Document:

Exhibit 10.16

 

Confidential Materials omitted and filed separately with the

Securities and Exchange Commission. Double asterisks denote omissions.

 

DATA LICENSE AGREEMENT

 

between

 

THE REGENTS OF THE UNIVERSITY OF CALIFORNIA

 

and

 

uniQure biopharma B.V.

 

for

 

AAV2.GDNF Data

 

i

 

TABLE OF CONTENTS

 

	
Article No.
    	
 
    	
Title
    	
 
    	
Page
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
BACKGROUND
    	
 
    	
1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
1.
    	
 
    	
DEFINITIONS
    	
 
    	
2
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
2.
    	
 
    	
GRANT
    	
 
    	
9
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
3.
    	
 
    	
IND APPROVAL PAYMENT
    	
 
    	
11
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
4.
    	
 
    	
PAYMENTS IN RESPECT OF THIRD PARTY LICENSES
    	
 
    	
12
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
5.
    	
 
    	
EARNED ROYALTIES
    	
 
    	
13
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
6.
    	
 
    	
PAYMENT TERMS
    	
 
    	
14
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
7.
    	
 
    	
BOOKS AND RECORDS
    	
 
    	
17
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
8.
    	
 
    	
DILIGENCE
    	
 
    	
18
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
9.
    	
 
    	
PROGRESS REPORTS
    	
 
    	
20
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
10.
    	
 
    	
TERM OF THE AGREEMENT
    	
 
    	
21
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
11.
    	
 
    	
TERMINATION BY THE REGENTS
    	
 
    	
22
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
12.
    	
 
    	
TERMINATION BY LICENSEE
    	
 
    	
23
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
13.
    	
 
    	
CONSEQUENCES OF TERMINATION
    	
 
    	
24
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
14.
    	
 
    	
USE OF NAMES AND TRADEMARKS
    	
 
    	
25
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
15.
    	
 
    	
NOTICES
    	
 
    	
25
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
16.
    	
 
    	
MISCELLANEOUS
    	
 
    	
26
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
APPENDIX A
    	
 
    	
33
    
	
 
    	
 
    	
 
    
	
APPENDIX B
    	
 
    	
38
    
	
 
    	
 
    	
 
    
	
APPENDIX C
    	
 
    	
40
    
							

 

ii

 

DATA LICENSE AGREEMENT

 

for

 

AAV2.GDNF Data

 

This license agreement (“Agreement”) is made effective this 12th day of June, 2012 (“Effective Date”), by and between The Regents of the University of California, a California corporation, having its statewide administrative offices at 1111 Franklin Street, 12th Floor, Oakland, California 94607-5200 (“The Regents”), acting through its Office of Technology Management, University of California, San Francisco, 185 Berry Street Suite 4603, San Francisco, California, 94107 (“UCSF”) and uniQure biopharma B.V.  (uniQure) a Netherlands corporation, having a principal place of business at Meibergdreef 61, 1105 BA Amsterdam, the Netherlands (“Licensee”).  The Regents and Licensee are sometimes referred to herein individually as a “Party” and collectively as the “Parties”.

 

BACKGROUND

 

A.                                    Licensee is a company engaged in the research, development, manufacturing and commercialization of gene therapy products, including research and development of therapeutics for the treatment of neurological diseases and other diseases.

 

B.                                    Certain technical information relating to pre-clinical work on GDNF.AAV2, including the preparation of the IND (as defined in the Collaboration Agreement, defined below) (such information being included in the definition of Data set out in the Collaboration Agreement), was made in the course of research at UCSF by [**].

 

C.                                    The development of such Data was sponsored in part by National Institutes of Health and, as a consequence, this license may be subject to overriding obligations to the United States Federal Government under 35 U.S.C.  §§ 200-212 and applicable regulations.

 

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D.                                    The Licensee and The Regents intend to collaborate on the development of GDNF.AAV2 product for the treatment of Parkinson’s Disease in accordance with the terms of the preceding Collaboration Agreement (as defined below) and further Data may be developed during the collaboration as described in Article 1 of the Collaboration Agreement.

 

E.                                     The Licensee wishes to obtain certain rights in respect of the Data from The Regents for the commercial development of a GDNF.AAV2 gene therapy product for the treatment of Parkinson’s Disease, in accordance with the terms and conditions set forth herein and The Regents are willing to grant those rights so that the Products may be developed and the benefits enjoyed by the general public.

 

F.                                      The Licensee acknowledges that:  (i) consideration for Data is due to early access; and (ii) some of the Data may become public in accordance with the NINDS Agreement (defined in the Collaboration Agreement) without a decrease in consideration due to The Regents under this Agreement.

 

- - oo 0 oo - -

 

The Parties agree as follows:

 

1.                                      DEFINITIONS

 

The definitions defined in the Collaboration Agreement shall also apply to this Agreement.  As used in this Agreement, the following additional terms, whether used in the singular or plural, shall have the following meanings:

 

1.1                               “AAV” means recombinant adeno-associated virus.

 

1.2                               “Affiliate” means any Person which controls, is controlled by or is under common control with a Party.  For purposes of this Section 1.2 (“Affiliate”), “control” shall mean (i) in the case of corporate entities, direct or indirect ownership of fifty percent (50%) or more of the stock or

 

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shares entitled to vote for the election of directors and (ii) in the case of non-corporate entities, direct or indirect ownership of fifty percent (50%) or more of the equity or income interest therein.  Notwithstanding the preceding provisions, with respect to an Affiliate of a Party to this Agreement, once such entity ceases to be an Affiliate of such Party, then, without any further action, such entity shall cease to have any rights, including license and sublicense rights, under this Agreement by reason of being an Affiliate.

 

1.3                               “Bundle” means an Identified Product (a) Sold together with another pharmaceutical product for a single price including fixed combinations or (b) Sold as part of a delivery agent (such as a viral vector) which contains two or more different therapeutic genes or therapeutic fragments of genes and not all of the therapeutic genes or fragments of genes encode GDNF or a fragment of GDNF that has Functional Activity.  For clarity, the other pharmaceutical product or other element contained in a delivery agent shall not include excipients, buffers or other similar substances that are typically formulated with the drug products contained in the Identified Product to form the final Identified Product for Sale, nor standard, off-the-shelf delivery devices such as syringes, but may include specialized drug delivery devices, other active drug substances or other proprietary materials intended to deliver the drug contained in the Bundle.

 

1.4                               “Calendar Quarter” means each respective period of three (3) consecutive months ending on March 31, June 30, September 30 and December 31 of each Calendar Year.

 

1.5                               “Calendar Year” means each respective period of twelve (12) months commencing on January 1 and ending on December 31.

 

1.6                               “Collaboration Agreement” means the collaboration agreement between The Regents and the Licensee dated the same date as this Agreement.

 

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1.7                               “Commercially Reasonable Efforts” means, with respect to a particular Identified Product and those diligent activities hereunder with respect to such Identified Product including diligent development and commercialization, those efforts and resources that Licensee would normally use with respect to a gene therapy product, which product is owned by Licensee, or to which Licensee has similar rights, with a similar market potential at a similar stage in development or product life as the Identified Product, taking into account all relevant factors, based on the facts and circumstances at the time, including without limitation diligent progress, safety and efficacy issues, other medical and clinical considerations, product labeling or anticipated labeling, product profile, present and future market potential, past performance of similar products (including both Identified Products and Licensee’s own pharmaceutical products that are of similar market potential), competitive market conditions, the likely timing of the product’s entry into the market, financial considerations, intellectual property considerations and the likelihood of regulatory approval.

 

1.8                               “Earned Royalty” has the meaning set out in Section 5.1.

 

1.9                               “Exploit” means to research, have researched, develop, have developed, make, have made, use, have used, offer for Sale, have offered for Sale, Sell, have Sold, import, have imported, export, have exported or otherwise exploit, or transfer possession of or title in, a Product.  Cognates of the word “Exploit” shall have correlative meanings.

 

1.10                        “Field” means the use of Data to Exploit Products for the therapeutic, palliative and prophylactic treatment of Parkinson’s Disease in humans.  The Field specifically excludes all other uses and applications.  For the avoidance of doubt any item of Data shall not be deemed to have been used in relation to any other use or application unless it either (a) does not become published, publically available information, through no breach of this Agreement by either Party,

 

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in a format that can be used by another entity, in a similar manner in which Licensee can use Data, for any clinical trial or regulatory filings, (b) is material or (c) has been specifically and identifiably incorporated in, and relied on in any regulatory filing.

 

1.11                        “Functional Activity” means neurotrophic activity with respect to dopaminergic neurons with an ability to (i) signal through the GDNF receptor complex and (ii) (a) increase tyrosine hydroxylase immunoreactivity or (b) protect against neurotoxin-mediated cell death.

 

1.12                        “GDNF” means glial-cell derived neurotrophic factor.

 

1.13                        “Identified Product” means a Product the identification or development of which materially uses the Data.

 

1.14                        “Launch” means the date of the first commercial Sale by Licensee of an Identified Product.

 

1.15                        “Net Revenue” means the total gross proceeds (including, without limitation, any license fees, maintenance fees, royalties or milestone payments), whether consisting of cash or any other forms of consideration received or collected by the Licensee from any Third Party Licensee in consideration of the grant of a Third Party License.  Notwithstanding the foregoing, Net Revenue shall not include proceeds attributed in such Third Party License to bona fide (i) debt financing; (ii) equity (and conditional equity, such as warrants, convertible debt and the like) investments in the Licensee; and (iii) reimbursement for the cost of research and/or development services specifically dedicated to the development of Identified Products to be provided on a going forward basis by Licensee for the applicable Third Party Licensee under such Third Party License on the basis of Licensee’s external and internal costs and/or full-time equivalent (“FTE”) efforts of personnel at or below commercially reasonable and standard FTE rates.  For the

 

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avoidance of doubt, any gross proceeds meeting the definition set forth above in this Section 1.15 shall be “Net Revenue” irrespective of whether such gross proceeds are received under one or more separate agreements and irrespective of how such gross proceeds are referred to or characterized by the Licensee or the Third Party Licensee.

 

1.16                        “Net Sale” means the gross invoiced Sales prices charged for Identified Products Sold by Licensee in arms length transactions to third parties (but not including Sales relating to transactions between Licensee, its Affiliates, and/or their respective agents (“Relationship-Influenced Sale”), unless for end use consumption), less the total of the following charges or expenses as determined in accordance with International Financial Reporting Standards (IFRS):  (i) trade, cash, prompt payment and/or quantity discounts including promotional or service discounts; (ii) returns, allowances, rebates, chargebacks, or payments to government agencies; (iii) retroactive price reductions applicable to Sales of such product; (iv) only those normal and customary discounts and rebates or wholesaler’s discounts and rebates given as part of a formulary program that are paid or credited to customers, third-party payers, health care systems, or administrators for an Identified Product that is included in such formulary program, as permitted by applicable law; (v) credits or allowances for product replacement, whether cash or trade; (vi) non-recoverable Sales taxes, excise taxes, tariffs and duties; (vii) bad debt, to the extent in which bad debt is defined as bad debt in Licensee’s records and actually not collected; and (viii) freight or other transportation charges, insurance charges, additional special packaging, and other governmental charges.  Notwithstanding the foregoing, the Parties intend that Net Sales exclude amounts invoiced for or revenues attributable to services ancillary to the delivery or use of Identified Products including surgical procedures, hospital stays or the like, as well as

 

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amounts invoiced for devices Sold in connection with any Identified Product as long as such amounts are separately identified in an invoice.

 

1.16.1              Any disposal of Identified Products at no charge for, or use of Identified Products at no charge in clinical or pre-clinical trials, and Identified Products given as free samples, or distributed at no charge to patients unable to purchase Identified Product shall not be included in Net Sales.

 

1.16.2              Upon any Sale or other disposal of any Identified Product for any consideration other than an exclusively monetary consideration on bona fide arm’s length terms, then for purposes of calculating the Net Sales under this Agreement, such Identified Product shall be deemed to be Sold at the average Sales price for such Identified Product having the same dosage form and strength during the applicable reporting period in the country where such Sale or other disposal occurred when such Identified Product is Sold alone and not with other products, and if such Identified Product is not Sold alone in such country during the applicable reporting period, then such Identified Product shall be deemed to be Sold at the average Sales price during the applicable reporting period generally achieved for such Identified Product having the same dosage form and strength in the rest of the world.

 

1.16.3              For any Relationship-Influenced Sale of a Licensed Product, Net Sales shall be based on the gross invoiced Sales prices at which the Relationship-Influenced Sale Purchaser resells such Identified Product.

 

1.16.4              Where a Identified Product is Sold in a Bundle, then for the purposes of calculating the Net Sales under this Agreement, such Identified Product shall be deemed to be Sold for an amount equal to (X/(X+Y)) x 2, where:  X is the average Sales price during the applicable reporting period for such Identified Product being Sold alone (in the same dosage

 

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form) (or, should more than one Identified Product be included in a Bundle with a product other than a Identified Product, the sum of such average Sales prices for the included Identified Products) in the particular country of Sale; Y is the sum of the average Sales price during the applicable reporting period in the particular country of Sale, when Sold alone, of each pharmaceutical (other than the included Identified Product(s)) included in the Bundle (in the same dosage form); and Z equals the Net Sales of such Bundle.  In the event that a Identified Product or one or more of the other pharmaceuticals in the Bundle are not Sold separately (in the same dosage form), the Parties will discuss in good faith to determine an equitable fair market price to apply to such Identified Product or other pharmaceutical in the Bundle.

 

1.17                        “Payment Term” means, with respect to a given country, the period of time commencing on Launch of the first Identified Product in such country and continuing until the tenth (10th) anniversary of the Launch of such Identified Product in such country.

 

1.18                        “Person” means an individual, corporation, partnership, limited liability company, trust, business trust, association, joint stock company, joint venture, pool, syndicate, sole proprietorship, unincorporated organization, governmental authority or any other form of entity not specifically listed herein.

 

1.19                        “Product” means any pharmaceutical product which contains or consists of an AAV2 genetic construct encoding GDNF or any fragment of GDNF that has Functional Activity.

 

1.20                        “Relationship-Influenced Sale Purchaser” means the purchaser of Identified Product in a Relationship-Influenced Sale.

 

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1.21                        “Sale” means the act of selling, leasing or otherwise transferring, providing, or furnishing for use for any consideration.  Correspondingly, “Sell” means to make or cause to be made a Sale and “Sold” means to have made or caused to be made a Sale.

 

1.22                        “Third Party License” means a grant of any right or license by Licensee in respect of the Data to Exploit Identified Products.

 

1.23                        “Third Party License Fees” is defined in Section 4.1.

 

2.                                      GRANT

 

2.1                               Subject to the limitations and other terms and conditions set forth in this Agreement, The Regents hereby grants to the Licensee a non-exclusive (subject to Section 2.3), royalty bearing, sublicensable (as described below) license under its rights in and to the Data, in the United States and in other countries throughout the world where The Regents may lawfully grant such licenses, only in the Field.  Such license includes all activities to be carried out by the Licensee under the Collaboration Agreement.

 

2.2                               As long as this Agreement is effective, The Regents agrees not to license the rights in and to Data granted to the Licensee in Section 2.1 to other for-profit entities.

 

2.3                               The Regents reserves and retains the right (and the rights granted to the Licensee in this Agreement shall be limited accordingly) to make and use the Data and to make and use any Products and to practice any process that is the subject of the Data (and to grant any of the foregoing rights to other educational and non-profit institutions) for educational and research purposes, and including publication and other communication of any research results, provided, however, that The Regents shall not enter into sponsored research agreements for or on behalf of for-profit entities with:

 

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(i)                                     [**]; and / or

 

(ii)                                  the following members of [**] research team (whilst they remain members of his research team):  [**],

 

in respect of any GDNF.AAV2 gene therapy product encoding GDNF (or any fragment of GDNF that has Functional Activity) for the treatment or prophylaxis of Parkinson’s Disease while the Data License and/or any Third Party License(s) is in effect, provided, however, the sponsored research restriction in this Section 2.3 shall expire upon the earlier of (i) the [**] year anniversary after a Launch in the US, France, Germany, Italy, Spain or UK; or (ii) termination of this Agreement and any Third Party License(s).

 

2.4                               The Regents also grants to the Licensee the right to sublicense the license granted according to Section 2.1 to its Affiliates and to Third Parties (who shall also have the right to sublicense as shall such sub-sub-licensees onwards through multiple tiers) (each such party receiving such a license (a Third Party License) being referred to as a Third Party Licensee) provided that the Licensee is responsible for making sure that:  (a) any such Third Party License must include all of the rights of and obligations due to The Regents (and if applicable, the United States government) contained in this Agreement and (b) The Licensee shall notify The Regents of each Third Party License granted within [**] days of its grant.  Upon termination of this Agreement for any reason, all Third Party Licenses granted by Licensee shall survive such termination and The Regents shall assume all such Third Party Licenses as the licensor thereunder in accordance with the terms of such Third Party Licenses; provided, however, that (a) the Third Party Licensee is not in material default and agrees in writing to an assignment to The Regents of such sublicense, (b) all of the terms of this Agreement are agreed to fully in writing by such Third Party Licensee; and (c) the Third Party Licensee acquires no rights from or

 

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obligations on the part of The Regents other than those that are specifically granted under this Agreement and assumes all liability and obligations to The Regents required of Licensee by this Agreement with respect to The Regents’ sublicensed rights, including past due obligations existing at the time of assignment of this Agreement by Licensee.  If any Third Party Licensee fails to meet the above provisions described in this Section 2.4 then The Regents may terminate its sublicense, in accordance with Article 11 (Termination by The Regents).  The Regents will not be bound to perform any duties or obligations set forth in any sublicense to any Third Party Licensee that extend beyond the duties and obligations of The Regents set forth in this Agreement, and the Licensee’s obligations to The Regents hereunder will be binding upon each Third Party Licensee.  Any such assignment will include a modification to the sublicense that requires payment of Earned Royalties directly to The Regents by the Third Party Licensee as if it were the Licensee at the rate set forth in Article 5 (Earned Royalties) and payment of any Third Party License Fees as set forth in Article 4 (Payments In Respect Of Third Party Licenses) in accordance with Article 6 (Payment Terms).

 

3.                                      IND APPROVAL PAYMENT

 

3.1                               In consideration of the approval of the IND, the Licensee will pay to The Regents three hundred thousand U.S. dollars ($300,000) within [**] days of the Effective Date and provided that the Licensee has received a proper invoice from The Regents for such sum.  This payment is non refundable, non-cancelable and is not an advance or otherwise creditable against any royalties or other payments required to be paid under the terms of this Agreement.

 

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4.                                      PAYMENTS IN RESPECT OF THIRD PARTY LICENSES

 

4.1                               During the period from the Effective Date to the end of the Payment Term on a country by country basis, the Licensee will pay to The Regents the following third party license fees (“Third Party License Fees”):

 

4.1.1                     [**] percent ([**]%) of all Net Revenue received by Licensee from any Third Party Licensee if the Third Party License between the Licensee and such Third Party Licensee is executed [**];

 

4.1.2                     [**] percent ([**]%) of all Net Revenue received by Licensee from any Third Party Licensee if the Third Party License between the Licensee and such Third Party Licensee is executed [**];

 

4.1.3                     [**] percent ([**]%) of all Net Revenue received by Licensee from any Third Party Licensee if the Third Party License between the Licensee and such Third Party Licensee is executed [**];

 

4.1.4                     [**] percent ([**]%) of all Net Revenue received by Licensee from any Third Party Licensee if the Third Party License between the Licensee and such Third Party Licensee is executed [**]; and

 

4.1.5                     [**] percent ([**]%) of all Net Revenue received by Licensee from any Third Party Licensee if the Third Party License between the Licensee and such Third Party Licensee is executed [**].

 

4.2                               For the avoidance of doubt, each of the Third Party License Fees will be payable with respect to each Identified Product.

 

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4.3                               Should the Licensee be required to pay a license payment from Net Revenue to an unaffiliated third party(ies) for material intellectual property rights needed in order to make, use, Sell or import Identified Products, then Licensee may reduce the payment from Third Party License Fees due The Regents as follows.  If Licensee is required to pay The Regents and such unaffiliated third party(ies) from the same form of payment (e.g.  license fee, maintenance fee, royalty or milestone payment) under Net Revenue, then the Third Party License Fee to be paid to The Regents by Licensee shall be reduced by the lesser of either (i) an amount equal to the applicable license payment due to the unaffiliated third party(ies), or (ii) the amount up to [**] percent ([**]%) of the original Third Party License Fee amount due The Regents.  For the avoidance of doubt, in no event shall the amount paid to The Regents be reduced below [**] percent ([**]%) of the original Third Party License Fee amounts due The Regents.  For example purposes only, if Licensee is required to pay The Regents and an unaffiliated third party royalty payments from Net Revenue, then the reduction under this Section 4.3 shall be applied only to such royalty payment and further, such reduction shall not be applied to any other form of payment due to The Regents such as milestone payments received from any third party.

 

4.4                               All Third Party License Fees are non-cancelable and are not an advance or otherwise creditable against any royalties or other payments required to be paid under the terms of this Agreement.

 

5.                                      EARNED ROYALTIES

 

5.1                               During the Payment Term, the Licensee will also pay to The Regents a royalty of [**] percent ([**]%) of the Net Sales of Identified Products Sold by the Licensee (“Earned Royalty”).  For the avoidance of doubt, Earned Royalties shall not be payable in respect of Sales made by Third Party Licensees, but for which The Regents will receive payment on royalties with respect

 

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to Sales made by Third Party Licensees as part of the Third Party License Fees according to Article 4.

 

5.2                               In the event it becomes necessary for Licensee to license intellectual property rights from an unaffiliated third party, and Licensee is required to pay a royalty percentage of the Net Sales of Identified Products Sold by the Licensee to that unaffiliated third party in order to make, use, Sell or import Identified Products, and the combined earned royalties due The Regents and unaffiliated third parties exceeds [**] percent ([**]%), then the Earned Royalty to be paid to The Regents by Licensee shall be reduced by an amount equal to [**] the excess over [**]percent ([**]%) of the royalty rate(s) due to the unaffiliated third party(ies).  However, in no event shall the amount paid to The Regents be reduced below [**] percent ([**]%) of the original Earned Royalty amounts due The Regents.

 

6.                                      PAYMENT TERMS

 

6.1                               Prior to the first Launch of an Identified Product, Licensee shall pay The Regents any Third Party License Fees within [**] days that the Licensee receives any Net Revenue in respect of which such Third Party License Fees are payable.

 

6.2                               After the first Launch of an Identified Product and during the Payment Term, Licensee will prepare and deliver reports to The Regents detailing all Earned Royalties and Third Party License Fees for each Calendar Quarter within [**] days of the end of each such Calendar Quarter and such reports will be accompanied by payment of such Earned Royalties and Third Party License Fees.  The reports will show:  the gross Sales and Net Sales of Identified Products Sold by Licensee during the most recently completed Calendar Quarter; the number of each type of Identified Products Sold by Licensee; Earned Royalties, in U.S. dollars, due on Net Sales; and the exchange rates used, if any, together with all Third Party License Fees.

 

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6.3                               Invoices.  To the extent an invoice is required to be submitted by The Regents to Licensee, such invoice shall be addressed to:

 

uniQure biopharma B.V.

FAO Finance Department

P.O.Box 22506

1100 DA Amsterdam

The Netherlands

Email:  Finance@uniQure.com

 

Invoices not submitted to the foregoing address may be subject to delay or return.

 

6.4                               All consideration due to The Regents will be payable and will be made in United States dollars by check payable to “The Regents of the University of California” or by wire transfer to an account designated by The Regents.  The Licensee is responsible for all bank or other transfer charges save for any charges levied by The Regents’ bank which shall be the responsibility of The Regents.  When Identified Products are Sold for, or Third Party License Fees are received in, monies other than United States Dollars (each a “Foreign Currency Amount”), the Earned Royalties and Third Party License Fees will be converted into equivalent United States Dollars.  The exchange rate will be that which corresponds to the rate used by Licensee, for the respective reporting period, related to recording such Foreign Currency Amount in its books and records that are maintained in accordance with IFRS, provided, however, that if, at such time, Licensee does not use a rate for converting into a U.S. dollar equivalent that is maintained in accordance with IFRS, then Licensee will use a rate of exchange which corresponds to the rate of exchange for such currency into U.S. dollars quoted in The Wall Street Journal Internet U.S. Edition, as of the last day of the applicable reporting period (or, if unavailable on such date, the first date thereafter on which such rate is available).

 

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6.5                               Payment of Taxes.  All excises, taxes, and duties, excluding any value-added tax (collectively “Taxes”), only to the extent actually incurred and not reimbursable, refundable or creditable under the tax authority of any country, levied on account of a payment made by Licensee to The Regents pursuant to this Agreement will be the responsibility of and paid by The Regents or shall be subject to the withholding, remittance, and offset provisions of Section 6.6.

 

6.6                               Withholding by Licensee.  In the event that law or regulation requires Licensee to withhold Taxes with respect to any payment to be made by Licensee pursuant to this Agreement, Licensee will withhold such Taxes from the amount due and furnish, within [**] days of the date of such withholding, The Regents with proof of payment of such Taxes.  Licensee will provide reasonable assistance to The Regents in its efforts to claim an exemption of Taxes, obtain a refund of Taxes withheld, or obtain a credit with respect to such Taxes paid.  In order for The Regents to secure an exemption from, or a reduction in, any withholding of Taxes, The Regents shall provide to Licensee such forms as reasonably required for each type of payment to be made pursuant to the Agreement for which an exemption from, or a reduction in, any withholding of Taxes is claimed.  In the event that a form previously furnished to Licensee expires, is incorrect, or is inapplicable to the type of payment to be made, due to a change in circumstances or otherwise, The Regents shall furnish a new form to Licensee prior to the payment of any such amount in order to secure an exemption from, or a reduction in, any withholding of Taxes with respect to such payment.

 

6.7                               In the event that royalties, fees, or other monies owed to The Regents are not received by The Regents when due, the Licensee will pay to The Regents interest at a rate of [**] percent ([**]%) simple interest per annum.  Such interest will be calculated from the date payment was

 

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due until actually received by The Regents.  Such accrual of interest will be in addition to and not in lieu of, enforcement of any other rights of The Regents due to such late payment.

 

7.                                      BOOKS AND RECORDS

 

7.1                               Licensee shall keep true and fair books and records showing all Identified Products Sold under this Agreement (for the purposes of showing the amount of earned Royalties payable to The Regents).  Licensee shall preserve these books and records for at least [**] years from the date of the Earned Royalty payment to which they relate.  The Regents shall have the right, at its own expense and not more than [**] during the term of this Agreement, to have an independent, certified public accountant, selected by The Regents, audit the records of Licensee in the location(s) where such records are maintained upon reasonable notice (which shall be no less than [**] days prior written notice) and during regular business hours, and for the sole purpose of verifying the basis and accuracy of payments required and made under this Agreement.  The books and records for any particular Calendar Year shall only be subject to [**].  The report and communication of such accountant with respect to such an audit shall be limited to a certificate stating whether any report made or payment submitted by Licensee during such audited period is accurate or inaccurate and the amount of any payment discrepancy.  Such accountant shall provide The Regents and Licensee with a copy of each such report simultaneously.  The Regents shall bear the costs of any examination of books and records, except that if an error in royalties of more than [**] percent ([**]%) of the total Earned Royalties due for any year is discovered, Licensee shall bear the cost of that examination.  Upon the expiration of [**] years following the end of any Calendar Year, the right to audit the books and records for such Calendar Year shall expire and the calculation of payments payable with respect to each such Calendar Year shall be binding and conclusive upon The Regents, and Licensee shall be released from any liability or

 

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accountability with respect to payments for such Calendar Year.  Licensee shall no longer be required to retain such records for such Calendar Year after the expiration of such [**] year period.  The Regents shall, and shall ensure that the independent accountant shall, treat all financial information subject to review under this Section 7.1 as Confidential Information of Licensee.

 

8.                                      DILIGENCE

 

8.1                               The Regents shall have the right to terminate this Agreement in its entirety if, by 31 December 2012, the Licensee, including affiliated companies, has not received at least €[**] Euros) during the course of the calendar year of 2012 by way of equity and/or debt financings and/or payments by third party pharma/life sciences companies provided, however, that (a) the Parties shall meet within the [**] day period after receipt of a Notice of Default (as defined below in Section 11.1) to agree in good faith whether the Licensee has nevertheless raised sufficient funds to be able to comply with its obligations under this Agreement and the Collaboration Agreement and (b) the termination shall not become effective at the end of the [**] day Notice Period (defined below in Section 11.2) if either (i) the parties agree that the Licensee has raised sufficient funds to be able to comply with its obligations under this Agreement and the Collaboration Agreement; or (ii) the Licensee receives additional funds during such [**] day Notice Period sufficient to reach the €[**] Euros) threshold for the [**]-period starting from 1 January 2012, as shown by written tangible evidence; or (iii) if the Licensee provides The Regents, within [**] days of receipt of The Regents’ Notice of Default, with a plan for raising such funds (“Funding Plan”) within a specified time period, and The Regents accepts such Funding Plan, and Licensee thereafter diligently continues such implementation until such funds are received within the specified time period.  The Regents will

 

18

 

notify Licensee of either The Regents’ acceptance or rejection, in its sole discretion, of Licensee’s Funding Plan.  Any decision by The Regents to reject a Funding Plan pursuant to this Section 8.1 will be deemed final and The Regents shall have the right to immediately terminate this Agreement.

 

8.2          The Licensee will complete the following tasks, within [**] months of the Effective Date of this Agreement:

 

[**].

 

8.3          The Licensee, from the date it receives the Interim Report, agrees to use Commercially Reasonable Efforts to proceed, either directly or through a Third Party Licensee, to develop at least one Identified Product, and seek to obtain regulatory approval for such Identified Product in the U.S. and the European Union, and to use Commercially Reasonable Efforts to market the same in quantities sufficient to meet the market demands therefor in the U.S. and in France, Germany, Italy, Spain and the UK.

 

8.4          The Parties acknowledge that developing and seeking regulatory approvals for an Identified Product may include sequential implementation of clinical trials and intervals between clinical trials for data interpretation and clinical program planning and approval.  The Regents acknowledge that in determining whether Licensee has met its requirement to use Commercially Reasonably Efforts in accordance with Section 8.3, reference will be made to the totality of Licensee’s activities with respect to all Identified Product(s) (if, in Licensee’s sole discretion, it decides to develop more than one Identified Product) in all countries, not on a country-by-country basis.

 

19

 

8.5          The Licensee will use Commercially Reasonable Efforts to obtain all necessary regulatory approvals in each country where Identified Products are manufactured, used, Sold, offered for Sale or imported.

 

8.6          Subject to Section 8.7, if the Licensee materially fails to comply with any of the provisions of Sections 8.1 to 8.5, then The Regents has the right and option to either terminate this Agreement or remove the licensing restriction in Section 2.2.  This right, if exercised by The Regents, supersedes the rights granted in Article 2 (Grant) and The Regents shall be free to license the rights granted in Section 2.1 to other for-profit entities.

 

8.7          To exercise either the right to terminate this Agreement or to remove the licensing restriction in Section 2.2 for the Licensee’s material failure to comply with any of the provisions of Sections 8.1 to 8.5, The Regents will give the Licensee written notice of the deficiency in accordance with Section 11.2 (Nonmonetary Default).  If, after the Notice Period, or Notice Extension Period, if applicable, the deficiency has not been cured, then The Regents may, at its option, terminate this Agreement immediately or remove the licensing restriction in Section 2.2 by providing written notice to the Licensee.

 

9.             PROGRESS REPORTS

 

9.1          Beginning on the date that is [**] months after receipt by Licensee of the Interim Report, and continuing [**] until the First Commercial Sale of an Identified Product, Licensee shall submit to The Regents a progress report covering Licensee’s activities related to the development and testing of Identified Products.  Progress reports must include a detailed summary of the following topics, but are not limited to:  a summary of work completed, a current schedule of anticipated events or milestones, including the performance milestones outlined in Section 8 (Diligence); and, beginning [**] months before the anticipated Launch of any

 

20

 

Identified Product, a detailed outline of the commercialisation plans for such Identified Product.  If the Identified Product is being developed and commercialized by a Third Party Licensee, in whole or in part, the Licensee will summarize and deliver all reports due to The Regents from such Third Party Licensee.

 

9.2          The Licensee will submit to The Regents on the [**] of the Effective Date of this Agreement a specific plan to develop and commercialize Identified Products “Commercial Development Plan”.  Such Commercial Development Plan shall include the timeline for developing Identified Products, including plans for preclinical studies, key aspects of the clinical development of Identified Products through regulatory approval, estimated dates for initiation and completion of clinical trials, manufacturing, sublicensing, and marketing and Sales.  If actual progress differs from that anticipated in the Commercial Development Plan, Licensee shall provide The Regents a written explanation for the reasons for the difference and a modified Commercial Development Plan within [**] days of when Licensee is notified of such difference in progress.

 

10.          TERM OF THE AGREEMENT

 

10.1        This Agreement shall commence on the Effective Date, and unless terminated earlier as provided in Articles 11 or 12, shall continue in full force and effect on a country-by-country basis until the end of the Payment Term with respect to such country and this Agreement will expire when all such payment obligations have ended in all countries (the “Term”).  Upon expiration (but not an earlier termination) of the Payment Term in respect of a particular country, Licensee shall have a perpetual, non-exclusive, fully paid-up, royalty free license which includes the right to sublicense through multiple tiers of sublicense, under the Data to Exploit Identified Products in the Field in such country.

 

21

 

11.          TERMINATION BY THE REGENTS

 

11.1        Monetary Default.  Upon any failure by Licensee to timely pay undisputed amounts due to The Regents required to be paid under this Agreement, The Regents, in addition to any other remedy available at law or equity, shall have the right to terminate this Agreement by giving Licensee written notice of such default (“Notice of Default”) in which Licensee has [**] days’ from the effective date of such notice to repair such default.  The Regents shall have the right to immediately terminate this Agreement upon the expiration of such [**] day period by providing a written notice of termination (“Notice of Termination”) to Licensee, unless on or before such date Licensee has paid such amounts, in which case the Agreement shall continue unaffected.  For the avoidance of doubt, disputed amounts shall be those on amounts that have been actually disputed by either Party pursuant to any audit conducted in accordance with Section 7 (Books and Records).

 

11.2        Nonmonetary Default.  Upon any material non-monetary breach of this Agreement by Licensee (i.e., not involving the payment by Licensee of any amounts required to be paid under this Agreement), The Regents, in addition to any other remedy available at law or equity, shall have the right to provide a Notice of Default to Licensee of such material non-monetary breach.  In the event such material non-monetary breach has not been cured by Licensee within [**] days (the “Notice Period”) after receipt of such notice provided that the Parties have worked together in good faith to try to cure such breach, then, The Regents will have the right to immediately terminate this Agreement by providing a written Notice of Termination to the Licensee, provided, however, that the stated period will be extended an additional [**] days (“Notice Extension Period”) during which the Parties will work together in good faith to try to cure such breach if all of the following criteria are satisfied:  (i) such breach is not susceptible of cure

 

22

 

within the stated initial [**] day Notice Period as evidenced by written tangible records; (ii) Licensee has submitted a cure plan that is reasonably acceptable to The Regents; and (iii) Licensee uses diligent, good faith efforts to cure such breach.  If such breach is not cured during such [**] day extension, The Regents will have the right to immediately terminate this Agreement by providing a written Notice of Termination to the Licensee.  For the avoidance of doubt, non-monetary breach includes failure of Licensee to:  (i) perform obligations described in Sections 8.1 - 8.5; and (ii) submit reports in accordance with Article 9 (Progress Reports).

 

11.3        This Agreement will automatically terminate without the obligation to provide written notice as set forth in Sections 11.1 or 11.2 upon (a) the bankruptcy, dissolution or winding up of the Licensee, or (b) the making or seeking to make or arrange an assignment for the benefit of creditors of the Licensee, or (c) the initiation of proceedings in voluntary or involuntary bankruptcy, or (d) the appointment of a receiver or trustee of the Licensee’s property in each case (a) to (d) that is not discharged within one hundred and twenty (120) days.

 

12.          TERMINATION BY LICENSEE

 

12.1        Termination At Will.  The Licensee has the right at any time to terminate this Agreement by providing a notice of termination to The Regents.  Termination of this Agreement will be effective sixty (60) days from the effective date of such notice.

 

12.2        Default.  Upon any material breach of this Agreement by The Regents, Licensee, in addition to any other remedy available at law or equity, shall have the right to provide notice to The Regents of such material breach.  In the event such material breach has not been cured by The Regents within [**] days after receipt of such notice, then, Licensee shall have the right to terminate this Agreement by providing The Regents with [**] days written notice.

 

23

 

13.          CONSEQUENCES OF TERMINATION

 

13.1        Any termination or expiration of either this Agreement and the Collaboration Agreement will not affect the rights and obligations set forth in the following Articles:

 

	
Data   License Agreement
    	
 
    	
 
    
	
Article 1
    	
 
    	
Definitions
    
	
Section 2.4
    	
 
    	
Sublicense   survival
    
	
Section 6.7
    	
 
    	
Late   Payments
    
	
Article 7
    	
 
    	
Books   and Records
    
	
Article 10
    	
 
    	
Term   of the Agreement
    
	
Article 13
    	
 
    	
Consequences   of Termination
    
	
Article 14
    	
 
    	
Use   of Names and Trademarks
    
	
Article 15
    	
 
    	
Notices
    
	
Section 16.2
    	
 
    	
Indemnification
    
	
 
    	
 
    	
 
    
	
Collaboration   Agreement
    	
 
    	
 
    
	
Article 1
    	
 
    	
Definitions
    
	
Article 8
    	
 
    	
Confidentiality
    
	
Section 17.2
    	
 
    	
Limited   Warranty
    
	
Article 18
    	
 
    	
Limitation   of Liability
    
	
Article 21
    	
 
    	
Notices
    
	
Article 24
    	
 
    	
Governing   Law and Jurisdiction
    

 

13.2        The termination or expiration of this Agreement will not relieve the Licensee of its obligation to pay any fees, Third Party License Fees and Earned Royalties, or any other payments owed to The Regents at the time of such termination or expiration and will not impair any accrued right of The Regents, including the right to receive Third Party License Fees and Earned Royalties in accordance with Articles 4 (Payments In Respect Of Third Party Licenses), 5 (Earned Royalties) and 13.3 (Disposition of Identified Products Upon Termination).

 

13.3        Upon termination (but not expiration) of this Agreement, within a period of [**] days after the date of termination, the Licensee and any Third Party Licensee are entitled to (i) dispose of all previously made or partially made Identified Products, but no more and (ii) provided that

 

24

 

the Sale or use of such Identified Products are subject to the terms of this Agreement, including, but not limited to, the rendering of reports and payment of Earned Royalties, Third Party License Fees and any other payments therefor required under this Agreement.  The Licensee and any Third Party Licensee will not otherwise make, use, Sell, offer for Sale or import Identified Products after the date of termination.

 

14.          USE OF NAMES AND TRADEMARKS

 

14.1        Nothing contained in this Agreement will be construed as conferring any right to either party to use in advertising, publicity or other promotional activities any name, trade name, trademark or other designation of the other party (including a contraction, abbreviation or simulation of any of the foregoing).  Without the Licensee’s consent, The Regents may list Licensee’s name as a licensee of technology from The Regents without further identifying the technology.  Unless required by law or unless consented to in writing by Director, UCSF Office of Technology Management, the use by the Licensee of the name “The Regents of the University of California” or the name of any campus of the University of California in advertising, publicity or other promotional activities is expressly prohibited.

 

15.          NOTICES

 

15.1        Any notice or payment required to be given to either Party under this Agreement will be in writing and will be deemed to have been properly given and to be effective as of the date specified below if delivered to the respective address given below or to another address as designated by written notice given to the other Party:

 

15.1.1     on the date of delivery if delivered in person;

 

15.1.2     on the date of mailing if mailed by first-class certified mail, postage paid; or

 

25

 

15.1.3     on the date of mailing if mailed by any global express carrier service that requires the recipient to sign the documents demonstrating the delivery of such notice or payment.

 

	
In the case of Licensee:
    	
uniQure   B.V.,
    
	
 
    	
Meibergdreef   61,
    
	
 
    	
1105BA   Amsterdam,
    
	
 
    	
The   Netherlands
    
	
 
    	
 
    
	
 
    	
Attention:   Chief Executive Officer
    
	
 
    	
 
    
	
In the case of The Regents:
    	
 
    
	
 
    	
 
    
	
For notices:
    	
Office   of Technology Management
    
	
 
    	
University   of California, San Francisco
    
	
 
    	
185   Berry Street, Suite 4603
    
	
 
    	
San   Francisco, CA 94107
    
	
 
    	
Attention:   Director
    
	
 
    	
RE:   UC Control No.  2012-01-0063
    
	
 
    	
 
    
	
For remittance of payments:
    	
Innovation   Alliances & Services
    
	
 
    	
Attn:   Accounts Receivable
    
	
 
    	
Reference:   UC Control No.  2012-01-0063
    
	
 
    	
UC   Office of the President
    
	
 
    	
1111   Franklin Street, 5th Floor
    
	
 
    	
Oakland,   CA 94607-5200
    

 

16.          MISCELLANEOUS

 

16.1        This Agreement shall be subject to and governed in accordance with the following provisions outlined in the Collaboration Agreement:  Sections 1 (DEFINITIONS), 8 (CONFIDENTIALITY), 9 (PUBLICATION), 17 (WARRANTIES), and 18 (LIMITATION of LIABILITY).  For avoidances of doubt, indemnification of this Agreement will be governed by Section 16.2 (Indemnification) as outlined below.

 

16.2        Indemnification.

 

16.2.1     Licensee will, and will require its Third Party Licensees to, indemnify, hold harmless and defend The Regents, and their officers and employees (“The Regents Indemnified

 

26

 

Parties”), against any and all claims, suits, losses, damage, costs, fees and expenses (“Losses”) resulting from any Third Party claim (including but not limited to, any product liability) arising out of the use by the Licensee or any Third Party Licensee of the Data, Know-How, Clinical Trial Data, and Project Know how or the manufacturing, use, Sale or other disposition of Identified Products by Licensee or any Third Party Licensee, except, in each case, in proportion to, and to the extent that, such Losses are the result of The Regents’ gross negligence, willful misconduct or material breach of The Regents’ obligations under this Agreement.

 

16.2.2     In the event of any such claim against The Regents Indemnified Parties by a Third Party, The Regents shall promptly notify Licensee in writing of the claim (provided, however, that any failure or delay to notify shall not excuse any obligation of Licensee except to the extent Licensee is actually prejudiced thereby) and Licensee shall solely manage and control, at its sole expense, the defense of the claim and its settlement; provided, however, that Licensee shall not settle any such claim without the prior written consent of The Regents which shall not be unreasonably withheld or delayed if such settlement does not include a complete release from liability or if such settlement would involve undertaking an obligation (including the payment of money by an The Regents Indemnified Party), would bind The Regents Indemnified Party, or includes any admission of wrongdoing or that in any way alters any intellectual property or proprietary right of The Regents.  The Regents Indemnified Parties shall cooperate with Licensee and may, at their option, be represented in any such action or proceeding by counsel of their own choosing.

 

16.2.3     Except to the extent prohibited by law, The Regents assume all liability for damages which may arise from its own use of the Data.

 

27

 

16.2.4     Licensee shall at all times comply, through insurance or self-insurance, with all statutory workers’ compensation and employers’ liability requirements covering any and all of its employees with respect to activities performed under this Agreement.  In addition to the foregoing, Licensee shall maintain, during the term of this Agreement, comprehensive general liability insurance, including products liability insurance, with reputable and financially secure insurance carrier(s) to cover the activities of Licensee.

 

16.2.5     The Regents shall at all times comply, through insurance or self-insurance, with all statutory workers’ compensation and employers’ liability requirements covering any and all employees with respect to its activities performed under this Agreement, as well as self-insurance for all of its own activities under this Agreement and its own activities related to the Clinical Trial.

 

16.3        Assignment.  Except as expressly provided hereunder, neither this Agreement nor any rights or obligations hereunder may be assigned or otherwise transferred by either Party without the prior written consent of the other Party, which consent shall not be unreasonably withheld; provided, however, that either Party may assign this Agreement and its rights and obligations hereunder without the other Party’s consent:

 

16.3.1     in connection with the transfer or sale of all or substantially all of the business of such Party relating to Products to a Third Party, whether by merger, sale of stock, sale of assets or otherwise, provided that in the event of a transaction (whether this Agreement is actually assigned or is assumed by the acquiring party by operation of law (e.g., in the context of a reverse triangular merger)), intellectual property rights of the acquiring party in such transaction (if other than one of the Parties to this Agreement) shall not be included in the intellectual property rights licensed under this Agreement; or

 

28

 

16.3.2     to an Affiliate, provided that the assigning Party shall remain liable and responsible to the non-assigning Party hereto for the performance and observance of all such duties and obligations by such Affiliate; and

 

16.3.3     provided further that such assignee or transferee promptly agrees to be bound by the terms and conditions of this Agreement and signs The Regents’ standard substitution of party letter (the form of which is attached hereto as Appendix B).  This Agreement is binding upon and will inure to the benefit of The Regents, its successors and assigns.

 

This Agreement shall be binding upon successors and permitted assigns of the Parties.  Any assignment not in accordance with this Section 16.3 will be null and void.

 

16.4        Further Actions.  Each Party agrees to execute, acknowledge and deliver such further instruments, and to do all such other acts, as may be necessary or appropriate in order to carry out the purposes and intent of the Agreement.

 

16.5        Force Majeure.  Neither Party shall be liable to the other for delay or failure in the performance of the obligations on its part contained in this Agreement if and to the extent that such failure or delay is due to circumstances beyond its control which it could not have avoided by the exercise of reasonable diligence.  It shall notify the other Party promptly should such circumstances arise, giving an indication of the likely extent and duration thereof, and shall use all Commercially Reasonable Efforts to resume performance of its obligations as soon as practicable, provided, however, that neither Party shall be required to settle any labour dispute or disturbance.

 

16.6        Counterparts.  This Agreement may be executed in two counterparts, each of which need not contain the signature of more than one Party but all such counterparts taken together shall constitute one and the same agreement.

 

29

 

16.7        Nothing in this Agreement grants by implication, estoppels, or otherwise any rights to the intellectual property of The Regents, except as explicitly set forth herein.

 

16.8        Interpretation.  Except where the context requires otherwise, whenever used the singular includes the plural, the plural includes the singular, the use of any gender is applicable to all genders and the word “or” has the inclusive meaning represented by the phrase “and/or”.  Whenever this Agreement refers to a number of days, unless otherwise specified, such number refers to calendar days.  The headings of this Agreement are for convenience of reference only and do not define, describe, extend or limit the scope or intent of this Agreement or the scope or intent of any provision contained in this Agreement.  The term “including” or “includes” as used in this Agreement means including, without limiting the generality of any description preceding such term.  The wording of this Agreement shall be deemed to be the wording mutually chosen by the Parties and no rule of strict construction shall be applied against any Party.

 

16.9        This Agreement is not binding on the Parties until it has been signed below on behalf of each party.  It is then effective as of the Effective Date.

 

16.10      No amendment or modification of this Agreement is valid or binding on the Parties unless made in writing and signed on behalf of each party.

 

16.11      This Agreement and the Collaboration Agreement embodies the entire understanding of the Parties and supersedes all previous communications, representations or understandings, either oral or written, between the Parties relating to the subject matter hereof.  The Confidentiality Agreement dated June 6, 2011 is hereby superseded.

 

16.12      In case any of the provisions contained in this Agreement is held to be invalid, illegal or unenforceable in any respect, such invalidity, illegality or unenforceability will not affect any

 

30

 

other provisions of this Agreement and this Agreement will be construed as if such invalid, illegal or unenforceable provisions had never been contained in it.

 

16.13      No provisions of this Agreement are intended or shall be construed to confer upon or give to any person or entity other than The Regents and the Licensee any rights, remedies or other benefits under, or by reason of, this Agreement.

 

16.14      In performing their respective duties under this Agreement, each of the Parties will be operating as an independent contractor.  Nothing contained herein will in any way constitute any association, partnership, or joint venture between the Parties hereto, or be construed to evidence the intention of the Parties to establish any such relationship.  Neither party will have the power to bind the other party or incur obligations on the other party’s behalf without the other party’s prior written consent.

 

16.15      Existing Patent Rights.  Pursuant to section 15.1 of the Collaboration Agreement, the list of Patents known to the Industry Contracts Officer and the Technology Licensing Officer which are owned or Controlled by the University as of the Effective Date are attached hereto as Appendix C.

 

16.16      This Agreement includes the attached Appendices A, B and C.

 

IN WITNESS WHEREOF, both The Regents and the Licensee have executed this Agreement, in duplicate originals, by their respective and duly authorized officers on the day and year written.

 

	
uniQure biopharma B.V.
    	
 
    	
THE REGENTS OF THE UNIVERSITY OF CALIFORNIA
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
By:
    	
/s/ PJ Morgan
    	
 
    	
By:
    	
/s/ Joel B. Kirschbaum
    
	
(Signature)
    	
 
    	
(Signature)
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Name:
    	
PJ Morgan
    	
 
    	
Name:
    	
Joel B. Kirschbaum
    
	
(Please Print)
    	
 
    	
(Please Print)
    
							

 

31

 

	
Title:
    	
CFO
    	
 
    	
Title:
    	
 
    
	
 
    	
 
    	
 
    	
UCSF   Office of Technology Management
    
	
 
    	
 
    	
 
    	
 
    
	
Date:
    	
13   June 2012
    	
 
    	
Date:
    	
6/13/12
    

 

32

 

APPENDIX A
 Product Release Specifications

 

33

 

	
UCSF   CONFIDENTIAL
    	
 
    	
APPENDIX A
    	
 
    	
PAGE 1
    
	
 
    	
 
    	
Product Release Specification
    	
 
    	
 
    

 

APPENDIX 6.   Certificate of Analysis for:

 

AAV2-hGDNF, Lot A2FP1-1003C

 

 

	
UCSF   CONFIDENTIAL
    	
 
    	
APPENDIX A
    	
 
    	
PAGE 2
    
	
 
    	
 
    	
Product Release Specification
    	
 
    	
 
    

 

	
Center for Cellular and Molecular Therapeutics, The Children’s   Hospital of Philadelphia

3615 Civic Center Boulevard, Philadelphia, PA 19104

 

Certificate of Analysis
   AAV2-hGDNF, Lot A2FP1-1003C
    

 

	
Date   of Manufacture: 12 OCT 2010
    	
Total   number of vials: 13 7
    
	
Container   / Closure: 1.5mL cryovial (Nalgene 500-1020)
    	
Nominal   Fill Volume: lmL
    

 

	
Attribute
    	
 
    	
Test Method
    	
 
    	
Testing Facility/
   Study number
    	
 
    	
Specification
    	
 
    	
Result
    
	
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CofA AAV2-hGDNF Lot A2FP1-1003C

 

1

 

	
UCSF   CONFIDENTIAL
    	
 
    	
APPENDIX A
    	
 
    	
PAGE 3
    
	
 
    	
 
    	
Product Release Specification
    	
 
    	
 
    

 

	
Center for Cellular and Molecular Therapeutics, The Children’s   Hospital of Philadelphia

3615 Civic Center Boulevard, Philadelphia, PA 19104

 

Certificate of Analysis
   AAV2-hGDNF, Lot A2FP1-1003C
    

 

	
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2

 

	
UCSF   CONFIDENTIAL
    	
 
    	
APPENDIX A
    	
 
    	
PAGE 4
    
	
 
    	
 
    	
Product Release Specification
    	
 
    	
 
    

 

	
Center for Cellular and Molecular Therapeutics, The Children’s   Hospital of Philadelphia

3615 Civic Center Boulevard, Philadelphia, PA 19104

 

Certificate of Analysis
   AAV2-hGDNF, Lot A2FP1-1003C
    

 

	
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[**]

 

1) I certify that the above information is accurately reported.

 

	
By:
    	
/s/ illegible
    	
 
    	
 
    
	
 
    	
Assistant Director, QA/QC or   Designee
    	
 
    	
Date:
    	
06 Jan 2012
    

 

2) The manufacturing and testing of this product was performed in compliance with Unites States Food and Drug Administration Current Good Manufacturing Practice. After review of all documents related to the manufacturing and testing, this material is RELEASED for clinical use.

 

	
/s/ illegible
    	
 
    	
 
    
	
Assistant Director, QA/QC,   Clinical Vector Cor
    	
 
    	
Date:
    	
06 Jan 2012
    

 

3) I have reviewed and approved this Certificate of Analysis,

 

	
/s/ illegible
    	
 
    	
 
    
	
Director, Clinica Vector Core
    	
 
    	
Date:
    	
06 Jan 2012
    

 

4) I have reviewed and approved this Certificate of Analysis,

 

	
/s/ illegible
    	
 
    	
 
    
	
Director, Clinica Vector Core
    	
 
    	
Date:
    	
06 Jan 2012
    

 

37

 

APPENDIX B
 UC Control No.  [XXX]

 

CONSENT TO SUBSTITUTION OF PARTY

 

This substitution of parties (“Agreement”) is effective this            day of                  , 20   , among The Regents of the University of California (“The Regents”), a California corporation, having its statewide administrative offices at 1111 Franklin Street, 12th Floor, Oakland, California 94607-5200 and acting through its Office of Technology Management, University of California San Francisco (“UCSF”), 185 Berry Street, Suite 4603, San Francisco, CA 94107; uniQure biopharma B.V., a Netherlands corporation, having a principal place of business at Meibergdreef 61, 1105 BA Amsterdam, the Netherlands (“uniQure”); and [new licensee name] [(“YYY”)] a                                    corporation, having a principal place of business at                               .

 

BACKGROUND

 

A.            The Regents and uniQure entered into a License Agreement effective                    (UC Control No.        -        -        ), entitled Data License Agreement for AAV2.GDNF Data (“Non-Exclusive Agreement”), wherein uniQure was granted certain rights.

 

B.            uniQure desires that [YYY] be substituted as [Licensee] (defined in the Non-Exclusive Agreement) in place of uniQure, and The Regents is agreeable to such substitution.

 

C.            [YYY] has read the Non-exclusive Agreement and agrees to abide by its terms and conditions.

 

The parties agree as follows:

 

1.             [YYY] assumes all liability and obligations under the Non-Exclusive Agreement and is bound by all its terms in all respects as if it were the original Licensee of the Non-Exclusive Agreement in place of uniQure.

 

38

 

2.             [YYY] is substituted for uniQure, provided that [YYY] assumes all liability and obligations under the Non-Exclusive Agreement as if [YYY] were the original party named as Licensee as of the effective date of the Non-Exclusive Agreement.

 

3.             The Regents releases uniQure from all liability and obligations under the Non-Exclusive Agreement arising before or after the effective date of this Agreement.

 

The parties have executed this Agreement in triplicate originals by their respective authorized officers on the following day and year.

 

 

	
uniQure biopharma B.V.
    	
 
    	
THE REGENTS OF THE UNIVERSITY OF CALIFORNIA
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
By:
    	
 
    	
 
    	
By:
    	
 
    
	
(Signature)
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Name:
    	
 
    	
 
    	
Name:
    	
 
    
	
(Please Print)
    	
 
    	
(Please Print)
    
	
 
    	
 
    	
 
    	
 
    
	
Title:
    	
 
    	
 
    	
Title:
    	
Director
    
	
 
    	
 
    	
 
    	
Office   of Technology Management
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Date:
    	
 
    	
 
    	
Date:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
[YYY] COMPANY
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
By:
    	
 
    	
 
    	
 
    
	
(Signature)
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
Name:
    	
 
    	
 
    	
 
    
	
(Please Print)
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
Title:
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
Date:
    	
 
    	
 
    	
 
    
								

 

39

 

APPENDIX C

 

Patents

 

	
Source
    	
 
    	
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Lead Inv
    	
 
    	
Filing
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US App No
    	
 
    	
US App Dt
    	
 
    	
US Pat No
    	
 
    	
Pat Iss Dt
    	
 
    	
Pat Exp Dt
    	
 
    	
Frn Filg?
    
	
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[**]Exhibit 10.17

 

UNIQURE

 

LOAN AND SECURITY AGREEMENT

 

THIS LOAN AND SECURITY AGREEMENT is made and dated as of June 13, 2013 and is entered into by and among (i) UNIQURE BIOPHARMA B.V., a private limited liability company incorporated and existing under the laws of the Netherlands, having its corporate seat at Amsterdam, the Netherlands and registered at the trade register of the Chamber of Commerce for Amsterdam under number 34275365 (“uniQure”), (ii) UNIQURE IP B.V., a private limited liability company incorporated and existing under the laws of the Netherlands, having its corporate seat at Amsterdam, the Netherlands and registered at the trade register of the Chamber of Commerce for Amsterdam under number 34275369 (“uniQure IP”), (iii) each of the subsidiaries of uniQure identified on the Schedule 1 hereto  and the signature pages hereof (uniQure, uniQure IP and such subsidiaries are hereinafter collectively referred to as “Borrower”), (iv) UNIQURE B.V., a private limited liability company incorporated and existing under the laws of the Netherlands, having its corporate seat at Amsterdam, the Netherlands and registered at the trade register of the Chamber of Commerce for Amsterdam under number 54385229, solely a party hereto for purposes of Sections 2.6 and 7.15 (“uniQure Holdings”) and (v) HERCULES TECHNOLOGY GROWTH CAPITAL, INC., a Maryland corporation (“Lender”).

 

RECITALS

 

A.                                    Borrower has requested Lender to make available to Borrower a term loan (the “Term Loan Advance”) in the principal amount of Ten Million Dollars ($10,000,000) (the “Term Loan Amount”), to be used for general corporate purposes;

 

B.                                    Lender is willing to make the Term Loan Advance on the terms and conditions set forth in this Agreement.

 

AGREEMENT

 

NOW, THEREFORE, Borrower and Lender agree as follows:

 

SECTION 1.                         DEFINITIONS AND RULES OF CONSTRUCTION

 

1.1                               Unless otherwise defined herein, the following capitalized terms shall have the following meanings:

 

“Account Control Agreement(s)” means any agreement entered into by and among the Lender, US Borrower and a third party bank or other institution (including a Securities Intermediary) in which US Borrower maintains a Deposit Account or an account holding Investment Property and which grants Lender a perfected first priority security interest in the subject account or accounts.

 

1

 

“ACH Authorization” means the ACH Debit Authorization Agreement in substantially the form of Exhibit H.

 

“Additional End of Term Charge” has the meaning given to it in Section 2.6.

 

“Advance” means the Term Loan Advance.

 

“Advance Date” means the funding date of the Advance.

 

“Advance Request” means a request for the Advance submitted by Borrower to Lender in substantially the form of Exhibit A.

 

“Agreement” means this Loan and Security Agreement, as amended from time to time.

 

“Amortization Date” means [April 1, 2014]; provided that in the event of the occurrence of the Equity Event, such date shall be extended to [October 1, 2014](1).

 

“Assignee” has the meaning given to it in Section 11.12.

 

“Borrower Products” means all products, software, service offerings, technical data or technology currently being designed, manufactured or sold by Borrower or which Borrower intends to sell, license, or distribute in the future including any products or service offerings under development, collectively, together with all products, software, service offerings, technical data or technology that have been sold, licensed or distributed by Borrower since its incorporation.

 

“Business Day” is any day that is not a Saturday, Sunday or a day on which Lender is closed.

 

“Cash” means all cash and liquid funds.

 

“Change in Control” means any (i) reorganization, recapitalization, consolidation or merger (or similar transaction or series of related transactions) of uniQure Holdings, Borrower or any Subsidiary, sale or exchange of outstanding shares (or similar transaction or series of related transactions) of uniQure Holdings, Borrower or any Subsidiary in which the holders of uniQure Holdings’ Borrower’s or Subsidiary’s outstanding shares immediately before consummation of such transaction or series of related transactions do not, immediately after consummation of such transaction or series of related transactions, retain shares representing more than fifty percent (50%) of the voting power of the surviving entity of such transaction or series of related transactions (or the parent of such surviving entity if such surviving entity is wholly owned by such parent), in each case without regard to whether uniQure Holdings, Borrower or Subsidiary is the surviving entity, or (ii) sale or issuance by uniQure Holdings, Borrower of new shares of Preferred Stock of uniQure Holdings or Borrower to investors, none of whom are current investors in uniQure Holdings or Borrower, and such new shares of Preferred Stock are senior to all existing Preferred Stock and common stock of uniQure Holdings or Borrower with respect to

 

(1)  Dates to be confirmed prior to funding

 

2

 

liquidation preferences, and the aggregate liquidation preference of the new shares of Preferred Stock is more than fifty percent (50%) of the aggregate liquidation preference of all shares of Preferred Stock of uniQure Holdings or Borrower; provided, however, an Initial Public Offering shall not constitute a Change in Control.

 

“Closing Date” means the date of this Agreement.

 

“Collateral” means the property described in Section 3.

 

“Collateral Documents” means the security documents described in Section 3.

 

“Commitment Fee” means $45,000, which fee has been received by Lender and shall be deemed fully earned on the Closing Date, regardless of the early termination of this Agreement.

 

“Confidential Information” has the meaning given to it in Section 11.11.

 

“Contingent Obligation” means, as applied to any Person, any direct or indirect liability, contingent or otherwise, of that Person with respect to (i) any indebtedness, lease, dividend, letter of credit or other obligation of another, including any such obligation directly or indirectly guaranteed, endorsed, co-made or discounted or sold with recourse by that Person, or in respect of which that Person is otherwise directly or indirectly liable; (ii) any obligations with respect to undrawn letters of credit, corporate credit cards or merchant services issued for the account of that Person; and (iii) all obligations arising under any interest rate, currency or commodity swap agreement, interest rate cap agreement, interest rate collar agreement, or other agreement or arrangement designated to protect a Person against fluctuation in interest rates, currency exchange rates or commodity prices; provided, however, that the term “Contingent Obligation” shall not include endorsements for collection or deposit in the ordinary course of business.  The amount of any Contingent Obligation shall be deemed to be an amount equal to the stated or determined amount of the primary obligation in respect of which such Contingent Obligation is made or, if not stated or determinable, the maximum reasonably anticipated liability in respect thereof as determined by such Person in good faith; provided, however, that such amount shall not in any event exceed the maximum amount of the obligations under the guarantee or other support arrangement.

 

“Copyright License” means any written agreement granting any right to use any Copyright or Copyright registration, now owned or hereafter acquired by Borrower or in which Borrower now holds or hereafter acquires any interest.

 

“Copyrights” means all copyrights, whether registered or unregistered, held by the Borrower pursuant to the laws of the Netherlands, or of any other country.

 

“Deposit Accounts” means any “deposit accounts,”,including any checking account, savings account, or certificate of deposit and any deposit account as defined in the UCC.

 

“End of Term Charge” is defined in Section 2.5

 

3

 

“Equity Event” means confirmation by Lender that Borrower has received, after the Closing Date but on or prior to [April 1, 2014](2), unrestricted and unencumbered net cash proceeds in an amount of at least forty million Dollars ($40,000,000.00) from (a) the issuance of new equity or convertible debt securities with investors reasonably acceptable to Lender, or (b) net upfront payments (such payments consisting of any combination of cash or cash received for the purchase of the Borrower’s equity or convertible debt with investors reasonably acceptable to Lender).

 

“Event of Default” has the meaning given to it in Section 9.

 

“Facility Charge” means one and one-half of one percent (1.25%) of the Term Loan Amount.

 

“Financial Statements” has the meaning given to it in Section 7.1.

 

“Funding Documents” means the following: (i) a certificate of good standing for US Borrower from its state of incorporation and from all other US jurisdictions in which it does business, and, if applicable under the laws of any non-US jurisdiction, a certificate of good standing or the equivalent for Borrower and US Borrower from all non-US jurisdictions in which such entity does business, in each case where the failure to be qualified to do business would have a Material Adverse Effect; (ii) completed Schedules and Exhibits to this Agreement; (iii) executed originals of the following: (x) the Account Control Agreements, and any other documents executed in connection with the Secured Obligations or the transactions contemplated hereby, as the same may from time to time be amended, modified, supplemented or restated and (y) the Perfection Certificate; (iv) legal opinion of Lender’s counsel; (v) the insurance policies and/or endorsements required pursuant to Section 6.1 hereof; (vi) documents, releases, terminations, and other instruments as may be necessary or proper to release any creditor’s Lien in the Intellectual Property of Borrower including, without limitation, UCC financing statement amendments and appropriate filings with any appropriate register or authority in any jurisdiction; and (vii) and all other documents and instruments reasonably required by Lender to effectuate the transactions contemplated hereby or to create and perfect the Liens of Lender with respect to all Collateral, in all cases in form and substance reasonably acceptable to Lender.

 

“IFRS” are the International Financial Reporting Standards, a collection of guidelines and rules set by the International Accounting Standards Board (www.iasb.org) which are applicable to the circumstances as of the date of determination.

 

“Indebtedness” means indebtedness of any kind, including (a) all indebtedness for borrowed money or the deferred purchase price of property or services (excluding trade credit entered into in the ordinary course of business due within sixty (60) days), including reimbursement and other obligations with respect to surety bonds and letters of credit, (b) all obligations evidenced by notes, bonds, debentures or similar instruments, (c) all capital lease obligations, and (d) all Contingent Obligations.

 

(2)  Date to be confirmed prior to funding

 

4

 

“Initial Public Offering” means the initial firm commitment underwritten offering of uniQure Holdings common stock pursuant to a registration statement under the Securities Act of 1933 filed with and declared effective by the Securities and Exchange Commission.

 

“Insolvency Proceeding” is any proceeding by or against any Person under the Dutch Bankruptcy Act, or any other bankruptcy or insolvency law, including assignments for the benefit of creditors, compositions, extensions generally with its creditors, or proceedings seeking reorganization, arrangement, or other relief.

 

“Intellectual Property” means any and all intellectual property rights in any country or jurisdiction, including but not limited to all of Borrower’s Copyrights; Trademarks; Patents; Licenses; trade secrets and inventions; mask works, utility models, layout-designs (topographies) of integrated circuits, know-how, industrial designs, neighbouring rights, database rights or other rights in compilations of data, trade names, internet domain names, plant variety rights and any and all rights of a similar nature, either (i) now known, contemplated or unforeseen, (ii) having a statutory basis or existing under equity, common law or otherwise, (iii) registered, deposited, filed or not, and including any and all rights in connection with applications for or rights to apply for or acquire any and all of such rights.

 

“Investment” means any beneficial ownership (including stock, partnership or limited liability company interests) of or in any Person, or any loan, advance or capital contribution to any Person or the acquisition of all, or substantially all, of the assets of another Person.

 

“Joinder Agreements” means for each Subsidiary, a completed and executed Joinder Agreement in substantially the form attached hereto as Exhibit G.

 

“Lender” has the meaning given to it in the preamble to this Agreement.

 

“License” means any Copyright License, Patent License, Trademark License or other license of rights or interests.

 

“Lien” means any mortgage, deed of trust, pledge, hypothecation, assignment for security, security interest, encumbrance, levy, lien or charge of any kind, whether voluntarily incurred or arising by operation of law or otherwise, against any property, any conditional sale or other title retention agreement, and any lease in the nature of a security interest.

 

“Loan” means the Advance made under this Agreement.

 

“Loan Documents” means this Agreement, the Notes (if any), the ACH Authorization, the Account Control Agreements, the Joinder Agreements, all UCC Financing Statements, the Warrant Agreement (if applicable), any intellectual property security agreement, and any other documents executed in connection with the Secured Obligations or the transactions contemplated hereby, as the same may from time to time be amended, modified, supplemented or restated.

 

“Material Adverse Effect” means a material adverse effect upon: (i) the business, operations, properties, assets or condition (financial or otherwise) of Borrower and its Subsidiaries, taken as a whole, other than in and of itself (x) the expenditure of cash in the ordinary course, or (y) adverse results of a clinical trial or program or the denial, delay or

 

5

 

limitation of approval of, or taking of any other regulatory action by, the United States Food and Drug Administration or any other governmental entity with respect to any biologic product or drug; or (ii) the ability of Borrower to perform the Secured Obligations when due in accordance with the terms of the Loan Documents, or the ability of Lender to enforce any of its rights or remedies with respect to the Secured Obligations; or (iii) the Collateral or Lender’s Liens on the Collateral or the priority of such Liens

 

“Maximum Rate” shall have the meaning assigned to such term in Section 2.2.

 

“Note(s)” means a promissory note or promissory notes to evidence Lender’s Loans.

 

“Patent License” means any written agreement granting any right with respect to any invention on which a Patent is in existence or a Patent application is pending, in which agreement Borrower now holds or hereafter acquires any interest.

 

“Patents” means any patent in the Netherlands or in any other country, all registrations and recordings thereof, and all applications for patents of, or rights corresponding thereto, in the Netherlands or any other country.

 

“Permitted Indebtedness” means: (i) Indebtedness of Borrower in favor of Lender arising under this Agreement or any other Loan Document; (ii) Indebtedness existing on the Closing Date which is disclosed in Schedule 1A; (iii) Indebtedness of up to $250,000 outstanding at any time secured by a Lien described in clause (vii) of the defined term “Permitted Liens,” provided such Indebtedness does not exceed the lesser of the cost or fair market value of the equipment financed with such Indebtedness; (iv) Indebtedness to trade creditors incurred in the ordinary course of business, including Indebtedness incurred in the ordinary course of business with corporate credit cards; (v) Indebtedness that also constitutes a Permitted Investment; (vi) Subordinated Indebtedness; (vii) reimbursement obligations in connection with letters of credit that are secured by cash or cash equivalents and issued on behalf of the Borrower or a Subsidiary thereof in an amount not to exceed $200,000 at any time outstanding, (viii) other Indebtedness in an amount not to exceed $100,000 at any time outstanding, and (ix) extensions, refinancings and renewals of any items of Permitted Indebtedness, provided that the principal amount is not increased or the terms modified to impose materially more burdensome terms upon Borrower or its Subsidiary, as the case may be.

 

“Permitted Investment” means: (i) Investments existing on the Closing Date which are disclosed in Schedule 1B; (ii) (a) marketable direct obligations issued or unconditionally guaranteed by any agency or any country thereof maturing within one year from the date of acquisition thereof, (b) commercial paper maturing no more than one year from the date of creation thereof and currently having a rating of at least A-2 or P-2 from either Standard & Poor’s Corporation or Moody’s Investors Service, (c) certificates of deposit issued by any bank with assets of at least $500,000,000 maturing no more than one year from the date of investment therein, and (d) money market accounts; (iii) repurchases of stock from former employees, directors, or consultants of Borrower under the terms of applicable repurchase agreements at the original issuance price of such securities in an aggregate amount not to exceed $250,000 in any fiscal year, provided that no Event of Default has occurred, is continuing or would exist after giving effect to the repurchases; (iv) Investments accepted in connection with Permitted

 

6

 

Transfers; (v) Investments (including debt obligations) received in connection with the bankruptcy or reorganization of customers or suppliers and in settlement of delinquent obligations of, and other disputes with, customers or suppliers arising in the ordinary course of Borrower’s business; (vi) Investments consisting of notes receivable of, or prepaid royalties and other credit extensions, to customers and suppliers who are not affiliates, in the ordinary course of business, provided that this subparagraph (vi) shall not apply to Investments of Borrower in any Subsidiary; (vii) Investments consisting of loans not involving the net transfer on a substantially contemporaneous basis of cash proceeds to employees, officers or directors relating to the purchase of capital stock of Borrower pursuant to employee stock purchase plans or other similar agreements approved by Borrower’s board of directors; (viii) Investments consisting of employee travel advances, employee relocation loans and other employee loans and advances in the ordinary course of business; (ix) Investments in newly-formed Subsidiaries organized in the Netherlands or any other country, provided that such Subsidiaries enter into a Joinder Agreement promptly after their formation by  Borrower and execute such other documents as shall be reasonably requested by Lender; (xi) joint ventures or strategic alliances in the ordinary course of Borrower’s business consisting of the nonexclusive licensing of technology, the development of technology or the providing of technical support, provided that any cash Investments by Borrower do not exceed $100,000 in the aggregate in any fiscal year; and (xii) other  Investments that do not exceed $250,000 in the aggregate.

 

“Permitted Liens” means any and all of the following: (i) Liens in favor of Lender; (ii) Liens existing on the Closing Date which are disclosed in Schedule 1C; (iii) Liens for taxes, fees, assessments or other governmental charges or levies, either not delinquent or being contested in good faith by appropriate proceedings; provided, that Borrower maintains adequate reserves therefor in accordance with IFRS; (iv) Liens securing claims or demands of materialmen, artisans, mechanics, carriers, warehousemen, landlords and other like Persons arising in the ordinary course of Borrower’s business and imposed without action of such parties; provided, that the payment thereof is not yet required; (v) Liens arising from judgments, decrees or attachments in circumstances which do not constitute an Event of Default hereunder; (vi) the following deposits, to the extent made in the ordinary course of business:  deposits under worker’s compensation, unemployment insurance, social security and other similar laws, or to secure the performance of bids, tenders or contracts (other than for the repayment of borrowed money) or to secure indemnity, performance or other similar bonds for the performance of bids, tenders or contracts (other than for the repayment of borrowed money) or to secure statutory obligations (other than liens arising under environmental liens) or surety or appeal bonds, or to secure indemnity, performance or other similar bonds; (vii) Liens on equipment or software or other intellectual property constituting purchase money liens and liens in connection with capital leases securing Indebtedness permitted in clause (iii) of “Permitted Indebtedness”;  (viii) Liens incurred in connection with Subordinated Indebtedness; (ix) leasehold interests in leases or subleases and licenses granted in the ordinary course of business and not interfering in any material respect with the business of the licensor; (x) Liens in favor of customs and revenue authorities arising as a matter of law to secure payment of custom duties that are promptly paid on or before the date they become due; (xi) Liens on insurance proceeds securing the payment of financed insurance premiums that are promptly paid on or before the date they become due (provided that such Liens extend only to such insurance proceeds and not to any other property or assets); (xii) statutory and common law rights of set-off and other similar rights as to deposits

 

7

 

of cash and securities in favor of banks, other depository institutions and brokerage firms; (xiii) easements, zoning restrictions, rights-of-way and similar encumbrances on real property imposed by law or arising in the ordinary course of business so long as they do not materially impair the value or marketability of the related property; (xiv) Liens on cash or cash equivalents securing obligations permitted under clause (vii) of the definition of Permitted Indebtedness; and (xv) Liens incurred in connection with the extension, renewal or refinancing of the indebtedness secured by Liens of the type described in clauses (i) through (xi) above; provided, that any extension, renewal or replacement Lien shall be limited to the property encumbered by the existing Lien and the principal amount of the indebtedness being extended, renewed or refinanced (as may have been reduced by any payment thereon) does not increase.

 

“Permitted Transfers” means (i) sales of inventory in the normal course of business, (ii) exclusive licenses and similar arrangements for the use of Intellectual Property in the ordinary course of business that could not result in a legal transfer of title of the licensed property (iii) dispositions of worn-out, obsolete or surplus equipment that is, in the reasonable judgment of Borrower, no longer economically practicable to maintain or useful in the ordinary course of business of Borrower, (iv) other Transfers of assets having a fair market value of not more than $250,000 in the aggregate in any fiscal year and (v) the entering into the commercialization agreement, the co-development and license agreement and any other related documents by and among uniQure and Chiesi Farmaceutici S.p.A (the “Chiesi transaction”).

 

“Person” means any individual, sole proprietorship, partnership, joint venture, trust, unincorporated organization, association, corporation, limited liability company, institution, other entity or government.

 

“Preferred Stock” means at any given time any equity security issued by Borrower that has any rights, preferences or privileges senior to uniQure Holdings’ or Borrower’s common stock.

 

“Prepayment Charge” shall have the meaning assigned to such term in Section 2.4.

 

“Prime Rate” means the “prime rate” as reported in The Wall Street Journal, and if not reported, then the prime rate most recently reported in The Wall Street Journal.

 

“Secured Obligations” means Borrower’s obligations under this Agreement and any Loan Document, including any obligation to pay any amount now owing or later arising.

 

“Subordinated Indebtedness” means Indebtedness subordinated to the Secured Obligations in amounts and on terms and conditions satisfactory to Lender in its sole discretion.

 

“Subsequent Financing” means the closing of any Borrower financing which becomes effective after the Closing Date and results in aggregate proceeds to Borrower of at least [Ten Million Dollars ($10,000,000)].

 

“Subsidiary” means an entity, whether corporate, partnership, limited liability company, joint venture or otherwise, in which Borrower owns or controls 50% or more of the outstanding voting securities, including each entity listed on Schedule 1 hereto.

 

8

 

“Term Loan Advance”  is defined in Recital A hereof.

 

“Term Loan Amount” is defined in Recital A hereof.

 

“Term Loan Interest Rate” means for any day, a floating per annum rate of interest equal to the greater of either (i) eleven and eighty-five one-hundredths of one percent (11.85%), or (ii) the sum of (A) eleven and eighty-five one-hundredths of one percent (11.85%), plus (B) the Prime Rate minus three and one quarter of one percent (3.25%).  The Term Loan Interest Rate will change from time to time on the day the Prime Rate changes.

 

“Term Loan Maturity Date” means [October 1, 2016](3).

 

“Trademark License” means any written agreement granting any right to use any Trademark or Trademark registration, now owned or hereafter acquired by Borrower or in which Borrower now holds or hereafter acquires any interest.

 

“Trademarks” means all trademarks (registered, common law or otherwise) and any applications in connection therewith, including registrations, recordings and applications with any appropriate register or authority in any jurisdiction.

 

“UCC” means the Uniform Commercial Code as the same is, from time to time, in effect in the State of California; provided, that in the event that, by reason of mandatory provisions of law, any or all of the attachment, perfection or priority of, or remedies with respect to, Lender’s Lien on any Collateral is governed by the Uniform Commercial Code as the same is, from time to time, in effect in a jurisdiction other than the State of California, then the term “UCC” shall mean the Uniform Commercial Code as in effect, from time to time, in such other jurisdiction solely for purposes of the provisions thereof relating to such attachment, perfection, priority or remedies and for purposes of definitions related to such provisions.

 

“US Borrower” means [                              ] identified on the Schedule 1 hereto (4);

 

“Warrant Agreement” is defined in Section 2.6

 

Unless otherwise specified, all references in this Agreement or any Annex or Schedule hereto to a “Section,” “subsection,” “Exhibit,” “Annex,” or “Schedule” shall refer to the corresponding Section, subsection, Exhibit, Annex, or Schedule in or to this Agreement.  Unless otherwise specifically provided herein, any accounting term used in this Agreement or the other Loan Documents shall have the meaning customarily given such term in accordance with IFRS, and all financial computations hereunder shall be computed in accordance with IFRS, consistently applied. Unless otherwise defined herein or in the other Loan Documents, terms that are used herein or in the other Loan Documents and defined in the UCC shall have the meanings given to them in the UCC.

 

(3)  Date to be confirmed prior to closing.

(4)  To be confirmed that the new US subsidiary will be incorporated prior to closing.

 

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SECTION 2.                         THE LOAN

 

2.1                               Term Loan.

 

(a)                                 Advance.  Subject to the terms and conditions of this Agreement, Borrower may request a Term Loan Advance in the principal amount of the Term Loan Amount to be funded on the Closing Date.  Proceeds of the Advance shall be deposited into an account that is subject to a security interest in favor of Lender, perfected by an Account Control Agreement.

 

(b)                                 Advance Request.  To obtain the Term Loan Advance, Borrower shall complete, sign and deliver to Lender an Advance Request (at least five Business Days before the Advance Date).  Lender shall fund the Term Loan Advance in the manner requested by the Advance Request provided that each of the conditions precedent to such Term Loan Advance is satisfied as of the requested Advance Date.

 

(c)                                  Interest.  The principal balance of each Term Loan Advance shall bear interest thereon from such Advance Date at the Term Loan Interest Rate based on a year consisting of 360 days, with interest computed daily based on the actual number of days elapsed.  The Term Loan Interest Rate will float and change on the day the Prime Rate changes from time to time.

 

(d)                                 Payment.  Borrower will pay interest on the Term Loan Advance on the first Business Day of each month, beginning the month after the Advance Date.  Commencing on the Amortization Date, and continuing on the first Business Day of each month thereafter, Borrower shall repay the aggregate principal balance of Term Loan Advance that is outstanding in 30 equal monthly installments of principal and interest (mortgage style).  The entire outstanding principal balance of the Term Loan Advance and all accrued but unpaid interest hereunder, and all other Secured Obligations with respect to the Term Loan Advance, shall be due and payable on Term Loan Maturity Date.  Borrower shall make all payments under this Agreement without setoff, recoupment or deduction and regardless of any counterclaim or defense. Lender will initiate debit entries to the Borrower’s account as authorized on the ACH Authorization on each payment date of all periodic obligations payable to Lender under the Term Loan Advance.  Once repaid, the Term Loan Advance or any portion thereof may not be reborrowed.

 

2.2                               Maximum Interest.  Notwithstanding any provision in this Agreement or any other Loan Document, it is the parties’ intent not to contract for, charge or receive interest at a rate that is greater than the maximum rate permissible by law that a court of competent jurisdiction shall deem applicable hereto (which under the laws of the State of California shall be deemed to be the laws relating to permissible rates of interest on commercial loans) (the “Maximum Rate”).  If a court of competent jurisdiction shall finally determine that Borrower has actually paid to Lender an amount of interest in excess of the amount that would have been payable if all of the Secured Obligations had at all times borne interest at the Maximum Rate, then such excess interest actually paid by Borrower shall be applied as follows:  first, to the payment of the Secured Obligations consisting of the outstanding principal of the Term Loan Advance; second, after all principal is repaid, to the payment of Lender’s accrued interest, costs, expenses, professional fees and any other Secured Obligations; and third, after all Secured Obligations are repaid, the excess (if any) shall be refunded to Borrower.

 

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2.3                               Default Interest.  In the event any payment is not paid on the scheduled payment date, an amount equal to five percent (5%) of the past due amount shall be payable on demand. [In addition, upon the occurrence and during the continuation of an Event of Default hereunder, all Secured Obligations, including principal, interest, compounded interest, and professional fees, shall bear interest at a rate per annum equal to the rate set forth in Section 2.1(c), plus five percent (5%) per annum In the event any interest is not paid when due hereunder, delinquent interest shall be added to principal and shall bear interest on interest, compounded at the rate set forth in Section 2.1(c).

 

2.4                               Prepayment.  At its option upon at least five (5) Business Days prior notice to Lender, Borrower may prepay all, but not less than all, of the outstanding Advance by paying the entire outstanding principal balance, all accrued and unpaid interest thereon, all unpaid Lender’s fees and expenses accrued to the date of the repayment (including, without limitation, the End of Term Charge) together with a prepayment charge equal to the following percentage of the Advance amount being prepaid: if such Advance amounts are prepaid in any of the first twelve (12) months following the Closing  Date, three percent (3.00%);  after twelve (12) months but prior to twenty four (24) months, two  percent (2.0%); and after twenty four (24) months but prior to the Term Loan Maturity Date, one percent (1%) (each, a “Prepayment Charge”).  Borrower agrees that the Prepayment Charge is a reasonable calculation of Lender’s lost profits in view of the difficulties and impracticality of determining actual damages resulting from an early repayment of the Advances.  Borrower shall prepay the outstanding amount of all principal and accrued interest through the prepayment date and all unpaid Lender’s fees and expenses accrued to the date of the repayment (including the End of Term Charge) together with a Prepayment Charge upon the occurrence of a Change in Control.

 

2.5                               End of Term Charge.  On the earliest to occur of (i) the Term Loan Maturity Date, (ii) the date that Borrower prepays the outstanding Secured Obligations, or (iii) the date that the Secured Obligations become due and payable, Borrower shall pay Lender a charge equal $345,000, or the increased amount in accordance with Section 2.6  (the “End of Term Charge”).  Notwithstanding the required payment date of such charge, it shall be deemed earned by Lender as of the Closing Date.

 

2.6                               Additional compensation. Parties agree that, at the option and written election of the Borrower in its sole and absolute discretion, and as additional consideration for the Term Loan Advance, either (i) the End of Term Charge payable in accordance with Section 2.5 shall be increased with an additional $1,000,000 (the “Additional End of Term Charge”), as a result of which increase the total End of Term Charge payable by Borrower in accordance with Section 2.5 above shall amount to $1,345,000, or (ii) in lieu of, and not in addition to, payment of the Additional End of Term Charge, uniQure Holdings shall execute and deliver to Lender the Warrant Agreement, representing the right to subscribe for shares in the share capital of uniQure Holdings, in substantially the form attached hereto as Schedule 2.6 (the “Warrant Agreement”).  Borrower shall ultimately on September 29, 2013 confirm which option it prefers by giving notice in writing to Lender.

 

The right of Borrower to elect the form of additional compensation as set forth above will expire on the earlier of (i) September 30, 2013 or (ii) the occurrence of a Change of Control event provided that the Warrant Agreement has not yet been signed by all parties thereto. Following

 

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such expiration Borrower shall have deemed to have elected to increase the End of Term Charge in accordance with option (i) above.

 

The grant of the warrants, if so elected by Borrower, shall be effectuated by means of the execution of the Warrant Agreement ultimately within 3 Business Days following the confirmation by Borrower but in any event no later than September 30, 2013.

 

2.7                               Notes.  If so requested by Lender by written notice to Borrower, then Borrower shall execute and deliver to Lender (and/or, if applicable and if so specified in such notice, to any person who is an assignee of Lender pursuant to Section 11.12) (promptly after the Borrower’s receipt of such notice) a Note or Notes to evidence Lender’s Loans.

 

SECTION 3.                         SECURITY INTEREST

 

3.1                               As security for the prompt, complete and indefeasible payment when due (whether on the payment dates or otherwise) of all the Secured Obligations:

 

(a)                                 uniQure Holdings grants to Lender a first ranking right of pledge on its shares in uniQure and uniQure IP;

 

(b)                                 uniQure grants to Lender a first ranking right of pledge on its shares in its Dutch subsidiaries identified on the Schedule 1 hereto and a security interest in 100% of the capital stock of US Borrower;

 

(c)                                  Borrower (excluding US Borrower) grants to Lender a first ranking right of pledge on its (a) trade, intercompany and insurance receivables; (b) movable assets  and (c) Deposit Accounts; and

 

(d)                                 US Borrower grants to Lender a security interest in all of US Borrower’s right, title, and interest in and to the following personal property whether now owned or hereafter acquired:  (a) receivables; (b) equipment; (c) fixtures; (d) general intangibles (except as described below); (e) inventory; (f) Investment property; (g) Deposit Accounts; (h) Cash; (i) Goods; and all other tangible and intangible personal property of US Borrower whether now or hereafter owned or existing, leased, consigned by or to, or acquired by, US Borrower and wherever located, and any of Borrower’s property in the possession or under the control of Lender; and, to the extent not otherwise included, all Proceeds of each of the foregoing and all accessions to, substitutions and replacements for, and rents, profits and products of each of the foregoing (collectively, the “Collateral”).

 

3.2                               Notwithstanding anything in this Agreement or any other Loan Document to the contrary, in no event shall the Collateral include, and the Borrower shall not be deemed to have granted a security interest in: (i) Intellectual Property; provided, however, that the Collateral shall include all accounts and general intangibles that consist of rights to payment and proceeds from the sale, licensing or disposition of all or any part, or rights in, the Intellectual Property (the “Rights to Payment”); or (ii) any of the Borrower’s rights or interests in or under, any license, contract, permit, instrument, security or franchise to which the Borrower is a party or any of its rights or interests thereunder to the extent, but only to the extent, that such a grant would, under

 

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the terms of such license, contract, permit, instrument, security or franchise, result in a breach of the terms of, or constitute a default under, such license, contract, permit, instrument, security or franchise (other than to the extent that any such term would be rendered ineffective pursuant to the UCC or any other applicable law (including the Dutch and the United States Bankruptcy Code) or principles of equity); provided, that immediately upon the ineffectiveness, lapse or termination of any such provision the Collateral shall include, and the Borrower shall be deemed to have granted a security interest in, all the rights and interests described in the foregoing clause (ii) as if such provision had never been in effect. Notwithstanding the foregoing, if a judicial authority (including a U.S. Bankruptcy Court) holds that a security interest in the underlying Intellectual Property is necessary to have a security interest in the Rights to Payment, then the Collateral shall automatically, and effective as of the date of this Agreement, include the Intellectual Property to the extent necessary to permit perfection of Lender’s security interest in the Rights to Payment.

 

SECTION 4.                         CONDITIONS PRECEDENT TO LOAN

 

The obligation of Lender to make the Term Loan Advance hereunder is subject to the satisfaction by Borrower of the following conditions:

 

4.1                               Closing Documents.  On or prior to the Closing Date, Borrower shall have delivered to Lender the following:

 

(a)                                 executed originals of this Agreement,, the Collateral Documents and the ACH Authorization;

 

(b)                                 copies of resolutions of Borrower’s board of directors and general meeting of shareholders evidencing approval of (i) the Loan and other transactions evidenced by the Loan Documents;

 

(c)                                  copies of the current articles of association  of Borrower;

 

(d)                                 payment of the Facility Charge and reimbursement of Lender’s current expenses reimbursable pursuant to this Agreement; and

 

(e)                                  receipt of the Funding Documents and satisfaction of all conditions precedent thereto;

 

(f)                                   Lender shall have received (i) an Advance Request for the relevant Advance as required by 2.2(b), duly executed by Borrower’s Chief Executive Officer or Chief Financial Officer, and (ii) any other documents Lender may reasonably request.

 

(g)                                  The representations and warranties set forth in this Agreement and in Section 5 shall be true and correct in all material respects on and as of the Advance Date with the same effect as though made on and as of such date, except to the extent such representations and warranties expressly relate to an earlier date.

 

(h)                                 Borrower shall be in compliance with all the terms and provisions set forth herein and in each other Loan Document on its part to be observed or performed, and at the time

 

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of and immediately after such Advance no Event of Default shall have occurred and be continuing.

 

(i)                                     The Advance Request shall be deemed to constitute a representation and warranty by Borrower on the Advance Date as to the matters specified in Section 4.2 and as to the matters set forth in the Advance Request.

 

4.2                               No Default.  As of the Closing Date and the Advance Date, (i) no fact or condition exists that would (or would, with the passage of time, the giving of notice, or both) constitute an Event of Default and (ii) no event that has had or could reasonably be expected to have a Material Adverse Effect has occurred and is continuing.

 

SECTION 5.                         REPRESENTATIONS AND WARRANTIES OF BORROWER

 

Borrower represents and warrants that:

 

5.1                               Corporate Status.  Borrower is a private limited liability company duly incorporated and existing under the laws of the Netherlands, and is duly qualified as a foreign corporation in all jurisdictions in which the nature of its business or location of its properties require such qualifications and where the failure to be qualified could reasonably be expected to have a Material Adverse Effect.  Borrower’s present name, former names (if any), locations, place of formation, tax identification number, organizational identification number and other information are correctly set forth in Exhibit C, as may be updated by Borrower in a written notice (including any Compliance Certificate) provided to Lender after the Closing Date. US Borrower is corporation duly organized, legally existing and in good standing under the laws of the                                   ,and is duly qualified as a foreign corporation in all jurisdictions in which the nature of its business or location of its properties require such qualifications and where the failure to be qualified could reasonably be expected to have a Material Adverse Effect

 

5.2                               Collateral.  Borrower owns the Collateral and the Intellectual Property, free of all Liens, except for Permitted Liens.  Borrower has the power and authority to grant to Lender a Lien in the Collateral as security for the Secured Obligations.

 

5.3                               Consents.  Borrower’s execution, delivery and performance of the Notes (if any), this Agreement and all other Loan Documents,(i) have been duly authorized by all necessary corporate action of Borrower, (ii) will not result in the creation or imposition of any Lien upon the Collateral, other than Permitted Liens and the Liens created by this Agreement and the other Loan Documents, (iii) do not violate any provisions of Borrower’s articles of association, or any, law, regulation, order, injunction, judgment, decree or writ to which Borrower is subject and (iv) except as described on Schedule 5.3, do not violate any contract or agreement or require the consent or approval of any other Person which has not already been obtained.  The individual or individuals executing the Loan Documents are duly authorized to do so.

 

5.4                               Material Adverse Effect.  No event that has had or could reasonably be expected to have a Material Adverse Effect has occurred and is continuing. Borrower is not aware of any event likely to occur that is reasonably expected to result in a Material Adverse Effect.

 

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5.5                               Actions Before Governmental Authorities.  Except as described on Schedule 5.5, there are no actions, suits or proceedings at law or in equity or by or before any governmental authority now pending or, to the knowledge of Borrower, threatened against or affecting Borrower or its property (i) which seek to prevent, enjoin, hinder or delay the transactions contemplated by the Loan Documents or (ii) as to which there is a reasonable possibility of an adverse determination and which, if adversely determined, would reasonably be expected to, individually or in the aggregate, have a material adverse effect on Borrower’s business.

 

5.6                               Laws.  Borrower, to its knowledge, is not in violation of any law, rule or regulation, or in default with respect to any judgment, writ, injunction or decree of any governmental authority, where such violation or default is reasonably expected to result in a Material Adverse Effect.  Borrower, to its knowledge, is not in default in any manner under any provision of any agreement or instrument evidencing indebtedness, or any other material agreement to which it is a party or by which it is bound and for which such default would reasonably be expected to have a material adverse effect on Borrower’s business.

 

5.7                               Information Correct and Current.  No information, report, Advance Request, financial statement, exhibit or schedule furnished, by or on behalf of Borrower to Lender in connection with any Loan Document or included therein or delivered pursuant thereto contained, contains or will contain any material misstatement of fact or omitted, omits or will omit to state any material fact necessary to make the statements therein, in the light of the circumstances under which they were, are or will be made, not misleading at the time such statement was made or deemed made. Additionally, any and all financial or business projections provided by Borrower to Lender shall be (i) provided in good faith and based on the most current data and information available to Borrower, (ii) the most current of such projections provided to Borrower’s board of directors, and (iii) are based on reasonable assumptions not viewed as facts and that actual results during the period or periods covered by such projections and forecast may differ from the projected or forecasted results.

 

5.8                               Tax Matters.  Except as described on Schedule 5.8, (a) Borrower has filed all federal, state and local tax returns that it is required to file, (b) Borrower has duly paid or fully reserved for all taxes or installments thereof (including any interest or penalties) as and when due, which have or may become due pursuant to such returns, and (c) Borrower has paid or fully reserved for any tax assessment received by Borrower for the three (3) years preceding the Closing Date, if any (including any taxes being contested in good faith and by appropriate proceedings).

 

5.9                               Intellectual Property Claims.  Borrower is the sole owner of, or otherwise has the right to use, the Intellectual Property.  Except as described on Schedule 5.9, (i) each of the material Copyrights, Trademarks and Patents is valid and enforceable, (ii) no material part of the Intellectual Property has been judged invalid or unenforceable, in whole or in part, and (iii) no claim has been made in writing to Borrower that any material part of the Intellectual Property violates the rights of any third party. Exhibit D is a true, correct and complete list of each of Borrower’s Patents, registered Trademarks, registered Copyrights, and material agreements under which Borrower licenses Intellectual Property from third parties (other than shrink-wrap software licenses and other licenses for over-the-counter software), together with application or registration numbers, as applicable, owned by Borrower or any Subsidiary, in each case as of the

 

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Closing Date. Borrower is not in material breach of, nor has Borrower failed to perform any material obligations under, any of the foregoing contracts, licenses or agreements and, to Borrower’s knowledge, no third party to any such contract, license or agreement is in material breach thereof or has failed to perform any material obligations thereunder.

 

5.10                        Intellectual Property.  Except as described on Schedule 5.10, Borrower has, or in the case of any proposed business, will have, all material rights with respect to Intellectual Property necessary in the operation or conduct of Borrower’s business as currently conducted and proposed to be conducted by Borrower.  Without limiting the generality of the foregoing, and in the case of Licenses, except for restrictions that are unenforceable under Division 9 of the UCC, Borrower has the right, to the extent required to operate Borrower’s business, to freely transfer, license or assign Intellectual Property without condition, restriction or payment of any kind (other than license payments in the ordinary course of business) to any third party, and Borrower owns or has the right to use, pursuant to valid licenses, all software development tools, library functions, compilers and all other third-party software and other items that are necessary in the design, development, promotion, sale, license, manufacture, import, export, use or distribution of Borrower Products.

 

5.11                        Borrower Products.  Except as described on Schedule 5.11, no Intellectual Property owned by Borrower or Borrower Product has been or is subject to any actual or, to the knowledge of Borrower, threatened litigation, proceeding  or outstanding decree, order, judgment, settlement agreement or stipulation that restricts in any material manner Borrower’s use, transfer or licensing thereof or that may materially affect the validity, use or enforceability thereof. There is no decree, order, judgment, agreement, stipulation, arbitral award or other provision entered into in connection with any litigation or proceeding that obligates Borrower to grant licenses or ownership interest in any future Intellectual Property related to the operation or conduct of the business of Borrower or Borrower Products.  Borrower has not received any written notice or claim, or, to the knowledge of Borrower, oral notice or claim, challenging or questioning Borrower’s ownership in any Intellectual Property (or written notice of any claim challenging or questioning the ownership in any licensed Intellectual Property of the owner thereof) or suggesting that any third party has any claim of legal or beneficial ownership with respect thereto nor, to Borrower’s knowledge, is there a reasonable basis for any such claim.  To Borrower’s knowledge, neither Borrower’s use of its Intellectual Property nor the production and sale of Borrower Products infringes the Intellectual Property or other rights of others.

 

5.12                        Financial Accounts.  Exhibit E, as may be updated by the Borrower in a written notice provided to Lender after the Closing Date, is a true, correct and complete list of (a) all banks and other financial institutions at which Borrower or any Subsidiary maintains Deposit Accounts and (b) all institutions at which Borrower or any Subsidiary maintains an account holding Investment Property, and such exhibit correctly identifies the name, address and telephone number of each bank or other institution, the name in which the account is held, a description of the purpose of the account, and the complete account number therefor.

 

5.13                        Employee Loans.  Borrower has no outstanding loans to any employee, officer or director of the Borrower nor has Borrower guaranteed the payment of any loan made to an employee, officer or director of the Borrower by a third party.

 

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5.14                        Capitalization and Subsidiaries.  Borrower’s capitalization as of the Closing Date is set forth on Schedule 5.14 annexed hereto.  Borrower does not own any stock, partnership interest or other securities of any Person, except for Permitted Investments.  Attached as Schedule 5.14, as may be updated by Borrower in a written notice provided after the Closing Date, is a true, correct and complete list of each Subsidiary.

 

5.15                        Centre of main interests and establishments. Borrower has its’ “centre of main interests” (as that term is used in article 3(1) of The Council of the European Union Regulation No. 1346/2000 on Insolvency Proceedings) in the Netherlands.

 

SECTION 6.                         INSURANCE; INDEMNIFICATION

 

6.1                               Coverage.  Borrower shall cause to be carried and maintained commercial general liability insurance, on an occurrence form, against risks customarily insured against in Borrower’s line of business.  Such risks shall include the risks of bodily injury, including death, property damage, personal injury, advertising injury, and contractual liability per the terms of the indemnification agreement found in Section 6.3.  Borrower must maintain a minimum of $1,000,000 of commercial general liability insurance for each occurrence and $2,000,000 in the aggregate.  Borrower has and agrees to maintain a minimum of $2,000,000 of directors’ and officers’ insurance for each occurrence and $5,000,000 in the aggregate.  So long as there are any Secured Obligations outstanding, Borrower shall also cause to be carried and maintained insurance upon the Collateral, insuring against all risks of physical loss or damage howsoever caused, in an amount not less than the full replacement cost of the Collateral, provided that such insurance may be subject to standard exceptions and deductibles.  Borrower shall also carry and maintain a fidelity insurance policy in an amount not less than $100,000.

 

6.2                               Certificates.  Borrower shall deliver to Lender certificates of insurance that evidence Borrower’s compliance with its insurance obligations in Section 6.1 and the obligations contained in this Section 6.2.  Borrower’s insurance certificate shall state Lender is an additional insured for commercial general liability, a loss payee for all risk property damage insurance, subject to the insurer’s approval, a loss payee for fidelity insurance, and a loss payee for property insurance and additional insured for liability insurance for any future insurance that Borrower may acquire from such insurer.  Attached to the certificates of insurance will be additional insured endorsements for liability and lender’s loss payable endorsements for all risk property damage insurance and fidelity.  Unless an Event of Default shall have occurred and be continuing, all insurance proceeds shall be paid or turned over to Borrower.  All certificates of insurance will provide for a minimum of thirty (30) days advance written notice to Lender of cancellation or any other change adverse to Lender’s interests.  Any failure of Lender to scrutinize such insurance certificates for compliance is not a waiver of any of Lender’s rights, all of which are reserved.

 

6.3                               Indemnity.  Borrower agrees to indemnify and hold Lender and its officers, directors, employees, agents, in-house attorneys, representatives and shareholders harmless from and against any and all claims, costs, expenses, damages and liabilities (including such claims, costs, expenses, damages and liabilities based on liability in tort, including strict liability in tort), including reasonable documented attorneys’ fees and disbursements and other costs of investigation or defense (including those incurred upon any appeal), that may be instituted or

 

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asserted against or incurred by Lender or any such Person as the result of credit having been extended, suspended or terminated under this Agreement and the other Loan Documents or the administration of such credit, or in connection with or arising out of the transactions contemplated hereunder and thereunder, or any actions or failures to act in connection therewith, or arising out of the disposition or utilization of the Collateral, excluding in all cases claims resulting solely from Lender’s gross negligence or willful misconduct. Borrower agrees to pay, and to save Lender harmless from, any and all liabilities with respect to, or resulting from any delay in paying, any and all excise, sales or other similar taxes (excluding taxes imposed on or measured by the net income of Lender) that may be payable or determined to be payable with respect to any of the Collateral or this Agreement.

 

SECTION 7.                         COVENANTS OF BORROWER AND UNIQURE HOLDINGS (THE LATTER SOLELY FOR PURPOSES OF SECTION 7.15)

 

Borrower agrees as follows:

 

7.1                               Financial Reports.  Borrower shall furnish to Lender the financial statements and reports listed hereinafter (the “Financial Statements”):

 

(a)                                 as soon as practicable (and in any event within 30 days) after the end of each month, unaudited interim and year-to-date financial statements as of the end of such month (prepared on a consolidated and consolidating basis, if applicable), including balance sheet and related statements of income and cash flows accompanied by a report detailing any material contingencies (including the commencement of any material litigation by or against Borrower) or any other occurrence that would reasonably be expected to have a Material Adverse Effect, all certified by Borrower’s Chief Executive Officer or Chief Financial Officer to the effect that they have been prepared in accordance with IFRS, except (i) for the absence of footnotes, (ii) that they are subject to normal year-end adjustments, and (iii) they do not contain certain non-cash items that are customarily included in quarterly and annual financial statements;

 

(b)                                 as soon as practicable (and in any event within 45 days) after the end of each calendar quarter, unaudited interim and year-to-date financial statements as of the end of such calendar quarter (prepared on a consolidated and consolidating basis, if applicable), including balance sheet and related statements of income and cash flows accompanied by a report detailing any material contingencies (including the commencement of any material litigation by or against Borrower) or any other occurrence that would reasonably be expected to have a Material Adverse Effect, certified by Borrower’s Chief Executive Officer or Chief Financial Officer to the effect that they have been prepared in accordance with IFRS, except (i) for the absence of footnotes, and (ii) that they are subject to normal year-end adjustments; as well as the most recent capitalization table for Borrower, including the weighted average exercise price of employee stock options;

 

(c)                                  as soon as practicable (and in any event within one hundred fifty (150) days) after the end of each fiscal year, unqualified audited financial statements as of the end of such year (prepared on a consolidated and consolidating basis, if applicable), including balance sheet and related statements of income and cash flows, and setting forth in comparative form the corresponding figures for the preceding fiscal year, certified by a firm of independent certified

 

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public accountants selected by Borrower and reasonably acceptable to Lender, accompanied by any management report from such accountants;

 

(d)                                 as soon as practicable (and in any event within 30 days) after the end of each month, a Compliance Certificate in the form of Exhibit F;

 

(e)                                  promptly after the sending or filing thereof, as the case may be, copies of any proxy statements, financial statements or reports that US Borrower has made available to holders of its capital stock and copies of any regular, periodic and special reports or registration statements that US Borrower files with the Securities and Exchange Commission or any governmental authority that may be substituted therefor, or any national securities exchange, including;

 

(f)                                   notify Lender in writing at least two (2) weeks in advance of the time and place of any regularly scheduled meeting  of the board of Directors of Borrower (including without limitation telephone, conference call and video meetings).  Borrower shall give Lender copies of all notices, minutes, consents and other materials the Borrower provides to its directors in connection with said meetings;

 

(g)                                  Borrower at all times shall maintain cash and/or cash equivalents on deposit in a deposit or security account located in the United States that is subject to an Account Control Agreement of at least the lesser of (i) 100% of the then outstanding principal amount of the Advance or (ii) 50% of all of the worldwide cash and cash equivalents of the Borrower;

 

(h)                                 financial and business projections promptly following their approval by Borrower’s board of Directors, as well as budgets, operating plans and other financial information with respect to Borrower or its Subsidiaries reasonably requested by Lender;

 

(i)                                     Borrower shall not make any change in its (a) accounting policies or reporting practices except in accordance with IFRS, or (b) fiscal years or fiscal quarters. The fiscal year of Borrower shall end on December 31; and

 

(j)                                    The executed Compliance Certificate may be sent via facsimile to Lender at (650) 473-9194 or via e-mail to BJadot@HTGC.com.  All Financial Statements required to be delivered pursuant to clauses (a), (b) and (c) shall be sent via e-mail to financialstatements@herculestech.com with a copy to BJadot@HTGC.com and BBang@HTGC.com provided, that if e-mail is not available or sending such Financial Statements via e-mail is not possible, they shall be sent via facsimile to Lender at: (866) 468-8916, attention Chief Credit Officer.

 

7.2                               Management Rights.  Borrower shall permit any representative that Lender authorizes, including its attorneys and accountants, to inspect the Collateral and examine and make copies and abstracts of the books of account and records of Borrower at reasonable times and upon reasonable notice during normal business hours.  In addition, any such representative shall have the right to meet with management and officers of Borrower to discuss such books of account and records.  In addition, Lender shall be entitled at reasonable times and intervals to consult with and advise the management and officers of Borrower concerning significant

 

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business issues affecting Borrower.  Such consultations shall not unreasonably interfere with Borrower’s business operations.  The parties intend that the rights granted Lender shall constitute “management rights” within the meaning of 29 C.F.R Section 2510.3-101(d)(3)(ii), but that any advice, recommendations or participation by Lender with respect to any business issues shall not be deemed to give Lender, nor be deemed an exercise by Lender of, control over Borrower’s management or policies.

 

7.3                               Further Assurances.  Borrower shall from time to time execute, deliver and file, alone or with Lender, any financing statements, security agreements, collateral assignments, notices, control agreements, or other documents to perfect or give the highest priority to Lender’s Lien on the Collateral.  Borrower shall from time to time procure any instruments or documents as may reasonably be requested by Lender, and take all further action that may be necessary or desirable, or that Lender may reasonably request, to perfect and protect the Liens granted hereby and thereby.  In addition, and for such purposes only, Borrower hereby authorizes Lender to execute and deliver on behalf of Borrower and to file such financing statements, collateral assignments, notices, control agreements, security agreements and other documents necessary to grant, perfect and give the highest priority to Lender’s Lien on the Collateral without the signature of Borrower either in Lender’s name or in the name of Lender as agent and attorney-in-fact for Borrower.  Borrower shall protect and defend Borrower’s title to the Collateral and Lender’s Lien thereon against all Persons claiming any interest adverse to Borrower or Lender other than Permitted Liens.

 

7.4                               Indebtedness.  Borrower shall not create, incur, assume, guarantee or be or remain liable with respect to any Indebtedness, or permit any Subsidiary so to do, other than Permitted Indebtedness, or prepay any Indebtedness or take any actions which impose on Borrower an obligation to prepay any Indebtedness, except for the conversion of Indebtedness into equity securities and the payment of cash in lieu of fractional shares in connection with such conversion.

 

7.5                               Collateral.  Borrower shall at all times keep the Collateral, the Intellectual Property and all other property and assets used in Borrower’s business or in which Borrower now or hereafter holds any interest free and clear from any legal process or Liens whatsoever (except for Permitted Liens), and shall give Lender prompt written notice of any legal process affecting the Collateral, the Intellectual Property, such other property and assets, or any Liens thereon.  Borrower shall cause its Subsidiaries to protect and defend such Subsidiary’s title to its assets from and against all Persons claiming any interest adverse to such Subsidiary, and Borrower shall cause its Subsidiaries at all times to keep such Subsidiary’s property and assets free and clear from any legal process or Liens whatsoever (except for Permitted Liens), and shall give Lender prompt written notice of any legal process affecting such Subsidiary’s assets.  Borrower shall not agree with any Person other than Lender not to encumber its property.

 

7.6                               Investments.  Borrower shall not directly or indirectly acquire or own, or make any Investment in or to any Person, or permit any of its Subsidiaries so to do, other than Permitted Investments.

 

7.7                               Distributions.  Borrower shall not, and shall not allow any Subsidiary to, (a) repurchase or redeem any class of stock or other equity interest other than pursuant to employee,

 

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director or consultant repurchase plans, stock option plans or agreements, restricted stock agreements or other similar agreements, provided, however, in each case the repurchase or redemption price does not exceed the original consideration paid for such stock or equity interest, or (b) declare or pay any cash dividend or make a cash distribution on any class of stock or other equity interest, except that a Subsidiary may pay dividends or make distributions to Borrower, or (c) lend money to any employees, officers or directors or guarantee the payment of any such loans granted by a third party in excess of $250,000 in the aggregate or (d) waive, release or forgive any indebtedness owed by any employees, officers or directors in excess of $250,000 in the aggregate.

 

7.8                               Transfers.  Except for Permitted Transfers, Borrower shall not voluntarily or involuntarily transfer, sell, lease, license, lend or in any other manner convey any equitable, beneficial or legal interest in any material portion of their assets.

 

7.9                               Mergers or Acquisitions.  Borrower shall not merge or consolidate, or permit any of its Subsidiaries to merge or consolidate, with or into any other business organization (other than mergers or consolidations of (i) a Subsidiary into Borrower, or (ii) of a Subsidiary which is not a Borrower into any Subsidiary or into Borrower, provided, in each case, that with respect to any merger into Borrower, Borrower is the surviving entity) or acquire, or permit any of its Subsidiaries to acquire, all or substantially all of the capital stock or property of another Person.

 

7.10                        Taxes.  Borrower and its Subsidiaries shall pay when due all taxes, fees or other charges of any nature whatsoever (together with any related interest or penalties) now or hereafter imposed or assessed against Borrower, Lender or the Collateral or upon Borrower’s ownership, possession, use, operation or disposition thereof or upon Borrower’s rents, receipts or earnings arising therefrom.  Borrower shall file on or before the due date therefor all personal property tax returns in respect of the Collateral.  Notwithstanding the foregoing, Borrower may contest, in good faith and by appropriate proceedings, taxes for which Borrower maintains adequate reserves therefor in accordance with IFRS.

 

7.11                        Corporate Changes.  Neither Borrower nor any Subsidiary shall change its corporate name, legal form or jurisdiction of formation without twenty (20) days’ prior written notice to Lender.  Neither Borrower nor any Subsidiary shall relocate its chief executive office or its principal place of business unless: (i) it has provided prior written notice to Lender; and (ii) such relocation shall be within the Netherlands.  Neither Borrower nor any Subsidiary shall relocate any item of Collateral (other than (x) sales of movable assets in the ordinary course of business, (y) relocations of movable assets having an aggregate value of up to $250,000 in any fiscal year, and (z) relocations of Collateral from a location described on Exhibit C to another location described on Exhibit C) unless (i) it has provided prompt written notice to Lender, (ii) such relocation is within the Netherlands and, (iii) if such relocation is to a third party bailee, it has delivered a bailee agreement in form and substance reasonably acceptable to Lender.

 

7.12                        Deposit Accounts.  Neither Borrower nor any Subsidiary shall maintain any Deposit Accounts (other than payroll, trust or escrow accounts), or accounts holding Investment Property, except with respect to which Lender has an Account Control Agreement and/or a first ranking right of pledge.

 

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7.13                        Subsidiaries.  Borrower shall notify Lender of each Subsidiary formed subsequent to the Closing Date and, within 15 days of formation, shall cause any such Subsidiary to execute and deliver to Lender a Joinder Agreement.

 

7.14                        Pensions. Borrower shall ensure that all pension schemes operated by or maintained for the benefit of members of the group and/or any of their employees are funded to the extent required by applicable law and regulations where failure to do so would be reasonably likely to have a Material Adverse Effect.

 

7.15                        uniQure Holdings. uniQure Holdings shall transfer the amount of € 14,000,000 (minus related costs) to be received in connection with the Chiesi transaction to a Deposit Account in the name of uniQure within 10 working days upon receipt thereof. During the period of receipt by uniQure Holdings and the actual transfer of such amount, uniQure Holdings shall in no event grant or create any Lien on such amount or any part thereof to or for the benefit of any third party.

 

SECTION 8.                         RIGHT TO INVEST

 

8.1                               Lender or its assignee or nominee shall have the right, in its discretion, to participate in any Subsequent Financing in an amount of up to Two Million Dollars ($2,000,000) on the same terms, conditions and pricing afforded to others participating in any such Subsequent Financing.

 

SECTION 9.                         EVENTS OF DEFAULT

 

The occurrence of any one or more of the following events shall be an Event of Default:

 

9.1                               Payments.  Borrower fails to pay any amount when due under this Agreement or any of the other Loan Documents; or

 

9.2                               Covenants.  Borrower breaches or defaults in the performance of any covenant or Secured Obligation under this Agreement, or any of the other Loan Documents, and (a) with respect to a default under any covenant under this Agreement (other than under Sections [6, ]7.1(g), 7.5, 7.6, 7.7, 7.8 or 7.9) such default continues for more than fifteen (15) days after the earlier of the date on which (i) Lender has given notice of such default to Borrower and (ii) Borrower has actual knowledge of such default or (b) with respect to a default under any of Sections [6,] 7.1(g), 7.5, 7.6, 7.7, 7.8 or 7.9, the occurrence of such default; or

 

9.3                               Material Adverse Effect.  A circumstance has occurred that would reasonably be expected to have a Material Adverse Effect; or

 

9.4                               Other Loan Documents.  The occurrence of any default under any Loan Document and such default continues for more than ten (10) days after the earlier of (a) Lender has given notice of such default to Borrower, or (b) Borrower has actual knowledge of such default; or

 

9.5                               Representations.  Any material representation or warranty made by Borrower in any Loan Document shall have been false or misleading in any material respect; or

 

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9.6                               Insolvency.  Borrower (A) (i) shall make an assignment for the benefit of creditors; or (ii) shall be unable to pay its debts as they become due, or be unable to pay or perform under the Loan Documents, or shall become insolvent; or (iii) shall file a voluntary petition in bankruptcy; or (iv) shall file any petition, answer, or document seeking for itself any reorganization, arrangement, composition, readjustment, liquidation, dissolution or similar relief under any present or future statute, law or regulation pertinent to such circumstances; or (v) shall seek or consent to or acquiesce in the appointment of any trustee, receiver, or liquidator of Borrower or of all or any substantial part (i.e., 33-1/3% or more) of the assets or property of Borrower; or (vi) shall cease operations of its business as its business has normally been conducted, or terminate substantially all of its employees; (vii) Borrower or its directors or majority shareholders shall take any action initiating any of the foregoing actions described in clauses (i) through (vi); or (B) either (i) forty-five (45) days shall have expired after the commencement of an involuntary action against Borrower seeking reorganization, arrangement, composition, readjustment, liquidation, dissolution or similar relief under any present or future statute, law or regulation, without such action being dismissed or all orders or proceedings thereunder affecting the operations or the business of Borrower being stayed; or (ii) a stay of any such order or proceedings shall thereafter be set aside and the action setting it aside shall not be timely appealed; or (iii) Borrower shall file any answer admitting or not contesting the material allegations of a petition filed against Borrower in any such proceedings; or (iv) the court in which such proceedings are pending shall enter a decree or order granting the relief sought in any such proceedings; or (v) thirty (30) days shall have expired after the appointment, without the consent or acquiescence of Borrower, of any trustee, receiver or liquidator of Borrower or of all or any substantial part of the properties of Borrower without such appointment being vacated; or

 

9.7                               Attachments; Judgments.  Any portion of Borrower’s assets is attached or seized, or a levy is filed against any such assets (and such attachment, seizure or levy is not lifted or released within 30 days), or a judgment or judgments (no longer subject to appeal) is/are entered for the payment of money, individually or in the aggregate, of at least $250,000, or Borrower is enjoined or in any way prevented by court order from conducting any part of its business; or

 

9.8                               Other Obligations.  The occurrence of any default (beyond any applicable grace, appeal or cure periods) under any agreement or obligation of Borrower involving any Indebtedness in excess of $250,000, or the occurrence of any default by the Borrower under any agreement  or obligation of Borrower that could reasonably be expected to have a Material Adverse Effect.

 

SECTION 10.                  REMEDIES

 

10.1                        General.  Upon and during the continuance of any one or more Events of Default, (i) Lender may, at its option, accelerate and demand payment of all or any part of the Secured Obligations together with a Prepayment Charge and declare them to be immediately due and payable (provided, that upon the occurrence of an Event of Default of the type described in Section 9.6, all of the Secured Obligations shall automatically be accelerated and made due and payable, in each case without any further notice or act), and (ii) Lender may notify any of Borrower’s account debtors to make payment directly to Lender, compromise the amount of any such account on Borrower’s behalf and endorse Lender’s name without recourse on any such payment for deposit directly to Lender’s account.  Lender may exercise all rights and remedies

 

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with respect to the Collateral under the Loan Documents or otherwise available to it under the laws of the Netherlands, the UCC and other applicable law, including the right to release, hold, sell, lease, liquidate, collect, realize upon, or otherwise dispose of all or any part of the Collateral and the right to occupy, utilize, process and commingle the Collateral.

 

10.2                        Collection; Foreclosure.  Unless otherwise agreed in the Collateral Documents, upon the occurrence and during the continuance of any Event of Default, Lender may, at any time or from time to time, apply, collect, liquidate, sell in one or more sales, lease or otherwise dispose of, any or all of the Collateral, in its then condition or following any commercially reasonable preparation or processing, in such order as Lender may elect.  Any such sale may be made either at public or private sale at its place of business or elsewhere.  Borrower agrees that any such public or private sale may occur upon ten (10) calendar days’ prior written notice to Borrower.  Lender may require Borrower to assemble the Collateral and make it available to Lender at a place designated by Lender that is reasonably convenient to Lender and Borrower.  The proceeds of any sale, disposition or other realization upon all or any part of the Collateral shall be applied by Lender in the following order of priorities:

 

First, to Lender in an amount sufficient to pay in full Lender’s costs and professionals’ and advisors’ fees and expenses as described in Section 11.11;

 

Second, to Lender in an amount equal to the then unpaid amount of the Secured Obligations (including principal, interest, and the Default Rate interest), in such order and priority as Lender may choose in its sole discretion; and

 

Finally, after the full, final, and indefeasible payment in Cash of all of the Secured Obligations, to any creditor holding a junior Lien on the Collateral, or to Borrower or its representatives or as a court of competent jurisdiction may direct.

 

Lender shall be deemed to have acted reasonably in the custody, preservation and disposition of any of the Collateral if it complies with the obligations of a secured party under the UCC.

 

10.3                        No Waiver.  Lender shall be under no obligation to marshal any of the Collateral for the benefit of Borrower or any other Person, and Borrower expressly waives all rights, if any, to require Lender to marshal any Collateral.

 

10.4                        Cumulative Remedies.  The rights, powers and remedies of Lender hereunder shall be in addition to all rights, powers and remedies given by statute or rule of law and are cumulative.  The exercise of any one or more of the rights, powers and remedies provided herein shall not be construed as a waiver of or election of remedies with respect to any other rights, powers and remedies of Lender.

 

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SECTION 11.                  MISCELLANEOUS

 

11.1                        Severability.  Whenever possible, each provision of this Agreement shall be interpreted in such manner as to be effective and valid under applicable law, but if any provision of this Agreement shall be prohibited by or invalid under such law, such provision shall be ineffective only to the extent and duration of such prohibition or invalidity, without invalidating the remainder of such provision or the remaining provisions of this Agreement.

 

11.2                        Notice.  Except as otherwise provided herein, any notice, demand, request, consent, approval, declaration, service of process or other communication (including the delivery of Financial Statements) that is required, contemplated, or permitted under the Loan Documents or with respect to the subject matter hereof shall be in writing, and shall be deemed to have been validly served, given, delivered, and received upon the earlier of: (i) the day of transmission by facsimile or hand delivery or delivery by an overnight express service or overnight mail delivery service; or (ii) the third calendar day after deposit in the United States mails, with proper first class postage prepaid, in each case addressed to the party to be notified as follows:

 

If to Lender:                                                                           HERCULES TECHNOLOGY GROWTH CAPITAL, INC.
 Legal Department
 Attention:  Chief Legal Officer and Mr. Bryan Jadot
 400 Hamilton Avenue, Suite 310
 Palo Alto, California  94301
 Facsimile:  650-473-9194
 Telephone:  650-289-3060

 

If to Borrower:                                                               [                  ]

Attention: [                          ]

Facsimile:

Tel: [                           ]

 

or to such other address as each party may designate for itself by like notice.

 

11.3                        Entire Agreement; Amendments.  This Agreement and the other Loan Documents constitute the entire agreement and understanding of the parties hereto in respect of the subject matter hereof and thereof, and supersede and replace in their entirety any prior proposals, term sheets, non-disclosure or confidentiality agreements, letters, negotiations or other documents or agreements, whether written or oral, with respect to the subject matter hereof or thereof (including Lender’s proposal letter dated March 1, 2013).  None of the terms of this Agreement or any of the other Loan Documents may be amended except by an instrument executed by each of the parties hereto.

 

11.4                        No Strict Construction.  The parties hereto have participated jointly in the negotiation and drafting of this Agreement.  In the event an ambiguity or question of intent or interpretation arises, this Agreement shall be construed as if drafted jointly by the parties hereto and no presumption or burden of proof shall arise favoring or disfavoring any party by virtue of the authorship of any provisions of this Agreement.

 

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11.5                        No Waiver.  The powers conferred upon Lender by this Agreement are solely to protect its rights hereunder and under the other Loan Documents and its interest in the Collateral and shall not impose any duty upon Lender to exercise any such powers.  No omission or delay by Lender at any time to enforce any right or remedy reserved to it, or to require performance of any of the terms, covenants or provisions hereof by Borrower at any time designated, shall be a waiver of any such right or remedy to which Lender is entitled, nor shall it in any way affect the right of Lender to enforce such provisions thereafter.

 

11.6                        Survival.  All agreements, representations and warranties contained in this Agreement and the other Loan Documents or in any document delivered pursuant hereto or thereto shall be for the benefit of Lender and shall survive the execution and delivery of this Agreement and the expiration or other termination of this Agreement.

 

11.7                        Successors and Assigns.  The provisions of this Agreement and the other Loan Documents shall inure to the benefit of and be binding on Borrower and its permitted assigns (if any).  Borrower shall not assign its obligations under this Agreement or any of the other Loan Documents without Lender’s express prior written consent, and any such attempted assignment shall be void and of no effect.  Lender may assign, transfer, or endorse its rights hereunder and under the other Loan Documents without prior notice to Borrower, and all of such rights shall inure to the benefit of Lender’s successors and assigns.

 

11.8                        Governing Law.  This Agreement and the other Loan Documents shall be governed by, and construed and enforced in accordance with, the laws of the Netherlands.

 

11.9                        Jurisdiction.  The courts (Rechtbank) of Amsterdam, the Netherlands, subject to ordinary appeal and final appeal shall have exclusive jurisdiction to hear and determine any suit, action or proceeding and to settle any disputes arising out of or in connection with this Agreement and the other Loan Documents (including a dispute regarding the existence, validity or termination of this Agreement or the consequences of its nullity) and, for such purposes, each of the parties hereto irrevocably submits to the exclusive jurisdiction of such courts.  This Section is for the benefit of the Lender only.  As a result, the Lender may take proceedings relating to a dispute in any other courts with jurisdiction.  To the extent allowed by law, the Lender may take concurrent proceedings in any number of jurisdictions.

 

11.10                 Professional Fees.  Borrower promises to pay Lender’s documented out-of-pocket fees and expenses necessary to finalize the loan documentation, including but not limited to reasonable documented attorneys’ fees, UCC searches, filing costs, and other miscellaneous expenses. In addition, Borrower promises to pay any and all reasonable documented attorneys’ and other professionals’ fees and expenses (including fees and expenses of in-house counsel) incurred by Lender after the Closing Date in connection with or related to:  (a) the Loan; (b) the administration, collection, or enforcement of the Loan; (c) the amendment or modification of the Loan Documents; (d) any waiver, consent, release, or termination under the Loan Documents; (e) the protection, preservation, sale, lease, liquidation, or disposition of Collateral or the exercise of remedies with respect to the Collateral; (f) any legal, litigation, administrative, arbitration, or out of court proceeding in connection with or related to Borrower or the Collateral, and any appeal or review thereof; and (g) any bankruptcy, restructuring, reorganization, assignment for the benefit of creditors, workout, foreclosure, or other action related to Borrower, the Collateral, the

 

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Loan Documents, including representing Lender in any adversary proceeding or contested matter commenced or continued by or on behalf of Borrower’s estate, and any appeal or review thereof.

 

11.11                 Confidentiality.  Lender acknowledges that all financial statements provided to Lender by Borrower and certain items of Collateral and information provided to Lender by Borrower are confidential and proprietary information of Borrower, if and to the extent such information either (x) is marked as confidential by Borrower at the time of disclosure, or (y) should reasonably be understood to be confidential (the “Confidential Information”).  Accordingly, Lender agrees that any Confidential Information it may obtain in the course of acquiring, administering, or perfecting  Lender’s security interest in the Collateral shall not be disclosed to any other person or entity in any manner whatsoever, in whole or in part, without the prior written consent of Borrower, except that Lender may disclose any such information:  (a) to its own directors, officers, employees, accountants, counsel and other professional advisors and to its affiliates if Lender in its sole discretion determines that any such party should have access to such information in connection with such party’s responsibilities in connection with the Loan or this Agreement and, provided that such recipient of such Confidential Information either (i) agrees to be bound by the confidentiality provisions of this paragraph or (ii) is otherwise subject to confidentiality restrictions that reasonably protect against the disclosure of Confidential Information; (b) if such information is generally available to the public; (c) if required or appropriate in any report, statement or testimony submitted to any governmental authority having or claiming to have jurisdiction over Lender; (d) if required or appropriate in response to any summons or subpoena or in connection with any litigation, to the extent permitted or deemed advisable by Lender’s counsel; (e) to comply with any legal requirement or law applicable to Lender; (f) to the extent reasonably necessary in connection with the exercise of any right or remedy under any Loan Document, including Lender’s sale, lease, or other disposition of Collateral after the occurrence and during the continuance of an Event of Default; (g) to any participant or assignee of Lender or any prospective participant or assignee; provided, that such participant or assignee or prospective participant or assignee agrees in writing to be bound by this Section prior to disclosure; or (h) otherwise with the prior consent of Borrower; provided, that any disclosure made in violation of this Agreement shall not affect the obligations of Borrower or any of its affiliates or any guarantor under this Agreement or the other Loan Documents.

 

11.12                 Assignment of Rights.  Borrower acknowledges and understands that Lender may sell and assign all or part of its interest hereunder and under the Loan Documents to any person or entity (an “Assignee”).  After such assignment the term “Lender” as used in the Loan Documents shall mean and include such Assignee, and such Assignee shall be vested with all rights, powers and remedies of Lender hereunder with respect to the interest so assigned; but with respect to any such interest not so transferred, Lender shall retain all rights, powers and remedies hereby given.  No such assignment by Lender shall relieve Borrower of any of its obligations hereunder.  Lender agrees that in the event of any transfer by it of the Note(s) (if any), it will endorse thereon a notation as to the portion of the principal of the Note(s), which shall have been paid at the time of such transfer and as to the date to which interest shall have been last paid thereon.

 

11.14                 Revival of Secured Obligations.  This Agreement and the Loan Documents shall remain in full force and effect and continue to be effective if any petition is filed by or against

 

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Borrower for liquidation or reorganization, if Borrower becomes insolvent or makes an assignment for the benefit of creditors, if a receiver or trustee is appointed for all or any significant part of Borrower’s assets, or if any payment or transfer of Collateral is recovered from Lender.  The Loan Documents and the Secured Obligations and Collateral security shall continue to be effective, or shall be revived or reinstated, as the case may be, if at any time payment and performance of the Secured Obligations or any transfer of Collateral to Lender, or any part thereof is rescinded, avoided or avoidable, reduced in amount, or must otherwise be restored or returned by, or is recovered from, Lender or by any obligee of the Secured Obligations, whether as a “voidable preference,” “fraudulent conveyance,” or otherwise, all as though such payment, performance, or transfer of Collateral had not been made.  In the event that any payment, or any part thereof, is rescinded, reduced, avoided, avoidable, restored, returned, or recovered, the Loan Documents and the Secured Obligations shall be deemed, without any further action or documentation, to have been revived and reinstated except to the extent of the full, final, and indefeasible payment to Lender in Cash.

 

11.13                 Counterparts.  This Agreement and any amendments, waivers, consents or supplements hereto may be executed in any number of counterparts, and by different parties hereto in separate counterparts, each of which when so delivered shall be deemed an original, but all of which counterparts shall constitute but one and the same instrument.

 

11.14                 Publicity.

 

(a)                                 Borrower consents to the publication and use by Lender and any of its member businesses and affiliates of (i) Borrower’s name (including a brief description of the relationship between Borrower and Lender) and logo for use on Lender’s website and as required for the purposes of filings with or reports to governmental authorities required by law, and (ii) after review and approval by Borrower (a) Borrower’s name and a hyperlink to Borrower’s web site, separately or together, in written and oral presentations, advertising, promotional and marketing materials, client lists, public relations materials or on its web site (together, the “Lender Publicity Materials”); (b) the names of officers of Borrower in the Lender Publicity Materials; and (c) Borrower’s name, trademarks or servicemarks in any news release concerning Lender.

 

(b)                                 Neither Borrower nor any of its member businesses and affiliates shall, without Lender’s consent, publicize or use, for any purpose other than filings with or reports to governmental authorities required by law, (i) Lender’s name (including a brief description of the relationship between Borrower and Lender), logo or hyperlink to Lender’s web site, separately or together, in written and oral presentations, advertising, promotional and marketing materials, client lists, public relations materials or on its web site (together, the “Borrower Publicity Materials”); (ii) the names of officers of Lender in the Borrower Publicity Materials; and (iii) Lender’s name, trademarks, servicemarks in any news release concerning Borrower.

 

(SIGNATURES TO FOLLOW)

 

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IN WITNESS WHEREOF, Borrower and Lender have duly executed and delivered this Loan and Security Agreement as of the day and year first above written.

 

	
 
    	
BORROWER:
    
	
 
    	
 
    
	
 
    	
UNIQURE   BIOPHARMA B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
/s/   PJ Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
PJ   Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
CFO
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   IP B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
/s/   PJ Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
PJ   Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
CFO
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   B.V., solely a party hereto for purposes of Sections 2.6 and 7.15
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
/s/   PJ Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
PJ   Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
CFO
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   RESEARCH B.V.*
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
/s/   PJ Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
PJ   Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
CFO
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   ASSAY DEVELOPMENT B.V.*
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
/s/   PJ Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
PJ   Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
CFO
    

 

29

 

	
 
    	
UNIQURE   QA B.V.*
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
/s/   PJ Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
PJ   Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
CFO
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   PROCESS DEVELOPMENT B.V.*
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
/s/   PJ Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
PJ   Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
CFO
    

 

* Wholly-owned subsidiary of uniQure Biopharma B.V.

 

30

 

	
 
    	
UNIQURE   MANUFACTURING B.V.*
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
/s/   PJ Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
PJ   Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
CFO
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   NON CLINICAL B.V.*
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
/s/   PJ Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
PJ   Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
CFO
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   CLINICAL B.V.*
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
/s/   PJ Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
PJ   Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
CFO
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE, INC.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
/s/   PJ Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
PJ   Morgan
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
CFO
    
	
 
    	
 
    	
 
    
	
Accepted   in Palo Alto, California:
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
LENDER:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
HERCULES   TECHNOLOGY GROWTH CAPITAL, INC.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
/s/Ben   Bang
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
Ben   Bang
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
Senior Counsel
    

 

* Wholly-owned subsidiary of uniQure Biopharma B.V.

 

31

 

Table of Addenda, Exhibits and Schedules

 

	
Exhibit A:
    	
Advance   Request
    
	
 
    	
Attachment   to Advance Request
    
	
 
    	
 
    
	
Exhibit B:
    	
Note
    
	
 
    	
 
    
	
Exhibit C:
    	
Name,   Locations, and Other Information for Borrower
    
	
 
    	
 
    
	
Exhibit D:
    	
Borrower’s   Patents, Trademarks, Copyrights and Licenses
    
	
 
    	
 
    
	
Exhibit E:
    	
Borrower’s   Deposit Accounts and Investment Accounts
    
	
 
    	
 
    
	
Exhibit F:
    	
Compliance   Certificate
    
	
 
    	
 
    
	
Exhibit G:
    	
Joinder   Agreement
    
	
 
    	
 
    
	
Exhibit H:
    	
ACH   Debit Authorization Agreement
    
	
 
    	
 
    
	
Schedule   1
    	
Subsidiaries
    
	
Schedule   1A
    	
Existing   Permitted Indebtedness
    
	
Schedule   1B
    	
Existing   Permitted Investments
    
	
Schedule   1C
    	
Existing   Permitted Liens
    
	
Schedule   5.3
    	
Consents, Etc.
    
	
Schedule   5.5
    	
Actions   Before Governmental Authorities
    
	
Schedule   5.8
    	
Tax   Matters
    
	
Schedule   5.9
    	
Intellectual   Property Claims
    
	
Schedule   5.10
    	
Intellectual   Property
    
	
Schedule   5.11
    	
Borrower   Products
    
	
Schedule   5.14
    	
Capitalization
    

 

32

 

EXHIBIT A

 

ADVANCE REQUEST

 

	
To:
    	
Lender:
    	
Date:                  , 2013
    

 

Hercules Technology Growth Capital, Inc. 

400 Hamilton Avenue, Suite 310
 Palo Alto, CA 94301
 Facsimile:  650-473-9194
 Attn:

 

UNIQURE BIOPHARMA B.V., a                            (“uniQure”), (ii) UNIQURE IP B.V., a                           (“uniQure IP”), (iii) each of the subsidiaries of uniQure identified on the Schedule 1 to the Agreement hereinafter referred to and the signature pages thereof (uniQure, uniQure IP and such subsidiaries are hereinafter collectively referred to as “Borrower”) (“Borrower”) hereby requests from Hercules Technology Growth Capital, Inc. (“Lender”) an Advance in the amount of                                            Dollars ($                                ) on                             ,            (the “Advance Date”) pursuant to the Loan and Security Agreement between Borrower and Lender (the “Agreement”). Capitalized words and other terms used but not otherwise defined herein are used with the same meanings as defined in the Agreement.

 

Please:

 

(a)                                 Issue a check payable to Borrower

 

or

 

(b)                                 Wire Funds to Borrower’s account

 

	
Bank:
    
	
Address:
    
	
 
    
	
 
    
	
ABA   Number:
    
	
Account   Number:
    
	
Account   Name:
    

 

Borrower represents that the conditions precedent to the Advance set forth in the Agreement are satisfied and shall be satisfied upon the making of such Advance, including but not limited to:  (i) that no event that has had or could reasonably be expected to have a Material Adverse Effect has occurred and is continuing; (ii) that the representations and warranties set forth in the Agreement and in (if applicable) the Warrant Agreement are and shall be true and correct in all material respects on and as of the Advance Date with the same effect as though made on and as of such date, except to the extent such representations and warranties expressly relate to an earlier date; (iii) that Borrower is in compliance with all the terms and provisions set forth in each Loan Document on its part to be observed or performed; and (iv) that as of the

 

33

 

Advance Date, no fact or condition exists that would (or would, with the passage of time, the giving of notice, or both) constitute an Event of Default under the Loan Documents.  Borrower understands and acknowledges that Lender has the right to review the financial information supporting this representation and, based upon such review in its sole discretion, Lender may decline to fund the requested Advance.

 

Borrower hereby represents that Borrower’s corporate status and locations have not changed since the date of the Agreement or, if the Attachment to this Advance Request is completed, are as set forth in the Attachment to this Advance Request.

 

Borrower agrees to notify Lender promptly before the funding of the Loan if any of the matters which  have been represented above shall not be true and correct on the Borrowing Date and if Lender has received no such notice before the Advance Date then the statements set forth above shall be deemed to have been made and shall be deemed to be true and correct as of the Advance Date.

 

Executed as of [              ], 2013.

 

	
 
    	
BORROWER:
    
	
 
    	
 
    
	
 
    	
UNIQURE   BIOPHARMA B.V.
    
	
 
    	
 
    
	
 
    	
Signature:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   IP B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   RESEARCH B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   ASSAY DEVELOPMENT B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
 
    

 

34

 

	
 
    	
Title:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   QA B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   PROCESS DEVELOPMENT B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
 
    
	
 
    	
UNIQURE   MANUFACTURING B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   NON CLINICAL B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   CLINICAL B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
[US   SUBSIDIARY
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    

 

35

 

	
 
    	
Print   Name:
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    	
]
    

 

36

 

ATTACHMENT TO ADVANCE REQUEST

 

Dated:

 

Borrower hereby represents and warrants to Lender that Borrower’s current name and organizational status is as follows:

 

Name:

 

Type of organization:

 

State of organization:

 

Organization file number:

 

Borrower hereby represents and warrants to Lender that the street addresses, cities, states and postal codes of its current locations are as follows:

 

37

 

EXHIBIT B

 

PROMISSORY NOTE

 

	
$[   ],000,000
    	
Advance   Date:            , 20[ ]
    
	
 
    	
 
    
	
 
    	
Maturity   Date:                    , 20[ ]
    

 

FOR VALUE RECEIVED, (i) UNIQURE BIOPHARMA B.V., a                            (“uniQure”), (ii) UNIQURE IP B.V., a                           (“uniQure IP”), (iii) each of the subsidiaries of uniQure identified on the signature page hereof (uniQure, uniQure IP and such subsidiaries are hereinafter collectively referred to as “Borrower”) hereby promises to pay to the order of Hercules Technology Growth Capital, Inc., a Maryland corporation   or the holder of this Note (the “Lender”) at 400 Hamilton Avenue, Suite 310, Palo Alto, CA 94301 or such other place of payment as the holder of this Secured Term Promissory Note (this “Promissory Note”) may specify from time to time in writing, in lawful money of the United States of America, the principal amount of [  ] Million Dollars ($[  ],000,000) or such other principal amount as Lender has advanced to Borrower, together with interest at a floating rate per annum equal to the greater of either (i) eleven and eighty-five one-hundredths of one percent (11.85%), or (ii) the sum of (A) eleven and eighty-five one-hundredths of one percent (11.85%), plus (B) the Prime Rate minus three and one quarter of one percent (3.25%) based upon a year consisting of 360 days, with interest computed daily based on the actual number of days in each month.

 

This Promissory Note is the Note referred to in, and is executed and delivered in connection with, that certain Loan and Security Agreement dated      , 2013, by and between Borrower and Lender (as the same may from time to time be amended, modified or supplemented in accordance with its terms, the “Loan Agreement”), and is entitled to the benefit and security of the Loan Agreement and the other Loan Documents (as defined in the Loan Agreement), to which reference is made for a statement of all of the terms and conditions thereof.  All payments shall be made in accordance with the Loan Agreement.  All terms defined in the Loan Agreement shall have the same definitions when used herein, unless otherwise defined herein.  An Event of Default under the Loan Agreement shall constitute a default under this Promissory Note.

 

Borrower agrees to make all payments under this Promissory Note without setoff, recoupment or deduction and regardless of any counterclaim or defense.  This Promissory Note has been negotiated and delivered to Lender and is payable in the State of California.  This Promissory Note shall be governed by and construed and enforced in accordance with, the laws of the Netherlands, excluding any conflicts of law rules or principles that would cause the application of the laws of any other jurisdiction.

 

	
 
    	
BORROWER:
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   BIOPHARMA B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    

 

38

 

	
 
    	
Print   Name:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   IP B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   RESEARCH B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   ASSAY DEVELOPMENT B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   QA B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   PROCESS DEVELOPMENT B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    

 

39

 

	
 
    	
UNIQURE   MANUFACTURING B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   NON CLINICAL B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
UNIQURE   CLINICAL B.V.
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
 
    
	
 
    	
[US   SUBSIDIARY
    
	
 
    	
 
    	
 
    
	
 
    	
Signature:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Print   Name:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Title:
    	
 
    	
]
    

 

40

 

EXHIBIT C

 

NAME, LOCATIONS, AND OTHER INFORMATION FOR BORROWER

 

1.         Borrower represents and warrants to Lender that Borrower’s current name and organizational status as of the Closing Date is as follows:

 

Name:

 

Type of organization:

 

State of organization:

 

Organization file number:

 

2.         Borrower represents and warrants to Lender that for five (5) years prior to the Closing Date, Borrower did not do business under any other name or organization or form except the following:

 

Name:

Used during dates of:

Type of Organization:

State of organization:

Organization file Number:

Borrower’s fiscal year ends on

[US] Borrower’s federal employer tax identification number is:

 

3.     Borrower represents and warrants to Lender that its chief executive office is located at                               .

 

41

 

EXHIBIT D

 

BORROWER’S PATENTS, TRADEMARKS, COPYRIGHTS AND LICENSES

 

	
Case Ref.
    	
 
    	
UniQure Ref.
    	
 
    	
Country
    	
 
    	
Owners
    	
 
    	
Title
    	
 
    	
Official No.
    	
 
    	
Case Status
    	
 
    	
Filing Date
    	
 
    	
Date 
   Registration
    
	
P042011PCT
    	
 
    	
 
    	
 
    	
PCT
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
 
    	
 
    	
PCT/NL98/00234
    	
 
    	
Abandoned
    	
 
    	
27-Apr-1998
    	
 
    	
 
    
	
P044950EP/AT
    	
 
    	
84134-6(ren)
    	
 
    	
Austria
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;University of British Columbia
    	
 
    	
Lipoprotein lipase (LPL)   variant therapeutics
    	
 
    	
1200117
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    
	
P044950EP/BE
    	
 
    	
84134-6(ren)
    	
 
    	
Belgium
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;University of British Columbia
    	
 
    	
Lipoprotein lipase (LPL)   variant therapeutics
    	
 
    	
1200117
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    
	
P044950EP/CH
    	
 
    	
84134-6(ren)
    	
 
    	
Switzerland
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;University of British Columbia
    	
 
    	
Lipoprotein lipase (LPL)   variant therapeutics
    	
 
    	
1200117
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    
	
P044950EP/CY
    	
 
    	
84134-6(ren)
    	
 
    	
Cyprus
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;University of British Columbia
    	
 
    	
Lipoprotein lipase (LPL)   variant therapeutics
    	
 
    	
1200117
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    
	
P044950EP/DE
    	
 
    	
84134-6(ren)
    	
 
    	
Germany
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;University of British Columbia
    	
 
    	
Lipoprotein lipase (LPL)   variant therapeutics
    	
 
    	
60039880.3
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    
	
P044950EP/DK
    	
 
    	
84134-6(ren)
    	
 
    	
Denmark
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;University of British Columbia
    	
 
    	
Lipoprotein lipase (LPL)   variant therapeutics
    	
 
    	
1200117
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    
	
P044950EP/ES
    	
 
    	
84134-6(ren)
    	
 
    	
Spain
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;University of British Columbia
    	
 
    	
Lipoprotein lipase (LPL)   variant therapeutics
    	
 
    	
1200117
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    
	
P044950EP/FI
    	
 
    	
84134-6(ren)
    	
 
    	
Finland
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;University of British Columbia
    	
 
    	
Lipoprotein lipase (LPL)   variant therapeutics
    	
 
    	
1200117
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    
	
P044950EP/FR
    	
 
    	
84134-6(ren)
    	
 
    	
France
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;University of British Columbia
    	
 
    	
Lipoprotein lipase (LPL)   variant therapeutics
    	
 
    	
1200117
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    
	
P044950EP/GB
    	
 
    	
84134-6(ren)
    	
 
    	
United Kingdom
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;University of British Columbia
    	
 
    	
Lipoprotein lipase (LPL)   variant therapeutics
    	
 
    	
1200117
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    
	
P044950EP/GR
    	
 
    	
84134-6(ren)
    	
 
    	
Greece
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;University of British Columbia
    	
 
    	
Lipoprotein lipase (LPL)   variant therapeutics
    	
 
    	
1200117
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    
	
P044950EP/IE
    	
 
    	
84134-6(ren)
    	
 
    	
Ireland
    	
 
    	
Amsterdam Molecular   Therapeutics 
    	
 
    	
Lipoprotein lipase (LPL)   variant 
    	
 
    	
1200117
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    

 

42

 

	
Case Ref.
    	
 
    	
UniQure Ref.
    	
 
    	
Country
    	
 
    	
Owners
    	
 
    	
Title
    	
 
    	
Official No.
    	
 
    	
Case Status
    	
 
    	
Filing Date
    	
 
    	
Date 
   Registration
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
B.V.;University of   British Columbia
    	
 
    	
therapeutics
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
P044950EP/IT
    	
 
    	
84134-6(ren)
    	
 
    	
Italy
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;University of British Columbia
    	
 
    	
Lipoprotein lipase (LPL)   variant therapeutics
    	
 
    	
1200117
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    
	
P044950EP/LU
    	
 
    	
84134-6(ren)
    	
 
    	
Luxembourg
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;University of British Columbia
    	
 
    	
Lipoprotein lipase (LPL)   variant therapeutics
    	
 
    	
1200117
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    
	
P044950EP/MC
    	
 
    	
84134-6(ren)
    	
 
    	
Monaco
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;University of British Columbia
    	
 
    	
Lipoprotein lipase (LPL)   variant therapeutics
    	
 
    	
1200117
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    
	
P044950EP/NL
    	
 
    	
84134-6(ren)
    	
 
    	
The Netherlands
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;University of British Columbia
    	
 
    	
Lipoprotein lipase (LPL)   variant therapeutics
    	
 
    	
1200117
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    
	
P044950EP/PT
    	
 
    	
84134-6(ren)
    	
 
    	
Portugal
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;University of British Columbia
    	
 
    	
Lipoprotein lipase (LPL)   variant therapeutics
    	
 
    	
1200117
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    
	
P044950EP/SE
    	
 
    	
84134-6(ren)
    	
 
    	
Sweden
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;University of British Columbia
    	
 
    	
Lipoprotein lipase (LPL)   variant therapeutics
    	
 
    	
1200117
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    
	
P044950PCT/EP
    	
 
    	
84134-4
    	
 
    	
Europe
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;University of British Columbia
    	
 
    	
Lipoprotein lipase (LPL)   variant therapeutics
    	
 
    	
1200117
    	
 
    	
Granted
    	
 
    	
23-Jun-2000
    	
 
    	
13-Aug-2008
    
	
P044976EP
    	
 
    	
AMT-P102
    	
 
    	
Europe
    	
 
    	
Academisch Ziekenhuis   bij de Universiteit van Amsterdam
    	
 
    	
IL-10 gene transfer to   peripheral mononuclear cells
    	
 
    	
02075895.9
    	
 
    	
Abandoned
    	
 
    	
07-Mar-2002
    	
 
    	
 
    
	
P044976PCT
    	
 
    	
00062 WO
    	
 
    	
PCT
    	
 
    	
Academisch Ziekenhuis bij   de Universiteit van Amsterdam
    	
 
    	
IL-10 gene transfer to   peripheral mononuclear cells
    	
 
    	
PCT/NL03/00170
    	
 
    	
converted
    	
 
    	
07-Mar-2003
    	
 
    	
 
    
	
P044976PCT/EP
    	
 
    	
AMT-P102
    	
 
    	
Europe
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.
    	
 
    	
IL-10 gene transfer to   peripheral mononuclear cells
    	
 
    	
1481054
    	
 
    	
Published
    	
 
    	
07-Mar-2003
    	
 
    	
 
    
	
P044976PCT/US
    	
 
    	
AMT-P102
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
IL-10 gene transfer to   peripheral mononuclear cells
    	
 
    	
8,119,401
    	
 
    	
Granted
    	
 
    	
07-Mar-2003
    	
 
    	
21-Feb-2012
    
	
P212752PCT
    	
 
    	
 
    	
 
    	
PCT
    	
 
    	
Academisch Ziekenhuis   bij de Universiteit van Amsterdam
    	
 
    	
Polymorphisms in the   dihydropyriminidase gene
    	
 
    	
PCT/NL03/00936
    	
 
    	
Abandoned
    	
 
    	
24-Dec-2003
    	
 
    	
 
    
	
P215797EP/AT
    	
 
    	
AMT-P103
    	
 
    	
Austria
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Granted
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    

 

 

	
Case Ref.
    	
 
    	
UniQure Ref.
    	
 
    	
Country
    	
 
    	
Owners
    	
 
    	
Title
    	
 
    	
Official No.
    	
 
    	
Case Status
    	
 
    	
Filing Date
    	
 
    	
Date 
   Registration
    
	
P215797EP/BE
    	
 
    	
AMT-P103
    	
 
    	
Belgium
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Granted
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/BG
    	
 
    	
AMT-P103
    	
 
    	
Bulgaria
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/CH
    	
 
    	
AMT-P103
    	
 
    	
Switzerland
    	
 
    	
Amsterdam Molecular Therapeutics   B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Granted
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/CY
    	
 
    	
AMT-P103
    	
 
    	
Cyprus
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/CZ
    	
 
    	
AMT-P103
    	
 
    	
Czech Republic
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/DE
    	
 
    	
AMT-P103
    	
 
    	
Germany
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Granted
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/DK
    	
 
    	
AMT-P103
    	
 
    	
Denmark
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Granted
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/EE
    	
 
    	
AMT-P103
    	
 
    	
Estonia
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/ES
    	
 
    	
AMT-P103
    	
 
    	
Spain
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Granted
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/FI
    	
 
    	
AMT-P103
    	
 
    	
Finland
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/FR
    	
 
    	
AMT-P103
    	
 
    	
France
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Granted
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/GB
    	
 
    	
AMT-P103
    	
 
    	
United Kingdom
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Granted
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/GR
    	
 
    	
AMT-P103
    	
 
    	
Greece
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/HU
    	
 
    	
AMT-P103
    	
 
    	
Hungary
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/IE
    	
 
    	
AMT-P103
    	
 
    	
Ireland
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/IS
    	
 
    	
AMT-P103
    	
 
    	
Iceland
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    

 

 

	
Case Ref.
    	
 
    	
UniQure Ref.
    	
 
    	
Country
    	
 
    	
Owners
    	
 
    	
Title
    	
 
    	
Official No.
    	
 
    	
Case Status
    	
 
    	
Filing Date
    	
 
    	
Date 
   Registration
    
	
P215797EP/IT
    	
 
    	
AMT-P103
    	
 
    	
Italy
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Granted
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/LT
    	
 
    	
AMT-P103
    	
 
    	
Lithuania
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/LU
    	
 
    	
AMT-P103
    	
 
    	
Luxembourg
    	
 
    	
Amsterdam Molecular Therapeutics   B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Granted
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/MC
    	
 
    	
AMT-P103
    	
 
    	
Monaco
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/NL
    	
 
    	
AMT-P103
    	
 
    	
The Netherlands
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Granted
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/PL
    	
 
    	
AMT-P103
    	
 
    	
Poland
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/PT
    	
 
    	
AMT-P103
    	
 
    	
Portugal
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/RO
    	
 
    	
AMT-P103
    	
 
    	
Romania
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/SE
    	
 
    	
AMT-P103
    	
 
    	
Sweden
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Granted
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/SI
    	
 
    	
AMT-P103
    	
 
    	
Slovenia
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/SK
    	
 
    	
AMT-P103
    	
 
    	
Slovakia
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797EP/TR
    	
 
    	
AMT-P103
    	
 
    	
Turkey
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Granted
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797PCT
    	
 
    	
AMT-P103
    	
 
    	
PCT
    	
 
    	
Academisch Ziekenhuis   bij de Universiteit van Amsterdam;Amsterdam Molecular Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
PCT/NL2005/000446
    	
 
    	
Converted
    	
 
    	
20-Jun-2005
    	
 
    	
 
    
	
P215797PCT/AU
    	
 
    	
AMT-P103
    	
 
    	
Australia
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
2005253897
    	
 
    	
Granted
    	
 
    	
20-Jun-2005
    	
 
    	
15-Dec-2011
    
	
P215797PCT/CA
    	
 
    	
AMT-P103
    	
 
    	
Canada
    	
 
    	
Academisch Ziekenhuis   bij de Universiteit van Amsterdam;Amsterdam Molecular Therapeutics 
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
2,568,643
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
 
    

 

 

	
Case Ref.
    	
 
    	
UniQure Ref.
    	
 
    	
Country
    	
 
    	
Owners
    	
 
    	
Title
    	
 
    	
Official No.
    	
 
    	
Case Status
    	
 
    	
Filing Date
    	
 
    	
Date 
   Registration
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
B.V.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
P215797PCT/CN
    	
 
    	
AMT-P103
    	
 
    	
China
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
CN 1972709 A
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
 
    
	
P215797PCT/EP
    	
 
    	
AMT-P103
    	
 
    	
Europe
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
1761273
    	
 
    	
Granted
    	
 
    	
20-Jun-2005
    	
 
    	
14-May-2008
    
	
P215797PCT/IN
    	
 
    	
AMT-P103
    	
 
    	
India
    	
 
    	
Academisch Ziekenhuis   bij de Universiteit van Amsterdam;Amsterdam Molecular Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
7309/DELNP/2006
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
 
    
	
P215797PCT/JP
    	
 
    	
AMT-P103
    	
 
    	
Japan
    	
 
    	
Academisch Ziekenhuis   bij de Universiteit van Amsterdam;Amsterdam Molecular Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
2008-503569
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
 
    
	
P215797PCT/KR
    	
 
    	
AMT-P103
    	
 
    	
Republic of Korea
    	
 
    	
Academisch Ziekenhuis   bij de Universiteit van Amsterdam;Amsterdam Molecular Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
10-2006-7027008
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
 
    
	
P215797PCT/US
    	
 
    	
AMT-P103
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
US-2008-0280823
    	
 
    	
Abandoned
    	
 
    	
20-Jun-2005
    	
 
    	
 
    
	
P215797US
    	
 
    	
AMT-P103
    	
 
    	
United States of America
    	
 
    	
Academisch Ziekenhuis   bij de Universiteit van Amsterdam
    	
 
    	
New method of treatment   for non alcoholic steatotic hepatitis (NASH)
    	
 
    	
60/580,903
    	
 
    	
Abandoned
    	
 
    	
21-Jun-2004
    	
 
    	
 
    
	
P215797US1
    	
 
    	
AMT-P103WOUScont
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Treatment of non   alcoholic steatotic hepatitis (NASH)
    	
 
    	
US-2011-0081332
    	
 
    	
Abandoned
    	
 
    	
03-Dec-2010
    	
 
    	
 
    
	
P6002782EP
    	
 
    	
 
    	
 
    	
Europe
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Methods and means for   isolation of Adeno-associated virus using single chain antibodies
    	
 
    	
 
    	
 
    	
Abandoned
    	
 
    	
 
    	
 
    	
 
    
	
P6004974EP/AT
    	
 
    	
AMT-P104
    	
 
    	
Austria
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
1945779
    	
 
    	
Not Yet Filed
    	
 
    	
19-Oct-2006
    	
 
    	
06-Mar-2013
    
	
P6004974EP/BE
    	
 
    	
AMT-P104
    	
 
    	
Belgium
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
1945779
    	
 
    	
Not Yet Filed
    	
 
    	
19-Oct-2006
    	
 
    	
06-Mar-2013
    
	
P6004974EP/CH
    	
 
    	
AMT-P104
    	
 
    	
Switzerland
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
1945779
    	
 
    	
Not Yet Filed
    	
 
    	
19-Oct-2006
    	
 
    	
06-Mar-2013
    
	
P6004974EP/DE
    	
 
    	
AMT-P104
    	
 
    	
Germany
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
60 2006 034 943.2
    	
 
    	
Not Yet Filed
    	
 
    	
19-Oct-2006
    	
 
    	
06-Mar-2013
    
	
P6004974EP/DK
    	
 
    	
AMT-P104
    	
 
    	
Denmark
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
1945779
    	
 
    	
Not Yet Filed
    	
 
    	
19-Oct-2006
    	
 
    	
06-Mar-2013
    
	
P6004974EP/ES
    	
 
    	
AMT-P104
    	
 
    	
Spain
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
1945779
    	
 
    	
Not Yet Filed
    	
 
    	
19-Oct-2006
    	
 
    	
06-Mar-2013
    

 

 

	
Case Ref.
    	
 
    	
UniQure Ref.
    	
 
    	
Country
    	
 
    	
Owners
    	
 
    	
Title
    	
 
    	
Official No.
    	
 
    	
Case Status
    	
 
    	
Filing Date
    	
 
    	
Date 
   Registration
    
	
P6004974EP/FI
    	
 
    	
AMT-P104
    	
 
    	
Finland
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
1945779
    	
 
    	
Not Yet Filed
    	
 
    	
19-Oct-2006
    	
 
    	
06-Mar-2013
    
	
P6004974EP/FR
    	
 
    	
AMT-P104
    	
 
    	
France
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
1945779
    	
 
    	
Not Yet Filed
    	
 
    	
19-Oct-2006
    	
 
    	
06-Mar-2013
    
	
P6004974EP/GB
    	
 
    	
AMT-P104
    	
 
    	
United Kingdom
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
1945779
    	
 
    	
Not Yet Filed
    	
 
    	
19-Oct-2006
    	
 
    	
06-Mar-2013
    
	
P6004974EP/IE
    	
 
    	
AMT-P104
    	
 
    	
Ireland
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
1945779
    	
 
    	
Not Yet Filed
    	
 
    	
19-Oct-2006
    	
 
    	
06-Mar-2013
    
	
P6004974EP/IT
    	
 
    	
AMT-P104
    	
 
    	
Italy
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
1945779
    	
 
    	
Not Yet Filed
    	
 
    	
19-Oct-2006
    	
 
    	
06-Mar-2013
    
	
P6004974EP/LU
    	
 
    	
AMT-P104
    	
 
    	
Luxembourg
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
1945779
    	
 
    	
Not Yet Filed
    	
 
    	
19-Oct-2006
    	
 
    	
06-Mar-2013
    
	
P6004974EP/MC
    	
 
    	
AMT-P104
    	
 
    	
Monaco
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
1945779
    	
 
    	
Not Yet Filed
    	
 
    	
19-Oct-2006
    	
 
    	
06-Mar-2013
    
	
P6004974EP/NL
    	
 
    	
AMT-P104
    	
 
    	
The Netherlands
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
1945779
    	
 
    	
Granted
    	
 
    	
19-Oct-2006
    	
 
    	
06-Mar-2013
    
	
P6004974EP/SE
    	
 
    	
AMT-P104
    	
 
    	
Sweden
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
1945779
    	
 
    	
Not Yet Filed
    	
 
    	
19-Oct-2006
    	
 
    	
06-Mar-2013
    
	
P6004974EP/TR
    	
 
    	
AMT-P104
    	
 
    	
Turkey
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
1945779
    	
 
    	
Not Yet Filed
    	
 
    	
19-Oct-2006
    	
 
    	
06-Mar-2013
    
	
P6004974EP1
    	
 
    	
AMT-P104-1
    	
 
    	
Europe
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
2311966
    	
 
    	
Abandoned
    	
 
    	
19-Oct-2006
    	
 
    	
 
    
	
P6004974EP2
    	
 
    	
AMT-P104-2
    	
 
    	
Europe
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
2311967
    	
 
    	
Pending
    	
 
    	
19-Oct-2006
    	
 
    	
 
    
	
P6004974HK1
    	
 
    	
AMT-P104
    	
 
    	
Hong Kong
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
08111236.3
    	
 
    	
Pending
    	
 
    	
19-Oct-2006
    	
 
    	
 
    
	
P6004974PCT
    	
 
    	
AMT-P104
    	
 
    	
PCT
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
PCT/NL2005/050018
    	
 
    	
Abandoned
    	
 
    	
20-Oct-2005
    	
 
    	
 
    
	
P6004974PCT1
    	
 
    	
AMT-P104
    	
 
    	
PCT
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
PCT/NL2006/050262
    	
 
    	
Converted
    	
 
    	
19-Oct-2006
    	
 
    	
 
    
	
P6004974PCT1/AU
    	
 
    	
AMT-P104
    	
 
    	
Australia
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
2006304997
    	
 
    	
Granted
    	
 
    	
19-Oct-2006
    	
 
    	
14-Jun-2012
    
	
P6004974PCT1/CA
    	
 
    	
AMT-P104
    	
 
    	
Canada
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
2,622,233
    	
 
    	
Examination Requested
    	
 
    	
19-Oct-2006
    	
 
    	
 
    
	
P6004974PCT1/CN
    	
 
    	
AMT-P104
    	
 
    	
China
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
CN 101287837 A
    	
 
    	
Published
    	
 
    	
19-Oct-2006
    	
 
    	
 
    
	
P6004974PCT1/EP
    	
 
    	
AMT-P104
    	
 
    	
Europe
    	
 
    	
uniQure IP B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
1945779
    	
 
    	
Granted
    	
 
    	
19-Oct-2006
    	
 
    	
06-Mar-2013
    
	
P6004974PCT1/IN
    	
 
    	
AMT-P104
    	
 
    	
India
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
2923/DELNP/2008
    	
 
    	
Examination Requested
    	
 
    	
19-Oct-2006
    	
 
    	
 
    
	
P6004974PCT1/JP
    	
 
    	
AMT-P104
    	
 
    	
Japan
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
2009-512436
    	
 
    	
Examination Requested
    	
 
    	
19-Oct-2006
    	
 
    	
 
    
	
P6004974PCT1/US
    	
 
    	
AMT-P104
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Improved AAV vectors   produced in insect cells
    	
 
    	
8,163,543
    	
 
    	
Granted
    	
 
    	
19-Oct-2006
    	
 
    	
24-Apr-2012
    
	
P6009362EP
    	
 
    	
AMT-P105
    	
 
    	
Europe
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
AAV vectors with   improved Rep coding sequences for 
    	
 
    	
06115804.4
    	
 
    	
Withdraw Before   Publication
    	
 
    	
21-Jun-2006
    	
 
    	
 
    

 

 

	
Case Ref.
    	
 
    	
UniQure Ref.
    	
 
    	
Country
    	
 
    	
Owners
    	
 
    	
Title
    	
 
    	
Official No.
    	
 
    	
Case Status
    	
 
    	
Filing Date
    	
 
    	
Date 
   Registration
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
production in insect   cells
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
P6009362HK
    	
 
    	
AMT-P105
    	
 
    	
Hong Kong
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Vectors with modified   initiation codon for the translation of AAV-REP78 useful for production of   AAV in insect cells
    	
 
    	
1127083A
    	
 
    	
Pending
    	
 
    	
20-Jun-2007
    	
 
    	
 
    
	
P6009362PCT
    	
 
    	
AMT-P105
    	
 
    	
PCT
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Vectors with modified   initiation codon for the translation of AAV-REP78 useful for production of   AAV in insect cells
    	
 
    	
PCT/NL2007/050298
    	
 
    	
converted
    	
 
    	
20-Jun-2007
    	
 
    	
 
    
	
P6009362PCT/AU
    	
 
    	
AMT-P105
    	
 
    	
Australia
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Vectors with modified   initiation codon for the translation of AAV-REP78 useful for production of   AAV in insect cells
    	
 
    	
2007261806
    	
 
    	
Examination Requested
    	
 
    	
20-Jun-2007
    	
 
    	
 
    
	
P6009362PCT/CA
    	
 
    	
AMT-P105
    	
 
    	
Canada
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Vectors with modified   initiation codon for the translation of AAV-REP78 useful for production of   AAV in insect cells
    	
 
    	
2,655,957
    	
 
    	
Examination Requested
    	
 
    	
20-Jun-2007
    	
 
    	
 
    
	
P6009362PCT/CN
    	
 
    	
AMT-P105
    	
 
    	
China
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Vectors with modified   initiation codon for the translation of AAV-REP78 useful for production of   AAV in insect cells
    	
 
    	
CN 101506369A
    	
 
    	
Published
    	
 
    	
20-Jun-2007
    	
 
    	
 
    
	
P6009362PCT/EP
    	
 
    	
AMT-P105WOEP
    	
 
    	
Europe
    	
 
    	
uniQure IP B.V.
    	
 
    	
Vectors with modified   initiation codon for the translation of AAV-REP78 useful for production of   AAV in insect cells
    	
 
    	
07747521.8
    	
 
    	
Application Filed
    	
 
    	
20-Jun-2007
    	
 
    	
 
    
	
P6009362PCT/IL
    	
 
    	
AMT-P105
    	
 
    	
Israel
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Vectors with modified   initiation codon for the translation of AAV-REP78 useful for production of   AAV in insect cells
    	
 
    	
196091
    	
 
    	
Pending
    	
 
    	
20-Jun-2007
    	
 
    	
 
    
	
P6009362PCT/IN
    	
 
    	
AMT-P105
    	
 
    	
India
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Vectors with modified   initiation codon for the translation of AAV-REP78 useful for 
    	
 
    	
99/CHENP/2009
    	
 
    	
Examination Requested
    	
 
    	
20-Jun-2007
    	
 
    	
 
    

 

 

	
Case Ref.
    	
 
    	
UniQure Ref.
    	
 
    	
Country
    	
 
    	
Owners
    	
 
    	
Title
    	
 
    	
Official No.
    	
 
    	
Case Status
    	
 
    	
Filing Date
    	
 
    	
Date 
   Registration
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
production of AAV in   insect cells
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
P6009362PCT/JP
    	
 
    	
AMT-P105
    	
 
    	
Japan
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Vectors with modified initiation   codon for the translation of AAV-REP78 useful for production of AAV in insect   cells
    	
 
    	
2009-540823
    	
 
    	
Examination Requested
    	
 
    	
20-Jun-2007
    	
 
    	
 
    
	
P6009362PCT/KR
    	
 
    	
AMT-P105
    	
 
    	
Republic of Korea
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Vectors with modified   initiation codon for the translation of AAV-REP78 useful for production of   AAV in insect cells
    	
 
    	
2008-7031187
    	
 
    	
Examination Requested
    	
 
    	
20-Jun-2007
    	
 
    	
 
    
	
P6009362PCT/RU
    	
 
    	
AMT-P105
    	
 
    	
Russian Federation
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Vectors with modified   initiation codon for the translation of AAV-REP78 useful for production of   AAV in insect cells
    	
 
    	
2457252
    	
 
    	
Granted
    	
 
    	
20-Jun-2007
    	
 
    	
27-Jul-2012
    
	
P6009362PCT/US
    	
 
    	
AMT-P105
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Vectors with modified   initiation codon for the translation of AAV-REP78 useful for production of   AAV in insect cells
    	
 
    	
US-2009-0191588-A1
    	
 
    	
Pending
    	
 
    	
20-Jun-2007
    	
 
    	
 
    
	
P6009362US
    	
 
    	
AMT-P105
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
AAV vectors with   improved Rep coding sequences for production in insect cells
    	
 
    	
60/815,262
    	
 
    	
Abandoned
    	
 
    	
21-Jun-2006
    	
 
    	
 
    
	
P6016625EP
    	
 
    	
AMT-P106
    	
 
    	
Europe
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Use of AAV replication   machinery for improved protein production
    	
 
    	
07075817.2
    	
 
    	
Abandoned
    	
 
    	
19-Sep-2007
    	
 
    	
 
    
	
P6016625PCT
    	
 
    	
AMT-P106
    	
 
    	
PCT
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Use of AAV replication   machinery for improved protein production
    	
 
    	
PCT/NL2008/050613
    	
 
    	
Converted
    	
 
    	
18-Sep-2008
    	
 
    	
 
    
	
P6016625PCT/EP
    	
 
    	
AMT-P106
    	
 
    	
Europe
    	
 
    	
uniQure IP B.V.
    	
 
    	
Use of AAV replication   machinery for improved protein production
    	
 
    	
2195439
    	
 
    	
Notice of   71(3) Received
    	
 
    	
18-Sep-2008
    	
 
    	
 
    
	
P6016625PCT/JP
    	
 
    	
AMT-P106
    	
 
    	
Japan
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Use of AAV replication   machinery for improved protein production
    	
 
    	
2010-538675
    	
 
    	
Examination Requested
    	
 
    	
18-Sep-2008
    	
 
    	
 
    
	
P6016625PCT/US
    	
 
    	
AMT-P106
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Use of AAV replication   machinery for improved protein production
    	
 
    	
US-2011-0119777-A1
    	
 
    	
Pending
    	
 
    	
18-Sep-2008
    	
 
    	
 
    
	
P6016625US
    	
 
    	
AMT-P106
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Use of AAV replication   machinery for improved 
    	
 
    	
60/973,517
    	
 
    	
Abandoned
    	
 
    	
19-Sep-2007
    	
 
    	
 
    

 

 

	
Case Ref.
    	
 
    	
UniQure Ref.
    	
 
    	
Country
    	
 
    	
Owners
    	
 
    	
Title
    	
 
    	
Official No.
    	
 
    	
Case Status
    	
 
    	
Filing Date
    	
 
    	
Date 
   Registration
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
protein production
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
P6016639EP
    	
 
    	
AMT-P107
    	
 
    	
Europe
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Baculoviral vectors   comprising repeated coding sequences with differential codon biases
    	
 
    	
07113257.5
    	
 
    	
Withdraw Before   Publication
    	
 
    	
26-Jul-2007
    	
 
    	
 
    
	
P6016639HK
    	
 
    	
AMT-P107
    	
 
    	
Hong Kong
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Baculoviral vectors   comprising repeated coding sequences with differential codon biases
    	
 
    	
1143185A
    	
 
    	
Pending
    	
 
    	
14-Oct-2010
    	
 
    	
 
    
	
P6016639PCT
    	
 
    	
AMT-P107
    	
 
    	
PCT
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Baculoviral vectors   comprising repeated coding sequences with differential codon biases
    	
 
    	
PCT/NL2008/050512
    	
 
    	
converted
    	
 
    	
25-Jul-2008
    	
 
    	
 
    
	
P6016639PCT/AU
    	
 
    	
AMT-P107
    	
 
    	
Australia
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Baculoviral vectors   comprising repeated coding sequences with differential codon biases
    	
 
    	
2008279883
    	
 
    	
Examination Requested
    	
 
    	
25-Jul-2008
    	
 
    	
 
    
	
P6016639PCT/BR
    	
 
    	
AMT-P107
    	
 
    	
Brazil
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Baculoviral vectors   comprising repeated coding sequences with differential codon biases
    	
 
    	
PI 0814459-1
    	
 
    	
Examination Requested
    	
 
    	
25-Jul-2008
    	
 
    	
 
    
	
P6016639PCT/CA
    	
 
    	
AMT-P107
    	
 
    	
Canada
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Baculoviral vectors comprising   repeated coding sequences with differential codon biases
    	
 
    	
2,694,406
    	
 
    	
Pending
    	
 
    	
25-Jul-2008
    	
 
    	
 
    
	
P6016639PCT/CN
    	
 
    	
AMT-P107
    	
 
    	
China
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Baculoviral vectors   comprising repeated coding sequences with differential codon biases
    	
 
    	
CN 101868547 A
    	
 
    	
Published
    	
 
    	
25-Jul-2008
    	
 
    	
 
    
	
P6016639PCT/EA
    	
 
    	
AMT-P107
    	
 
    	
Eurasian Patent   Organization
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Baculoviral vectors   comprising repeated coding sequences with differential codon biases
    	
 
    	
201070184
    	
 
    	
Pending
    	
 
    	
25-Jul-2008
    	
 
    	
 
    
	
P6016639PCT/EP
    	
 
    	
AMT-P107
    	
 
    	
Europe
    	
 
    	
uniQure IP B.V.
    	
 
    	
Baculoviral vectors   comprising repeated coding sequences with differential codon biases
    	
 
    	
08779058.0
    	
 
    	
Application Filed
    	
 
    	
25-Jul-2008
    	
 
    	
 
    
	
P6016639PCT/IL
    	
 
    	
AMT-P107
    	
 
    	
Israel
    	
 
    	
Amsterdam Molecular Therapeutics   B.V.
    	
 
    	
Baculoviral vectors   comprising repeated coding sequences with differential codon biases
    	
 
    	
203535
    	
 
    	
Pending
    	
 
    	
25-Jul-2008
    	
 
    	
 
    
	
P6016639PCT/IN
    	
 
    	
AMT-P107
    	
 
    	
India
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Baculoviral vectors   comprising repeated coding sequences with differential codon biases
    	
 
    	
721/CHENP/2010
    	
 
    	
Examination Requested
    	
 
    	
25-Jul-2008
    	
 
    	
 
    
	
P6016639PCT/JP
    	
 
    	
AMT-P107
    	
 
    	
Japan
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Baculoviral vectors   comprising repeated coding sequences with 
    	
 
    	
2010-518140
    	
 
    	
Examination Requested
    	
 
    	
25-Jul-2008
    	
 
    	
 
    

 

 

	
Case Ref.
    	
 
    	
UniQure Ref.
    	
 
    	
Country
    	
 
    	
Owners
    	
 
    	
Title
    	
 
    	
Official No.
    	
 
    	
Case Status
    	
 
    	
Filing Date
    	
 
    	
Date 
   Registration
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
differential codon   biases
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
P6016639PCT/KR
    	
 
    	
AMT-P107
    	
 
    	
Republic of Korea
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Baculoviral vectors   comprising repeated coding sequences with differential codon biases
    	
 
    	
2010-7003963
    	
 
    	
Pending
    	
 
    	
25-Jul-2008
    	
 
    	
 
    
	
P6016639PCT/MX
    	
 
    	
AMT-P107
    	
 
    	
Mexico
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.
    	
 
    	
Baculoviral vectors   comprising repeated coding sequences with differential codon biases
    	
 
    	
294342
    	
 
    	
Granted
    	
 
    	
25-Jul-2008
    	
 
    	
05-Jan-2012
    
	
P6016639PCT/NZ
    	
 
    	
AMT-P107
    	
 
    	
New Zealand
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Baculoviral vectors   comprising repeated coding sequences with differential codon biases
    	
 
    	
582881
    	
 
    	
Granted
    	
 
    	
25-Jul-2008
    	
 
    	
06-Aug-2012
    
	
P6016639PCT/US
    	
 
    	
AMT-P107
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Baculoviral vectors   comprising repeated coding sequences with differential codon biases
    	
 
    	
US-2010-0261254-A1
    	
 
    	
Pending
    	
 
    	
25-Jul-2008
    	
 
    	
 
    
	
P6016639PCT/ZA
    	
 
    	
AMT-P107
    	
 
    	
South Africa
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Baculoviral vectors   comprising repeated coding sequences with differential codon biases
    	
 
    	
2010/00561
    	
 
    	
Granted
    	
 
    	
25-Jul-2008
    	
 
    	
24-Nov-2010
    
	
P6016639US
    	
 
    	
AMT-P107
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Baculoviral vectors   comprising repeated coding sequences with differential codon biases
    	
 
    	
60/952,081
    	
 
    	
Abandoned
    	
 
    	
26-Jul-2007
    	
 
    	
 
    
	
P6019170EP
    	
 
    	
AMT-P108
    	
 
    	
Europe
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Optimisation of   expression of parvoviral rep and cap proteins in insect cells
    	
 
    	
08151634.6
    	
 
    	
Withdraw Before   Publication
    	
 
    	
19-Feb-2008
    	
 
    	
 
    
	
P6019170HK
    	
 
    	
AMT-P108
    	
 
    	
Hong Kong
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.
    	
 
    	
Optimisation of   expression of parvoviral rep and cap proteins in insect cells
    	
 
    	
1150630A
    	
 
    	
Published
    	
 
    	
19-Feb-2009
    	
 
    	
 
    
	
P6019170PCT
    	
 
    	
AMT-P108
    	
 
    	
PCT
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.
    	
 
    	
Optimisation of   expression of parvoviral rep and cap proteins in insect cells
    	
 
    	
PCT/NL2009/050076
    	
 
    	
converted
    	
 
    	
19-Feb-2009
    	
 
    	
 
    
	
P6019170PCT/AU
    	
 
    	
AMT-P108
    	
 
    	
Australia
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.
    	
 
    	
Optimisation of   expression of parvoviral rep and cap proteins in insect cells
    	
 
    	
2009215987
    	
 
    	
Examination Requested
    	
 
    	
19-Feb-2009
    	
 
    	
 
    
	
P6019170PCT/CA
    	
 
    	
AMT-P108
    	
 
    	
Canada
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.
    	
 
    	
Optimisation of   expression of parvoviral rep and cap proteins in insect cells
    	
 
    	
2,715,924
    	
 
    	
Pending
    	
 
    	
19-Feb-2009
    	
 
    	
 
    
	
P6019170PCT/CN
    	
 
    	
AMT-P108
    	
 
    	
China
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.
    	
 
    	
Optimisation of   expression of parvoviral rep and cap proteins in 
    	
 
    	
CN 102007209 A
    	
 
    	
Published
    	
 
    	
19-Feb-2009
    	
 
    	
 
    

 

 

	
Case Ref.
    	
 
    	
UniQure Ref.
    	
 
    	
Country
    	
 
    	
Owners
    	
 
    	
Title
    	
 
    	
Official No.
    	
 
    	
Case Status
    	
 
    	
Filing Date
    	
 
    	
Date 
   Registration
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
insect cells
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
P6019170PCT/EA
    	
 
    	
AMT-P108
    	
 
    	
Eurasian Patent   Organization
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.
    	
 
    	
Optimisation of   expression of parvoviral rep and cap proteins in insect cells
    	
 
    	
201070970
    	
 
    	
Pending
    	
 
    	
19-Feb-2009
    	
 
    	
 
    
	
P6019170PCT/EP
    	
 
    	
AMT-P108
    	
 
    	
Europe
    	
 
    	
uniQure IP B.V.
    	
 
    	
Optimisation of   expression of parvoviral rep and cap proteins in insect cells
    	
 
    	
09713345.8
    	
 
    	
Application Filed
    	
 
    	
19-Feb-2009
    	
 
    	
 
    
	
P6019170PCT/IL
    	
 
    	
AMT-P108
    	
 
    	
Israel
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.
    	
 
    	
Optimisation of   expression of parvoviral rep and cap proteins in insect cells
    	
 
    	
207671
    	
 
    	
Pending
    	
 
    	
19-Feb-2009
    	
 
    	
 
    
	
P6019170PCT/IN
    	
 
    	
AMT-P108
    	
 
    	
India
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.
    	
 
    	
Optimisation of   expression of parvoviral rep and cap proteins in insect cells
    	
 
    	
5340/CHENP/2010
    	
 
    	
Examination Requested
    	
 
    	
19-Feb-2009
    	
 
    	
 
    
	
P6019170PCT/JP
    	
 
    	
AMT-P108
    	
 
    	
Japan
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.
    	
 
    	
Optimisation of   expression of parvoviral rep and cap proteins in insect cells
    	
 
    	
2010-547582
    	
 
    	
Examination Requested
    	
 
    	
19-Feb-2009
    	
 
    	
 
    
	
P6019170PCT/US
    	
 
    	
AMT-P108
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.
    	
 
    	
Optimisation of   expression of parvoviral rep and cap proteins in insect cells
    	
 
    	
US-2011-0136227-A1
    	
 
    	
Pending
    	
 
    	
19-Feb-2009
    	
 
    	
 
    
	
P6019170US
    	
 
    	
AMT-P107
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Optimisation of   expression of parvoviral rep and cap proteins in insect cells
    	
 
    	
61/029,673
    	
 
    	
Abandoned
    	
 
    	
19-Feb-2008
    	
 
    	
 
    
	
P6019299EP
    	
 
    	
AMT-P109
    	
 
    	
Europe
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Parvoviral capsid with   incorporated Gly-Ala repeat region
    	
 
    	
08158418.7
    	
 
    	
Withdraw Before   Publication
    	
 
    	
17-Jun-2008
    	
 
    	
 
    
	
P6019299PCT
    	
 
    	
AMT-P109
    	
 
    	
PCT
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.
    	
 
    	
Parvoviral capsid with   incorporated Gly-Ala repeat region
    	
 
    	
PCT/NL2009/050352
    	
 
    	
converted
    	
 
    	
17-Jun-2009
    	
 
    	
 
    
	
P6019299PCT/EP
    	
 
    	
AMT-P109
    	
 
    	
Europe
    	
 
    	
uniQure IP B.V.
    	
 
    	
Parvoviral capsid with   incorporated Gly-Ala repeat region
    	
 
    	
2297185
    	
 
    	
Abandoned
    	
 
    	
17-Jun-2009
    	
 
    	
 
    
	
P6019299PCT/US
    	
 
    	
AMT-P109
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.
    	
 
    	
Parvoviral capsid with   incorporated Gly-Ala repeat region
    	
 
    	
US-2011-0171262-A1
    	
 
    	
Abandoned
    	
 
    	
17-Jun-2009
    	
 
    	
 
    
	
P6019299US
    	
 
    	
AMT-P109
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Parvoviral capsid with   incorporated Gly-Ala repeat region
    	
 
    	
61/073,295
    	
 
    	
Abandoned
    	
 
    	
17-Jun-2008
    	
 
    	
 
    
	
P6019299US1
    	
 
    	
AMT-P109
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.
    	
 
    	
Parvoviral capsid with   incorporated Gly-Ala repeat region
    	
 
    	
61/073,587
    	
 
    	
Abandoned
    	
 
    	
18-Jun-2008
    	
 
    	
 
    
	
P6021400EP
    	
 
    	
AMT-P110
    	
 
    	
Europe
    	
 
    	
Amsterdam Molecular 
    	
 
    	
Porphobilinogen 
    	
 
    	
08165393.3
    	
 
    	
Withdraw 
    	
 
    	
29-Sep-2008
    	
 
    	
 
    

 

 

	
Case Ref.
    	
 
    	
UniQure Ref.
    	
 
    	
Country
    	
 
    	
Owners
    	
 
    	
Title
    	
 
    	
Official No.
    	
 
    	
Case Status
    	
 
    	
Filing Date
    	
 
    	
Date 
   Registration
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Therapeutics   B.V.;Proyecto de Biomedicina CIMA S.L.
    	
 
    	
deaminase gene therapy
    	
 
    	
 
    	
 
    	
Before Publication
    	
 
    	
 
    	
 
    	
 
    
	
P6021400PCT
    	
 
    	
AMT-P110
    	
 
    	
PCT
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.;Proyecto de Biomedicina CIMA S.L.
    	
 
    	
Porphobilinogen   deaminase gene therapy
    	
 
    	
PCT/NL2009/050584
    	
 
    	
converted
    	
 
    	
29-Sep-2009
    	
 
    	
 
    
	
P6021400PCT/AU
    	
 
    	
AMT-P110
    	
 
    	
Australia
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.;Proyecto de Biomedicina CIMA S.L.
    	
 
    	
Porphobilinogen   deaminase gene therapy
    	
 
    	
2009297243
    	
 
    	
Pending
    	
 
    	
29-Sep-2009
    	
 
    	
 
    
	
P6021400PCT/BR
    	
 
    	
AMT-P110
    	
 
    	
Brazil
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.;Proyecto de Biomedicina CIMA S.L.
    	
 
    	
Porphobilinogen   deaminase gene therapy
    	
 
    	
PI 0919130-5
    	
 
    	
Abandoned
    	
 
    	
29-Sep-2009
    	
 
    	
 
    
	
P6021400PCT/CA
    	
 
    	
AMT-P110
    	
 
    	
Canada
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.;Proyecto de Biomedicina CIMA S.L.
    	
 
    	
Porphobilinogen   deaminase gene therapy
    	
 
    	
2,738,969
    	
 
    	
Pending
    	
 
    	
29-Sep-2009
    	
 
    	
 
    
	
P6021400PCT/CN
    	
 
    	
AMT-P110
    	
 
    	
China
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.;Proyecto de Biomedicina CIMA S.L.
    	
 
    	
Porphobilinogen   deaminase gene therapy
    	
 
    	
ZL 200980147755.1
    	
 
    	
Published
    	
 
    	
29-Sep-2009
    	
 
    	
 
    
	
P6021400PCT/EA
    	
 
    	
AMT-P110
    	
 
    	
Eurasian Patent   Organization
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.;Proyecto de Biomedicina CIMA S.L.
    	
 
    	
Porphobilinogen   deaminase gene therapy
    	
 
    	
201170506
    	
 
    	
Pending
    	
 
    	
29-Sep-2009
    	
 
    	
 
    
	
P6021400PCT/EP
    	
 
    	
AMT-P110
    	
 
    	
Europe
    	
 
    	
uniQure IP B.V.;Proyecto   de Biomedicina CIMA S.L.
    	
 
    	
Porphobilinogen   deaminase gene therapy
    	
 
    	
2352823
    	
 
    	
Application Filed
    	
 
    	
29-Sep-2009
    	
 
    	
 
    
	
P6021400PCT/IN
    	
 
    	
AMT-P110
    	
 
    	
India
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.;Proyecto de Biomedicina CIMA S.L.
    	
 
    	
Porphobilinogen   deaminase gene therapy
    	
 
    	
US-2012-0178646-A1
    	
 
    	
Abandoned
    	
 
    	
29-Sep-2009
    	
 
    	
 
    
	
P6021400PCT/JP
    	
 
    	
AMT-P110
    	
 
    	
Japan
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.;Proyecto de Biomedicina CIMA S.L.
    	
 
    	
Porphobilinogen   deaminase gene therapy
    	
 
    	
2011-528967
    	
 
    	
Abandoned
    	
 
    	
29-Sep-2009
    	
 
    	
 
    
	
P6021400PCT/KR
    	
 
    	
AMT-P110
    	
 
    	
Republic of Korea
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.;Proyecto de Biomedicina CIMA S.L.
    	
 
    	
Porphobilinogen   deaminase gene therapy
    	
 
    	
2011-7009883
    	
 
    	
Pending
    	
 
    	
29-Sep-2009
    	
 
    	
 
    
	
P6021400PCT/MX
    	
 
    	
AMT-P110
    	
 
    	
Mexico
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.;Proyecto de Biomedicina CIMA S.L.
    	
 
    	
Porphobilinogen   deaminase gene therapy
    	
 
    	
MX/a/2011/003229
    	
 
    	
Published
    	
 
    	
29-Sep-2009
    	
 
    	
 
    
	
P6021400PCT/US
    	
 
    	
AMT-P110
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) 
    	
 
    	
Porphobilinogen   deaminase gene therapy
    	
 
    	
US-2011-0262399
    	
 
    	
Pending
    	
 
    	
29-Sep-2009
    	
 
    	
 
    

 

 

	
Case Ref.
    	
 
    	
UniQure Ref.
    	
 
    	
Country
    	
 
    	
Owners
    	
 
    	
Title
    	
 
    	
Official No.
    	
 
    	
Case Status
    	
 
    	
Filing Date
    	
 
    	
Date 
   Registration
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
B.V.;Proyecto de   Biomedicina CIMA S.L.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
P6021400PCT/ZA
    	
 
    	
AMT-P110
    	
 
    	
South Africa
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) B.V.;Proyecto de Biomedicina CIMA S.L.
    	
 
    	
Porphobilinogen   deaminase gene therapy
    	
 
    	
2011/02287
    	
 
    	
Pending
    	
 
    	
29-Sep-2009
    	
 
    	
 
    
	
P6021400US
    	
 
    	
AMT-P110
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics B.V.;Proyecto de Biomedicina CIMA S.L.
    	
 
    	
Porphobilinogen   deaminase gene therapy
    	
 
    	
61/100,881
    	
 
    	
abandoned
    	
 
    	
29-Sep-2008
    	
 
    	
 
    
	
P6022296EP
    	
 
    	
AMT-P111
    	
 
    	
Europe
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Alanine-glyoxylate   aminotransferase therapeutics
    	
 
    	
09151795.3
    	
 
    	
Withdraw Before   Publication
    	
 
    	
30-Jan-2009
    	
 
    	
 
    
	
P6022296PCT
    	
 
    	
AMT-P111
    	
 
    	
PCT
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Alanine-glyoxylate   aminotransferase therapeutics
    	
 
    	
PCT/NL2010/050044
    	
 
    	
converted
    	
 
    	
01-Feb-2010
    	
 
    	
 
    
	
P6022296PCT/CA
    	
 
    	
AMT-P111
    	
 
    	
Canada
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Alanine-glyoxylate   aminotransferase therapeutics
    	
 
    	
2,750,811
    	
 
    	
Pending
    	
 
    	
01-Feb-2010
    	
 
    	
 
    
	
P6022296PCT/EP
    	
 
    	
AMT-P111
    	
 
    	
Europe
    	
 
    	
uniQure IP B.V.
    	
 
    	
Alanine-glyoxylate   aminotransferase therapeutics
    	
 
    	
2384200
    	
 
    	
Notice of   71(3) Received
    	
 
    	
01-Feb-2010
    	
 
    	
 
    
	
P6022296PCT/JP
    	
 
    	
AMT-P111
    	
 
    	
Japan
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Alanine-glyoxylate   aminotransferase therapeutics
    	
 
    	
2011-547843
    	
 
    	
Examination Requested
    	
 
    	
01-Feb-2010
    	
 
    	
 
    
	
P6022296PCT/US
    	
 
    	
AMT-P111
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Alanine-glyoxylate aminotransferase   therapeutics
    	
 
    	
13/146,869
    	
 
    	
Pending
    	
 
    	
01-Feb-2010
    	
 
    	
 
    
	
P6030610EP
    	
 
    	
AMT-P119EPP0
    	
 
    	
Europe
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Monomeric duplex AAV   vectors
    	
 
    	
10159030.5
    	
 
    	
Withdraw Before   Publication
    	
 
    	
01-Apr-2010
    	
 
    	
 
    
	
P6030610PCT
    	
 
    	
AMT-P119WO
    	
 
    	
PCT
    	
 
    	
uniQure IP B.V.
    	
 
    	
Monomeric duplex AAV   vectors
    	
 
    	
PCT/NL2011/050221
    	
 
    	
Abandoned
    	
 
    	
01-Apr-2011
    	
 
    	
 
    
	
P6030610US
    	
 
    	
AMT-P119USP0
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Monomeric duplex AAV   vectors
    	
 
    	
61/319,984
    	
 
    	
Abandoned
    	
 
    	
01-Apr-2010
    	
 
    	
 
    
	
P6031130PCT
    	
 
    	
AMT-P112WO
    	
 
    	
PCT
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.;de Wal, Janneke;Gaudet, Daniel
    	
 
    	
Use of lipoprotein   lipase (LPL) in therapy
    	
 
    	
PCT/NL2010/050294
    	
 
    	
Abandoned
    	
 
    	
18-May-2010
    	
 
    	
 
    
	
P6031130PCT/EP
    	
 
    	
AMT-P112WO
    	
 
    	
Europe
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Use of lipoprotein   lipase (LPL) in therapy
    	
 
    	
10732461.8
    	
 
    	
Abandoned
    	
 
    	
18-May-2010
    	
 
    	
 
    
	
P6031130PCT/US
    	
 
    	
AMT-P112WO
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Use of lipoprotein   lipase (LPL) in therapy
    	
 
    	
13/321,491
    	
 
    	
Abandoned
    	
 
    	
18-May-2010
    	
 
    	
 
    
	
P6031346EP
    	
 
    	
AMT-P120EPP0
    	
 
    	
Europe
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP 
    	
 
    	
Method for determining   efficacy of therapy and 
    	
 
    	
10164745.1
    	
 
    	
Abandoned
    	
 
    	
02-Jun-2010
    	
 
    	
 
    

 

 

	
Case Ref.
    	
 
    	
UniQure Ref.
    	
 
    	
Country
    	
 
    	
Owners
    	
 
    	
Title
    	
 
    	
Official No.
    	
 
    	
Case Status
    	
 
    	
Filing Date
    	
 
    	
Date 
   Registration
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
B.V.
    	
 
    	
determining presence or   risk of disease
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
P6031346PCT
    	
 
    	
AMT-P120EPP0
    	
 
    	
PCT
    	
 
    	
uniQure IP B.V.
    	
 
    	
Method for determining   efficacy of therapy and determining presence or risk of disease
    	
 
    	
PCT/NL2011/050399
    	
 
    	
Abandoned
    	
 
    	
06-Jun-2011
    	
 
    	
 
    
	
P6031346US
    	
 
    	
AMT-P120USP0
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Method for determining   efficacy of therapy and determining presence or risk of disease
    	
 
    	
12/792,067
    	
 
    	
Abandoned
    	
 
    	
02-Jun-2010
    	
 
    	
 
    
	
P6034703PCT
    	
 
    	
AMT-P117WO
    	
 
    	
PCT
    	
 
    	
uniQure IP B.V.
    	
 
    	
Mutated Rep encoding   sequences for use in AAV production
    	
 
    	
PCT/NL2011/050170
    	
 
    	
Abandoned
    	
 
    	
11-Mar-2011
    	
 
    	
 
    
	
P6034703PCT/EP
    	
 
    	
AMT-P117
    	
 
    	
Europe
    	
 
    	
uniQure IP B.V.
    	
 
    	
Mutated Rep encoding   sequences for use in AAV production
    	
 
    	
2545165
    	
 
    	
Published
    	
 
    	
11-Mar-2011
    	
 
    	
 
    
	
P6034703PCT/US
    	
 
    	
AMT-P117
    	
 
    	
United States of America
    	
 
    	
uniQure IP B.V.
    	
 
    	
Mutated Rep encoding   sequences for use in AAV production
    	
 
    	
13/583,920
    	
 
    	
Published
    	
 
    	
11-Mar-2011
    	
 
    	
 
    
	
P6034704PCT
    	
 
    	
AMT-P118WO
    	
 
    	
PCT
    	
 
    	
uniQure IP B.V.
    	
 
    	
Method for identifying   variant Rep protein encoding nucleic acids
    	
 
    	
PCT/NL2011/050171
    	
 
    	
abandoned
    	
 
    	
11-Mar-2011
    	
 
    	
 
    
	
P6035462EP
    	
 
    	
AMT-P121
    	
 
    	
Europe
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Method for the   preparation of cells
    	
 
    	
11160727.1
    	
 
    	
Withdraw Before   Publication
    	
 
    	
31-Mar-2011
    	
 
    	
 
    
	
P6035462US
    	
 
    	
AMT-P121
    	
 
    	
United States of America
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Method for the   preparation of cells
    	
 
    	
61/470,033
    	
 
    	
Abandoned
    	
 
    	
31-Mar-2011
    	
 
    	
 
    
	
P6036755EP
    	
 
    	
AMT-P113EPP0
    	
 
    	
Europe
    	
 
    	
uniQure IP B.V.
    	
 
    	
Removal of contaminating   viruses from AAV preparations
    	
 
    	
11180594.1
    	
 
    	
Abandoned
    	
 
    	
08-Sep-2011
    	
 
    	
 
    
	
P6036755PCT
    	
 
    	
AMT-P113EPP0
    	
 
    	
PCT
    	
 
    	
uniQure IP B.V.
    	
 
    	
Removal of contaminating   viruses from AAV preparations
    	
 
    	
PCT/NL2012/050619
    	
 
    	
Pending
    	
 
    	
07-Sep-2012
    	
 
    	
 
    
	
P6036755US
    	
 
    	
AMT-P113USP0
    	
 
    	
United States of America
    	
 
    	
uniQure IP B.V.
    	
 
    	
Removal of contaminating   viruses from AAV preparations
    	
 
    	
61/532,176
    	
 
    	
abandoned
    	
 
    	
08-Sep-2011
    	
 
    	
 
    
	
P6042305EP
    	
 
    	
AMT-P122
    	
 
    	
Europe
    	
 
    	
uniQure IP B.V.
    	
 
    	
DNA impurities
    	
 
    	
 
    	
 
    	
Not Yet Filed
    	
 
    	
 
    	
 
    	
 
    
	
P6042305US
    	
 
    	
AMT-P122
    	
 
    	
United States of America
    	
 
    	
uniQure IP B.V.
    	
 
    	
DNA impurities
    	
 
    	
 
    	
 
    	
Not Yet Filed
    	
 
    	
 
    	
 
    	
 
    

 

 

Elzas Noordzij B.V.

 

	
Catchword
    	
 
    	
Type
    	
 
    	
Country
    	
 
    	
Classes
    	
 
    	
Appl.No.
    	
 
    	
Appl.date
    	
 
    	
Reg.No.
    	
 
    	
Reg.date
    	
 
    	
Ren.date
    	
 
    	
Applicant
    	
 
    	
Status
    	
 
    	
Case No.
    	
 
    	
Watch
    
	
AMT
    	
 
    	
Wordmark
    	
 
    	
BX
    	
 
    	
01, 05, 42
    	
 
    	
996846
    	
 
    	
13-9-01.
    	
 
    	
696184
    	
 
    	
13-9-01.
    	
 
    	
13-9-11.
    	
 
    	
AMT B.V.
    	
 
    	
Registered
    	
 
    	
T17138BX00
    	
 
    	
NO
    
	
AMT
    	
 
    	
Wordmark
    	
 
    	
CA
    	
 
    	
01, 05, 42
    	
 
    	
1130879
    	
 
    	
12-2-02.
    	
 
    	
630501
    	
 
    	
19-1-05.
    	
 
    	
19-1-20.
    	
 
    	
AMT B.V.
    	
 
    	
Registered
    	
 
    	
T17138CA00
    	
 
    	
NO
    
	
AMT
    	
 
    	
Wordmark
    	
 
    	
EU
    	
 
    	
01, 05, 42
    	
 
    	
2573137
    	
 
    	
11-2-02.
    	
 
    	
2573137
    	
 
    	
3-7-03.
    	
 
    	
11-2-12.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T17138EU00
    	
 
    	
NO
    
	

    	
 
    	
Logotype
    	
 
    	
BX
    	
 
    	
01, 05, 42
    	
 
    	
996845
    	
 
    	
13-9-01.
    	
 
    	
700080
    	
 
    	
13-9-01.
    	
 
    	
13-9-11.
    	
 
    	
AMT B.V.
    	
 
    	
Registered
    	
 
    	
T17139BX00
    	
 
    	
NO
    
	
AMT
    	
 
    	
Wordmark
    	
 
    	
CA
    	
 
    	
01, 05, 42, 44
    	
 
    	
1478301
    	
 
    	
23-4-10.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Pending
    	
 
    	
T55829CA00
    	
 
    	
Yes
    
	
AMT
    	
 
    	
Wordmark
    	
 
    	
EU
    	
 
    	
01, 05, 42, 44
    	
 
    	
8640237
    	
 
    	
26-10-09.
    	
 
    	
8640237
    	
 
    	
10-5-10.
    	
 
    	
26-10-19.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Registered
    	
 
    	
T55829EU00
    	
 
    	
Yes
    
	
AMT
    	
 
    	
Wordmark
    	
 
    	
US
    	
 
    	
01, 05, 42, 44
    	
 
    	
85/021857
    	
 
    	
23-4-10.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular Therapeutics   (AMT) IP B.V.
    	
 
    	
Pending
    	
 
    	
T55829US00
    	
 
    	
Yes
    
	
AMT
    	
 
    	
Wordmark
    	
 
    	
CH (WO)
    	
 
    	
01, 05, 42, 44
    	
 
    	
8640237-01
    	
 
    	
23-4-10.
    	
 
    	
1040425
    	
 
    	
23-4-10.
    	
 
    	
23-4-20.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Registered
    	
 
    	
T55829WO00
    	
 
    	
Yes
    
	

    	
 
    	
Logotype
    	
 
    	
CH
    	
 
    	
05
    	
 
    	
536152008
    	
 
    	
6-4-09.
    	
 
    	
587323
    	
 
    	
9-6-09.
    	
 
    	
6-4-19.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56005CH00
    	
 
    	
No
    
	

    	
 
    	
Logotype
    	
 
    	
IL
    	
 
    	
05
    	
 
    	
209906
    	
 
    	
24-3-08.
    	
 
    	
209906
    	
 
    	
7-2-10.
    	
 
    	
24-3-18.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56005IL00
    	
 
    	
No
    
	

    	
 
    	
Logotype
    	
 
    	
IS
    	
 
    	
05
    	
 
    	
10692009
    	
 
    	
22-4-09.
    	
 
    	
3772009
    	
 
    	
2-6-09.
    	
 
    	
2-6-19.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56005IS00
    	
 
    	
No
    

 

1

 

	
Catchword
    	
 
    	
Type
    	
 
    	
Country
    	
 
    	
Classes
    	
 
    	
Appl.No.
    	
 
    	
Appl.date
    	
 
    	
Reg.No.
    	
 
    	
Reg.date
    	
 
    	
Ren.date
    	
 
    	
Applicant
    	
 
    	
Status
    	
 
    	
Case No.
    	
 
    	
Watch
    
	

    	
 
    	
Logotype
    	
 
    	
JO
    	
 
    	
05
    	
 
    	
100494
    	
 
    	
23-4-08.
    	
 
    	
100494
    	
 
    	
23-4-08.
    	
 
    	
23-4-18.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56005JO00
    	
 
    	
No
    
	

    	
 
    	
Logotype
    	
 
    	
NO
    	
 
    	
05
    	
 
    	
200905089
    	
 
    	
21-4-09.
    	
 
    	
251774
    	
 
    	
14-7-09.
    	
 
    	
14-7-19.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56005NO00
    	
 
    	
No
    
	

    	
 
    	
Logotype
    	
 
    	
TR
    	
 
    	
05
    	
 
    	
200925333
    	
 
    	
18-5-09.
    	
 
    	
200925333
    	
 
    	
4-5-10.
    	
 
    	
18-5-19.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56005TR00
    	
 
    	
No
    
	

    	
 
    	
Logotype
    	
 
    	
EU
    	
 
    	
01, 05, 42, 44
    	
 
    	
8640252
    	
 
    	
26-10-09.
    	
 
    	
8640252
    	
 
    	
10-5-10.
    	
 
    	
26-10-19.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Registered
    	
 
    	
T55830EU00
    	
 
    	
Yes
    
	

    	
 
    	
Logotype
    	
 
    	
US
    	
 
    	
01, 05, 42, 44
    	
 
    	
85/021908
    	
 
    	
23-4-10.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Pending
    	
 
    	
T55830US00
    	
 
    	
Yes
    
	

    	
 
    	
Wordmark
    	
 
    	
EU
    	
 
    	
01, 05, 42, 44
    	
 
    	
9599937
    	
 
    	
15-12-10.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Pending
    	
 
    	
T56839EU00
    	
 
    	
 
    
	
DELIVERING CURE
    	
 
    	
Wordmark
    	
 
    	
AE
    	
 
    	
05
    	
 
    	
113972
    	
 
    	
3-6-08.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56004AE00
    	
 
    	
No
    
	
DELIVERING CURE
    	
 
    	
Wordmark
    	
 
    	
BH
    	
 
    	
05
    	
 
    	
64727
    	
 
    	
18-3-08.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56004BH00
    	
 
    	
No
    

 

2

 

	
Catchword
    	
 
    	
Type
    	
 
    	
Country
    	
 
    	
Classes
    	
 
    	
Appl.No.
    	
 
    	
Appl.date
    	
 
    	
Reg.No.
    	
 
    	
Reg.date
    	
 
    	
Ren.date
    	
 
    	
Applicant
    	
 
    	
Status
    	
 
    	
Case No.
    	
 
    	
Watch
    
	
DELIVERING CURE
    	
 
    	
Wordmark
    	
 
    	
CA
    	
 
    	
5
    	
 
    	
1388257
    	
 
    	
20-3-08.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56004CA00
    	
 
    	
No
    
	
DELIVERING CURE
    	
 
    	
Wordmark
    	
 
    	
IR
    	
 
    	
05
    	
 
    	
86122678
    	
 
    	
18-3-08.
    	
 
    	
157479
    	
 
    	
14-9-08.
    	
 
    	
18-3-18.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56004IR00
    	
 
    	
No
    
	
DELIVERING CURE
    	
 
    	
Wordmark
    	
 
    	
JP
    	
 
    	
05
    	
 
    	
2008023029
    	
 
    	
27-3-08.
    	
 
    	
5343913
    	
 
    	
6-8-10.
    	
 
    	
6-8-20.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56004JP00
    	
 
    	
No
    
	
DELIVERING CURE
    	
 
    	
Wordmark
    	
 
    	
LB
    	
 
    	
05
    	
 
    	
2449
    	
 
    	
8-4-08.
    	
 
    	
116062
    	
 
    	
24-4-08.
    	
 
    	
24-4-23.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56004LB00
    	
 
    	
No
    
	
DELIVERING CURE
    	
 
    	
Wordmark
    	
 
    	
LY
    	
 
    	
05
    	
 
    	
17093
    	
 
    	
5-2-09.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56004LY00
    	
 
    	
No
    
	
DELIVERING CURE
    	
 
    	
Wordmark
    	
 
    	
MA
    	
 
    	
05
    	
 
    	
118083
    	
 
    	
19-6-08.
    	
 
    	
118083
    	
 
    	
17-11-08.
    	
 
    	
19-6-18.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56004MA00
    	
 
    	
No
    
	
DELIVERING CURE
    	
 
    	
Wordmark
    	
 
    	
OM
    	
 
    	
05
    	
 
    	
49398
    	
 
    	
19-3-08.
    	
 
    	
49398
    	
 
    	
11-8-09.
    	
 
    	
19-3-18.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56004OM00
    	
 
    	
No
    
	
DELIVERING CURE
    	
 
    	
Wordmark
    	
 
    	
QA
    	
 
    	
05
    	
 
    	
50165
    	
 
    	
3-4-08.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56004QA00
    	
 
    	
No
    
	
DELIVERING CURE
    	
 
    	
Wordmark
    	
 
    	
RU
    	
 
    	
05
    	
 
    	
2008707490
    	
 
    	
14-3-08.
    	
 
    	
381651
    	
 
    	
16-6-09.
    	
 
    	
14-3-18.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56004RU00
    	
 
    	
No
    
	
DELIVERING CURE
    	
 
    	
Wordmark
    	
 
    	
SY
    	
 
    	
05
    	
 
    	
3814
    	
 
    	
22-4-08.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56004SY00
    	
 
    	
No
    
	
DELIVERING CURE
    	
 
    	
Wordmark
    	
 
    	
TN
    	
 
    	
05
    	
 
    	
EE080755
    	
 
    	
19-3-08.
    	
 
    	
EE080755
    	
 
    	
26-1-10.
    	
 
    	
19-3-18.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56004TN00
    	
 
    	
No
    
	
DELIVERING CURE
    	
 
    	
Wordmark
    	
 
    	
US
    	
 
    	
05
    	
 
    	
77/421590
    	
 
    	
13-3-08.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56004US00
    	
 
    	
No
    
	
DELIVERING CURE
    	
 
    	
Wordmark
    	
 
    	
ZA
    	
 
    	
05
    	
 
    	
200805836
    	
 
    	
14-3-08.
    	
 
    	
200805836
    	
 
    	
14-3-08.
    	
 
    	
14-3-18.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56004ZA00
    	
 
    	
No
    

 

3

 

	
Catchword
    	
 
    	
Type
    	
 
    	
Country
    	
 
    	
Classes
    	
 
    	
Appl.No.
    	
 
    	
Appl.date
    	
 
    	
Reg.No.
    	
 
    	
Reg.date
    	
 
    	
Ren.date
    	
 
    	
Applicant
    	
 
    	
Status
    	
 
    	
Case No.
    	
 
    	
Watch
    
	

    	
 
    	
Logotype
    	
 
    	
EU
    	
 
    	
05, 44
    	
 
    	
8640609
    	
 
    	
26-10-09.
    	
 
    	
8640609
    	
 
    	
10-5-10.
    	
 
    	
26-10-19.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Registered
    	
 
    	
T55831EU00
    	
 
    	
Yes
    
	

    	
 
    	
Logotype
    	
 
    	
US
    	
 
    	
05, 44
    	
 
    	
85/021938
    	
 
    	
23-4-10.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Pending
    	
 
    	
T55831US00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
AE
    	
 
    	
05
    	
 
    	
101941
    	
 
    	
31-10-07.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56001AE00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
AU
    	
 
    	
05
    	
 
    	
1176048
    	
 
    	
14-5-07.
    	
 
    	
1176048
    	
 
    	
12-12-07.
    	
 
    	
14-5-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56001AU00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
BH
    	
 
    	
05
    	
 
    	
62689
    	
 
    	
7-1-08.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56001BH00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
CA
    	
 
    	
5
    	
 
    	
1355754
    	
 
    	
16-7-07.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56001CA00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
CH
    	
 
    	
05
    	
 
    	
551392007
    	
 
    	
14-5-07.
    	
 
    	
562178
    	
 
    	
11-9-07.
    	
 
    	
14-5-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56001CH00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
DZ
    	
 
    	
05
    	
 
    	
72791
    	
 
    	
24-10-07.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56001DZ00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
EG
    	
 
    	
05
    	
 
    	
208229
    	
 
    	
22-10-07.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56001EG00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
EU
    	
 
    	
05, 44
    	
 
    	
5901269
    	
 
    	
1-5-07.
    	
 
    	
5901269
    	
 
    	
14-5-09.
    	
 
    	
1-5-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56001EU00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
IL
    	
 
    	
05
    	
 
    	
204800
    	
 
    	
21-10-07.
    	
 
    	
204800
    	
 
    	
11-8-09.
    	
 
    	
21-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56001IL00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
IS
    	
 
    	
05
    	
 
    	
14642007
    	
 
    	
14-5-07.
    	
 
    	
8122007
    	
 
    	
4-7-07.
    	
 
    	
4-7-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56001IS00
    	
 
    	
Yes
    

 

4

 

	
Catchword
    	
 
    	
Type
    	
 
    	
Country
    	
 
    	
Classes
    	
 
    	
Appl.No.
    	
 
    	
Appl.date
    	
 
    	
Reg.No.
    	
 
    	
Reg.date
    	
 
    	
Ren.date
    	
 
    	
Applicant
    	
 
    	
Status
    	
 
    	
Case No.
    	
 
    	
Watch
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
JO
    	
 
    	
05
    	
 
    	
99133
    	
 
    	
24-10-07.
    	
 
    	
99133
    	
 
    	
1-5-07.
    	
 
    	
1-5-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56001JO00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
JP
    	
 
    	
05
    	
 
    	
2007054257
    	
 
    	
30-5-07.
    	
 
    	
5088657
    	
 
    	
2-11-07.
    	
 
    	
2-11-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56001JP00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
LB
    	
 
    	
05
    	
 
    	
6612
    	
 
    	
23-10-07.
    	
 
    	
113370
    	
 
    	
25-10-07.
    	
 
    	
25-10-22.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56001LB00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
LY
    	
 
    	
05
    	
 
    	
16593
    	
 
    	
22-12-08.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56001LY00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
MA
    	
 
    	
05
    	
 
    	
113550
    	
 
    	
23-10-07.
    	
 
    	
113550
    	
 
    	
23-10-07.
    	
 
    	
23-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56001MA00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
NO
    	
 
    	
05
    	
 
    	
200705606
    	
 
    	
15-5-07.
    	
 
    	
241553
    	
 
    	
19-10-07.
    	
 
    	
19-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56001NO00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
NZ
    	
 
    	
05
    	
 
    	
768310
    	
 
    	
14-5-07.
    	
 
    	
768310
    	
 
    	
15-11-07.
    	
 
    	
14-5-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56001NZ00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
OM
    	
 
    	
05
    	
 
    	
47462
    	
 
    	
22-10-07.
    	
 
    	
47462
    	
 
    	
24-8-08.
    	
 
    	
22-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56001OM00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
QA
    	
 
    	
05
    	
 
    	
47253
    	
 
    	
31-10-07.
    	
 
    	
47253
    	
 
    	
31-12-09.
    	
 
    	
31-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56001QA00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
RU
    	
 
    	
05
    	
 
    	
2008707340
    	
 
    	
13-3-08.
    	
 
    	
377215
    	
 
    	
20-4-09.
    	
 
    	
13-3-18.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56001RU00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
SA
    	
 
    	
05
    	
 
    	
125692
    	
 
    	
12-1-08.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56001SA00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
SY
    	
 
    	
05
    	
 
    	
4268
    	
 
    	
28-10-07.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56001SY00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
TN
    	
 
    	
05
    	
 
    	
EE072667
    	
 
    	
24-10-07.
    	
 
    	
EE072667
    	
 
    	
19-5-09.
    	
 
    	
24-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56001TN00
    	
 
    	
Yes
    

 

5

 

	
Catchword
    	
 
    	
Type
    	
 
    	
Country
    	
 
    	
Classes
    	
 
    	
Appl.No.
    	
 
    	
Appl.date
    	
 
    	
Reg.No.
    	
 
    	
Reg.date
    	
 
    	
Ren.date
    	
 
    	
Applicant
    	
 
    	
Status
    	
 
    	
Case No.
    	
 
    	
Watch
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
TR
    	
 
    	
05
    	
 
    	
2007026778
    	
 
    	
17-5-07.
    	
 
    	
200726778
    	
 
    	
17-5-07.
    	
 
    	
17-5-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56001TR00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
US
    	
 
    	
05
    	
 
    	
77/179356
    	
 
    	
11-5-07.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56001US00
    	
 
    	
Yes
    
	
GLYBERA
    	
 
    	
Wordmark
    	
 
    	
ZA
    	
 
    	
05
    	
 
    	
200723919
    	
 
    	
19-10-07.
    	
 
    	
2007/23919
    	
 
    	
19-10-07.
    	
 
    	
19-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56001ZA00
    	
 
    	
Yes
    
	

    	
Logotype
    	
 
    	
EU
    	
 
    	
05, 44
    	
 
    	
8640641
    	
 
    	
26-10-09.
    	
 
    	
8640641
    	
 
    	
10-5-10.
    	
 
    	
26-10-19.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Registered
    	
 
    	
T55832EU00
    	
 
    	
Indirect watch
    
	

    	
Logotype
    	
 
    	
US
    	
 
    	
05, 44
    	
 
    	
85/021985
    	
 
    	
23-4-10.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Pending
    	
 
    	
T55832US00
    	
 
    	
Indirect watch
    
	
LPLCHIP
    	
 
    	
Wordmark
    	
 
    	
CA
    	
 
    	
1, 10, 42, 44, 5, 9
    	
 
    	
1474070
    	
 
    	
22-3-10.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Pending
    	
 
    	
T55770CA00
    	
 
    	
Yes
    
	
LPLCHIP
    	
 
    	
Wordmark
    	
 
    	
EU
    	
 
    	
01, 05, 09, 10, 42, 44
    	
 
    	
8590911
    	
 
    	
2-10-09.
    	
 
    	
8590911
    	
 
    	
31-5-10.
    	
 
    	
2-10-19.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Registered
    	
 
    	
T55770EU00
    	
 
    	
Yes
    
	
LPLCHIP
    	
 
    	
Wordmark
    	
 
    	
US
    	
 
    	
1, 5, 9
    	
 
    	
77/964892
    	
 
    	
22-3-10.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Pending
    	
 
    	
T55770US00
    	
 
    	
Yes
    
	
LPLCHIP
    	
 
    	
Wordmark
    	
 
    	
CH (WO)
    	
 
    	
01, 05, 09, 10
    	
 
    	
8590911-01
    	
 
    	
6-4-10.
    	
 
    	
1036745
    	
 
    	
6-4-10.
    	
 
    	
6-4-20.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Registered
    	
 
    	
T55770WO00
    	
 
    	
Yes
    
	
LPLCHIP
    	
 
    	
Wordmark
    	
 
    	
IS (WO)
    	
 
    	
01, 05, 09, 10
    	
 
    	
8590911-01
    	
 
    	
6-4-10.
    	
 
    	
1036745
    	
 
    	
6-4-10.
    	
 
    	
6-4-20.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Registered
    	
 
    	
T55770WO00
    	
 
    	
Yes
    
	
LPLCHIP
    	
 
    	
Wordmark
    	
 
    	
NO (WO)
    	
 
    	
01, 05, 09, 10
    	
 
    	
8590911-01
    	
 
    	
6-4-10.
    	
 
    	
1036745
    	
 
    	
6-4-10.
    	
 
    	
6-4-20.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) IP B.V.
    	
 
    	
Registered
    	
 
    	
T55770WO00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
AE
    	
 
    	
05
    	
 
    	
101942
    	
 
    	
31-10-07.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56002AE00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
AU
    	
 
    	
05
    	
 
    	
1176051
    	
 
    	
14-5-07.
    	
 
    	
1176051
    	
 
    	
12-12-07.
    	
 
    	
14-5-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56002AU00
    	
 
    	
Yes
    

 

6

 

	
Catchword
    	
 
    	
Type
    	
 
    	
Country
    	
 
    	
Classes
    	
 
    	
Appl.No.
    	
 
    	
Appl.date
    	
 
    	
Reg.No.
    	
 
    	
Reg.date
    	
 
    	
Ren.date
    	
 
    	
Applicant
    	
 
    	
Status
    	
 
    	
Case No.
    	
 
    	
Watch
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
BH
    	
 
    	
05
    	
 
    	
62690
    	
 
    	
7-1-08.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56002BH00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
CA
    	
 
    	
5
    	
 
    	
1355761
    	
 
    	
16-7-07.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56002CA00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
CH
    	
 
    	
05
    	
 
    	
551382007
    	
 
    	
14-5-07.
    	
 
    	
562177
    	
 
    	
11-9-07.
    	
 
    	
14-5-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56002CH00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
DZ
    	
 
    	
05
    	
 
    	
72793
    	
 
    	
24-10-07.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56002DZ00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
EG
    	
 
    	
05
    	
 
    	
208203
    	
 
    	
22-10-07.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56002EG00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
EU
    	
 
    	
05
    	
 
    	
5901277
    	
 
    	
1-5-07.
    	
 
    	
5901277
    	
 
    	
10-4-08.
    	
 
    	
1-5-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56002EU00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
IL
    	
 
    	
05
    	
 
    	
204915
    	
 
    	
23-10-07.
    	
 
    	
204915
    	
 
    	
11-8-09.
    	
 
    	
23-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56002IL00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
IR
    	
 
    	
05
    	
 
    	
86091403
    	
 
    	
8-12-07.
    	
 
    	
157475
    	
 
    	
14-9-08.
    	
 
    	
8-12-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56002IR00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
IS
    	
 
    	
05
    	
 
    	
14632007
    	
 
    	
14-5-07.
    	
 
    	
8112007
    	
 
    	
4-7-07.
    	
 
    	
4-7-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56002IS00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
JO
    	
 
    	
05
    	
 
    	
99366
    	
 
    	
24-10-07.
    	
 
    	
99366
    	
 
    	
14-1-09.
    	
 
    	
1-5-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56002JO00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
JP
    	
 
    	
05
    	
 
    	
2007054258
    	
 
    	
30-5-07.
    	
 
    	
5088658
    	
 
    	
2-11-07.
    	
 
    	
2-11-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56002JP00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
LB
    	
 
    	
05
    	
 
    	
6622
    	
 
    	
23-10-07.
    	
 
    	
113434
    	
 
    	
30-10-07.
    	
 
    	
30-10-22.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56002LB00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
LY
    	
 
    	
05
    	
 
    	
16595
    	
 
    	
22-12-08.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56002LY00
    	
 
    	
Yes
    

 

7

 

	
Catchword
    	
 
    	
Type
    	
 
    	
Country
    	
 
    	
Classes
    	
 
    	
Appl.No.
    	
 
    	
Appl.date
    	
 
    	
Reg.No.
    	
 
    	
Reg.date
    	
 
    	
Ren.date
    	
 
    	
Applicant
    	
 
    	
Status
    	
 
    	
Case No.
    	
 
    	
Watch
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
MA
    	
 
    	
05
    	
 
    	
113551
    	
 
    	
23-10-07.
    	
 
    	
113551
    	
 
    	
23-10-07.
    	
 
    	
23-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56002MA00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
NO
    	
 
    	
05
    	
 
    	
200705604
    	
 
    	
15-5-07.
    	
 
    	
241558
    	
 
    	
22-10-07.
    	
 
    	
22-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56002NO00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
NZ
    	
 
    	
05
    	
 
    	
768309
    	
 
    	
14-5-07.
    	
 
    	
768309
    	
 
    	
12-2-09.
    	
 
    	
1-5-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56002NZ00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
OM
    	
 
    	
05
    	
 
    	
47461
    	
 
    	
22-10-07.
    	
 
    	
47461
    	
 
    	
30-5-09.
    	
 
    	
22-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56002OM00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
QA
    	
 
    	
05
    	
 
    	
47255
    	
 
    	
31-10-07.
    	
 
    	
47255
    	
 
    	
31-12-09.
    	
 
    	
31-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56002QA00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
RU
    	
 
    	
05
    	
 
    	
2008707342
    	
 
    	
13-3-08.
    	
 
    	
381400
    	
 
    	
10-6-09.
    	
 
    	
13-3-18.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56002RU00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
SA
    	
 
    	
05
    	
 
    	
125693
    	
 
    	
12-1-08.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56002SA00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
SY
    	
 
    	
05
    	
 
    	
4269
    	
 
    	
28-10-07.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56002SY00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
TN
    	
 
    	
05
    	
 
    	
EE072666
    	
 
    	
24-10-07.
    	
 
    	
EE072666
    	
 
    	
19-5-09.
    	
 
    	
24-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56002TN00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
TR
    	
 
    	
05
    	
 
    	
2007026779
    	
 
    	
17-5-07.
    	
 
    	
200726779
    	
 
    	
17-5-07.
    	
 
    	
17-5-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56002TR00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
US
    	
 
    	
05
    	
 
    	
77/179357
    	
 
    	
11-5-07.
    	
 
    	
3703954
    	
 
    	
3-11-09.
    	
 
    	
3-11-19.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56002US00
    	
 
    	
Yes
    
	
VECTIPRO
    	
 
    	
Wordmark
    	
 
    	
ZA
    	
 
    	
05
    	
 
    	
200723918
    	
 
    	
19-10-07.
    	
 
    	
2007/23918
    	
 
    	
19-10-07.
    	
 
    	
19-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56002ZA00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
AE
    	
 
    	
05
    	
 
    	
101943
    	
 
    	
31-10-07.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56003AE00
    	
 
    	
Yes
    

 

8

 

	
Catchword
    	
 
    	
Type
    	
 
    	
Country
    	
 
    	
Classes
    	
 
    	
Appl.No.
    	
 
    	
Appl.date
    	
 
    	
Reg.No.
    	
 
    	
Reg.date
    	
 
    	
Ren.date
    	
 
    	
Applicant
    	
 
    	
Status
    	
 
    	
Case No.
    	
 
    	
Watch
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
AU
    	
 
    	
05
    	
 
    	
1176049
    	
 
    	
14-5-07.
    	
 
    	
1176049
    	
 
    	
12-12-07.
    	
 
    	
14-5-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003AU00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
BH
    	
 
    	
05
    	
 
    	
62691
    	
 
    	
7-1-08.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56003BH00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
CA
    	
 
    	
5
    	
 
    	
1355762
    	
 
    	
16-7-07.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56003CA00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
CH
    	
 
    	
05
    	
 
    	
551982007
    	
 
    	
15-5-07.
    	
 
    	
562360
    	
 
    	
13-9-07.
    	
 
    	
15-5-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003CH00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
DZ
    	
 
    	
05
    	
 
    	
72792
    	
 
    	
24-10-07.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular Therapeutics   (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56003DZ00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
EG
    	
 
    	
05
    	
 
    	
208231
    	
 
    	
22-10-07.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56003EG00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
EU
    	
 
    	
05, 44
    	
 
    	
5901251
    	
 
    	
1-5-07.
    	
 
    	
5901251
    	
 
    	
22-1-09.
    	
 
    	
1-5-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003EU00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
IL
    	
 
    	
05
    	
 
    	
204799
    	
 
    	
21-10-07.
    	
 
    	
204799
    	
 
    	
11-4-09.
    	
 
    	
21-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003IL00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
IR
    	
 
    	
05
    	
 
    	
86091401
    	
 
    	
8-12-07.
    	
 
    	
158201
    	
 
    	
14-9-08.
    	
 
    	
8-12-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003IR00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
IS
    	
 
    	
05
    	
 
    	
14652007
    	
 
    	
14-5-07.
    	
 
    	
8132007
    	
 
    	
4-7-07.
    	
 
    	
4-7-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003IS00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
JO
    	
 
    	
05
    	
 
    	
99208
    	
 
    	
24-10-07.
    	
 
    	
99208
    	
 
    	
3-3-09.
    	
 
    	
1-5-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003JO00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
JP
    	
 
    	
05
    	
 
    	
2007054259
    	
 
    	
30-5-07.
    	
 
    	
5088659
    	
 
    	
2-11-07.
    	
 
    	
2-11-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003JP00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
LB
    	
 
    	
05
    	
 
    	
6623
    	
 
    	
23-10-07.
    	
 
    	
113437
    	
 
    	
30-10-07.
    	
 
    	
30-10-22.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003LB00
    	
 
    	
Yes
    

 

9

 

	
Catchword
    	
 
    	
Type
    	
 
    	
Country
    	
 
    	
Classes
    	
 
    	
Appl.No.
    	
 
    	
Appl.date
    	
 
    	
Reg.No.
    	
 
    	
Reg.date
    	
 
    	
Ren.date
    	
 
    	
Applicant
    	
 
    	
Status
    	
 
    	
Case No.
    	
 
    	
Watch
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
LY
    	
 
    	
05
    	
 
    	
16594
    	
 
    	
22-12-08.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56003LY00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
MA
    	
 
    	
05
    	
 
    	
113552
    	
 
    	
23-10-07.
    	
 
    	
113552
    	
 
    	
23-10-07.
    	
 
    	
23-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003MA00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
NO
    	
 
    	
05
    	
 
    	
200705605
    	
 
    	
15-5-07.
    	
 
    	
241517
    	
 
    	
18-10-07.
    	
 
    	
18-10-17.
    	
 
    	
Amsterdam Molecular Therapeutics   (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003NO00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
NZ
    	
 
    	
05
    	
 
    	
768311
    	
 
    	
14-5-07.
    	
 
    	
768311
    	
 
    	
15-11-07.
    	
 
    	
14-5-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003NZ00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
OM
    	
 
    	
05
    	
 
    	
47463
    	
 
    	
22-10-07.
    	
 
    	
47463
    	
 
    	
30-5-09.
    	
 
    	
22-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003OM00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
QA
    	
 
    	
05
    	
 
    	
47254
    	
 
    	
31-10-07.
    	
 
    	
47254
    	
 
    	
31-12-09.
    	
 
    	
31-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003QA00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
RU
    	
 
    	
05
    	
 
    	
2008707341
    	
 
    	
13-3-08.
    	
 
    	
394999
    	
 
    	
1-12-09.
    	
 
    	
13-3-18.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003RU00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
SA
    	
 
    	
05
    	
 
    	
125694
    	
 
    	
12-1-08.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56003SA00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
SY
    	
 
    	
05
    	
 
    	
4267
    	
 
    	
28-10-07.
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Pending
    	
 
    	
T56003SY00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
TN
    	
 
    	
05
    	
 
    	
EE072668
    	
 
    	
24-10-07.
    	
 
    	
EE072668
    	
 
    	
19-5-09.
    	
 
    	
24-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003TN00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
TR
    	
 
    	
05
    	
 
    	
2007026780
    	
 
    	
17-5-07.
    	
 
    	
200726780
    	
 
    	
7-4-08.
    	
 
    	
17-5-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003TR00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
US
    	
 
    	
05
    	
 
    	
77/179359
    	
 
    	
11-5-07.
    	
 
    	
3855311
    	
 
    	
5-10-10.
    	
 
    	
5-10-20.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003US00
    	
 
    	
Yes
    
	
ZYAMTIN
    	
 
    	
Wordmark
    	
 
    	
ZA
    	
 
    	
05
    	
 
    	
200723917
    	
 
    	
19-10-07.
    	
 
    	
200723917
    	
 
    	
14-7-10.
    	
 
    	
19-10-17.
    	
 
    	
Amsterdam Molecular   Therapeutics (AMT) Holding N.V.
    	
 
    	
Registered
    	
 
    	
T56003ZA00
    	
 
    	
Yes
    

 

10

 

EXHIBIT E

 

BORROWER’S DEPOSIT ACCOUNTS AND INVESTMENT ACCOUNTS

 

43

 

EXHIBIT F

 

COMPLIANCE CERTIFICATE

 

Hercules Technology Growth Capital, Inc.
 400 Hamilton Avenue, Suite 310
 Palo Alto, CA 94301

 

Reference is made to that certain Loan and Security Agreement dated [               ], 2013 and all ancillary documents entered into in connection with such Loan and Security Agreement all as may be amended from time to time, (hereinafter referred to collectively as the “Loan Agreement”) between Hercules Technology Growth Capital, Inc. as Lender and (i) UNIQURE BIOPHARMA B.V., a                            (“uniQure”), (ii) UNIQURE IP B.V., a                           (“uniQure IP”), (iii) each of the subsidiaries of uniQure (uniQure, uniQure IP and such subsidiaries are hereinafter collectively referred to as “Borrower”), as Borrower. All capitalized terms not defined herein shall have the same meaning as defined in the Loan Agreement.

 

The undersigned is an Officer of the Borrower, knowledgeable of all Borrower’s financial matters, and is authorized to provide certification of information regarding the Borrower; hereby certifies that in accordance with the terms and conditions of the Loan Agreement, the Borrower is in compliance for the period ending                        of all covenants, conditions and terms and hereby reaffirms that all representations and warranties contained therein are true and correct in all material respects on and as of the date of this Compliance Certificate with the same effect as though made on and as of such date, except to the extent such representations and warranties expressly relate to an earlier date, after giving effect in all cases to any standard(s) of materiality contained in the Loan Agreement as to such representations and warranties.  Attached are the required documents supporting the above certification.  The undersigned further certifies that these are prepared in accordance with IFRS (except for the absence of footnotes with respect to unaudited financial statement and subject to normal year-end adjustments) and are consistent from one period to the next except as explained below.

 

	
REPORTING   REQUIREMENT
    	
REQUIRED
    	
CHECK IF ATTACHED
    
	
 
    	
 
    	
 
    
	
Interim   Financial Statements
    	
Monthly   within 30 days
    	
 
    
	
 
    	
 
    	
 
    
	
Interim   Financial Statements
    	
Quarterly   within 45 days
    	
 
    
	
 
    	
 
    	
 
    
	
Audited   Financial Statements
    	
FYE within 150 days
    	
 
    

 

	
 
    	
Very   Truly Yours,
    
	
 
    	
 
    
	
 
    	
UNIQURE   BIOPHARMA B.V.
    
	
 
    	
 
    
	
 
    	
By:
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Name:
    	
 
    

 

44

 

	
 
    	
Its:
    	
 
    

 

45

 

EXHIBIT G

 

FORM OF JOINDER AGREEMENT

 

This Joinder Agreement (the “Joinder Agreement”) is made and dated as of [          ], 20[  ], and is entered into by and between                                                                   , a                        corporation (“Subsidiary”), and HERCULES TECHNOLOGY GROWTH CAPITAL, INC., a Maryland corporation, as a Lender.

 

RECITALS

 

A.  Subsidiary’s Affiliates, (i) UNIQURE BIOPHARMA B.V., a                            (“uniQure”), (ii) UNIQURE IP B.V., a                           (“uniQure IP”), (iii) each of the subsidiaries of uniQure (uniQure, uniQure IP and such subsidiaries are hereinafter collectively referred to as “Borrower”) [have entered/desires to enter] into that certain Loan and Security Agreement dated [         ], 2013, with Lender, as such agreement may be amended (the “Loan Agreement”), together with the other agreements executed  and delivered in connection therewith;

 

B.  Subsidiary acknowledges and agrees that it will benefit both directly and indirectly from Borrower’s execution of the Loan Agreement and the other agreements executed and delivered in connection therewith;

 

AGREEMENT

 

NOW THEREFORE, Subsidiary and Lender agree as follows:

 

1.                                      The recitals set forth above are incorporated into and made part of this Joinder Agreement.  Capitalized terms not defined herein shall have the meaning provided in the Loan Agreement.

 

2.                                      By signing this Joinder Agreement, Subsidiary shall be bound by the terms and conditions of the Loan Agreement the same as if it were the Borrower (as defined in the Loan Agreement) under the Loan Agreement, mutatis mutandis, provided however, that Lender shall have no duties, responsibilities or obligations to Subsidiary arising under or related to the Loan Agreement or the other agreements executed and delivered in connection therewith.  Rather, to the extent that Lender has any duties, responsibilities or obligations arising under or related to the Loan Agreement or the other agreements executed and delivered in connection therewith, those duties, responsibilities or obligations shall flow only to Borrower and not to Subsidiary or any other person or entity.  By way of example (and not an exclusive list): (a) Lender’s providing notice to Borrower in accordance with the Loan Agreement or as otherwise agreed between Borrower and Lender shall be deemed provided to Subsidiary; (b) a Lender’s providing an Advance to Borrower shall be deemed an Advance to Subsidiary; and (c) Subsidiary shall have no right to request an Advance or make any other demand on Lender.

 

[REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]

 

46

 

[SIGNATURE PAGE TO JOINDER AGREEMENT]

 

	
SUBSIDIARY:
    	
 
    
	
 
    	
.
    

 

 

By:

Name:

Title:

Address:

 

Telephone:                       

Facsimile:

 

HERCULES TECHNOLOGY GROWTH CAPITAL, INC.

 

	
By:
    	
 
    	
 
    
	
Name:
    	
 
    	
 
    
	
Title:
    	
 
    	
 
    

 

Address:

400 Hamilton Ave., Suite 310

Palo Alto, CA 94301

Facsimile:  650-473-9194 

Telephone:  650-289-3060

 

47

 

EXHIBIT H

 

ACH DEBIT AUTHORIZATION AGREEMENT

 

Hercules Technology Growth Capital, Inc.

400 Hamilton Avenue, Suite 310

Palo Alto, CA  94301

 

Re:                             Loan and Security Agreement dated                               , 2013 between (i) UNIQURE BIOPHARMA B.V., a                            (“uniQure”), (ii) UNIQURE IP B.V., a                           (“uniQure IP”), (iii) each of the subsidiaries of uniQure (uniQure, uniQure IP and such subsidiaries are hereinafter collectively referred to as “Borrower”) and Hercules Technology Growth Capital, Inc. (“Lender”) (the “Agreement”)

 

In connection with the above referenced Agreement, Borrower hereby authorizes the Lender to initiate debit entries for the periodic payments due under the Agreement to t Borrower’s account indicated below.  Borrower authorizes the depository institution named below to debit to such account.

 

	
DEPOSITORY   NAME
    	
BRANCH
    
	
 
    	
 
    
	
CITY
    	
STATE   AND ZIP CODE
    
	
 
    	
 
    
	
TRANSIT/ABA   NUMBER
    	
ACCOUNT   NUMBER
    

 

This authority will remain in full force and effect so long as any amounts are due under the Agreement.

 

	
 
    	
 
    
	
(Borrower)(Please Print)
    	
 
    
	
By:
    	
 
    	
 
    
	
Date:
    	
 
    	
 
    

 

48

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