms and
conditions as it deems appropriate, authorize the issuance of Restricted Stock
Units evidenced by a written Restricted Stock Unit agreement executed by the
Company and the person to whom the Restricted Stock Units are granted.  The Restricted Stock Unit agreement shall
specify the term for the Restricted Stock Units covered thereby and contain
such other terms, provisions and conditions consistent with this Plan as may be
determined by the Committee, including not by way of limitation, restrictions
on transfer, forfeiture provisions, repurchase provisions and vesting
provisions.

 

10.                                 Amendment,
Suspension, or Termination of the Plan.

 

(a)                                  The Board may
at any time amend, suspend or terminate the Plan as it deems advisable;
provided that such amendment, suspension or termination complies with all
applicable requirements of state and federal law, including any applicable
requirement that the Plan or an amendment to the Plan be approved by the
shareholders, and provided further that, except as provided in Sections 3(c) and
3(d) above, the Board shall in no event amend the Plan in the following
respects without the consent of shareholders then sufficient to approve the
Plan in the first instance:

 

(i)                                     To materially increase the
benefits accruing to participants under the Plan;

 

5

 

(ii)                                  To materially increase the
number of shares of Stock available under the Plan; or

 

(iii)                               To materially modify the
eligibility requirements for participation in the Plan.

 

(b)                                 No option, SAR
or Restricted Stock Unit may be granted nor may any Stock be issued (other than
upon exercise of outstanding options or SARs or settlement of outstanding
Restricted Stock Units) under the Plan during any suspension or after the
termination of the Plan, and no amendment, suspension or termination of the
Plan shall, without the affected individual’s consent, alter or impair any
rights or obligations under any option, SAR or Restricted Stock Unit previously
granted under the Plan.  The Plan shall
terminate with respect to the grant of incentive options on the tenth
anniversary of the date of adoption of the Plan, unless previously terminated
by the Board pursuant to this Section 10.

 

11.                                 Transferability.  Incentive stock options may not be sold,
pledged, assigned, hypothecated, transferred, or disposed of in any manner
other than by will or by the laws of descent or distribution and may be
exercised, during the lifetime of the optionee, only by the optionee; provided,
however, that the optionee may designate a beneficiary of the optionee’s
incentive stock option in the event of the optionee’s death on a beneficiary
designation form provided by the Committee. 
Other awards may be transferred by gift or through a domestic relations
order to members of the optionee’s Immediate Family to the extent provided in
the award agreement or in the manner and to the extent determined by the
Committee.  For purposes of this Plan, “Immediate
Family” shall mean any child, stepchild, grandchild, parent, stepparent,
grandparent, spouse, former spouse, sibling, niece, nephew, mother-in-law,
father-in-law, son-in law, daughter-in-law, brother-in-law, or sister-in-law,
including adoptive relationships, any person sharing the optionee’s household
(other than a tenant or employee), a trust in which these persons have more
than fifty percent (50%) of the beneficial interest, a foundation in which
these persons (or the optionee) control the management of assets, and any other
entity in which these persons (or the optionee) own more than fifty percent
(50%) of the voting interests.

 

12.                                 Payment Upon
Exercise of Options.

 

(a)                                  Payment of the
purchase price upon exercise of any option granted under this Plan shall be
made in cash, a certified check, bank draft, or postal or express money order
payable to the order of the Company in lawful money of the United States;
provided, however, that the Committee, in its sole discretion, may permit an
optionee to pay the option price in whole or in part (i) with shares of
Stock owned by the optionee or with shares of Stock withheld from the shares
otherwise deliverable to the optionee upon exercise of an option; (ii) by
delivery on a form prescribed by the Committee of an irrevocable direction to a
securities broker approved by the Committee to sell shares of Stock and deliver
all or a portion of the proceeds to the Company in payment for the Stock;
(iii) by delivery of the optionee’s promissory note with such recourse,
interest, security and redemption provisions as the Committee in its discretion
determines appropriate; or (iv) in any combination of the foregoing.  Any Stock used to exercise options shall be
valued at its fair market value on the date of the exercise of the option.

 

6

 

(b)                                 In the event
that the exercise price is satisfied by shares withheld from the shares of
Stock otherwise deliverable to the optionee, the Committee may issue the
optionee an additional option, with terms identical to the option agreement
under which the option was exercised, entitling the optionee to purchase
additional shares of Stock equal to the number of shares so withheld but at an
exercise price equal to the fair market value of the Stock on the grant date of
the new option.

 

13.                                 Withholding
Taxes.

 

(a)                                  No Stock shall
be granted or sold under the Plan to any individual, no option or SAR may be
exercised and no RSU shall be settled, until the individual has made
arrangements acceptable to the Committee for the satisfaction of federal, state
and local income and employment tax withholding obligations, including without
limitation obligations incident to the receipt of Stock under the Plan, the
lapsing of restrictions applicable to such Stock, the failure to satisfy the
conditions for treatment as incentive stock options under applicable tax law or
the receipt of cash payments.  Upon the
exercise of a stock option of SAR, the settlement of Restricted Stock Units or
the lapsing of a restriction on Stock issued under the Plan, the Company (or
the optionee’s or shareholder’s employer) may withhold from the shares
otherwise deliverable to the optionee upon such exercise, or require the
shareholder to surrender shares of Stock as to which the restriction has
lapsed, such number of shares having a fair market value sufficient to satisfy
federal, state and local income and employment tax withholding obligations.

 

(b)                                 In the event
that such tax withholding is satisfied by the Company or the optionee’s
employer withholding shares of Stock otherwise deliverable to the optionee, the
Committee may issue the optionee an additional option, with terms identical to
the option agreement under which the option was exercised, entitling the
optionee to purchase additional shares of Stock equal to the number of shares
so withheld but at an exercise price equal to the fair market value of the
Stock on the grant date of the new option.

 

14.                                 Restrictions on
Transfer of Shares.  The
Committee may require that the Stock acquired pursuant to the Plan be subject
to such restrictions and agreements regarding sale, assignment, encumbrances or
other transfer as are in effect among the shareholders of the Company at the
time such Stock is acquired, as well as to such other restrictions as the
Committee shall deem appropriate.

 

15.                                 Change in
Control.

 

(a)                                  For purposes of
this Section 15, a “Change in Control” shall be deemed to occur upon:

 

(i)                                     the direct or
indirect acquisition by any person or related group of persons (other than an
acquisition from or by the Company or by a Company-sponsored employee benefit
plan or by a person that directly or indirectly controls, is controlled by, or
is under common control with, the Company) of beneficial ownership (within the
meaning of

 

7

 

Rule 13d-3
of the Securities Exchange Act of 1934, as amended) of securities possessing
more than fifty percent (50%) of the total combined voting power of the Company’s
outstanding Stock;

 

(ii)                                  a change in the
composition of the Board over a period of thirty-six (36) months or less such
that a majority of the Board members cease, by reason of one or more contested
elections for Board membership or by one or more actions by written consent of
shareholders, to be comprised of individuals who either (a) have been
Board members continuously since the beginning of such period or (b) have
been elected or nominated for election as Board members during such period by
at least a majority of the Board members described in clause (a) who
were still in office at the time such election or nomination was approved by
the Board;

 

(iii)                               approval by the
Company’s shareholders of a merger or consolidation in which the Company is not
the surviving entity, except for a transaction the principal purpose of which
is to change the state in which the Company is incorporated;

 

(iv)                              approval by the
Company’s shareholders of (x) the sale, transfer or other disposition of
all or substantially all of the assets of the Company (including the capital
stock of the Company’s subsidiary corporations) or (y) the complete
liquidation or dissolution of the Company; or

 

(v)                                 approval by the
Company’s shareholders of any reverse merger in which the Company survives as
an entity but in which securities possessing more than fifty percent (50%) of
the total combined voting power of the Company’s outstanding securities are
transferred to a person or persons different from those who held such
securities immediately prior to such merger.

 

(b)                                 In its
discretion, the Committee may provide in any stock option, SAR, Restricted
Stock Unit, Stock bonus or Stock purchase agreement (or in an amendment
thereto) evidencing an option, SAR, Restricted Stock Unit, Stock bonus or Stock
purchase hereunder that, in the event of any Change in Control, all or a
portion of any outstanding options or SARs covered by such an agreement shall
automatically become vested, nonforfeitable and exercisable, and that all or a
portion of any Restricted Stock Unit or restricted Stock covered by such an
agreement shall automatically become released from restrictions on transfer and
repurchase or forfeiture rights, immediately prior to the specified effective
date of the Change in Control.

 

If
the Committee determines to incorporate a Change in Control provision in any
option, SAR or Restricted Stock Unit agreement hereunder, the agreement may
provide that, (a) in the event of a Change in Control described in clauses
(i), (ii) and (v) above, the option or SAR shall remain exercisable
for the remaining term of the option or SAR and (b) in the event of a
Change in Control described in clauses (iii) or (iv), the option, SAR or
Restricted Stock Unit shall terminate as of the effective date of the merger,
disposition of assets, liquidation or dissolution described therein.  The Committee may in its sole discretion
provide in any option, SAR or Restricted Stock Unit agreement that, upon any
Change in Control described in clauses

 

8

 

(i) through
(v) of Section 15(a), the award shall terminate as of the effective
date of such Change in Control unless it is assumed by the successor
corporation or parent thereof.  In no
event shall any option or SAR under the Plan be exercised after the expiration
of the term provided for in the related stock option or SAR agreement pursuant
to Section 6(b) or Section 8.

 

16.                                 Shareholder
Approval.  The Plan
shall become effective upon its approval by the holders of a majority of the
Company’s shares voting (in person or by proxy) at a shareholders’ meeting held
within 12 months of the Board’s adoption of the Plan.

 

17.                                 Use of Proceeds.  Cash proceeds realized from the exercise of
options granted under the Plan or from other sales of Stock under the Plan
shall constitute general funds of the Company.

 

18.                                 Rule 16b-3
Compliance.  With
respect to persons subject to Section 16 of the Securities Exchange Act of
1934, transactions under the Plan are intended to comply with all applicable
conditions of Rule 16b-3.  To the
extent any provision of the Plan or action by the Committee fails to so comply,
it shall be deemed null and void, to the extent permitted by law and deemed
advisable by the Committee.  Moreover, in
the event the Plan does not include a provision required by Rule 16b-3 to
be stated therein, such provision (other than one relating to eligibility
requirements or the price and amount of awards) shall be deemed automatically
to be incorporated by reference into the Plan insofar as persons subject to
Section 16 are concerned.

 

9

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