Document:

Registration Rights Agreement

  
 Exhibit 4.6 
  
 REGISTRATION RIGHTS AGREEMENT 
  
 AGREEMENT (this “Agreement”) dated as of December 3, 2002 among Syngenta Participations AG, a corporation organized under the laws of Switzerland (“SPARTAG”), Torrey Mesa Research Institute, a
Delaware corporation (“TMRI”) and Syngenta Seeds AG, a corporation organized under the laws of Switzerland (“Syngenta Seeds”, and together with SPARTAG and TMRI, the “Syngenta Parties”) and Diversa
Corporation, a Delaware corporation (the “Company”), 
  
 W I T N E S S E T H : 

 
 WHEREAS, the parties hereto have entered into the Transaction Agreement dated as of December 3, 2002 (the “Transaction
Agreement”); and 
  
 WHEREAS, this Agreement provides for certain rights and obligations of the Company and
the Holders (as defined herein) with respect to registration of the securities of the Company under the 1933 Act. 
  
 NOW, THEREFORE, in consideration of the mutual promises made herein and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto, intending to be legally bound, agree as
follows: 
  
 ARTICLE 1 
 DEFINITIONS 
  
 Section
1.01.  Definitions.    (a) Capitalized terms used but not otherwise defined herein have the meanings assigned to them in the Transaction Agreement. 
  
 (b)  The following capitalized terms shall have the meanings set forth below: 
  
 “Additional Equity Securities” has the meaning ascribed thereto in Section 2.01(g). 
  
 “Common Stock” means the Common Stock, par value $.001 per share, of the Company. 
  
 “Company Securities” has the meaning ascribed thereto in Section 2.02(c). 
  
 “Existing Third Party Additional Equity Securities” has the meaning ascribed thereto in Section 2.01(g). 
  

 
 1 

  
 “Existing Third Party Parity Securities” means any Other
Securities that are requested to be included in a registration referred to in the first sentence of Section 2.02(a) and that are entitled to registration rights existing on the date hereof that, pursuant to the terms thereof (as in existence on the
date hereof), have equal priority with the Registrable Securities in such a registration. 
  
 “Existing Third
Party Priority Securities” means any Other Securities that are requested to be included in a registration referred to in the first sentence of Section 2.02(a) and that are entitled to registration rights existing on the date hereof that,
pursuant to the terms thereof (as in existence on the date hereof), are entitled to priority over the Registrable Securities in such a registration. 
  
 “Holder” means each Syngenta Party and, subject to Section 2.08, any Transferee thereof. 
  
 “Initial Requesting Holders” means the Requesting Holders initiating the registration pursuant to the first sentence of Section 2.01(a). 
  
 “Majority Holders” means the Holders holding a majority in aggregate of the Registrable Securities held by all Holders.

  
 “Materially Prejudicial Condition” has the meaning ascribed thereto in Section 2.01(a).

  
 “1999 Stockholders Agreement” means the Amended and Restated Stockholders’ Agreement dated
as of January 25, 1999 by and among the Company and the stockholders named therein. 
  
 “Other
Securities” has the meaning ascribed thereto in Section 2.02(a). 
  
 “Registrable
Securities” means (i) the Shares, (ii) the Warrant Shares, (iii) any shares of Common Stock held by the Syngenta Parties or their Affiliates as of the date of the Transaction Agreement, (iv) any shares of Common Stock acquired by the
Syngenta Parties or their Affiliates after Closing as contemplated by Section 4.05 of the Transaction Agreement and (v) any securities issued directly or indirectly with respect to such securities by way of a split, dividend, or other division of
securities, or in connection with a combination of securities, recapitalization, merger, consolidation, or other reorganization. As to any particular Registrable Securities, such Registrable Securities shall cease to be Registrable Securities when
they (A) have been effectively registered under the 1933 Act and disposed of in accordance with the registration statement covering them, (B) have been sold pursuant to Rule 144 under the 1933 Act, (C) could be sold pursuant to Rule 144(k) under the
1933 Act or (D) have been repurchased by the Company or otherwise cease to be outstanding. 
  
 “Registration
Expenses” means any and all expenses incident to performance of or compliance with any registration or marketing of securities 

 
 2 

  
 pursuant to Article 2, including (i) the fees, disbursements and expenses of the Company’s counsel
and accountants in connection with this Agreement and the performance of the Company’s obligations hereunder (including the expenses of any annual audit letters and “cold comfort” letters required or incidental to the performance of
such obligations); (ii) all expenses, including filing fees, in connection with the preparation, printing and filing of the registration statement, any preliminary prospectus or final prospectus, any other offering document and amendments and
supplements thereto and the mailing and delivering of copies thereof to any underwriters and dealers; (iii) the cost of printing and producing (which, it is understood and agreed, shall not include the fees and expenses of underwriters’
counsel) any agreements among underwriters, underwriting agreements, selling group agreements and any other customary documents in connection with the marketing of securities pursuant to Article 2; (iv) all expenses in connection with the
qualification of the securities to be disposed of for offering and sale under state securities laws, including the reasonable fees and disbursements of counsel for the underwriters or the Holders of securities in connection with such qualification
and in connection with any blue sky and legal investment surveys, including the cost of printing and producing any such blue sky or legal investment surveys; (v) the filing fees incident to securing any required review by the National Association of
Securities Dealers, Inc. of the terms of the securities being registered pursuant to Article 2; (vi) transfer agents’ and registrars’ fees and expenses and the fees and expenses of any other agent or trustee appointed in connection with
such offering; (vii) all security engraving and security printing expenses; (viii) all fees and expenses payable in connection with the listing of the securities on any securities exchange or automated interdealer quotation system; (ix) the costs
and expenses of the Company and its officers relating to analyst or investor presentations, if any, or any “road show” undertaken in connection with the registration and/or marketing of any Registrable Securities and (x) the reasonable
fees and expenses of no more than one legal counsel to the Holders selected pursuant to Section 2.01(e) or by the Selling Holders holding a majority of the Registrable Securities included in the relevant registration statement, as applicable, up to
a maximum of $15,000 per registration for each registration including Registrable Securities under this Agreement. In no event shall Registration Expenses be deemed to include underwriting discounts and commissions and transfer taxes, if any.

  
 “Requesting Holders” means the Holders requesting the registration of their Registrable
Securities pursuant to Section 2.01(a) or Section 2.01(f). 
  
 “Rule 415 Offering” means an offering
on a delayed or continuous basis pursuant to Rule 415 (or any successor rule to similar effect) promulgated under the 1933 Act. 
  
 “Selling Holder” means a Holder of Registrable Securities included in the relevant registration statement. 

 
 3 

  
 “Transferee” has the meaning ascribed thereto in Section 2.08.

  
 ARTICLE 2 
 REGISTRATION RIGHTS 
  
 Section 2.01.  Demand
Registration.    (a) At any time, the Majority Holders may request in writing that the Company effect the registration under the 1933 Act of any or all of the Registrable Securities held by such requesting Holders, which
notice shall specify the intended method or methods of disposition of such Registrable Securities. Except as otherwise provided herein, the Company shall prepare and (within 90 days after such request has been given) file with the SEC a registration
statement with respect to (x) all Registrable Securities included in such request and (y) all Registrable Securities included in any request delivered by the Requesting Holders pursuant to Section 2.01(f), and thereafter use its reasonable efforts
to effect the registration under the 1933 Act and applicable state securities laws of such Registrable Securities for disposition in accordance with the intended method or methods of disposition stated in such request (which requested method of
disposition may be a Rule 415 Offering, provided that the Company shall not be required to maintain the effectiveness of a registration statement relating to a Rule 415 Offering to the extent the securities included in such registration cease
to be Registrable Securities); provided further that the Company shall not be obligated to effect any such registration pursuant to this Section 2.01(a) (i) during the period starting with the date of filing of, and ending on the date 90 days
following the effective date of, a registration statement pertaining to a public offering initiated or requested by the Company or any stockholder other than a Holder, (ii) if within 30 days of receipt of a written request from the Requesting
Holders, the Company gives notice to the Requesting Holders of the Company’s intention to make a public offering within 90 days for the Company’s account (provided that in such case, the Company shall, subject to Section 2.02(c) and
Section 2.02(d), use its reasonable efforts to include in the registration relating to such public offering all Registrable Securities requested to be included by any Holder pursuant to Section 2.02(a) and, in the event Section 2.02(c) or Section
2.02(d) applies to such registration, shall include in such registration a number of such Registrable Securities that is equal to at least 15% of the shares of Common Stock (on an as-converted basis, with respect to securities convertible into or
exchangeable for Common Stock to be included in such registration) that the Company is registering pursuant to such registration), (iii) if the Requesting Holders propose to sell Registrable Securities pursuant to such registration statement at an
aggregate price to the public of less than $500,000 or (iv) if the Company furnishes to the Requesting Holders a certified resolution of the Board of Directors stating that in the Board of Directors’ good faith judgment it would be materially
prejudicial (a “Materially Prejudicial Condition”) to the Company for such a registration statement to be filed and 

 
 4 

  
 become effective, and, if requested by the Requesting Holders (and subject to their entering into a
customary confidentiality obligation as to such information), setting forth in reasonable detail the general reasons for such judgment. The Company shall also be able to suspend the use of, or withdraw and terminate the effectiveness of, any
effective registration statement by furnishing the Holders with a certified copy of such resolution of the Board of Directors as to a Materially Prejudicial Condition. Upon receipt of such certified copy, the Holders shall immediately discontinue
use of the prospectus contained in such registration statement and, if so directed by the Company, the Holders shall deliver to the Company all copies, other than permanent file copies, of the prospectus covering such Registrable Securities current
at the time of receipt of such notice. The Company shall promptly deliver to each Requesting Holder or Holders, as applicable, written notice of the non-existence of any Materially Prejudicial Condition with respect to which the Company previously
furnished notice. 
  
 Neither the filing nor the effectiveness of any such registration statement may be delayed, or
the use of the prospectus contained in any such registration statement suspended, for a period in excess of 90 days due to the occurrence of any particular Materially Prejudicial Condition and the Company may exercise its delay or suspension rights
on only one occasion in connection with any registration request under Section 2.01 in any twelve-month period. If requested by the Initial Requesting Holders, the Company shall, if any registration statement shall have failed to have been filed or
shall have been suspended, withdrawn or terminated because of a Materially Prejudicial Condition, promptly after such time as the Materially Prejudicial Condition no longer exists or, if earlier, at the end of the 90-day period following the
occurrence of such Materially Prejudicial Condition, file the unfiled registration statement, a post-effective amendment to the suspended registration statement and/or an amended or supplemented prospectus thereto, or a new registration statement
covering the Registrable Securities that were covered by such unfiled, suspended or withdrawn or terminated registration and maintain the effectiveness thereof for such time as is required under this Agreement. 
  
 (b)  The Majority Holders may collectively exercise their rights under this Section 2.01 (x) on an unlimited number of occasions
with respect to registration statements on Forms S-2 or S-3 (or any successors thereto) and (y) on not more than two occasions with respect to registration statements on Form S-1 (or any successor thereto). Notwithstanding the foregoing, in the
event that the Majority Holders request the registration of any Registrable Securities within clause (iv) of the definition of such term alone and not in connection with the registration of any other Registrable Securities, then such request may
only be made on one occasion. 

 
 5 

  
 (c)  Without limiting the last sentence of Section 2.01(a), the Holders
shall not have the right to require the filing of a registration statement pursuant to this Section 2.01 while any registration statement that has been filed pursuant to this Section 2.01 has yet to become effective or within six months following
the effectiveness of any registration statement that was filed pursuant to this Section 2.01. 
  
 (d)  A
registration pursuant to this Section 2.01 shall not be deemed to have been effected (and, therefore, rights of a Requesting Holder shall be deemed not to have been exercised for purposes of paragraph (a) above) (i) unless it has become effective,
(ii) if after it has become effective such registration (or the use of the prospectus contained in such registration statement) is (A) interfered with by any stop order, injunction or other order or requirement of the SEC or other governmental
agency or court for any reason other than a misrepresentation or an omission by any Holder or (B) delayed, withdrawn, suspended or terminated and, in each case, as a result thereof, the Registrable Securities requested to be registered cannot be
completely distributed in accordance with the plan of distribution set forth in the related registration statement (until such time as the Registrable Securities requested to be registered may be completely distributed in accordance with the plan of
distribution set forth in the related registration statement) or (iii) if the conditions to closing specified in any purchase agreement or underwriting agreement entered into in connection with such registration are not satisfied or waived other
than because of some act or omission by any Holder. 
  
 (e)  In the event that any registration pursuant to
Section 2.01(a) shall involve, in whole or in part, an underwritten offering, the Holders of a majority of the Registrable Securities to be registered shall select the lead underwriter or underwriters (which selection or selections shall be subject
to the approval of the Company, which approval shall not be unreasonably withheld), as well as counsel for the Holders, with respect to such registration. The parties hereto acknowledge and agree that the Company shall have sole discretion with
respect to the selection of underwriters for any registration pursuant to Section 2.02 that involves an underwritten offering. 
  
 (f)  Upon receipt of a written request from the Initial Requesting Holders pursuant to the first sentence of Section 2.01(a), the Company shall promptly give written notice of such requested registration to all other
Holders of Registrable Securities and the intended method or methods of disposition stated in such request. Each other Holder may, by written notice to the Company to be delivered within 10 days of the delivery of the Company’s notice, request
the inclusion in such registration of any Registrable Securities held by such other Holder. The Company shall promptly after the expiration of such 10-day period notify each Requesting Holder of (i) the identity of the other Requesting Holders and
(ii) the number of Registrable Securities requested to be included therein by each Requesting Holder. In the event that the Initial Requesting Holders intend 

 
 6 

 to distribute the Registrable Securities covered by their request by means of an underwriting, the right of any Holder to include all or any
portion of its Registrable Securities in such registration shall be conditioned upon such Holder’s participation in such underwriting and the inclusion of such Holder’s Registrable Securities in the underwriting to the extent provided
herein. All Holders proposing to distribute all of any portion of their Registrable Securities through such underwriting shall enter into an underwriting agreement in customary form (for secondary sales by selling stockholders) with the underwriter
or underwriters selected pursuant to Section 2.01(e). 
  
 (g)  The Company shall have the right to cause
the registration of additional equity securities for sale for the account of any Person that is not a Holder (including the Company and any directors, officers or employees of the Company (such additional equity securities, the “Additional
Equity Securities”)) in any registration of Registrable Securities requested by the Requesting Holders; provided that if such registration is to be an underwritten registration and such Requesting Holders are advised in writing (with
a copy to the Company) by a nationally recognized investment banking firm selected pursuant to paragraph (e) above that, in such firm’s good faith view, all or a part of the equity securities to be included in such registration (including any
Additional Equity Securities) cannot be sold and the inclusion of all or part of the equity securities that would otherwise be included in such registration would be likely to have an adverse effect on the price, timing or distribution of the
offering and sale of the equity securities to be included in such registration, then the Company shall exclude from such registration such Additional Equity Securities or part thereof, to the nearest extent possible on a pro rata basis,
except to the extent doing so would be inconsistent with the provisions of any agreement existing on the date hereof under which any of the Additional Equity Securities are entitled to registration rights (any such Additional Equity Securities,
“Existing Third Party Additional Equity Securities”), in which case the Company shall include in such registration: 
  
 (i)  first, a number of Registrable Securities and such Existing Third Party Additional Equity Securities, to the nearest extent possible on a pro rata basis (with the number of
Registrable Securities and Existing Third Party Additional Equity Securities that will be so included in such registration being determined on the basis of the number of Registrable Securities that the Requesting Holders request be included in such
registration and the number of Existing Third Party Additional Equity Securities that are proposed to be included in such registration); and 
  
 (ii)  second, up to the full number of any other Additional Equity Securities, if any, in excess of the Registrable Securities and any Existing Third Party Additional Equity Securities
to be sold in such offering which, in the good faith view of such investment banking firm, 

 
 7 

 can be so sold without so adversely affecting such offering in the manner described above. 
  
 In the event that the number of Registrable Securities requested to be included in a registration statement that will not include any
Additional Equity Securities by the Requesting Holders exceeds the number which, in the good faith view of such investment banking firm, can be sold without adversely affecting the price, timing, distribution or sale of securities in the offering,
the number shall be allocated pro rata among all of the Requesting Holders on the basis of the relative number of Registrable Securities then held by each such Requesting Holder (with any number in excess of a Requesting Holder’s request
reallocated among the remaining Requesting Holders in a like manner). 
  
 Section 2.02.  Piggyback
Registration.    (a) In the event that the Company proposes to register any of its Common Stock, any other of its equity securities or securities convertible into or exchangeable for its equity securities (collectively,
including Common Stock, “Other Securities”) under the 1933 Act, whether or not for sale for its own account, in a manner that would permit registration of Registrable Securities for sale for cash to the public under the 1933 Act, it
shall prior to such time as all Holders in the aggregate beneficially own less than 1,000,000 Registrable Securities (as adjusted for stock splits, combinations, recapitalizations and the like), give prompt written notice to each Holder of its
intention to do so and of the rights of such Holder under this Section 2.02. Subject to the terms and conditions hereof, such notice shall offer each such Holder the opportunity to include in such registration statement such number of Registrable
Securities as such Holder may request. Upon the written request of any such Holder made within 10 days after the receipt of the Company’s notice (which request shall specify the number of Registrable Securities intended to be disposed of and
the intended method of disposition thereof), the Company shall use its reasonable efforts to effect, in connection with the registration of the Other Securities, the registration under the 1933 Act of all Registrable Securities which the Company has
been so requested to register, to the extent required to permit the disposition (in accordance with such intended methods thereof) of the Registrable Securities so requested to be registered. Notwithstanding the immediately preceding sentence, in
the event that the holders of the Other Securities intend to distribute the Other Securities covered by such registration by means of an underwriting, the right of any Holder to include all or any portion of its Registrable Securities in such
registration shall be conditioned upon such Holder’s participation in such underwriting and the inclusion of such Holder’s Registrable Securities in the underwriting to the extent provided herein. All Holders proposing to distribute all of
any portion of their Registrable Securities through such underwriting shall enter into an underwriting agreement in customary form (for secondary sales by selling stockholders) with the underwriter or underwriters. In addition, notwithstanding the
third preceding sentence, no Holder may request that its Registrable Securities to be included in such 

 
 8 

 registration shall be disposed of pursuant to a Rule 415 Offering if the Other Securities included in such registration are not being disposed
of pursuant to a Rule 415 Offering. 
  
 (b)  If, at any time after giving a written notice of its intention
to register any Other Securities and prior to the effective date of the registration statement filed in connection with such registration, the Company shall determine for any reason not to register the Other Securities, the Company may, at its
election, give written notice of such determination to such Holders and thereupon the Company shall be relieved of its obligation to register such Registrable Securities in connection with the registration of such Other Securities, without
prejudice, however, to the rights of the Holders immediately to request that such registration be effected as a registration under Section 2.01 to the extent permitted thereunder. 
  
 (c) If the registration referred to in the first sentence of Section 2.02(a) is to be an underwritten registration and is initiated by the Company on its own behalf (and
not pursuant to a valid registration request made by the holders of Existing Third Party Additional Equity Securities under any agreement existing on the date hereof under which such holders are entitled to registration rights), and a nationally
recognized investment banking firm selected by the Company advises the Company in writing that, in such firm’s good faith view, the inclusion of all or a part of such Registrable Securities in such registration would be likely to have an
adverse effect upon the price, timing or distribution of the offering and sale of the Other Securities then contemplated, the Company shall include in such registration: 
  
 (i)  first, all Other Securities the Company proposes to sell for its own account (“Company Securities”); 

 
 (ii)  second, up to the full number of any Existing Third Party Priority Securities that are
requested to be included in such registration, in excess of the number of Company Securities to be sold in such offering which, in the good faith view of such investment banking firm, can be so sold without so adversely affecting such offering in
the manner described above, to the nearest extent possible on a pro rata basis; 
  
 (iii)  third, up to the full number of Registrable Securities held by Holders of Registrable Securities and any Existing Third Party Parity Securities that are requested to be included in such registration, in excess
of the number of Company Securities and any Existing Third Party Priority Securities to be sold in such offering which, in the good faith view of such investment banking firm, can be so sold without so adversely affecting such offering in the manner
described above, to the nearest extent possible on a pro rata basis (with the number of Registrable Securities and Existing Third Party Parity Securities that will be so 

 
 9 

 included in such registration being determined on the basis of the number of Registrable Securities that the Holders
request be included in such registration and the number of Existing Third Party Parity Securities that are requested to be included in such registration); provided that if such investment banking firm advises the Company in writing that less
than all of such Registrable Securities should be included in such offering, such Holders may withdraw their request for registration of their Registrable Securities under Section 2.02(a) and request under Section 2.01 (and subject to its
provisions) that 90 days subsequent to the effective date of the registration statement for the registration of such Other Securities such registration of their Registrable Securities be effected under Section 2.01; and 
  
 (iv)  fourth, up to the full number of any Other Securities (that are not Company Securities, Existing
Third Party Priority Securities or Existing Third Party Parity Securities) held by other holders of the Company’s securities entitled to registration rights that are requested to be included in such registration, in excess of the number of
Company Securities, Existing Third Party Priority Securities, Registrable Securities and Existing Third Party Parity Securities to be sold in such offering which, in the good faith view of such investment banking firm, can be so sold without so
adversely affecting such offering in the manner described above. 
  
 (d)  If the registration referred to
in the first sentence of Section 2.02(a) is to be an underwritten registration and is initiated by the Company pursuant to a valid registration request made by the holders of Existing Third Party Additional Equity Securities under any agreement
existing on the date hereof under which such holders are entitled to registration rights, and a nationally recognized investment banking firm selected by the Company advises the Company in writing that, in such firm’s good faith view, the
inclusion of all or a part of such Registrable Securities in such registration would be likely to have an adverse effect upon the price, timing or distribution of the offering and sale of the Other Securities then contemplated, the Company shall
include in such registration: 
  
 (i)  first, up to the full number of any Existing
Third Party Priority Securities that are requested to be included in such registration which, in the good faith view of such investment banking firm, can be so sold without so adversely affecting such offering in the manner described above, to the
nearest extent possible on a pro rata basis; 
  
 (ii)  second, up to the full
number of (A) any Company Securities that the Company proposes to include in such registration, (B) Registrable Securities held by Holders of Registrable Securities and (C) any Existing Third Party Parity Securities that are requested to be included

 
 10 

 in such registration, in excess of the number of any Existing Third Party Priority Securities to be sold in such offering
which, in the good faith view of such investment banking firm, can be so sold without so adversely affecting such offering in the manner described above, to the nearest extent possible on a pro rata basis (with the number of Company
Securities, Registrable Securities and Existing Third Party Parity Securities that will be so included in such registration being determined on the basis of the number of Company Securities that the Company proposes to include in such registration,
the number of Registrable Securities that the Holders request be included in such registration and the number of Existing Third Party Parity Securities that are requested to be included in such registration); provided that if such investment
banking firm advises the Company in writing that less than all of such Registrable Securities should be included in such offering, such Holders may withdraw their request for registration of their Registrable Securities under Section 2.02(a) and
request under Section 2.01 (and subject to its provisions) that 90 days subsequent to the effective date of the registration statement for the registration of such Other Securities such registration of their Registrable Securities be effected under
Section 2.01; and 
  
 (iii) third, up to the full number of any Other Securities (that are not
Existing Third Party Priority Securities, Company Securities or Existing Third Party Parity Securities) held by other holders of the Company’s securities entitled to registration rights that are requested to be included in such registration, in
excess of the number of Existing Third Party Priority Securities, Company Securities, Registrable Securities and Existing Third Party Parity Securities to be sold in such offering which, in the good faith view of such investment banking firm, can be
so sold without so adversely affecting such offering in the manner described above. 
  
 (e) The Company shall not be
required to effect any registration of Registrable Securities under this Section 2.02 incidental to the registration of any of its securities in connection with mergers, acquisitions, exchange offers, subscription offers, dividend reinvestment plans
or stock option or other executive or employee benefit or compensation plans or in connection with the filing of a Form S-4 or Form S-8 registration statement. 
  
 (f) No registration of Registrable Securities effected under this Section 2.02 shall relieve the Company of its obligation to effect a registration of Registrable Securities pursuant to Section 2.01.

  
 Section 2.03. Expenses. Except as provided herein, the Company shall pay all Registration Expenses with
respect to a particular offering (or proposed offering). Each Selling Holder shall bear the fees and expenses of its own counsel, 

 
 11 

  
 except that reasonable fees and expenses of one counsel representing all Selling Holders (selected
pursuant to Section 2.01(e) or by the Selling Holders holding a majority of the Registrable Securities included in the relevant registration statement, as applicable), up to a maximum of $15,000 per registration for each registration including
Registrable Securities under this Agreement, will constitute Registration Expenses. 
  
 Section
2.04.    Registration and Qualification.  If the Company is required to effect the registration of any Registrable Securities under the 1933 Act as provided in Section 2.01 or 2.02, the Company shall as promptly
as practicable, but subject to the other provisions of this Agreement: 
  
 (a)  prepare, file and use its
reasonable efforts to cause to become effective a registration statement under the 1933 Act relating to the Registrable Securities to be offered in accordance with the intended method of disposition thereof; 
  
 (b)  prepare and file with the SEC such amendments and supplements to such registration statement and the prospectus used in
connection therewith as may be necessary to keep such registration statement effective and to comply with the provisions of the 1933 Act with respect to the disposition of all such Registrable Securities until such time as all of such Registrable
Securities have been disposed of in accordance with the intended methods of disposition set forth in such registration statement; provided that the Company will, at least 5 business days prior to filing a registration statement or prospectus
or any amendment or supplement thereto, furnish to each Selling Holder copies of such registration statement or prospectus (or amendment or supplement) as proposed to be filed (including, upon the request of such Holder, documents to be incorporated
by reference therein) which documents will be subject to the reasonable review and comments of such Holder (and its attorneys) during such 5 business-day period and the Company will not file any registration statement, any prospectus or any
amendment or supplement thereto (or any such documents incorporated by reference) containing any statements with respect to such Holder to which such Holder shall reasonably object in writing; 
  

(c)  furnish to the Selling Holders and to any underwriter of such Registrable Securities such number of conformed copies of such registration statement and
of each such amendment and supplement thereto (in each case including all exhibits), such number of copies of the prospectus included in such registration statement (including each preliminary prospectus and any summary prospectus), in conformity
with the requirements of the 1933 Act, such documents incorporated by reference in such registration statement or prospectus, and such other documents as the Selling Holders or such underwriter may reasonably request, and, upon the request of the
Selling Holders or such underwriter, a copy of any and all transmittal letters or other correspondence to or received from, the 

 
 12 

  
 SEC or any other governmental agency or self-regulatory body or other body having jurisdiction
(including any domestic or foreign securities exchange) relating to such offering; 
  
 (d)  after the
filing of the registration statement, promptly notify each Selling Holder in writing of the effectiveness thereof and of any stop order issued or, to the knowledge of the Company, threatened by the SEC and use its reasonable efforts to prevent the
entry of such stop order or to promptly remove it if entered and promptly notify each Selling Holder of such lifting or withdrawal of such order; 
 (e)  use its reasonable efforts to cause all Registrable Securities covered by such registration statement to be registered with or approved by such other governmental agencies or authorities as may be necessary to enable
the Selling Holders to consummate the disposition of such Registrable Securities; 
  
 (f)  use its
reasonable efforts to register or qualify all Registrable Securities covered by such registration statement under the securities or blue sky laws of such jurisdictions as may be necessary and as the Selling Holders or any underwriter of such
Registrable Securities shall request, and use its reasonable efforts to obtain all appropriate registrations, permits and consents in connection therewith, and do any and all other acts and things which may be necessary or advisable to enable the
Selling Holders or any such underwriter to consummate the disposition in such jurisdictions of the Registrable Securities covered by such registration statement; provided that the Company shall not for any such purpose be required to qualify
generally to do business as a foreign corporation in any such jurisdiction wherein it is not so qualified or to consent to general service of process in any such jurisdiction or become subject to taxation in any such jurisdiction; 

 
 (g)  use its reasonable efforts in the event of an underwritten offering to furnish to each Selling Holder and to any
underwriter of such Registrable Securities (i) an opinion of counsel for the Company addressed to each underwriter and each Seller Holder and dated the date of the closing under the underwriting agreement and (ii) a “cold comfort” letter
addressed to each underwriter and each Selling Holder and signed by the independent public accountants who have audited the financial statements of the Company included in such registration statement, in each such case covering substantially the
same matters with respect to such registration statement (and the prospectus included therein) as are customarily covered in opinions of issuer’s counsel and in accountants’ letters delivered to underwriters in connection with the
consummation of underwritten public offerings of securities; 
  
 (h)  as promptly as practicable, notify
the Selling Holders in writing (i) at any time when a prospectus relating to a registration pursuant to Section 2.01 or 

 
 13 

  
 2.02 is required to be delivered under the 1933 Act of the happening of any event as a result of which
the prospectus included in such registration statement, as then in effect, includes an untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein, in light of the
circumstances under which they were made, not misleading, and (i) of any request by the SEC or any other regulatory body or other body having jurisdiction for any amendment of or supplement to any registration statement or other document relating to
such offering, and in either such case, subject to clause (iv) of the second proviso to Section 2.01(a) and the sentence immediately following such clause, at the request of the Selling Holders prepare and furnish to the Selling Holders as promptly
as practicable a reasonable number of copies of a supplement to or an amendment of such prospectus as may be necessary so that, as thereafter delivered to the purchasers of such Registrable Securities, such prospectus shall not include an untrue
statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they are made, not misleading (and the Selling Holders agree to
immediately discontinue use of the prospectus included in such registration statement following receipt of such notice until such time as such prospectus shall have been so amended or supplemented or such time as the Company shall have provided the
Selling Holders with a subsequent notice to the effect that such prospectus may again be used); 
  
 (i)  if
requested by the lead or managing underwriters or Selling Holders, use its reasonable efforts to list all such Registrable Securities covered by such registration on each securities exchange and automated inter-dealer quotation system on which a
class of common equity securities of the Company is then listed; 
  
 (j)  upon the Selling Holders’
reasonable request, send appropriate officers of the Company to attend any “road shows” and analyst and investor presentations scheduled in connection with any such registration; 
  
 (k)  at the Company’s expense, use its reasonable efforts to cooperate as reasonably requested by the Selling Holders in the marketing of the Registrable
Securities; and 
  
 (l)  furnish for delivery in connection with the closing of any offering of Registrable
Securities pursuant to a registration effected pursuant to Section 2.01 or 2.02 unlegended certificates representing ownership of the Registrable Securities being sold in such denominations as shall be requested by the Selling Holders or the
underwriters. 
  
 Section 2.05.    Underwriting; Due Diligence.  (a) If
requested by the underwriters for any underwritten offering of Registrable Securities pursuant to a 

 
 14 

  
 registration requested under this Article 2, the Company shall enter into an underwriting agreement with
such underwriters for such offering, which agreement will contain such representations and warranties and covenants by the Company and such other terms and provisions as are customarily contained in underwriting agreements with respect to secondary
distributions, including indemnification and contribution provisions substantially to the effect and to the extent provided in Section 2.06, and agreements as to the provision of opinions of counsel and accountants’ letters to such underwriters
and Selling Holders to the effect and to the extent provided in Section 2.04(g). The Selling Holders on whose behalf the Registrable Securities are to be distributed by such underwriters shall be parties to any such underwriting agreement and the
representations and warranties by, and the other agreements on the part of, the Company to and for the benefit of such underwriters, shall also be made to and for the benefit of such Selling Holders. Such underwriting agreement shall also contain
such representations and warranties and covenants by such Selling Holders and such other terms and provisions as are customarily contained in underwriting agreements with respect to secondary distributions on the part of selling shareholders,
including indemnification and contribution provisions substantially to the effect and to the extent provided in Section 2.06. 
  
 (b) In connection with the preparation and filing of each registration statement registering Registrable Securities under the 1933 Act pursuant to this Article 2, upon entering into a confidentiality agreement with the Company that
is reasonably satisfactory to the Company, the Company shall give the underwriters, if any, and underwriters’ counsel, and counsel for the Holders as selected pursuant to Section 2.01(f) or by the Selling Holders holding a majority of the
Registrable Securities included in the relevant registration statement, as applicable, such reasonable and customary access to its books, records and properties and such opportunities to discuss the business and affairs of the Company with its
officers and the independent public accountants who have certified the financial statements of the Company as shall be necessary, in the opinion of such underwriters, such underwriters’ counsel or such counsel for the Holders, to conduct a
reasonable investigation within the meaning of the 1933 Act; provided that such underwriters, such underwriters’ counsel and such counsel for the Holders shall use their reasonable best efforts to coordinate any such investigation of the
books, records and properties of the Company and any such discussions with the Company’s officers and accountants so that all such investigations occur at the same time and all such discussions occur at the same time. 
  
 Section 2.06.    Indemnification and Contribution.  (a) The Company agrees to indemnify and hold
harmless each Selling Holder and each person, if any, who controls each Selling Holder within the meaning of either Section 15 of the 1933 Act or Section 20 of the 1934 Act from and against any and all losses, claims, damages and liabilities
(including, subject to Section 2.06(c), any legal or other costs, fees and expenses reasonably incurred in connection with defending or 

 
 15 

  
 investigating any such action or claim) insofar as such losses, claims, damages or liabilities are
caused by any untrue statement or alleged untrue statement of a material fact contained in any registration statement at the time it became effective or any amendment thereof, any preliminary prospectus (as amended or supplemented if the Company
shall have furnished any amendments or supplements thereto) or prospectus (as amended or supplemented if the Company shall have furnished any amendments or supplements thereto) relating to the Registrable Securities, or caused by any omission or
alleged omission to state therein a material fact required to be stated therein or necessary to make the statements therein not misleading, except insofar as such losses, claims, damages or liabilities are caused by any such untrue statement or
omission or alleged untrue statement or omission which is based upon information relating to a Selling Holder or underwriter which is furnished to the Company in writing by such Selling Holder or underwriter expressly for use therein. The Company
also agrees to indemnify any underwriter of the Registrable Securities so offered and each person, if any, who controls such underwriter on substantially the same basis as that of the indemnification by the Company of each Selling Holder provided in
this Section 2.06(a). 
  
 (a)  Each Selling Holder agrees to indemnify and hold harmless the Company, its
directors, the officers who sign any registration statement and each person, if any, who controls the Company within the meaning of either Section 15 of the 1933 Act or Section 20 of the 1934 Act, from and against any and all losses, claims, damages
and liabilities (including, subject to Section 2.06(d), any legal or other costs, fees and expenses reasonably incurred in connection with defending or investigating any such action or claim) insofar as such losses, claims, damages or liabilities
are caused by any untrue statement or alleged untrue statement of a material fact contained in such registration statement at the time it became effective or any amendment thereof, any preliminary prospectus (as amended or supplemented if the
Company shall have furnished any amendments or supplements thereto) or prospectus (as amended or supplemented if the Company shall have furnished any amendments or supplements thereto) relating to the Registrable Securities, or caused by any
omission or alleged omission to state therein a material fact required to be stated therein or necessary to make the statements therein not misleading, but only with reference to information relating to a Selling Holder furnished in writing by or on
behalf of such Selling Holder expressly for use in a registration statement, any preliminary prospectus, prospectus or any amendments or supplements thereto. Each Selling Holder also agrees to indemnify any underwriter of the Registrable Securities
so offered and each person, if any, who controls such underwriter on substantially the same basis as that of the indemnification by such Selling Holder of the Company provided in this Section 2.06(b). Notwithstanding any other provision of this
Section 2.06, no Selling Holder’s obligations to indemnify pursuant to this Section 2.06 shall exceed the amount of net proceeds received by such Selling Holder in connection 

 
 16 

  
 with any offering of its Registrable Securities. Each Selling Holder’s obligations to indemnify
pursuant to this Section are several in the proportion that the net proceeds of the offering received by such Selling Holder bear to the total net proceeds of the offering received by all Selling Holders and not joint. 
  
 (c)  Each party indemnified under paragraph (a) or (b) above shall, promptly after receipt of notice of a claim or action
against such indemnified party in respect of which indemnity may be sought hereunder, notify the indemnifying party in writing of the claim or action and the indemnifying party shall assume the defense thereof, including the employment of counsel
reasonably satisfactory to such indemnified party, and shall assume the payment of all fees and expenses in connection therewith; provided that the failure of any indemnified party so to notify the indemnifying party shall not relieve the
indemnifying party of its obligations hereunder except to the extent that the indemnifying party is materially prejudiced by such failure to notify. In any such action, any indemnified party shall have the right to retain its own counsel, but the
fees and expenses of such counsel shall be at the sole expense of such indemnified party unless (i) the indemnifying party and the indemnified party shall have mutually agreed to the retention of such counsel or (ii) in the reasonable judgment of
such indemnified party representation of both parties by the same counsel would be inappropriate due to actual or potential differing interests between them, in which case the reasonable fees and expenses of such counsel shall be at the sole expense
of the indemnifying party. It is understood that the indemnifying party shall not, in connection with any claim or action or related proceeding in the same jurisdiction, be liable for the reasonable fees and expenses of more than one separate firm
of attorneys (in addition to any local counsel) at any time for all such indemnified parties, and that all such reasonable fees and expenses shall be reimbursed as they are incurred. In the case of any such separate firm for the Holders as
indemnified parties, such firm shall be designated in writing by the indemnified party that had the largest number of Registrable Securities included in such registration. The indemnifying party shall not be liable for any settlement of any claim or
action effected without its written consent, which consent shall not be unreasonably withheld or delayed, but if settled with such consent, or if there be a final judgment for the plaintiff, the indemnifying party shall indemnify and hold harmless
such indemnified parties from and against any loss or liability (to the extent stated above) by reason of such settlement or judgment. No indemnifying party shall, without the prior written consent of the indemnified party, effect any settlement of
any pending or threatened claim or action in respect of which any indemnified party is or could have been a party and indemnity could have been sought hereunder by such indemnified party, unless such settlement includes an unconditional release of
such indemnified party from all liability arising out of such proceeding. 
  
 (d)  If the indemnification
provided for in this Section 2.06 shall for any reason be unavailable (other than in accordance with its terms) or insufficient to 

 
 17 

  
 an indemnified party in respect of any loss, liability, cost, claim or damage referred to therein, then
each indemnifying party shall, in lieu of indemnifying such indemnified party, contribute to the amount paid or payable by such indemnified party as a result of such loss, liability, cost, claim or damage (A) as between the Company and the
underwriters, in such proportion as is appropriate to reflect the relative fault of the indemnifying party or parties on the one hand and of the indemnified party or parties on the other hand in connection with the statements or omissions that
resulted in such losses, claims, damages or liabilities, as well as any other relevant equitable considerations, and (B) as between (x) the Company and the Selling Holders or (y) the Selling Holders and the underwriters, in such proportion as is
appropriate to reflect the relative fault of the indemnifying party or parties on the one hand and of the indemnified party or parties on the other hand in connection with the statements or omissions that resulted in such losses, claims, damages or
liabilities, as well as any other relevant equitable considerations. The relative fault of the Company, the Selling Holders and the underwriters shall be determined by reference to, among other things, whether the untrue or alleged untrue statement
of a material fact or the omission or alleged omission to state a material fact relates to information supplied by the Company, by a Selling Holder or by the underwriters and the parties’ relative intent, knowledge, access to information and
opportunity to correct or prevent such statement or omission. The amount paid or payable by an indemnified party as a result of the loss, cost, claim, damage or liability, or action in respect thereof, referred to above in this paragraph (d) shall
be deemed to include, for purposes of this paragraph (d), any legal or other costs, fees and expenses reasonably incurred by such indemnified party in connection with investigating or defending any such action or claim. The Company and the Selling
Holders agree that it would not be just and equitable if contribution pursuant to this Section 2.06 were determined by pro rata allocation (even if the underwriters were treated as one entity for such purpose) or by any other method of
allocation which does not take account of the equitable considerations referred to in this paragraph. Notwithstanding any other provision of this Section 2.06, no Selling Holder shall be required to contribute any amount in excess of the amount by
which the net proceeds of the offering received by such Selling Holder exceed the amount of any damages which such Selling Holder has otherwise been required to pay by reason of such untrue or alleged untrue statement or omission or alleged
omission. Each Selling Holder’s obligations to contribute pursuant to this Section are several in the proportion that the net proceeds of the offering received by such Selling Holder bear to the total net proceeds of the offering received by
all the Selling Holders and not joint. No person guilty of fraudulent misrepresentation (within the meaning of Section 11(f) of the 1933 Act) shall be entitled to contribution from any person who was not guilty of such fraudulent misrepresentation.

  
 (e)  Indemnification and contribution similar to that specified in the preceding paragraphs of this
Section 2.06 (with appropriate modifications) shall 

 
 18 

  
 be given by the Company, the Selling Holders and the underwriters with respect to any required
registration or other qualification of securities under any state law or regulation or governmental authority. 
  
 (f)  The obligations of the parties under this Section 2.06 shall be in addition to any liability which any party may otherwise have to any other party. 
  
 Section 2.07. Rule 144 and Form S-3.  The Company shall use its reasonable efforts to ensure that the conditions to the availability of Rule 144 set forth
in paragraph (c) thereof shall at all times be satisfied. Upon the request of any Holder, the Company will deliver to such Holder a written statement as to whether it has complied with such requirements. The Company further agrees to use its
reasonable efforts to cause all conditions to the availability of Form S-3 (or any successor form) under the 1933 Act for the filing of registration statements under this Agreement to at all times be satisfied. 
  
 Section 2.08. Transfers; Rights of Transferee of Registrable Securities; Legends.  Each Holder agrees not to make any
transfer of all or any portion of the Registrable Securities unless and until (a) there is then in effect a registration statement under the 1933 Act covering such proposed transfer and such transfer is made in accordance with such registration
statement, (b) such transfer is made in accordance with Rule 144 under the 1933 Act or (c) (i) the transferee (the “Transferee”) has agreed in writing to be bound by these transfer restrictions, (ii) such Holder shall have notified
the Company of the proposed transfer and shall have furnished the Company with a reasonably detailed statement of the circumstances surrounding the proposed transfer (but not necessarily the economic terms thereof) and (iii) if reasonably requested
by the Company and the Transferee is not an Affiliate of the Holder, such Holder shall have furnished the Company with an opinion of counsel, reasonably satisfactory to the Company, that such transfer does not require registration of the Registrable
Securities under the 1933 Act. Subject to compliance with clause (c) of the immediately preceding sentence, the Transferee of Registrable Securities will be deemed a Holder hereunder as soon as the Company receives (i) written notice stating the
name and address of the Transferee and identifying the number of Registrable Securities transferred and (ii) a written agreement, in form and substance acceptable to the Majority Holders, from such Transferee to the Company whereby such Transferee
agrees to be bound by the terms of this Agreement. Certificates representing Registrable Securities shall bear a legend referring to this Agreement and the transfer restrictions contained herein. 
  

Section 2.09. “Market Stand-Off” Agreement.  Each Holder hereby agrees that such Holder shall not sell, transfer, make any short sale of,
grant any option for the purchase, or enter into any hedging or similar transaction with the same economic effect as a sale, of any Common Stock or securities convertible into or exercisable for Common Stock held by such Holder (other than the sale
pursuant 

 
 19 

  
 to the registration statement of those securities included in the registration) for 90 days (or such
lesser period as the lead or managing underwriters may permit) after the effective date of a registration statement for an underwritten public offering of any of the Company’s equity securities (or the commencement of the offering to the public
of any of the Company’s equity securities in the case of a Rule 415 Offering). Each Holder agrees to execute and deliver such other agreements as may be reasonably requested by the Company or the underwriter which are consistent with the
foregoing or which are necessary to give further effect thereto. 
  
 Section 2.10. Inconsistent
Agreements.  The Company shall not hereafter enter into any agreement with respect to its securities which is inconsistent with or violates the rights granted to the holders of Registrable Securities in this Agreement. 

 
 Section 2.11. 1999 Stockholders Agreement.  The Company and the Syngenta Parties hereby agree that in
consideration for the existing shares of Common Stock held by the Syngenta Parties and their Affiliates as of the date of the Transaction Agreement being included as “Registrable Securities” under this Agreement, neither the Company nor
the Syngenta Parties shall treat such shares as being subject to the 1999 Stockholders Agreement. 
  
 ARTICLE 3 

MISCELLANEOUS 
  
 Section
3.01. Remedies. Any Person having rights under any provision of this Agreement shall be entitled to enforce such rights specifically (without posting a bond or other security), to recover damages caused by reason of any breach of any
provision of this Agreement and to exercise all other rights granted by law. The parties hereto agree and acknowledge that money damages may not be an adequate remedy for any breach of the provisions of this Agreement and that any party may in its
sole discretion apply to any court of law or equity of competent jurisdiction (without posting any bond or other security) for specific performance and for other injunctive relief in order to enforce or prevent violation of the provisions of this
Agreement. 
  
 Section 3.02. Consents to Amendments.  The provisions of this Agreement may be
amended, modified or waived only upon the prior written consent of the Company and holders of at least a majority of the Registrable Securities held by all Holders. No course of dealing between the Company and any Holder or any delay by the Company
or such Holder in exercising any rights hereunder shall operate as a waiver of any rights of the Company or such Holder. 
  
 Section 3.03. Successors and Assigns.  All covenants and agreements contained in this Agreement by or on behalf of any of the parties hereto shall bind 

 
 20 

  
 and inure to the benefit of the respective successors and permitted assigns of the parties hereto
whether so expressed or not; provided that the Company may not assign, delegate or otherwise transfer any of its rights or obligations under this Agreement without the prior written consent of holders of at least a majority of the Registrable
Securities held by all Holders. 
  
 Section 3.04. 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 is held to be prohibited by or invalid under applicable law, such provision shall be ineffective only to
the extent of such prohibition or invalidity, without invalidating the remainder of this Agreement. 
  
 Section
3.05. Counterparts.  This Agreement may be executed simultaneously in two or more counterparts, any one of which need not contain the signatures of more than one party, but all such counterparts taken together shall constitute one
and the same Agreement. 
  
 Section 3.06. Descriptive Headings; Interpretation.  The descriptive
headings of this Agreement are inserted for convenience only and do not constitute a substantive part of this Agreement. The use of the words “include” or “including” in this Agreement shall be by way of example rather than by
limitation. Reference to any agreement, document or instrument means such agreement, document or instrument as amended or otherwise modified from time to time in accordance with its terms. 
  
 Section 3.07. Governing Law.  This Agreement shall be governed by and construed in accordance with the law of the State of New York, without regard to the
conflicts of law rules of such state. 
  
 Section 3.08. Jurisdiction.  Except as otherwise expressly
provided in this Agreement, the parties hereto agree that any suit, action or proceeding seeking to enforce any provision of, or based on any matter arising out of or in connection with, this Agreement or the transactions contemplated hereby shall
be brought in the United States District Court for the Southern District of New York or any New York State court sitting in New York City, so long as one of such courts shall have subject matter jurisdiction over such suit, action or proceeding, and
that any cause of action arising out of this Agreement shall be deemed to have arisen from a transaction of business in the State of New York, and each of the parties hereby irrevocably consents to the jurisdiction of such courts (and of the
appropriate appellate courts therefrom) in any such suit, action or proceeding and irrevocably waives, to the fullest extent permitted by law, any objection that it may now or hereafter have to the laying of the venue of any such suit, action or
proceeding in any such court or that any such suit, action or proceeding which is brought in any such court has been brought in an inconvenient forum. Process in 

 
 21 

  
 any such suit, action or proceeding may be served on any party anywhere in the world, whether within or
without the jurisdiction of any such court. Without limiting the foregoing, each party agrees that service of process on such party as provided in Section 3.10 shall be deemed effective service of process on such party. 
  
 Section 3.09. WAIVER OF JURY TRIAL.  EACH OF THE PARTIES HERETO HEREBY IRREVOCABLY WAIVES ANY AND ALL RIGHT TO TRIAL BY
JURY IN ANY LEGAL PROCEEDING ARISING OUT OF OR RELATED TO THIS AGREEMENT OR THE TRANSACTIONS CONTEMPLATED HEREBY. 
  
 Section 3.10. Addresses and Notices.  All notices, requests or other communications to any party hereunder shall be in writing (including facsimile transmission) and shall be given, 
  
 if to the Company, to: 
  
 Diversa Corporation 
 4955 Directors Place 
 San Diego, California 92121 
 Attention: Karin
Eastham Fax: 
 858-526-5605 
  
 with a copy to: 
  
 Cooley Godward LLP 
 4401 Eastgate Mall 
 San Diego, California
92121 
 Attention: Carl R. Sanchez, Esq. 
 Fax: 858-550-6420 
  
 if to the Syngenta Parties, to: 
  
 Syngenta Participations AG 
 Schwarzwaldallee 215 
 CH-4002 Basel 
 Switzerland 
 Attention: President 
 Fax: (41) 61-323-7571 

 
 22 

  
 with a copy to: 
  
 Davis Polk & Wardwell 
 450 Lexington
Avenue 
 New York, New York 10017 
 Attention: Louis Goldberg, Esq. 
 Fax: (212) 450-3800 
  
 and if to any other Holder, to the address or facsimile set forth on the books of the Company or any other address or facsimile number as a party may hereafter specify for such purpose to the Company.
Notwithstanding the foregoing, no Holder or its counsel shall be entitled to notice if such Holder holds less than 1% in the aggregate of the Registrable Securities held by all Holders. 
  
 All such notices, requests and other communications shall be deemed received on the date of receipt by the recipient thereof if received prior to 5 p.m. in the place of
receipt and such day is a business day in the place of receipt. Otherwise, any such notice, request or communication shall be deemed not to have been received until the next succeeding business day in the place of receipt. 
  
 Section 3.11. Business Days.  If any time period for giving notice or taking action hereunder expires on a day which is a
Saturday, Sunday or legal holiday in the state in which the Company’s chief executive office is located, the time period shall automatically be extended to the business day immediately following such Saturday, Sunday or legal holiday.

  
 Section 3.12 Effectiveness.  This Agreement shall be effective upon the Closing. 

 
 23 

  
 IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be duly
executed as of the day and year first above written. 
 
	 SYNGENTA PARTICIPATIONS AG
 
	 
	 By:
 	 	 /s/    Adrian C. Dubock    
 

	  	 	 Name:    Adrian C. Dubock
 Title:      Head: Mergers &Acquisitions,
                Ventures and Licensing
 

 
  
 
	 
	 By:
 	 	 /s/    Marian T. Flattery
 

	  	 	 Name:    Marian T. Flattery
 Title:      Head of Global Intellectual Property
 

 
  
 
	 TORREY MESA RESEARCH INSTITUTE
 
	 
	 By:
 	 	 /s/    Adrian C. Dubock        
 

	  	 	 Name:    Adrian C. Dubock
 Title:      Attorney in fact
 

 
  
 
	 SYNGENTA SEEDS AG 
 
	 
	 By:
 	 	 /s/    Adrian C. Dubock    
 

	  	 	 Name:    Adrian C. Dubock
 Title:      Head:  Mergers &
                Acquisitions, Ventures and Licensing
 

 
  
 
	 
	 By:
 	 	 /s/    Marian T. Flattery
 

	  	 	 Name:    Marian T. Flattery
 Title:      Head of Global Intellectual Property
 

 
  
 
	 DIVERSA CORPORATION
 
	 
	 By:
 	 	 /s/    Jay M. Short
 

	  	 	 Name:    Jay M. Short
 Title:      CEO
 

 

 
 24Research Collaboration Agreement

 ***Text Omitted and Filed Separately 
 Confidential Treatment Requested 
 Under 17 C.F.R. §§ 200.80(b)(4), 
 200.83 and 240.24b-2 
  
 Exhibit 10.46 
  
 AMENDED AND RESTATED RESEARCH COLLABORATION AGREEMENT 
  
 BETWEEN 
  
 DIVERSA CORPORATION 
  
 AND 
  
 SYNGENTA PARTICIPATIONS AG 
  
 January 3, 2003 

 

  
 TABLE OF CONTENTS 
  
 
	  	  	  	  	 Page
 

	 1
 	  	 Definitions
 	  	 2
 
	 
	 2
 	  	 Research Program
 	  	 10
 
	 
	  	  	 2.1 Research
 	  	 10
 
	 
	  	  	 2.2 Projects and Project Research
 	  	 11
 
	 
	  	  	 2.3 Directed Research
 	  	 19
 
	 
	  	  	 2.4 Research Plan
 	  	 19
 
	 
	  	  	 2.5 Staffing Level
 	  	 21
 
	 
	  	  	 2.6 Research Funding
 	  	 21
 
	 
	  	  	 2.7 Use of Materials and Syngenta Proprietary Technology
 	  	 25
 
	 
	 3
 	  	 Research Committee
 	  	 26
 
	 
	  	  	 3.1 Representatives
 	  	 26
 
	 
	  	  	 3.2 Responsibilities
 	  	 26
 
	 
	  	  	 3.3 Decision Making
 	  	 27
 
	 
	  	  	 3.4 Meetings
 	  	 28
 
	 
	  	  	 3.5 Records and Reports
 	  	 28
 
	 
	 4
 	  	 Exclusivity and Other Covenants
 	  	 29
 
	 
	  	  	 4.1 Diversa Exclusivity Obligations
 	  	 29
 
	 
	  	  	 4.2 Mutual Exclusivity Obligations
 	  	 32
 
	 
	  	  	 4.3 Diversa Third Party Projects
 	  	 33
 
	 
	  	  	 4.4 Syngenta Agreement
 	  	 33
 
	 
	 5
 	  	 Research Milestone Payments
 	  	 35
 
	 
	  	  	 5.1 Project Milestones
 	  	 35
 
	 
	  	  	 5.2 Milestone Payments
 	  	 36
 
	 
	 6
 	  	 Royalties
 	  	 36
 
	 
	  	  	 6.1 Royalty Rate
 	  	 36
 
	 
	  	  	 6.2 Cumulative Royalty
 	  	 37
 
	 
	  	  	 6.3 Net Revenue Adjustment
 	  	 37
 
	 
	  	  	 6.4 Non-Cash Revenue
 	  	 37
 
	 
	  	  	 6.5 Duration of Royalties
 	  	 38
 
	 
	  	  	 6.6 Third Party Royalties
 	  	 38
 
	 
	  	  	 6.7 Withholding Taxes
 	  	 39
 
	 
	 7
 	  	 Books and Records
 	  	 39
 
	 
	  	  	 7.1 Reports and Payments
 	  	 39
 
	 
	  	  	 7.2 Payment Method; Late Payments
 	  	 40
 
	 
	  	  	 7.3 Currency Conversion
 	  	 40
 
	 
	  	  	 7.4 Restrictions on Payment
 	  	 40
 
	 
	  	  	 7.5 Records; Inspection
 	  	 40
 

 

 

  
 
	 
	 8
 	  	 Intellectual Property
 	  	 41
 
	 
	  	  	 8.1   Ownership of Existing Intellectual Property and Improvements
 	  	 41
 
	 
	  	  	 8.2   Ownership of New Intellectual Property and Research Results
 	  	 41
 
	 
	  	  	 8.3   Ownership Dispute
 	  	 42
 
	 
	  	  	 8.4   License of Platform Technology and Biomolecules
 	  	 43
 
	 
	  	  	 8.5   Research License
 	  	 45
 
	 
	  	  	 8.6   Filing of Patents
 	  	 45
 
	 
	  	  	 8.7   Patent Enforcement
 	  	 46
 
	 
	  	  	 8.8   Third Party Infringement
 	  	 47
 
	 
	  	  	 8.9   No Unauthorized Use
 	  	 48
 
	 
	  	  	 8.10  No Implied Licenses
 	  	 48
 
	 
	 9
 	  	 Representations and Warranties
 	  	 48
 
	 
	  	  	 9.1    Legal Authority
 	  	 48
 
	 
	  	  	 9.2   No Conflicts
 	  	 48
 
	 
	  	  	 9.3   Disclaimer of Warranties
 	  	 49
 
	 
	 10
 	  	 Confidentiality
 	  	 49
 
	 
	  	  	 10.1  Confidential Information
 	  	 49
 
	 
	  	  	 10.2  Permitted Disclosures
 	  	 50
 
	 
	  	  	 10.3  Publicity
 	  	 51
 
	 
	  	  	 10.4  Publication
 	  	 51
 
	 
	 11
 	  	 Indemnification
 	  	 52
 
	 
	  	  	 11.1  Syngenta
 	  	 52
 
	 
	  	  	 11.2  Diversa
 	  	 52
 
	 
	  	  	 11.3  Procedure
 	  	 53
 
	 
	 12
 	  	 Term and Termination
 	  	 53
 
	 
	  	  	 12.1  Term and Termination of Research Program
 	  	 53
 
	 
	  	  	 12.2  Term and Termination of Agreement
 	  	 54
 
	 
	  	  	 12.3  Termination for Material Breach
 	  	 54
 
	 
	  	  	 12.4  Termination for Bankruptcy
 	  	 55
 
	 
	  	  	 12.5  Termination for Change in Control of Diversa
 	  	 55
 
	 
	  	  	 12.6  Effect of Termination
 	  	 56
 
	 
	  	  	 12.7  Survival
 	  	 56
 
	 
	  	  	 12.8  Rights in Bankruptcy
 	  	 56
 
	 
	 13
 	  	 Dispute Resolution
 	  	 57
 
	 
	  	  	 13.1  Acknowledgement
 	  	 57
 
	 
	  	  	 13.2  Consultation
 	  	 57
 
	 
	  	  	 13.3  Arbitration
 	  	 57
 
	 
	 14
 	  	 Miscellaneous
 	  	 60
 
	 
	  	  	 14.1  Governing Law
 	  	 60
 
	 
	  	  	 14.2  Waiver
 	  	 60
 
	 
	  	  	 14.3  Assignment
 	  	 60
 
	 
	  	  	 14.4  Notices
 	  	 61
 

 

 
 ii 

  
 
	 
	 14.5  
 	  	 Force Majeure
 	  	 62
 
	 
	 14.6  
 	  	 Independent Contractors
 	  	 63
 
	 
	 14.7  
 	  	 Advice of Counsel
 	  	 63
 
	 
	 14.8  
 	  	 Severability
 	  	 63
 
	 
	 14.9  
 	  	 Compliance with Laws
 	  	 63
 
	 
	 14.10
 	  	 Entire Agreement
 	  	 63
 
	 
	 14.11
 	  	 Headings
 	  	 63
 
	 
	 14.12
 	  	 Binding Effect
 	  	 64
 
	 
	 14.13
 	  	 Counterparts
 	  	 64
 
	 
	 Exhibit A - Platform Technology Patent Applications
 	  	  
	 
	 Exhibit B - Project List as of Effective Date
 	  	  
	 
	 Exhibit C - Patent Strategy Cooperation Procedures
 	  	  

 

 
 iii 

 AMENDED AND RESTATED RESEARCH COLLABORATION AGREEMENT 
  
 This AMENDED AND RESTATED RESEARCH COLLABORATION AGREEMENT (the “Agreement”), entered into as of January 3, 2003 and effective as of the closing of the
transactions contemplated by the Transaction Agreement (as defined below) (the “Effective Date”), is made by and between Syngenta Participations AG, a corporation organized under the laws of Switzerland, with offices at CH-4002, Basel,
Switzerland (“Syngenta”), and Diversa Corporation, a Delaware corporation, with offices at 4955 Directors Place, San Diego, California, 92121-1609 (“Diversa”). 
  
 BACKGROUND 
  
 A.    WHEREAS
Diversa has a business based on gene diversity, gene enhancement, and chemical, industrial, agricultural and pharmaceutical applications and desires to become more focused on pharmaceutical applications, while continuing to exploit its research,
chemical and industrial business opportunities; 
  
 B.    WHEREAS Syngenta and its Affiliates (as
defined herein) have a business engaged primarily in the discovery, development, and commercialization of agricultural chemicals, plant traits, seeds, and products for the food, feed and natural fiber markets, and has certain technology and
expertise related to functional genomics and systems biology incorporating gene sequencing, proteomics, metabolomics, RNA dynamics, the ability to analyze and interpret these systems, and bioinformatics software; 
  
 C.    WHEREAS Diversa has entered into an agreement to acquire certain assets of Syngenta’s Affiliate Torrey Mesa
Research Institute (“TMRI”) and to enter into a license agreement with Syngenta to use certain technology for the purposes set forth therein in exchange for shares of Diversa common stock and a warrant to acquire additional shares of
Diversa common stock to be issued to Syngenta or its designee; 
  
 D.    WHEREAS (i) Syngenta and
Diversa have entered into the Research Collaboration Agreement dated as of December 3, 2002 (as amended, the “Existing Agreement”) in order to collaborate in the Syngenta Exclusive Field (as defined herein) to discover and develop new
Biomolecules and Products (as such terms are defined herein) based on such Biomolecules utilizing the technology licensed by Syngenta to Diversa as well as Diversa’s technology and expertise and (ii) Syngenta and Diversa wish to replace the
Existing Agreement with this Agreement. 
  
 NOW, THEREFORE, in consideration of the mutual covenants contained
herein, and for other good and valuable consideration, the Parties hereby agree as follows: 

 
 1 

 

  
 1.    DEFINITIONS 
  
 The following capitalized terms shall have the meanings indicated for purposes of this Agreement: 
  
 1.1    “Affiliate” means any corporation, firm, limited liability company, partnership or other entity that directly or indirectly
controls or is controlled by or is under common control with a Party to this Agreement. As used in this definition, control means ownership, directly or through one or more Affiliates, of more than fifty percent (50%) of the shares of stock entitled
to vote for the election of directors, in the case of a corporation, or more than fifty percent (50%) of the equity interests in the case of any other type of legal entity, status as a general partner in any partnership, or any other arrangement
whereby a Party controls or has the right to control the Board of Directors or equivalent governing body of a corporation or other entity, or if such level of ownership or control is prohibited in any country, any entity owning or controlling at the
maximum control or ownership right permitted in the country where such entity exists. 
  
 1.2    “Animal Feed Field” means the use of Biomolecules for feed applications to alter, modify or improve feed conversion and/or animal nutrition, but excluding all vaccines and therapeutic
applications and any part of such field to which rights have been granted to Zymetrics or Syngenta or any of its Affiliates under the Zymetrics Agreements. 
  
 1.3    “Biomolecule” means any Gene and RNA and protein or chemical entity the synthesis of which is directed by such Gene or Gene pathway, which protein or
chemical entity was produced by an organism. 
  
 1.4    “Change in Control”
means any of the following transactions: (a) a merger, reorganization, restructuring, or consolidation of Diversa which results in the holders of the voting securities of Diversa outstanding immediately prior thereto ceasing to hold at least
[...***...] of the combined voting power of the surviving entity or its parent immediately after such merger, reorganization, or consolidation; (b) the sale or transfer which is effectively a sale of all or substantially all of the
assets of Diversa; or (c) any one person (other than Diversa, any trustee or other fiduciary holding securities under an employee benefit plan of Diversa, or any corporation owned directly or indirectly by the stockholders of Diversa, in
substantially the same proportion as their ownership of stock of Diversa), together with any such person’s “affiliates” or “associates”, as such terms are used in the Securities Exchange Act of 1934, as amended, becoming the
beneficial owner of [...***...] of the combined voting power of the outstanding securities of Diversa or by contract or otherwise having the 

 
 *Confidential Treatment Requested 

 
 2 

  
 right to control the Board of Directors or equivalent governing body of Diversa or the ability to cause
the direction of management of Diversa. 
  
 1.5      “CPI” or
“Consumer Price Index” means the Consumer Price Index, All Urban Consumers, as published by the U.S. Bureau of Labor Statistics. 
  
 1.6      “Control”, “Controls”, or “Controlled” means possession of the ability to grant the licenses or sublicenses as
provided for herein (other than by virtue of any license granted pursuant to this Agreement or the License Agreement) without violating the terms of any agreement or other arrangement with any Third Party. 
  
 1.7      “Core Country” means each of the United States, Canada, Japan, and any country in
the European Union for which patent protection can be obtained through the European Patent Office. 
  
 1.8      “Crop” means any cultivated Plant. 
  
 1.09    “Directed Research” means the research activities which: (i) are funded by Syngenta pursuant to this Agreement, and (ii) are not intended to result in a product, per se. 

 
 1.10    “Diversa Commitments” means those contractual obligations to Third Parties entered
into by Diversa, certain other Diversa projects involving Third Parties under the terms negotiated or agreed, which projects were committed to by Diversa or under substantially advanced negotiations with the Third Parties, and Diversa’s
internally funded activities (other than its internally funded projects related to [...***...]), in each case as of October 25, 2002, which Diversa has disclosed to Syngenta in writing prior to the date of the Transaction Agreement
together with the Permitted Amendments. 
  
 1.11    “Diversa Materials” means
all Materials Controlled by Diversa which Diversa makes available for use in the Research Program. 
  
 1.12    “Diversa Product” means any product sold or licensed, or being developed for sale or license, by Diversa or its Affiliates or Sublicensees which is generated pursuant to Section 2.2(j)(iv)
herein for use outside the Syngenta Exclusive Field. 
  
 1.13    “Diversa Proprietary
Genes” means Genes which are or were discovered or owned by Diversa, and the discovery of which was not funded, in whole or in 

 
 *Confidential Treatment Requested 

 
 3 

 part, by a Third Party, directly or indirectly, and are not discovered or identified under the Research Program. 
  
 1.14    “Fermentation” means a microbial fermentation process. 
  
 1.15    “FTE” means a full time scientist who is an employee or consultant of Diversa (or in the case
of less than a full-time dedicated scientist, a full-time, equivalent scientist year), dedicated to research under the Research Program consisting of an average of [...***...] person-hours per year and who are educated to Ph.D., MS or
BS level (or otherwise appropriately trained) in an appropriate discipline. 
  
 1.16    “GAAP” means generally accepted accounting principles, as applied in the United States. 
  
 1.17    “Gene” means a polynucleotide sequence which can be transcribed into RNA and generally encodes a protein, optionally together with its regulatory sequences.

  
 1.18    “Know-How” means all proprietary ideas, inventions, data,
instructions, processes, trade secrets, devices, methods, formulae, Materials, protocols and marketing and other information, including improvements thereon, whether or not patentable, including, without limitation, biological, chemical,
toxicological, physical and analytical, safety, manufacturing and quality control data and information, which are not publicly available and not covered by Patent Rights, but which are necessary or useful for the commercial exploitation of the
Patent Rights or the conduct of the Projects or otherwise relate to Biomolecules or Products, and are Controlled by a Party or its Affiliate as of the Effective Date or thereafter if based on or derived from information or inventions generated in
the course of the Research Program. 
  
 1.19    “License Agreement” means that
certain Intellectual Property Rights License Agreement of even date herewith entered into between Diversa and Syngenta in conjunction with this Agreement. 

 
 *Confidential Treatment Requested 

 
 4 

  
 1.20    “Materials” means any chemical or
biological substances, including, without limitation, any: (i) organic or inorganic chemical element or compound; (ii) Gene or genetic material, including any genetic control element (e.g., promoters); (iii) Biomolecule; (iv) vector or construct,
plasmid, phage or virus; (v) host organism, including bacteria and Plant cells; (vi) eukaryotic or prokaryotic cell line or expression system; (vii) protein, including any peptide or amino acid sequence, enzyme, antibody or protein conferring
targeting properties and any fragment of a protein or peptide or enzyme; or (viii) assay or reagent. 
  
 1.21    “Net Revenue” means Revenue, less the following amounts with respect to the applicable Product, to the extent not previously deducted: trade and quantity discounts and returns and
[...***...] actually granted to purchasers or licensees, and less taxes withheld (excluding income tax), customs and freight charges, and calculated using the applicable Party’s standard accounting procedures in accordance with
GAAP, as consistently applied by such Party. 
  
 1.22    “Party” means Syngenta
or Diversa, as applicable, and the “Parties” means Syngenta and Diversa. 
  
 1.23    “Patent Rights” means any United States or foreign patent or patent application, and any division, continuation, continuation-in-part, reissue, reexamination, extension or other
governmental action that extends the subject matter of such patent or patent application, substitution, confirmation, registration or revalidation of the foregoing, in each case, that claims a Biomolecule or a Product or a method or process for the
manufacture or use thereof and that is Controlled by Syngenta or Diversa or their respective Affiliates, or jointly by Syngenta and Diversa as of the Effective Date or thereafter for inventions made in the course of the Research Program.

  
 1.24    “Permitted Amendments” means any modification or amendment to any
Diversa Commitment or Syngenta Commitment, as the case may be, that would not [...***...] as disclosed by Diversa to Syngenta, in the case of Diversa Commitments, and as disclosed by Syngenta to Diversa, in the case of Syngenta
Commitments, in writing prior to the date of the Transaction Agreement in a manner that would [...***...] under this Agreement. 
  
 1.25    “Plant” means a [...***...] plant, or an [...***...]. 

 
 *Confidential Treatment Requested 

 
 5 

  
 1.26    “Plant Gene” means a Gene which is
native to a Plant. 
  
 1.27    “Platform Technology” means all tools,
technologies and methods relating to proteomics, metabolomics, RNA dynamics and bioinformatics and methods to analyze and link these components of genomics, which are both (i) not publicly available and are proprietary to or Controlled by Syngenta
or its Affiliates immediately prior to the closing of the transactions under the Transaction Agreement, and (ii) claimed or disclosed within the patent applications and patents listed on Exhibit A or are within the scope of the material trade
secrets related thereto, a written description of such material trade secrets having been previously provided by Syngenta to Diversa. 
  
 1.28    “Platform Technology Improvement” means any enhancement or improvement to the Platform Technology, whether or not patentable, made, conceived or reduced to practice solely by any
employee or consultant of Syngenta, solely by any employee or consultant of Diversa or jointly by any employee or consultant of Syngenta and any employee or consultant of Diversa, and all Patent Rights and Know-How that claim, disclose or cover such
enhancement or improvement. 
  
 1.29    “Preferred Supplier Period” means the
period commencing on the Effective Date and continuing for that portion of the [...***...]. 
  
 1.30    “Product” means a Diversa Product or a Syngenta Product, as applicable. 
  
 1.31    “Program Materials” means all Materials which are developed or made, or the utility of which is determined or discovered, pursuant to the Research Program, excluding Diversa
Materials and Syngenta Materials. 
  
 1.32    “Program Technology” means all
Research Results and Program Materials, and Patent Rights and Know-How claiming, disclosing or covering such Research Results or Program Materials but excluding either Party’s proprietary technology and improvements and intellectual property
rights therein which are retained by such Party under Section 8.1. 
  
 1.33    “Project” means each specific project in the Syngenta Exclusive Field undertaken, or initially undertaken, in the Research Program as set forth in Section 2.2, which are described in
Exhibit B, as may be updated from time to time as provided in this Agreement, including without limitation the active Projects and the Reserved Projects and 

 
 *Confidential Treatment Requested 

 
 6 

  
 the new protein therapeutic projects undertaken in accordance with, and subject to the terms of, Section
2.2(c). 
  
 1.34    “Project List” means those Projects which are described in
Exhibit B hereto as may be updated from time to time as provided in this Agreement. 
  
 1.35    “Project Plan” has the meaning set forth in Section 2.2(a). 
  
 1.36    “Project Research” means those research and development activities conducted pursuant to the Research Program with respect to Projects. 
  
 1.37    “Research Committee” shall have the meaning set forth in Section 3.1(a). 

 
 1.38    “Research Plan” means a written plan describing the activities to be carried out
during each Year of the Research Term, as modified from time to time by the Parties pursuant to this Agreement. 
  
 1.39    “Research Program” means the research and development program to be conducted pursuant to Section 2 and as described in the applicable Research Plan. 
  
 1.40    “Research Results” means all data and results arising out of the Research Program.

  
 1.41    “Research Term” shall have the meaning set forth in Section 12.1.

  
 1.42    “Reserved Projects” shall have the meaning set forth in Section
2.2(a). 
  
 1.43    “Revenue” means all gross sales invoiced, or other
consideration or value and payments received, by a Party and its Affiliates in each case, for the use or sale of any Syngenta Product or Diversa Product as the case may be, including, without limitation, [...***...] Syngenta Products or
Diversa Products, as applicable. Revenue shall be calculated using the Party’s standard accounting procedures in accordance with GAAP, as consistently applied by the Party. All sales or licenses of Products between a Party and any of its
Affiliates shall be [...***...]; provided that if such [...***...] the following shall apply: If the Affiliate  [...***...], and [...***...], then the gross sales invoiced, or other
consideration or value and payments received, [...***...] shall be used to determine Revenue, and all [...***...] 

 
 *Confidential Treatment Requested 

 
 7 

  
 [...***...]. If the Affiliate [...***...], and [...***...], then
[...***...] which shall be used as the [...***...], and the [...***...]; provided that if the [...***...], then the [...***...] and all [...***...]. The calculation of
Revenue shall be subject to the provisions of Sections 6.3 and 6.4.  
  
 1.44    “Sublicensee” means (i) with respect to Syngenta, a Third Party which receives from Syngenta or its Affiliate a license or sublicense, and (ii) with respect to Diversa, a Third Party which
receives from Diversa or its Affiliate a license or sublicense. 
  
 1.45    “Syngenta
Commitments” means those contractual obligations to Third Parties entered into by Syngenta or its Affiliates and certain other draft agreements or projects of Syngenta or its Affiliates involving Third Parties under the terms negotiated or
agreed under substantially advanced negotiations with Third Parties as of October 25, 2002, which Syngenta has disclosed to Diversa in writing prior to the date of the Transaction Agreement together with the Permitted Amendments. 

 
 1.46    “Syngenta Exclusive Field” means  
  
 (a)    any Biomolecule with Plants as the expression host; 
  
 (b)    any Plant Gene; 
  
 (c)    any Biomolecule for admixture to the product of any physical or chemical processing of Crops or derivatives of Crops provided that the product contains Plant material unique to Plants; 

 
 (d)    any Biomolecule for any industrial application involving Crops or the close derivatives of Crops,
but excluding inert or minor ingredients from or derived from a Plant source which do not materially add value to an end product of an industrial manufacturing process; 
  
 (e)    any Biomolecule useful for Syngenta’s actual or potential customers in the agriculture, food and/or natural fibers markets involving the
use of Crops, or the use of close derivatives of Crops (including all uses of corn, wheat, barley, rice, cotton and soy, and other oil Crops and their close derivatives), but excluding inert or minor 

 
 *Confidential Treatment Requested 

 
 8 

  
 ingredients from or derived from a Plant source which do not materially add value to an end product of
an industrial manufacturing process; 
  
 (f)    any Biomolecule with commercial value, alone or
in combination with other Biomolecules, for use in the Animal Feed Field; and 
  
 (g)    any
Project described in the Project List including those not covered under Section 1.46(a)-(f) and including the new protein therapeutic projects undertaken in accordance with, and subject to the terms of, Section 2.2(c). 
  
 1.47    “Syngenta Materials” means all Materials Controlled by Syngenta or its Affiliates which
Syngenta or any of its Affiliates provides to Diversa for use in the Research Program; for clarification, Syngenta Materials shall exclude all Materials, if any, included in the Purchased Assets under the Transaction Agreement. 

 
 1.48    “Syngenta Product” means any product sold or licensed, or being developed for sale
or license, by Syngenta or its Affiliates or Sublicensees which consists of, incorporates, or is made through the use of a Biomolecule that is discovered, identified or developed, or the utility of which is discovered or identified, in the course of
the Research Program or using Program Technology. Syngenta Products do not include any product that is discovered, identified or developed, or the utility of which is discovered or identified, using Syngenta Proprietary Technology outside the course
of the Research Program without the use of any Program Technology. 
  
 1.49    “Syngenta
Proprietary Technology” means all technology Controlled by Syngenta or its Affiliates immediately after the Effective Date, or thereafter independently of the Research Program, and which Syngenta uses or makes available for the conduct of
the Research Program or the design, development, testing, use, manufacture or sale of Syngenta Products, including all such United States and foreign patents and patent applications (including, without limitation, all reissues, extensions,
substitutions, confirmations, registrations, revalidations, additions, continuations, continuations-in-part, and divisions thereof) and other proprietary information, data and know-how. Syngenta Proprietary Technology includes the “TMRI
Intellectual Property Rights” (as defined in the License Agreement), if and only to the extent that Syngenta determines that such TMRI Intellectual Property Rights should be used in the Research Program and grants Diversa a license to use such
TMRI Intellectual Property Rights in the Syngenta Exclusive Field under the terms and conditions set forth in Section 8.5 hereof. Syngenta Proprietary Technology excludes all TMRI Intellectual Property Rights which are licensed to Diversa by
Syngenta under the License Agreement, including without limitation the Platform Technology licensed thereunder, and the Platform Technology Improvements. 

 

 
 9 

  
 1.50    “Third Party” means any party other
than Syngenta, Diversa or an Affiliate of either of them. 
  
 1.51    “TMRI
Corp.” means Torrey Mesa Research Institute, a Delaware corporation. 
  
 1.52    “Transaction Agreement” means that certain Transaction Document, dated of even date herewith, entered by TMRI Corp., Diversa and Syngenta, as may be amended in accordance with its terms.

  
 1.53    “Transgenics” means Plants whose genome contains nucleotide(s)
sequence(s) inserted using molecular biology techniques. 
  
 1.54    “Year”
means any consecutive 12 month calendar year period. 
  
 1.55    “Zymetrics”
means Zymetrics, Inc. 
  
 1.56    “Zymetrics Agreements” means the Research and
Development Agreement between Diversa and Zymetrics, dated December 1, 1999, as may be amended or extended in accordance with its terms, and the Joint Venture Agreement between Diversa and Syngenta Seeds AG, dated December 1, 1999, as may be amended
or extended in accordance with its terms. 
  
 2.    RESEARCH PROGRAM 
  
 2.1    Research.  Diversa will diligently conduct research and development activities pursuant to the
Research Plan as set forth herein with the primary objective of conducting Project Research to identify and develop Syngenta Products in the Syngenta Exclusive Field and of conducting Directed Research for Syngenta. 

 

 
 10 

  
 2.2    Projects and Project Research. 

 
 (a)    Diversa will diligently conduct Project Research as specified in the Research Plan. Diversa shall
conduct the Research Program in a professional manner and shall use commercially reasonable efforts to meet the time schedules contemplated in the Research Plan. The activities conducted in connection with the Research Program will be overseen and
administered by the Research Committee as provided in Sections 2 and 3. The Project List includes both Projects which are expected to be undertaken initially and those which could be undertaken when the initial group of Projects are completed and/or
abandoned as provided herein (the “Reserved Projects”). Each Project at its initiation shall include a plan that covers the objectives (including definition of Product or product concept), targets, the estimated resources including
estimated FTEs, overall timetable, the Milestones applicable to the Project (as defined in Section 5.1, subject to Section 2.2(c) with respect to the Milestones and payments related thereto with respect to certain new protein therapeutic projects)
and other applicable criteria related to achievement of Milestones in accordance with Section 5.1 (subject to Section 2.2(c) with respect to certain new protein therapeutic projects), and other matters as may be determined by the Research Committee,
as may be amended in accordance with the terms of this Agreement (the “Project Plan”). 
  
 (b)    The Research Committee shall review the Project List including the Reserved Projects from time to time and make recommendations to Syngenta of changes to the list to add, terminate, transfer outside the
Research Program, modify, reorder the priority of, or substitute Projects, including the Reserved Projects, as necessary or advisable in their reasonable judgment; provided that any new Project or modification to a Project must be within the scope
of Section 1.46(a)-(f), unless otherwise agreed by the Parties in writing. Both Diversa and Syngenta may propose Projects for consideration for inclusion on the Project List and for making a Reserved Project an active Project. Diversa and Syngenta
agree that Projects may include [...***...] projects in each case as may be mutually agreed. By [...***...], the Parties will agree in good faith [...***...]; if they mutually agree in writing
[...***...]. 
  
 (c)    (i) During the Research Term, at Syngenta’s request,
Diversa shall be required to undertake Projects under this Agreement which are new protein therapeutic projects utilizing Plant expression (over and above the Projects on the Project 

 
 *Confidential Treatment Requested 

 
 11 

  
 List as of the Effective Date); provided that Diversa shall have no obligation to undertake a particular
new protein therapeutic project if at the time of the request to undertake a particular new protein therapeutic project, [...***...], or [...***...]. The Parties agree to commence a new protein therapeutic project which is
an antibody project or which optimizes an existing antibody in Year one of the Research Term. Notwithstanding any other provision of this Agreement to the contrary, [...***...] provided that [...***...]; provided, however
that nothing shall prevent Third Parties from manufacturing in Plants. The royalty rate applicable to the Syngenta Products which are developed from such new protein therapeutic projects shall be the [...***...] rate as set forth in
Section 6.1. For any new protein therapeutic projects, the [...***...] shall not [...***...], $[...***...], and $[...***...]; provided that the [...***...] for both new protein
therapeutic projects and existing biopharma projects on the Project List as of the Effective Date shall not [...***...] unless otherwise agreed in writing. The Parties may agree in good faith to [...***...]. 

 
 (ii)  Notwithstanding anything to the contrary in Section 5.1, the Milestones and Milestone payments under Section
5.1 with respect to the new protein therapeutic projects undertaken in accordance with this Section 2.2(c) shall be based on the following schedule and the criteria set forth below and in the applicable Project Plan: 
  
 1.    [...***...] 
  
 $[...***...] 
  
 2.    [...***...] 
  
 $[...***...] 

 
 *Confidential Treatment Requested 

 
 12 

  
 [...***...] 
  
 3.    [...***...] 
  
 (a)        [...***...] 
  
 (b)        [...***...] 
  
 (c)        [...***...] 
  
 (d)        [...***...] 
  
  
 
	 Stage
 	 	 [...***...]
 [...***...]
 	 	 Milestone Payment
 
	 
	 

	 
	 [...***...]
 	 	 [...***...]
 	 	 [...***...]
 
	  	 	 [...***...]
 	 	 [...***...]
 
	  	 	 [...***...]
 	 	 [...***...]
 
	  	 	 [...***...]
 	 	 [...***...]
 
	  	 	  	 	  
	 [...***...]
 	 	 [...***...]
 	 	 [...***...]
 
	  	 	 [...***...]
 	 	 [...***...]
 
	  	 	 [...***...]
 	 	 [...***...]
 
	  	 	  	 	  
	 [...***...]
 	 	 [...***...]
 	 	 [...***...]
 
	  	 	 [...***...]
 	 	 [...***...]
 
	  	 	 [...***...]
 	 	 [...***...]
 
	  	 	  	 	  

 

 
 *Confidential Treatment Requested 

 
 13 

  
 
	 [...***...]
 	 	 [...***...]
 	 	 [...***...]
 
	  	 	  	 	  
	  	 	 [...***...]
 	 	 [...***...]
 
	  	 	  	 	  
	  	 	 [...***...]
 	 	 [...***...]
 
	  	 	  	 	  

 
  
 At the initiation of the Project, the Parties will agree in good faith on the
[...***...]. 
  
 Syngenta agrees that Diversa will not be responsible for the cost of clinical trials. 
  
 (iii)  [...***...] 
  
 (iv)  If Syngenta in its discretion elects [...***...], Diversa shall have the [...***...] on terms and conditions to be agreed in good faith by the Parties. If the
parties are unable to reach 

 
 *Confidential Treatment Requested 

 
 14 

  
 agreement [...***...]. For the avoidance of doubt, this [...***...].

  
 (d)    Except as may otherwise be expressly set forth in this Agreement, all decisions to
add, terminate, modify, reorder the priority or substitute Projects, and the allocation of resources with respect thereto, shall be made [...***...]; provided that any new Project or modification to a Project shall be within the scope
of Section 1.46(a)-(f) or the protein therapeutic area as set forth in Section 2.2(c), unless otherwise agreed by the Parties in writing; provided further that allocation of resources to the Research Program shall be subject to Section 2.4(d).
Subject only to the Diversa Commitments and subject to those Diversa Commitments only for the duration of such Diversa Commitments with the applicable Third Party or in the case of Diversa internally funded projects until the formal termination of
such project (which shall be promptly communicated by Diversa to Syngenta), during the period of time before Diversa’s obligations under Section 4.1(a) have terminated, Diversa shall be required to undertake any Project proposed by Syngenta in
Section 1.46(a)-(f) of the definition of Syngenta Exclusive Field and to prioritize such Project as determined by Syngenta. During the remainder of the Research Term, Diversa will be required to undertake such Project(s) so long as it is not under a
conflicting contractual obligation with a Third Party or has not planned to undertake within [...***...] or undertaken an internally funded conflicting project as established by written evidence of such project or plan prior to
Syngenta’s proposing such Project(s). All changes to the Project List, including the changes in the active Projects and the Reserved Projects, shall be in writing and shall amend the Research Plan. Subject to the following sentence,
Diversa’s obligations under this Agreement are subject to the Diversa Commitments, and Syngenta acknowledges that Diversa has disclosed the Diversa Commitments in writing to Syngenta pursuant to Section 9.2(b). Notwithstanding anything in this
Agreement to the contrary, including without limitation Diversa’s commitments under the Diversa Commitments, Diversa shall be obligated at Syngenta’s request to undertake the Projects in the Project List attached hereto as Exhibit B as of
the Effective Date. 
  
 (e)    If Syngenta desires to produce a Syngenta Product through
Fermentation, Diversa will be the preferred supplier to Syngenta to provide manufacturing services to produce the Syngenta Product through Fermentation, if Syngenta elects to 

 
 *Confidential Treatment Requested 

 
 15 

 commercialize such product in its sole discretion, provided that the following conditions are met: (i) Diversa’s proposal for such
manufacturing services is commercially reasonable compared to a similar proposal for services provided by an independent Third Party, and (ii) within [...***...] of receipt of Syngenta’s notice of its intent to commercialize such
microbial product, Diversa has advised Syngenta in writing of its willingness to provide such services and the charges therefore [...***...]. Syngenta shall treat the nature and content of Diversa’s proposal for such services as
Diversa’s Confidential Information in accordance with Section 10 hereof. In order for Diversa to provide its proposal for the manufacturing services for a given microbial Syngenta Product, Syngenta will provide to Diversa in writing at the time
of its notice of intent to commercialize a Syngenta Product, [...***...]. Syngenta shall notify Diversa in writing within [...***...] after receipt of such proposal from Diversa, including the charges for its services,
whether or not Diversa has met the two conditions set forth above. If the conditions have been met and Syngenta proceeds toward commercialization of the product, then the Parties will enter into a manufacturing services agreement to be negotiated in
good faith between the Parties; if the Parties are unable to reach agreement within [...***...] of Syngenta’s delivery of notice to Diversa, Syngenta shall be free to initiate contract negotiations and enter into a contract with a
Third Party for such manufacturing services [...***...]. [...***...]. The obligation to offer Diversa the opportunity to provide manufacturing services under this Section 2.2(e) shall terminate upon termination of the
Preferred Supplier Period. Diversa shall have no obligation to license any technology or Patent Rights or other rights to any Third Party or to Syngenta to enable Syngenta or such Third Party to provide manufacturing services to Syngenta except as
expressly provided in Section 8. 
  
 (f)    Notwithstanding anything herein to the contrary,
neither Party shall, without such Party’s consent, be obligated to conduct Projects in the Research Program outside the Syngenta Exclusive Field defined in Sections 1.46(a)-(f) except for those Projects set forth in the Project List.

 
 *Confidential Treatment Requested 

 
 16 

  
 (g)    At such time as research commences under the Research
Program with respect to a particular Reserved Project, it shall be treated as an active Project for all purposes of this Agreement. 
  
 (h)    Syngenta shall have the sole discretion whether or not to progress a Project and/or to develop and/or commercialize a Syngenta Product. If Syngenta decides to progress a Project and/or to develop
and/or to commercialize a Syngenta Product, it shall have the sole discretion as to how it is developed and/or commercialized and on what terms, including without limitation how it is produced (whether it is produced Transgenically, through
Fermentation, or otherwise). 
  
 (i)    At such time as a Project is proposed to be conducted
under the Research Program, the Party proposing the Project shall inform the Research Committee, to the extent it is able to do so without breaching any confidentiality obligations, of any information of which it is aware with respect to Third Party
patent applications or patents which may relate to the Project; provided that neither Party shall have any obligation to provide the Research Committee with any document or other information which would result in a breach of the attorney/client
privilege with respect thereto. Prior to the execution of this Agreement, to the extent that Diversa may do so without compromising its confidentiality obligations to Third Parties, Diversa shall provide Syngenta with an accurate and complete
description of the Diversa Commitments, including any obligations to Third Parties or restrictions on its research, development or commercialization of products for Syngenta in the Syngenta Exclusive Field. To the extent Diversa may do so without
compromising its confidentiality obligations, Diversa will provide independent counsel selected by Syngenta and agreed upon by Diversa with true and correct copies of relevant provisions of all such relevant contracts and any amendments thereto,
obligations, and internally funded activities, prior to execution of this Agreement. If copies are provided to Syngenta’s designees, the designees shall be entitled to advise Syngenta whether there are restrictions in such agreements that would
affect Diversa’s ability to perform under this Agreement, including a description of such restrictions. Any review by such independent counsel of such agreements shall not act as a waiver of Diversa’s obligations with respect to its
warranty under Section 9.2(b). From October 25, 2002 and during the term of this Agreement, Diversa has not and shall not enter into any agreement or other instrument, and has not undertaken and shall not undertake any internally funded projects
which conflict with, impair, restrict or diminish its ability to afford to Syngenta the rights and benefits contemplated by this Agreement or to otherwise perform under and consummate the transactions contemplated by this Agreement other than the
Diversa Commitments. 

 

 
 17 

  
 (j)    As part of the Project Research, and as set forth in
the Project List, at Syngenta’s request, Diversa agrees to screen its natural products collections for uses in the Syngenta Exclusive Field. For purposes of this Section 2.2(j) only, [...***...]. The Parties expect that such
Project will require [...***...]. If Diversa screens its natural products under such Project and a Biomolecule(s) meeting the Project Plan criteria is discovered, then the following shall apply: 
  
 (i)      Diversa will notify Syngenta in accordance with the Project Plan. 
  
 (ii)     Diversa will provide Syngenta with samples of the Biomolecule for analysis and with such other
materials and information to evaluate the Biomolecule. 
  
 (iii)    Syngenta may synthesize
chemical leads around the Biomolecule and will own all Patent Rights with respect to any chemical leads and related Products it invents. Such Product(s) it invents arising from the chemical synthesis related to such Biomolecule(s) will be Syngenta
Products under this Agreement and royalties will be payable by Syngenta to Diversa thereon; provided that the royalty rate shall be the [...***...]. Syngenta shall develop or commercialize such leads and related products outside the
Syngenta Exclusive Field only pursuant to the following provisions: [...***...]. Diversa shall then have the option to develop and commercialize such product outside the Syngenta Exclusive Field on terms and conditions to be mutually
agreed in good faith. Diversa shall give Syngenta written notice of its exercise of this option in good faith within [...***...] of its receipt of written notice from Syngenta. If the Parties are unable to agree in good faith, then
[...***...]. If Diversa does not give written notice to Syngenta of its exercise of its option as set forth above, then Syngenta, on its own or with a Third Party, shall be free to develop and commercialize such product for use outside
the Syngenta Exclusive Field in its discretion, with the understanding that such product will be a Syngenta Product as provided in this Section 2.2(j)(iii). 

 
 *Confidential Treatment Requested 

 
 18 

  
 (iv)      Ownership and license rights to the
Biomolecule and the Patent Rights with respect thereto shall be governed by Section 8. Products commercialized outside the Syngenta Exclusive Field by Diversa or its Affiliates under Patent Rights with respect to the Biomolecule shall be
“Diversa Products” for purposes of this Agreement, and [...***...]. The other provisions of Sections 6 and 7 shall apply to the calculation and payment of royalties by one Party to the other as provided above. Except as
provided above, all intellectual property rights shall be governed by Section 8. 
  
 2.3    Directed Research. 
  
 Subject to other conditions of this Agreement, at Syngenta’s
request, Diversa shall diligently conduct Directed Research to improve the Platform Technology, to provide services using the Platform Technology, and other research services as Syngenta may otherwise reasonably request and Diversa may agree to
undertake. Diversa shall not be obligated to conduct any research proposed by Syngenta as Directed Research if such research requires use, in any material respect, of any proprietary technology or intellectual property of Diversa relating to
molecular evolution and/or microbe or microbial gene discovery technologies, except as agreed to by Diversa in its sole discretion. 
  
 2.4    Research Plan. 
  
 (a)    At least
annually by November 1, subject to other provisions in this Section 2 and in Section 3, the Research Committee will prepare and agree upon a Research Plan for the following Year of the Research Term and shall review the Project Plans related to the
Research Plan for such year. At a minimum, each Research Plan will include: (i) a general overview and timetable for the Project Research and the Directed Research and appropriate resources and budgets for such research during the next Year, and
(ii) a preliminary and non-binding plan for research activities to be conducted in the subsequent Year which shall include, without limitation, staffing and resource allocations. Each Research Plan shall set specific objectives for the applicable
Year, which objectives will be updated or amended, as appropriate, by the Research Committee as research progresses, shall set forth specific research activities within applicable targets and technologies as appropriate, and shall include any
changes to the applicable Project Plans as may be agreed in accordance with this Agreement. If the Research Plan for a given Year has not yet been approved by the beginning of such Year pursuant to this Section 2.4, Diversa may begin or continue to
perform research activities under this Agreement on active 

 
 *Confidential Treatment Requested 

 
 19 

 Projects or Reserve Projects, if necessary, and other research then in process during such Year pending the approval of the final Research Plan
for such Year. In addition, at least annually each January 1, subject to confidentiality obligations to Third Parties and the last sentence of this section, Syngenta shall provide Diversa with written information regarding Syngenta’s current
plans for commercialization of Syngenta Products that have not yet been commercialized, as well as currently available sales projections or forecasts for Syngenta Products on which royalties are payable to Diversa hereunder, that have been
commercialized, in each case as estimated by Syngenta in good faith; provided, however, that Syngenta shall incur no liability hereunder for (i) Syngenta’s failure to, or delay in, for any reason whatsoever, commercializing, or continuing to
commercialize, any such applicable Syngenta Products at all, or in accordance with such plans, or (ii) actual sales, if any, of such applicable Syngenta Products failing to meet or exceed such projections or forecasts. Syngenta shall have no
obligation to generate or to create new information or documents for Diversa to comply with the preceding sentence and may utilize its pre-existing information and documents. 
  
 (b)    A preliminary Research Plan for the first Year of the Research Term will be agreed to by the Parties as of the Effective Date, which preliminary
Research Plan will be provided supplementally by the Parties on or before the Effective Date. The Parties will use their commercially reasonable efforts to have the Research Committee agree on an updated Research Plan for the first Year of the
Research Term not later than [...***...] after the Effective Date; provided that Diversa shall be entitled to perform research activities under this Agreement pursuant to the preliminary Research Plan until the updated Research Plan is
agreed. 
  
 (c)    The Research Committee shall review the Research Plan and applicable Project
Plans on an ongoing basis, but in no event less than quarterly, and may, in its discretion, make changes that are consistent with this Agreement to the Research Plan and applicable Project Plans then in effect except as otherwise provided in this
Agreement. At least once per Year during the Research Term, the Research Committee will meet with an executive committee including the business head of the Non-Pharma Group for Diversa and a member of the Plant Science Management Team of
Syngenta’s Affiliate to review with such executive committee the status of and progress under the Research Program and expected activities under the Research Program during the following Year. 
  
 (d)    It is expected that about [...***...] of the total annual funding of the Research Program
provided by Syngenta under this Agreement will be on Project Research and that about [...***...] of the total annual funding of the Research Program provided by 

 
 *Confidential Treatment Requested 

 
 20 

 Syngenta under this Agreement will be on Directed Research, unless otherwise agreed in writing by the Parties. Of the Directed Research,
[...***...] is expected to be allocated to Platform Technology improvements and development and [...***...] is expected to be used on other Directed Research. The Research Committee may recommend a variance to the split of
resources between Directed Research and Project Research; provided that the agreement of both Parties will be required to any such variance if the Project Research percentage is more than [...***...] or less than
[...***...] and the Directed Research percentage is more than [...***...] or less than [...***...]. 
  
 2.5    Staffing Level.  For each Year of the Research Term during which FTE Funding is $20.665 million, Diversa shall devote [...***...] FTEs per Year (the “Staffing
Level”) unless otherwise mutually agreed by the Parties. During any Year in which FTE Funding is less than $20.665 million as permitted under this Agreement, Diversa shall be entitled to decrease the Staffing Level ratably with the amount of
the decrease in FTE Funding, in proportion to the percentage of FTEs allocated to Project Research and Directed Research. If FTE Funding is greater than $20.665 million during any Year during the Research Term, Diversa shall increase the Staffing
Level ratably with the amount of such increase to carry out the Research Program unless otherwise mutually agreed by the Parties, in proportion to the percentage of FTEs allocated to Project Research and Directed Research. In no event shall Syngenta
be obligated to pay more than $20.665 million per annum in FTE Funding in any Year without its prior written agreement, and in no event shall Diversa be obligated to increase the Staffing Level to more than [...***...] FTEs in any Year
without its prior written agreement except as otherwise provided in this Agreement. Diversa shall cooperate with Syngenta in adapting the skill set of Diversa’s FTEs to facilitate reasonable flexibility in the funding of research and
development activities (but not “pass-through” development activities which would not involve Diversa employees (i.e. buying in or subcontracting for development capabilities)) of Directed Research and Project Research.

  
 2.6    Research Funding. 
  
 (a)    In addition to the payments contemplated under Sections 5 and 6 hereof, Syngenta agrees to pay Diversa for FTEs for Directed Research and
Project Research (the “FTE Funding”) $20.665 million per annum for the initial five year term of the Research Term under this Agreement. The cost of the Directed Research and the Project Research to be funded by Syngenta shall be
calculated based on the number of FTEs allocated to such work at the following rates for the 2003 calendar year: 

 
 *Confidential Treatment Requested 

 
 21 

  
 $[...***...] per annum for FTEs engaged in Project
Research (the “Project Research Rate”); and 
  
 $[...***...] per annum for
FTEs engaged in Directed Research (the “Directed Research Rate”). 
  
 The Project Research Rate and the Directed Research Rate for
each FTE shall be CPI adjusted on the annual anniversary of the Effective Date, applying the published CPI figure as of October 31 of the prior year, using 2002 as the base year; provided, however, that in no event shall the Project Research Rate or
the Directed Research Rate be reduced. The first CPI adjustment will be for the 2004 Year and will be based on the CPI as of October 31, 2003. If CPI adjustments result in increases in the FTE Funding rate such that the total FTE Funding under this
Section 2.6(a) would exceed $20.665 million per annum during any Year, Syngenta may, with reasonable notice to the Research Committee, modify that Year’s Research Plan so as to (i) increase its FTE Funding to maintain the same number of FTEs,
or (ii) reduce the number of FTEs, as necessary, to limit its annual FTE Funding to $20.665 million per year. 
  
 (b)    Subject to Section 12.1, for any period of this Agreement beyond the initial five years of the Research Term, Syngenta may fund Directed Research and Project Research at any level of funding in its
discretion, as set forth in the provisions of this Section 2.6(b); provided, however, Syngenta must give Diversa at least [...***...] notice of extension of the Research Term under this Agreement prior to the expiration of any current
Research Term, including the level of FTE Funding during such extension. For purposes of the following provisions, “T” means the last year of the Research Term in which FTE Funding was at least $20.665 million. If Syngenta elects to reduce
the FTE Funding in any year after the initial five year Research Term from the prior year’s FTE Funding, it may reduce FTE Funding up to a maximum of 50% of T in the first year of reduction; up to a maximum reduction of 75% of T in the second
year; and up to a [...***...] reduction in the [...***...]. Notwithstanding Section 2.4(d), if the FTE Funding provided by Syngenta under Section 2.6(a) is $[...***...] during any year after the initial five
years of the Research Term, all FTE Funding shall be allocated to Project Research unless mutually agreed in writing by the Parties. 
  
 (c)    Annual FTE Funding payments by Syngenta to Diversa shall be made [...***...] in advance throughout each year of the Research Term (provided that the last [...***...]
during the Research Term may be adjusted as necessary for the remaining FTE Funding due). In the event the number of FTEs actually 

 
 *Confidential Treatment Requested 

 
 22 

 used on the Research Program for any [...***...] is less than the number of FTEs to be used in the Research Program based on FTE
Funding provided by Syngenta for [...***...], the difference shall be carried forward to be used on activities conducted by Diversa in connection with the Research Program during the remaining [...***...]. In no event shall
this Section 2.6(c) limit or affect Syngenta’s FTE Funding obligations under Section 2.6(a) and (b). The parties agree that, in the event that there are fewer than [...***...] Transferred Employees (as defined in the Transaction
Agreement) in the [...***...] of the Research Program, the FTE Funding will be paid in accordance with this Section 2.6 and Diversa may make up the number of FTEs actually used on the Research Program in the [...***...] (if
less than the number to be used based on FTE Funding provided by Syngenta for [...***...]) in the remaining [...***...] of the Research Program. 
  
 (d)    Except as expressly set forth in this Agreement, Diversa shall be responsible for the expense of the conduct of its obligations under the
Research Program, including without limitation the expense of personnel, equipment, materials and supplies required to carry out the Research Program, and expenses for the research (except as provided herein), development and commercialization of
Diversa Products and any other products (except Syngenta Products) sold or licensed, or developed for sale or license, by Diversa or its Affiliates or Sublicensees which incorporate or are made through use of Program Technology. Syngenta shall be
responsible for all other expenses required to carry out the Research Program, including, but not limited to, those related to development and commercialization of Syngenta Products except as otherwise provided in this Agreement. For the avoidance
of doubt, the FTE Funding covers the expenses of Diversa activities under the Research Program including the following: 
  
 (i)      all laboratory and office consumables; 
  
 (ii)     equipment including without limitation clean cabinets, constant environment cabinets, and incubators; 
  
 (iii)    costs of contract services as needed such as culture identification/storage, and protein sequencing [...***...]; (iv) development of new methods as needed to
support new laboratory assays, such as [...***...]; 
  
 (v)      media
preparation, maintaining lab supplies, reasonable gene sequencing services back up support and assistance; and 

 
 *Confidential Treatment Requested 

 
 23 

  
 (vi)    expenses of Diversa’s staff such as scientific
meeting attendance and travel. 
  
 (e)    Except as expressly set forth in this Agreement or in
the License Agreement, Diversa shall be responsible for all payments due to Third Parties for the acquisition and maintenance of licenses to intellectual property necessary for the practice of the Platform Technology in the Research Program, for the
acquisition and maintenance of licenses to intellectual property for commercially available software, arrays, chips and other materials necessary for its conduct of the Research Program, and any other technology and Diversa Materials that it
provides in the Research Program, and the costs of negotiating and preparing such licenses; provided, however, that Diversa shall not be responsible for any of the foregoing payments or costs if Diversa does not use any such licenses or technologies
for the practice of the Platform Technology outside of the Syngenta Exclusive Field or for the practice of Diversa’s proprietary technology; provided further that all such expenses which Diversa believes are for Syngenta’s account and not
Diversa’s expense must be approved by Syngenta in advance. For the avoidance of doubt, if Diversa maintains a license with a Third Party in its overall operations, no part of the cost of the license fee shall be allocated to or payable by
Syngenta; provided that if a unique or custom array or chip is needed under such license and available only for a separate fee, then the separate fee may be charged to Syngenta if Syngenta has approved such expense in advance. Diversa shall also be
responsible for payments to Third Parties with respect to licenses for Diversa Products and any other products sold or licensed, or developed for sale or license, by Diversa or its Affiliates or Sublicensees which incorporate or are made through use
of Program Technology as set forth in Section 6.6(b). Except as expressly set forth in this Agreement, Syngenta shall be responsible for all payments due to Third Parties for the acquisition and maintenance of licenses to intellectual property
necessary for any technology and Syngenta Materials that it provides in the Research Program, and the costs of negotiating and preparing such licenses. Syngenta shall also be responsible for payments to Third Parties with respect to licenses for
Syngenta Products as set forth in Section 6.6(a). 
  
 (f)    Diversa shall keep records of all
FTEs used in connection with the Research Program, and within [...***...] during the Research Term shall provide Syngenta with a report describing the number of FTEs utilized in each of the Directed Research and Project Research, by
Project, during the [...***...]. Such records relating to Project Research shall be kept reasonably accessible during the Project and for [...***...] following the end of the Project to which they pertain, and such records
pertaining to Directed Research shall be 

 
 *Confidential Treatment Requested 

 
 24 

 kept reasonably accessible during the applicable Directed Research and for [...***...] following the end of the applicable Directed
Research to which they pertain. Syngenta shall have the right during such applicable period to have an independent representative or agent of Syngenta, reasonably acceptable to Diversa, which approval shall not be unreasonably withheld, audit such
records during ordinary business hours, at reasonable times mutually agreed by Syngenta and Diversa, to verify the FTEs used in the Directed Research and Project Research. Such audits may be made no more than once each calendar year. Syngenta’s
representative or agent will be obliged to execute a confidentiality agreement acceptable to Diversa in its reasonable judgment prior to commencing any such audit and may only disclose to Syngenta the amount of any variance or error. Syngenta shall
bear the expense of such audit unless the results of the audit show that the amount actually due to Diversa for the Project Research and Directed Research for the applicable period is less than ninety-five percent (95%) of the amount charged by
Diversa or paid by Syngenta for the applicable Project Research and/or Directed Research for that period, in which case Diversa shall reimburse Syngenta for the audit expenses. If the audit determines that there has been an overpayment or
overfunding by Syngenta, the amount thereof shall be remitted to Syngenta within [...***...]. If the audit determines that there has been an underpayment or underfunding by Syngenta, the amount thereof shall be remitted to Diversa
within [...***...]. 
  
 2.7    Use of Materials and Syngenta Proprietary
Technology. 
  
 (a)    Each Party may provide Materials to the other Party, in its
discretion, for use in the Research Program. Subject to the terms of this Agreement, all rights to the Materials shall be retained by the Party that provided such Materials under this Agreement. Except as expressly permitted by this Agreement or the
License Agreement (including, without limitation, the licenses granted herein and therein), a Party shall use any Materials provided to it by the other Party, and any data or information derived therefrom, solely for research activities under the
Research Program which are approved in advance by the Research Committee and not for any purpose outside the Syngenta Exclusive Field without the express prior written consent of the Party that provided such Materials under this Agreement. Except as
expressly permitted by this Agreement or the License Agreement (including, without limitation, the licenses granted herein and therein), neither Party shall transfer any Materials provided to it by the other Party to any Third Party without the
prior written consent of the Party that provided such Materials under this Agreement. Except as expressly provided in Section 2.2(j), without the express written consent of the Party that 

 
 *Confidential Treatment Requested 

 
 25 

 provided Materials under this Agreement, the other Party shall not reverse engineer, reconstruct, synthesize or otherwise modify or copy any
Materials provided by such first Party, or attempt the same. 
  
 (b)    Except for use in
connection with the Research Program or as expressly permitted under this Agreement or under the License Agreement (including, without limitation, the licenses granted herein and therein), neither Party shall have any right to use or to disclose to
any Third Party any proprietary technology, Patent Rights, Know-How, Research Results or Materials of the other Party. 
  
 3.    RESEARCH COMMITTEE 
  
 3.1    Representatives.

  
 (a)    Promptly after the Effective Date, Syngenta and Diversa will each appoint three (3)
representatives to a research committee of six (6) persons (the “Research Committee”). 
  
 (b)    A Syngenta representative will serve as chairperson of the Research Committee for the initial twelve (12) months of the Research Term. Thereafter, the chair will rotate between a Diversa member and a
Syngenta member every twelve (12) months. A Party may change any of its appointments to the Research Committee at any time with written notice to the other Party. From time to time, the Research Committee may establish subcommittees to oversee
particular activities. It is understood that each Party will designate at least one representative with business expertise to the Research Committee. 
  
 3.2    Responsibilities.  Except as otherwise provided in this Agreement, the Research Committee will agree on and may, in its discretion, modify the Research Plan
and the applicable Project Plans in a manner consistent with this Agreement. The Research Committee will oversee, review, direct and supervise all operational and scientific aspects of the Research Program. In connection with each Project, the
Research Committee shall discuss and must agree on (a) staffing levels, duration, technical feasibility, research activities and goals, and successful outcomes, and (b) recommendations to Syngenta as to whether the Milestones for a Project as set
forth in Section 5 (or Section 2.2(c) with respect to protein therapeutic projects) have been achieved. In addition, subject to Section 2, the Research Committee shall be responsible for: 

 

 
 26 

  
 (i)         establishing the
Research Plan and the applicable individual Project Plans; 
  
 (ii)        monitoring and reporting research progress and ensuring open and frequent exchange between the Parties with respect to Research Program activities; 
  
 (iii)       approving allocations of tasks and resources required to carry out the goals of the
Research Program; 
  
 (iv)       approving all plans and annual budgets for the
Project Research and Directed Research within the Research Program; 
  
 (v)        defining the scope of Project Research, including specific Projects and developing and modifying the applicable Project Plans, and the Directed Research; 
  
 (vi)       redirecting the activities to be conducted in the Research Program, and reallocating the FTEs in
support of such activities; 
  
 (vii)     discussing patent matters relating to the
Research Program; and 
  
 (viii)    performing such other functions as appropriate to further
the purposes of this Agreement, as determined by the Parties. 
  
 3.3    Decision
Making.  Except as otherwise provided in this Agreement, all decisions of the Research Committee will be made by unanimous approval, with the representatives of Diversa having one (1) vote collectively and the representatives of
Syngenta having one (1) vote collectively, and recorded in writing. If the Research Committee is unable to resolve, after thirty (30) days, a dispute regarding any issue presented to it or arising in it shall be decided by [...***...]
provided that such decision does not conflict with or result in an amendment or modification to this Agreement. 

 
 *Confidential Treatment Requested 

 
 27 

  
 3.4    Meetings. 
  
 (a)    The Research Committee will meet on a quarterly basis alternating between the locations of Diversa and
Syngenta and its Affiliates, or at such other sites as the Research Committee may agree, and will otherwise communicate regularly by telephone, electronic mail, facsimile and/or video conference. Attendance at meetings shall be at the respective
expense of the participating Parties. If personal attendance is not possible, voting by proxy is permissible. Each Party recognizes the importance of the Research Committee in the success of the Research Program and will use diligent efforts to
cause all of its representatives of such committee to attend all meetings of such committee, and at least two representatives from each Party shall be required to attend each Research Committee meeting in person or by telephone to constitute a
quorum. With the prior approval of the Research Committee, other full-time personnel and consultants of a Party or its Affiliates, approved by the other Party, may attend, but not vote at, Research Committee meetings. 
  
 (b)    The Research Committee shall keep accurate minutes of its meetings that record all decisions and all actions
recommended or taken. The Party hosting the meeting shall be responsible for the preparation and circulation of the draft minutes. Draft minutes shall be delivered to the Research Committee within twenty (20) days after each meeting. Draft minutes
shall be edited by each Party’s Research Committee representatives within twenty (20) days of receipt thereof and shall be adopted in final form at the next meeting of the Research Committee with their approval and evidenced by the signature on
the minutes of all members present at the meeting described therein. Minutes of the Research Committee meetings shall be treated as Confidential Information of each Party in accordance with the provisions of Section 10 hereof. 

 
 3.5    Records and Reports. 
  
 (a)    Diversa shall maintain records that will properly reflect all work done and results achieved in the performance of the Research Program
(including all data in the form required under any applicable governmental regulations and as directed by the Research Committee), including laboratory records sufficient to establish the dates of first conception and reduction to practice of any
inventions within the Research Program. Diversa shall provide Syngenta and its Affiliates with access to or copies of such records relevant to [...***...], as Syngenta may reasonably request, including [...***...]

 
 *Confidential Treatment Requested 

 
 28 

 [...***...]. Diversa shall maintain such records for the term of this Agreement. If Diversa wishes to destroy such records
thereafter, it will give Syngenta at least [...***...] prior written notice thereof and Syngenta shall have the right to have transferred to it the records which Diversa wishes to destroy at Syngenta’s expense provided that it
gives Diversa notice thereof within such [...***...] and Diversa shall be entitled to delete or destroy any Confidential Information of Diversa included therein. 
  
 (b)    During the Research Term, Diversa shall periodically, and not less often than quarterly, provide to the Research Committee written reports
summarizing the progress of the research performed pursuant to the Research Plan during the preceding quarter. Diversa shall also periodically, and not less than quarterly, provide a written report (which may be provided as part of the report
described in the preceding sentence) summarizing Platform Technology Improvements and Program Technology necessary or useful for the discovery, development, testing use, manufacture or sale of Syngenta Products or otherwise useful in the Syngenta
Exclusive Field, which are made or developed by Diversa under this Agreement during the Research Term, with significant discoveries or advances being communicated as soon as practical after such information is obtained or its significance is
appreciated. 
  
 (c)    Syngenta may, in Syngenta’s discretion, provide Diversa with access
to or copies of books and records, laboratory notebooks and other written or electronic materials and/or software owned or Controlled by Syngenta or its Affiliates for use by Diversa in the conduct of the Research Program and may provide Diversa
with such access as may be required by Diversa in connection with the licenses granted to Diversa under this Agreement or in the License Agreement, which Syngenta and its Affiliates shall retain all ownership rights with respect thereto. Diversa
shall maintain the foregoing in confidence as Syngenta Confidential Information and at Syngenta’s request shall give Syngenta access thereto at anytime during Diversa’s normal business hours and shall, at Syngenta’s request, promptly
return such books and records, notebooks, software, and other information and materials, and all copies thereof. 
  
 4.    EXCLUSIVITY AND OTHER COVENANTS 
  
 4.1    Diversa
Exclusivity Obligations. 
  
 (a)    Diversa agrees, subject to the provisions of this
Section 4 and the other terms of this Agreement, that it shall conduct research and development activities 

 
 *Confidential Treatment Requested 

 
 29 

 in the Syngenta Exclusive Field exclusively for Syngenta; for purposes of clarification, it shall not engage, or grant a license to a Third
Party under intellectual property rights Controlled by Diversa to permit the Third Party to engage, in any research, development or commercialization activities in the Syngenta Exclusive Field for itself or for or with any Third Party.
Notwithstanding the foregoing, Diversa is permitted to perform research and development activities outside the Syngenta Exclusive Field, even if such activities may result in the incidental discovery or development of research results, information,
data or products which may have utility within the Syngenta Exclusive Field, provided that Diversa does not develop or commercialize itself, or through a Third Party, any results of such research and development activities within the Syngenta
Exclusive Field during the period of exclusivity hereunder. Notwithstanding the foregoing, Syngenta’s option and Diversa’s obligation to conduct research and development activities primarily related to the [...***...] under
the Research Program shall be non-exclusive; provided that this shall not constitute a modification or waiver of Diversa’s obligations under Section 4.2 hereof not to compete with respect to Projects which are undertaken or Products that are
primarily related to the [...***...]. 
  
 (b)    Diversa’s obligations under
this Section 4.1 shall terminate [...***...] after the end of the [...***...] in which [...***...] as long as the [...***...]. If the [...***...] after the end of the
[...***...], then Diversa’s obligations under Section 4.1 shall terminate [...***...]. 
  
 (c)    For avoidance of doubt, Diversa’s obligations hereunder do not apply to research, development and/or commercialization activities by Diversa on its own behalf or with any Third Party with respect to
any Biomolecule or product outside the Syngenta Exclusive Field; provided that research, development and/or commercialization of a Diversa Proprietary Gene produced in Plants for use only outside the Syngenta Exclusive Field shall be subject to the
following provisions. Syngenta will be the preferred supplier to Diversa and its Affiliates to provide manufacturing services to produce a product utilizing any Diversa Proprietary Gene through production in Plants if Diversa (or its Affiliate)
elects, in its sole discretion, to commercialize such product if the following conditions are met: (i) Syngenta’s proposal for such manufacturing services is commercially reasonable compared to a similar proposal for services provided by an
independent Third Party and (ii) within [...***...] of receipt of Diversa’s notice of its intent to commercialize such product, Syngenta 

 
 *Confidential Treatment Requested 

 
 30 

 has advised Diversa in writing of its willingness to provide such Plant production services and the charges therefor; provided that the Parties
agree to extend the time by which Syngenta must provide a proposal to Diversa for a reasonable time, but not more than [...***...] unless otherwise mutually agreed, if Syngenta in good faith requires additional time to determine the
costs for such manufacturing services. Diversa shall treat the nature or content of Syngenta’s proposal for such services as Syngenta’s Confidential Information in accordance with Section 10 hereof. In order for Syngenta to provide its
proposal for the manufacturing services for a given product, Diversa will provide to Syngenta in writing at the time of its notice of intent to commercialize a product, [...***...]. Diversa shall notify Syngenta in writing within
[...***...] after receipt of such proposal from Syngenta, including the charges for its services, whether or not Syngenta has met the two conditions set forth above. If the conditions are met and Diversa proceeds toward
commercialization of the product, then the Parties will enter into a manufacturing services agreement to be negotiated in good faith between the parties; if the Parties are unable to reach agreement within [...***...], Diversa shall be
free to initiate contract negotiations, and enter into a contract, with a Third Party for such manufacturing services [...***...]. The obligation to offer Syngenta the opportunity to provide manufacturing services under this Section
4.1(c) shall terminate upon termination of the Preferred Supplier Period. Syngenta shall have no obligation to license any technology or Patent Rights or other rights to any Third Party or to Diversa to enable Diversa or such Third Party to provide
manufacturing services to Diversa. 
  
 (d)    If Diversa proposes a project in good faith which
is included in the meaning of [...***...], and Syngenta does not within [...***...] of Diversa proposing such project, agree in good faith to fund such proposed project in the future at any time under this Agreement,
Diversa shall thereafter be free to pursue such project, itself or in collaboration with any Third Party. If Syngenta, having so agreed, later decides not to pursue or continue such Project, then Diversa shall have the right to pursue such project
itself or with Third Parties, free of its obligations under Section 4.1 hereunder with respect to such project but without use of any Research Materials or Program Technology unless agreed to in writing by the Parties. 

 
 *Confidential Treatment Requested 

 
 31 

  
 4.2    Mutual Exclusivity Obligations. 

 
 (a)    Subject to Sections 4.2(b) and 4.2(c), Diversa and Syngenta each agrees, and each agree that they
will procure the agreement of their respective Affiliates, that neither Diversa nor Syngenta, nor their respective Affiliates will itself or for or with any Third Party, directly or indirectly, engage in research, development, or commercialization
of a product or project which is directly competitive with a Product or Project under this Agreement, from either a functional or customer or potential customer basis, regardless of the manufacturing route used. These obligations shall commence when
Diversa’s obligations under Section 4.1(a) terminate under Section 4.1(b) and shall apply to all Projects active at the time of commencement of these obligations under this Section 4.2(a) and to any new active Projects thereafter under the
Research Program, and to the Syngenta Products on or after the commencement of the obligations under Section 4.2(a). The obligations shall terminate as provided in Section 4.2(b). 
  
 (b)    The obligations set forth in Section 4.2(a) shall terminate on a Product by Product and Project by Project basis upon the earlier of (i) first
commercial sale of such Product; (ii) notice by Syngenta to Diversa that Syngenta, in its sole discretion, has ceased further research, development and/or commercialization activities with respect to a particular Project or Syngenta Product prior to
first sales; and (iii) notice by Syngenta that it has waived the obligations set forth in Section 4.2(a) with respect to a particular Project or Product. Syngenta agrees to provide Diversa written notice of its or its Affiliates cessation of
research, development and/or commercialization activities with respect to a particular Project or Syngenta Product under this Agreement prior to first sales promptly after a formal decision to cease such activity has been made. 

 
 (c)    Notwithstanding the provisions of Section 4.2(a) and Section 4.2(b), and subject to Section 4.4,
these obligations shall not apply to (i) Syngenta’s and its Affiliates’ research, development and commercialization, directly or through Third Parties, of [...***...]; and/or (ii) the mere equity ownership, on a passive
investment basis, by a Party of up to [...***...] in a company engaged in these activities shall not be deemed to be a violation of Section 4.2(a) and (b). Further, if a Party or any of its Affiliates acquires a business or company
which at the time of acquisition is engaged in the research, development and/or commercialization of a project or product which is directly competitive with a Project or Product under this Agreement, whether by acquisition of assets or by equity
ownership (other than as permitted under Section 4.2(c)(ii)), then such acquisition shall not 

 
 *Confidential Treatment Requested 

 
 32 

 be deemed to be a violation of the obligations set forth in Section 4.2(a) and (b) if the acquiring Party or its applicable Affiliate
discontinues or divests itself of the competing project or product within [...***...] after the consummation of such acquisition or Syngenta waives such obligations with respect to the applicable Project or Product pursuant to Section
4.2(b)(iii). 
  
 4.3    Diversa Third Party Projects. 
  
 (a)    Diversa agrees that if it or its Affiliate should enter into a project or agreement with a Third Party that
could benefit from Syngenta’s participation, such as if production in Plants rather than through Fermentation could significantly lower product costs, Diversa shall recommend Syngenta to the Third Party as a preferred collaborator or supplier.
This obligation shall terminate upon the termination of [...***...]. 
  
 (b)    Nothing in Section 4.3 shall be construed to limit or modify Diversa’s obligations to Syngenta under Section 4.1 and 4.2. For the avoidance of doubt, for products invented by Diversa for Third Parties,
which products fall outside the Syngenta Exclusive Field, Diversa shall be permitted to engage in such activity but not to manufacture in Plants; provided however, that notwithstanding anything to the contrary in this Agreement, nothing shall
prevent the Third Party from manufacturing in Plants. 
  
 4.4    Syngenta Agreement.

  
 (a)    With respect to Projects or Products, on a by Project or by Product basis, for the
shorter of (i) the duration of [...***...] or its [...***...], or in the event that [...***...], and (ii) the term of [...***...], Syngenta agrees, and agrees to procure the agreement of its
Affiliates, that neither Syngenta nor its Affiliates shall enter into any new agreement with a Third Party for microbe and microbial gene discovery and/or molecular evolution using the same or substantially similar technologies commercially
available as of the Effective Date and available through Diversa under this Agreement to develop a product the same or substantially similar to any such Syngenta Product or Project. Additionally, during such period, Syngenta agrees that Diversa will
be a preferred provider of microbe and microbial gene discovery and molecular evolution technologies in the Syngenta Exclusive 

 
 *Confidential Treatment Requested 

 
 33 

 Field subject to Syngenta’s existing contractual obligations with Third Parties relating to microbe and microbial gene discovery and
molecular evolution. Syngenta will not require Diversa to undertake a Project which would directly compete with a project under an agreement between Syngenta and a Third Party for microbe and microbial gene discovery and/or molecular evolution; if
Diversa and Syngenta agree to proceed with such competing Project, then the mutual non-compete obligations set forth in Section 4.2(a) shall not apply with respect to such Project. Syngenta’s obligations under this Agreement are subject to the
Syngenta Commitments, and Diversa acknowledges that Syngenta has disclosed in writing, pursuant to Section 9.2(a), Syngenta Commitments which include existing contractual relationships with Third Parties relating to microbe and microbial gene
discovery and/or molecular evolution. 
  
 (b)    Subject to the terms of this Agreement,
Syngenta or any of its Affiliates may use, directly or indirectly, any Research Results or Program Materials, including any Biomolecules discovered or identified in the course of the Research Program, in any research, development or
commercialization activities which it conducts in-house for any purpose or under contract with a Third Party to progress Projects and/or Syngenta Products, but not with any Third Party for any other purpose in conflict with Syngenta’s
obligations under Section 4.2. Diversa agrees to provide Syngenta with access to all Biomolecules discovered or identified in the course of the Research Program and a license to use such Biomolecules in the Syngenta Exclusive Field in accordance
with and subject to Section 8.4 of this Agreement. During the term of Diversa’s obligations under Section 4.1(a) prior to their termination under Section 4.1(b), Syngenta agrees and agrees to procure the agreement of its Affiliates that (i)
neither Syngenta nor its Affiliates will use Biomolecules discovered or identified in the course of the Research Program with a Third Party for microbe and microbial gene discovery and/or molecular evolution and (ii) neither it or its Affiliates
will start any new projects, in-house or with a Third Party, which are directly competitive with any active Project under the Research Program, once research has commenced with respect to such active Project under the Research Program until such
Project has been completed or such Project has been terminated and removed from the Project List. Notwithstanding the foregoing, nothing in this Agreement shall prohibit Syngenta or its Affiliates from using in any manner whatsoever Biomolecules
which have been placed into the public domain other than by wrongful disclosure by Syngenta or its Affiliates. 

 

 
 34 

  
 5.    RESEARCH MILESTONE PAYMENTS 
  
 5.1    Project Milestones.  Diversa shall be eligible to receive Project milestone payments from
Syngenta for the achievement of relevant events for a particular Project in accordance with the table set forth below and which shall be adapted as appropriate and included in the Project Plan for each Project prior to the commencement thereof
(“Milestones”). Once the specific Milestones have been established for a Project in a Project Plan in accordance with the categories set forth in this Section 5.1, such Milestones and related payments may not be amended without
Syngenta’s written agreement. No more than a total of $[...***...] in Milestone payments under this Agreement shall be due for each Project. Notwithstanding other provisions in this Section 5.1 to the contrary, the Parties agree
that the Milestones and payments related thereto for certain new protein therapeutic projects described in Section 2.2(c) hereof shall be governed by the provisions of Section 2.2(c). 
  
 Milestones and Milestone Payments 
  
 
	         1.    [...***...]
 	 	  
	 
	                [...***...]
 	 	  
	 
	  	 	 [...***...]
 
	 
	         2.    [...***...]
 	 	  
	 
	                [...***...]
 	 	  
	 
	  	 	 [...***...]
 
	 
	         3.    [...***...]
 	 	  
	 
	                [...***...]
 	 	 [...***...]
 

 

 
 *Confidential Treatment Requested 

 
 35 

  
 4.    [...***...] 
  
 [...***...]                        
                                
                         
                                         
                     [...***...] 
  
 5.    [...***...]                    
                                         
                                         
                                         
[...***...] 
  
 5.2    Milestone Payments.  Diversa shall provide the
Research Committee with satisfactory evidence and supporting documentation that it has achieved the milestones. Achievement against the agreed Milestones for a Project shall be determined by Syngenta in good faith. If a Milestone has been achieved
to Syngenta’s good faith satisfaction, Syngenta shall pay Diversa the applicable Milestone payment within [...***...]. The total amount of all Milestone payments per Project shall not exceed $[...***...] (except as
provided in Section 2.2(c) with respect to certain new protein therapeutic projects as to which the total of all milestone payments per such new protein therapeutic project shall be as set forth in Section 2.2(c)). For the avoidance of doubt, except
as provided in Section 2.2(c), at [...***...] a total of $[...***...] per Project shall have been paid or be due to Diversa. Individual Milestone payments will not be partially paid. 
  
 6.    ROYALTIES 
  
 6.1    Royalty Rate.  If a Syngenta Product is commercialized by Syngenta, Diversa shall be entitled to royalties on Syngenta’s annual Net Revenue for Syngenta Products, on a Product by
Product basis, subject to Section 6.3 and 6.5 hereof, based on the following royalty rate schedule, depending on whether the Syngenta Product is [...***...]: 
  
 
	 Annual
 Net Revenue
Per
 Syngenta Product    
 
	 	 Royalty %
 [...***...]
 
	 	 Royalty %
 [...***...]
 
	 	  
	 [...***...]
 	 	 [...***...]
 	 	 [...***...]
 	 	  
	 [...***...]
 	 	 [...***...]
 	 	 [...***...]
 	 	  
	 [...***...]
 	 	 [...***...]
 	 	 [...***...]
 	 	  

 

 
 *Confidential Treatment Requested 

 
 36 

  
 [...***...]                    
                    
[...***...]                    
                     [...***...] 
  
 For example, if Net Revenue for one Syngenta Product [...***...] was $[...***...] in a given calendar year and the Net Revenue for another Syngenta Product [...***...] was
$[...***...] in that calendar year, Syngenta would pay royalties of $[...***...] to Diversa for that calendar year (the sum of (a) $[...***...]). 
  
 If the [...***...] is changed during the year between [...***...] and [...***...], the [...***...] royalty rate will be used to calculate the royalty
on the Net Revenue received from Syngenta Products [...***...] during the year and the [...***...] royalty rate shall be used to calculate the royalty due on the Net Revenue received from Syngenta Products
[...***...] during such year. 
  
 6.2    Cumulative Royalty.  If
cumulative annual Net Revenue of all Syngenta Products, in aggregate, exceed $[...***...] in Net Revenue in [...***...], subject to Section 6.3 hereof, Diversa shall earn an additional royalty in the amount of
[...***...] of cumulative annual Net Revenue for all Syngenta Products in total for that [...***...] in which more than $[...***...] Net Revenue occurs. This is not a compound increase,
[...***...]. 
  
 6.3    Net Revenue Adjustment.  The amount of Net
Revenue earned by Syngenta on a Syngenta Product shall be adjusted for purposes of calculation of royalties under Section 6.1 and 6.2 where sales or other revenue is not directly and solely attributable to such Syngenta Product (e.g. where traits
are stacked or where seed and chemicals are sold together). In this event, the Parties shall negotiate in good faith to allocate a portion of such sales or other revenue that is attributable to the value of the Syngenta Product. Revenue used for
calculation of the Net Revenue for the royalty and cumulative royalty calculations under Section 6.1 and 6.2 shall be as determined by agreement by the Parties pursuant to this Section 6.3 or, failing such agreement, pursuant to the arbitration
provisions set forth in Section 13. 
  
 6.4    Non-Cash Revenue.  If in
connection with the sale or transfer of a Syngenta Product, Syngenta or its Affiliates grants a Sublicensee a sublicense under any Program Technology or to any Syngenta Product, in exchange for any consideration in a form other than cash or a cash
equivalent (e.g., a license under other intellectual property owned or Controlled by a Third Party), the fair market value of the non-cash consideration received by Syngenta and its Affiliates for such rights or product, as the case may be, shall

 
 *Confidential Treatment Requested 

 
 37 

 be agreed by the Parties, or if the Parties are unable to agree on such fair market value, either Party may submit such matter to dispute
resolution pursuant to Section 13 below, in order to determine the fair market value of such consideration which shall be used in calculating Revenue. 
  
 6.5    Duration of Royalties.  The royalties due hereunder will be payable on a country by country, Product by Product basis beginning on the first commercial sale
of the applicable Product in the applicable country and ending on the later of (a) [...***...] after the date of first commercial sale of such Product in such country if there are no issued patents included in the Patent Rights
pertaining to such Product in such country or (b) the expiration of the last to expire of the issued patents included in the Patent Rights pertaining to such Product in such country. For the avoidance of doubt, no royalties shall be due hereunder in
the event that the royalty obligation arises solely by virtue of issued patents included in the Patent Rights that claim the manufacture, use or sale of the Biomolecule incorporated into the Product that was discovered, identified, or developed, or
the utility of which is discovered or identified in the course of the Research Program (and not issued patents included in the Patent Rights that claim the manufacture, use or sale of the Product) and the issued patents included in the Patent Rights
applicable to such Biomolecule have expired or have been abandoned in all countries. 
  
 6.6    Third Party Royalties. 
  
 (a)    Except as
otherwise expressly set forth in this Agreement or the License Agreement, Syngenta shall be responsible for the payment of any royalties, license fees and milestone and other payments due to any other Third Party(ies) under licenses or similar
agreements necessary for the development, manufacture, propagation, use, import or sale of Syngenta Products developed, made and/or commercialized by Syngenta or its Affiliates or Sublicensees. 
  

(b)    Except as otherwise expressly set forth in this Agreement or the License Agreement, Diversa shall be responsible for the payment of any
royalties, license fees and milestone and other payments due to any other Third Party(ies) under licenses or similar agreements necessary for the development, manufacture, propagation, use, import or sale of Diversa Products, and any other products
which incorporate or are made through use of Program Technology (other than Syngenta Products), developed, made and/or commercialized by Diversa or its Affiliates or Sublicensees. 

 
 *Confidential Treatment Requested 

 
 38 

  
 6.7    Withholding Taxes.  Any tax that one
Party is required to withhold and pay on behalf of the other Party with respect to the payments payable by such Party to the other Party under this Agreement shall be deducted from and offset against said payments prior to remittance to that other
Party; provided, however, that in regard to any tax so deducted, the withholding Party shall give or cause to be given to the other Party such assistance as may reasonably be necessary to enable that other Party to claim exemption therefrom or
credit therefor, and in each case shall furnish the other Party with proper evidence of the taxes paid on its behalf. 
  
 7.    BOOKS AND RECORDS 
  
 7.1    Reports and
Payments. 
  
 (a)    After the first commercial sale of a Product as to which royalties are
payable by one Party to the other Party hereunder, the Party owing royalty payments shall make quarterly written reports to the other Party for each calendar quarter, within [...***...] after the end of the applicable calendar quarter,
stating in each such report, for Net Revenue of such Party and its Affiliates, on a country-by-country and Product-by-Product basis: 
  

	 	(i)
	 
	the quantity and description of each Product sold; and 
 

  

	 	(ii)
	 
	the Net Revenue for each Product, and the calculation of royalties due thereon, accompanied by sufficient information to enable the Party due royalties to
verify the accuracy of the royalty calculations made by the other Party, and a detailed explanation of the methodology used to determine the royalty payment, including, without limitation, the exchange rates used pursuant to Section 7.3.

 

  
 Concurrently with the making of any such reports, the Party owing royalties to the other Party shall pay to such
other Party, within [...***...] after the end of each calendar quarter, all royalties due pursuant to Section 6 in the case of Syngenta on Syngenta Products. If no royalties are due, such Party shall so notify the other Party. The
Parties acknowledge that the royalty reports and payments from Syngenta to Diversa for each calendar quarter during a calendar year will be based on [...***...] and that [...***...] 

 
 *Confidential Treatment Requested 

 
 39 

  
 [...***...]. 
  
 7.2    Payment Method; Late Payments.  All amounts due either Party hereunder shall be paid in U.S. dollars by wire transfer in
immediately available funds to a bank account designated by the receiving Party. Any payments or portions thereof due hereunder which are not paid on the date such payments are due under this Agreement shall bear interest at a rate equal to the
lesser of [...***...], or the [...***...], calculated on the number of days such payment is delinquent, [...***...]. This Section 7.2 shall in no way limit any other remedies available to either Party.

  
 7.3    Currency Conversion.  Royalty payments subject to this Agreement
shall first be determined in the currency earned and then converted to its equivalent in United States currency. The average of the buying rates on exchange for converting the currencies involved into the currency of the United States quoted by the
Financial Times (or its successor in interest) for the quarterly period in which the royalty payments were earned shall be used to determine any such conversion. 
  
 7.4    Restrictions on Payment.  The obligation to pay royalties under this Agreement in a particular country shall be waived and
excused to the extent that statutes, laws, codes or government regulations in such country prevent such royalty payments; provided, however, in such event, if legally permissible, the paying Party shall pay the royalties owed to the receiving Party
by depositing such amounts in a bank account in such country that has been designated by the receiving Party and promptly report such payment to the receiving Party. 
  
 7.5    Records; Inspection.  Each Party and its Affiliates shall keep (and cause its Sublicensees to keep) complete, true and accurate
books of account and records for the purpose of determining the royalty payments payable under this Agreement. Such books and records shall be kept reasonably accessible for three (3) years following the end of the calendar year to which they
pertain. Such records will be open for inspection during such three (3) year period by a representative or agent of the receiving Party reasonably acceptable to the paying Party, which approval shall not be unreasonably withheld, for the purpose of
verifying the statements provided pursuant to Section 7.1. Such inspections may 

 
 *Confidential Treatment Requested 

 
 40 

 be made no more than once each calendar year, at reasonable times mutually agreed by Syngenta and Diversa. The inspecting Party’s
representative or agent will be obliged to execute a confidentiality agreement acceptable to the other Party in its reasonable judgment prior to commencing any such inspection and may only disclose to the inspecting Party the amount of any variance
or error. The inspecting Party shall bear the costs and expenses of inspections conducted under this Section 7.5, unless a variation or error producing an underpayment in amounts payable exceeding five percent (5%) of the amount payable for any year
is established in the course of any such inspection, whereupon all costs relating to the inspection and any unpaid amounts that are discovered will be paid by the paying Party or any overpayments will be returned to the paying Party, together with
interest on such unpaid amounts or overpayments at the rate specified in Section 7.2 above. 
  
 8.    INTELLECTUAL PROPERTY 
  
 8.1    Ownership of
Existing Intellectual Property and Improvements.  Syngenta or its Affiliates shall retain all ownership rights to all Patent Rights, Know How, and Materials owned by Syngenta or its Affiliates as of the Effective Date and to any
improvements thereof, excluding Platform Technology Improvements not specifically requested to be made and funded by Syngenta as part of Research Program hereunder, and Diversa hereby assigns to Syngenta all right, title and interest in and to any
such improvements. Diversa or its Affiliates shall retain all ownership rights to all Patent Rights, Know How, and Materials, and all other intellectual property owned by Diversa or its Affiliates as of the Effective Date and to any improvements
thereof, including Diversa’s proprietary nucleic acid libraries, and shall own all improvements to Diversa’s discovery and evolution technologies, and all its screening assays, and Syngenta hereby assigns to Diversa all right, title and
interest in and to any such improvements made, conceived or reduced to practice by employees or consultants of Syngenta or its Affiliates in the course of the Research Program and all intellectual property rights therein. Notwithstanding anything to
the contrary contained herein, each Party shall own all manufacturing host organisms, and all intellectual property related thereto, that it owns as of the Effective Date, or develops subsequently, whether under this Agreement or otherwise, and any
improvements thereto. 
  
 8.2    Ownership of New Intellectual Property and Research
Results. 
  
 (a)    Inventorship of inventions, whether or not patentable, conceived of by
employees or consultants of either Party, or jointly by employees and consultants of both Parties, in the course of work performed under the Research Program (collectively, the “Inventions”) shall be determined in accordance with United
States patent 

 

 
 41 

 laws, and ownership of Inventions shall be determined in accordance with inventorship except as otherwise provided in Section 8.1 and this
Section 8.2. Except as specifically set forth herein, the inventing Party shall own all Inventions hereunder. 
  
 (b)    Except as expressly provided in this Agreement, Syngenta shall own all Program Technology, and Diversa shall only use Research Results and Program Materials for Project Research and Directed Research
hereunder. 
  
 (c)    Diversa shall own all Patent Rights and Know-How related to compositions
of matter, uses of or methods primarily relating to, or otherwise primarily involving, any Biomolecule or any derivative or analog thereof discovered pursuant to the conduct of the Projects under the Research Program, any Diversa Product or any
other product sold or licensed, or developed for sale or license, by Diversa or its Affiliates or Sublicensees which incorporates or is made through use of Program Technology, including, but not limited to, methods and techniques used for discovery
and/or optimization of Biomolecules and derivatives or analogs thereof, and methods of using Biomolecules to make products, and shall be entitled to use the foregoing for any purpose, subject to the provisions of Section 4 and any license granted
under Section 8.4(a); provided, however that Plant Genes are excluded from this Section 8.2(c) and are included in Section 8.2(e). 
  
 (d)    Diversa shall own all Platform Technology Improvements, and shall be entitled to use the foregoing for any purpose, subject to the provisions of Section 4 and subject to the provisions of Sections
8.1 and 8.4(b) with respect to Platform Technology Improvements included in the Research Results. 
  
 (e)    For the avoidance of doubt, Syngenta shall own all Patent Rights and Know-How that claim, disclose or cover compositions of matter that are Plant Genes discovered pursuant to the conduct of the Projects
under the Research Program or Syngenta Products, and uses of, or methods of making, such Plant Genes or Syngenta Products, except as set forth in Section 8.2(c). 
  
 (f)    Each Party shall (and shall cause its applicable Affiliates to) make such assignments and take such other actions as may be necessary or
appropriate to effect the ownership of intellectual property rights in accordance with this Section 8.2. 
  
 8.3    Ownership Dispute.  If there is a dispute regarding the ownership of any Research Results, Patent Rights and Know How under Section 8.1 or 8.2, the Parties agree to resolve such dispute by
submitting such dispute to an independent patent counsel 

 

 
 42 

 mutually acceptable to the Parties for resolution, with each Party paying half of the fees of such independent patent counsel. 

 
 8.4    License of Platform Technology and Biomolecules. 
  
 (a)    Diversa hereby grants to Syngenta and its Affiliates a perpetual (subject only to payments due hereunder),
exclusive, royalty-bearing (pursuant to Section 6 as part of the royalties due on Syngenta Products with no other royalty being due), worldwide license, with the right to sublicense, under the Patent Rights and Know-How Controlled by Diversa and its
Affiliates to make, have made and use all of the Biomolecules that demonstrated the minimum criteria levels specified in the applicable Project Plans to use, develop, make, have made, import, sell, offer for sale and have sold Syngenta Products for
use in the Syngenta Exclusive Field. Diversa agrees to grant to Syngenta and its Affiliates a perpetual (subject only to payments due hereunder), royalty-bearing (pursuant to Section 6 as part of the royalties due on Syngenta products with no other
royalty being due) worldwide license, with the right to sublicense, under the Patent Rights and Know-How Controlled by Diversa and its Affiliates to make, have made and use all other Biomolecules discovered or provided in the course of the Projects
under the Research Program which did not demonstrate such minimum criteria levels to use, develop, make, have made, import, sell, offer for sale and have sold Syngenta Products for use in the Syngenta Exclusive Field subject to the following
provisions: 
  
 (i)     Syngenta shall give Diversa written notice of its good faith intent
to utilize commercially a Biomolecule discovered or provided in the course of the Projects under the Research Program which has not met the applicable criteria for development and commercialization; 
  
 (ii)    Diversa shall grant Syngenta a license, on the terms set forth in Section 8.4(a) above, to such Biomolecule
in the Syngenta Exclusive Field to the greatest extent that Diversa has not granted such rights to a Third Party(ies) at the time Syngenta gives Diversa the notice set forth in subsection (i) or (iii) herein or planned to undertake within
[...***...] or undertaken an internally funded project to utilize such Biomolecule as established by written evidence of such project or plan at the time Syngenta gives such notice. If Diversa has not granted any Third Party(ies) a
license with respect to such Biomolecule for use in the entire Syngenta Exclusive Field and has not undertaken or planned to undertake such internally funded project as described above for use in the entire Syngenta Exclusive Field, then, Diversa
shall grant Syngenta an exclusive license. If Diversa has granted a Third Party(ies) a non-exclusive license to the Biomolecule for use in the entire Syngenta Exclusive Field or has undertaken or planned to undertake such internally funded project
as described above for use in the entire Syngenta Exclusive Field, 

 
 *Confidential Treatment Requested 

 
 43 

 then Diversa shall grant Syngenta a non-exclusive license for the entire Syngenta Exclusive Field. If Diversa has granted a Third Party(ies) a
non-exclusive and/or exclusive license or has undertaken or planned to undertake such internal project as described above with respect to the Biomolecule for use only in part of the Syngenta Exclusive Field, then Diversa will grant Syngenta an
exclusive license with respect to the part of the Syngenta Exclusive Field not covered by the Third Party’s(ies’) (or the internal project’s) exclusive or non-exclusive license and a non-exclusive license for those parts of the
Syngenta Exclusive Field where the Third Party(ies) has also been granted a non-exclusive license (or which is covered by the internal project). If at the time Syngenta gives notice to Diversa, Diversa has granted a Third Party(ies) an exclusive
license or if Diversa has undertaken or planned to undertake such internal project as described above with respect to the entire Syngenta Exclusive Field, then Diversa shall have no obligation to grant a license to Syngenta with respect to such
Biomolecule for the duration of the Third Party’s(ies’) license or the internal project. 
  
 (iii)    Syngenta shall have the right to give Diversa subsequent notice(s) of its good faith interest in a Biomolecule discovered or provided in the course of the Projects under the Research Program which has not
met the applicable minimum criteria and the provisions set forth in (ii) shall apply. 
  
 (b)      Diversa agrees to grant Syngenta and its Affiliates a perpetual, royalty-free, worldwide license, with the right to sublicense, to use the Platform Technology Improvements which are owned by
Diversa pursuant to Section 8.2(d) hereof, in the Syngenta Exclusive Field. Such license shall be exclusive, with the right to sublicense, during the term of Diversa’s exclusivity obligations under Section 4.1 and shall be non-exclusive
thereafter. 
  
 (c)      Syngenta shall have the right to grant sublicenses under the
rights granted to it under Section 8.4(a) and (b) as provided therein; provided that the Affiliate or Sublicensee to whom a sublicense is granted agrees to be bound by the terms and conditions of this Agreement. Syngenta will be responsible for all
payments for Syngenta Products due to Diversa as a result of any Affiliate and Sublicensee Net Revenues. Syngenta will be responsible for the observance by all of its Affiliates and Sublicensees of all applicable provisions of this Agreement, and
will use its reasonable good faith efforts to cause all of its Affiliates and Sublicensees to observe the covenants in this Agreement, including, without limitation, provisions regarding confidentiality, limitations on use of Material and/or
Biomolecules, maintaining records, reporting Net Revenues, making required payments and governmental regulations 

 

 
 44 

  
 8.5    Research License. 
  
 (a)    During the Research Term, Syngenta hereby grants to Diversa a non-exclusive, royalty-free license, under
Syngenta Proprietary Technology and those Patent Rights and Know-How Controlled by Syngenta and its Affiliates which Syngenta determines should be used in the Research Program or which is licensed by Diversa to Syngenta hereunder, to use such Patent
Rights and Know-How only for the conduct of the Research Program. If Syngenta elects to provide Diversa with access to its genomics data for such purpose, Diversa acknowledges and agrees that it shall use such genomics data only for its research
under the Research Program for use in the Syngenta Exclusive Field for Syngenta and for no other purpose. This license is personal to Diversa and does not include a right to sublicense. This license does not include a right to commercialize.

  
 (b)    Syngenta agrees, on behalf of itself and its Affiliates, to hold Diversa and its
Affiliates harmless from and against claims by Syngenta or any of its Affiliates of infringement or misappropriation of any Syngenta Proprietary Technology or Patent Rights or Know-How Controlled by Syngenta or any of its Affiliates in connection
with Diversa’s performance of its obligations under the Research Program. 
  
 8.6    Filing of Patents. 
  
 (a)    Subject to the
provisions of this Section 8.6, the Party owning the Patent Rights shall have the right and the responsibility for patent filing, prosecution and maintenance (including the defense of interferences, oppositions and similar proceedings)
(collectively, “Patent Activities”). Such Patent Activities shall be at the discretion and at the sole expense of the applicable owner, using patent counsel of such owner’s choice. 
  

(b)    Each Party shall notify the other, in writing prior to any filing, of its intention to file any patent application claiming an invention
made in connection with the Research Program and the ownership of which is governed by Sections 8.2(c), 8.2(d), or 8.2(e) above, including identification of each country and regional patent office in which the Party intends to file patent
applications claiming priority to an earlier filed patent application, and shall at the request of the other Party promptly provide the other with copies of all patent prosecution and maintenance documentation and correspondence so that the other
shall be currently and promptly informed of the continuing prosecution and maintenance of patent applications and patents claiming or disclosing inventions made in connection with the Research Program. The Parties will provide reasonable cooperation
to each other with respect to each other’s Patent Activities, provided that neither Party shall have any obligation 

 

 
 45 

  
 to incur out of pocket expenses or to engage in any legal or administrative proceedings in providing
such cooperation. 
  
 (c)    If at any time the Party responsible for Patent Activities pursuant
to Section 8.6(a) above (the “Responsible Party”) does not wish to file or wishes to discontinue the prosecution or maintenance of any patent application or patent filed in any country, on a country-by-country basis, which is included in
the Patent Rights, it shall promptly give notice of such intention to the other Party. If such other Party then has an exclusive license under such patent application or patent pursuant to this Agreement or the License Agreement, then such other
Party shall have the right, but not the obligation, to assume responsibility for the prosecution of any such Patent Rights in the applicable country, at its own expense, by giving notice to the Responsible Party of such intention within thirty (30)
days. In such event, the Responsible Party shall assign all of its rights in such Patent Rights to the Party assuming responsibility for and costs of the Patent Activities for use only in the Syngenta Exclusive Field if the assignee is Syngenta and
for use only outside the Syngenta Exclusive Field if the assignee is Diversa. 
  
 (d)    Each
Party agrees to cooperate fully in the preparation, filing, and prosecution of any Patent Rights under this Agreement, including, without limitation, executing all papers and instruments, or requiring its employees or consultants, to execute such
papers and instruments as may be reasonably required, so as to effectuate the ownership of Research Results, Patent Rights and Know-How set forth in Sections 8.1 and 8.2 and to enable the other Party to apply for and to prosecute patent applications
in any country. The Parties agree to follow the patent strategy cooperation procedures set forth in Exhibit C hereto. 
  
   8.7   Patent Enforcement. 
  
 (a)    In the
event either Party becomes aware of any actual or threatened infringement or use of any Patent Rights (collectively, an “Infringement”), that Party shall promptly notify and provide full details to the other Party provided that neither
Party shall be required to provide information if it would waive attorney client privilege or would be a breach of confidentiality obligations with a Third Party. The Parties will meet to discuss the appropriate course of action, and may collaborate
in pursuing such course or action; provided that the owner of the Patent Rights shall have sole discretion with respect to enforcement of such Patent Rights. 

 

 
 46 

  
 (b)    With respect to infringement of any patent included in
the Patent Rights owned by a Party that is likely to have a material adverse effect on any Product being developed or commercialized by the other Party or its Affiliates or Sublicensees pursuant to a license granted under this Agreement or the
License Agreement or on any such license granted under this Agreement or the License Agreement, such other Party shall have the right, at its own expense, to be represented in any such action by counsel of its own choice, and, if the Party that owns
such Patent Rights fails to bring an action or proceeding prior to the earlier of (a) a reasonable time days following the notice of alleged infringement not to exceed [...***...] or (b) [...***...] before the time limit,
if any, set forth in the appropriate laws and regulations for the filing of such actions, the other Party shall have the right to bring and control any such action at its own expense and by counsel of its own choice, and the Party that owns the
Patent Rights shall have the right, at its own expense, to be represented in any such action by counsel of its own choice. 
  
 (c)    If either Party lacks standing and the other Party has standing to bring any such suit, action or proceeding to enforce its Patent Rights, then the Responsible Party may request the other Party to do so at
the Responsible Party’s expense. The Party with standing is under no obligation to comply with such request, but rather is free to refuse such request. 
  
 (d)    No legal proceeding or claim regarding Patent Rights may be settled without the consent of the applicable owner of the Patent Rights. In no event shall either Party enter
into any agreement which makes any admission regarding (i) wrongdoing on the part of the other Party, or (ii) the invalidity, unenforceability or absence of infringement of any Patent Rights owned or Controlled by the other Party, without the prior
written consent of the other Party. The Parties shall cooperate with each other in connection with any such claim, suit or proceeding and shall keep each other reasonably informed of all material developments in connection with any such claim, suit
or proceeding. 
  
 8.8    Third Party Infringement.  The Parties shall promptly
notify one another in writing of any allegation by a Third Party that the exercise of the rights granted to either Party under this Agreement or the activities of either Party under this Agreement infringes or may infringe the intellectual property
rights of such Third Party. Each Party will use commercially reasonable efforts (and will endeavor to cause its Affiliates to use commercially reasonable efforts) to cooperate with the other Party to resolve or defend against any such claims.
Neither Party shall have the right to settle any patent infringement litigation under this Section 8.8 in a manner that diminishes the rights of the other Party without the prior written consent of such other Party. 

 
 *Confidential Treatment Requested 

 
 47 

  
 8.9    No Unauthorized Use.  Diversa hereby
covenants that it will not practice or use the Syngenta Proprietary Technology, the Program Technology, or the Patent Rights and Know-How Controlled by Syngenta, except as expressly permitted in this Agreement or in the License Agreement. Syngenta
hereby covenants that it will not practice or use the Program Technology or Patent Rights and Know-How Controlled by Diversa, except as expressly permitted in this Agreement. Notwithstanding the above, nothing in this Agreement shall prohibit either
Party from using outside the scope of this Agreement information which is in the public domain, unless the use of such information would infringe issued, valid patent rights owned or Controlled by the other Party hereto. 
  
 8.10    No Implied Licenses.  No rights or licenses with respect to any intellectual property owned
by Diversa or Syngenta are granted or shall be deemed granted hereunder or in connection herewith, other than those rights expressly granted in this Agreement or in the License Agreement. 
  
 9.    REPRESENTATIONS AND WARRANTIES 
  
 9.1    Legal Authority.  Each Party represents and warrants to the other that it has the legal power, authority and right to enter into this Agreement and to perform its respective
obligations set forth herein. 
  
 9.2    No Conflicts. 
  
 (a)    Syngenta represents and warrants that as of the Effective Date neither it nor any of its Affiliates is a Party
to any agreement or arrangement with any Third Party or under any obligation or restriction, including pursuant to its Certificate of Incorporation or Bylaws, which in any way limits or conflicts with its ability to fulfill any of its obligations
under this Agreement, and that none of them shall enter into any such agreement, or so modify any existing agreement, during the term of this Agreement which would conflict with its ability to fulfill any of its obligations under this Agreement
except the Syngenta Commitments. Syngenta represents and warrants as of the Effective Date that the Syngenta Commitments include accurate and complete descriptions of all of the agreements or other arrangements it has with Third Parties that limit
or restrict its ability to fulfill any of its obligations under this Agreement. 
  
 (b)    Diversa represents and warrants that as of the Effective Date of this Agreement neither it nor any of its Affiliates is a Party to any agreement or arrangement with any Third Party or under any obligation
or restriction, including pursuant to its Certificate of Incorporation or Bylaws, which in any way limits or conflicts with its ability to 

 

 
 48 

  
 fulfill any of its obligations under this Agreement, and that none of them shall enter into any such
agreement, or so modify any existing agreement during the term of this Agreement which would limit or conflict with its ability to fulfill any of its obligations under this Agreement, except the Diversa Commitments. Diversa represents and warrants
as of the Effective Date that the Diversa Commitments include accurate and complete descriptions of all of the agreements or other arrangements it has with Third Parties and of its internally funded activities that limit or restrict its ability to
conduct research and development activities for Syngenta in the Syngenta Exclusive Field. 
  
 9.3    Disclaimer of Warranties.  Diversa and Syngenta each specifically disclaims that the Research Program will be successful, in whole or part. DIVERSA AND SYNGENTA EXPRESSLY DISCLAIM ANY
WARRANTIES OR CONDITIONS, EXPRESS, IMPLIED, STATUTORY OR OTHERWISE, WITH RESPECT TO THE CONFIDENTIAL INFORMATION, PATENT RIGHTS OR KNOW-HOW, RESEARCH RESULTS, TECHNOLOGY, PROGRAM TECHNOLOGY, GENE(S), BIOMOLECULE(S), DIVERSA PRODUCTS, OR SYNGENTA
PRODUCTS, INCLUDING, WITHOUT LIMITATION, ANY WARRANTY OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, NON-INFRINGEMENT OF INTELLECTUAL PROPERTY RIGHTS OF THIRD PARTIES, OR VALIDITY OF ANY TECHNOLOGY OR PROGRAM TECHNOLOGY, PATENTED OR
UNPATENTED. 
  
 10.    CONFIDENTIALITY 
  
 10.1    Confidential Information.  Except as expressly provided herein, the Parties agree that, for the term of this Agreement and
thereafter, the receiving Party (the “Receiving Party”) shall keep completely confidential and shall not publish or otherwise disclose and shall not use for any purpose except for the purposes contemplated by this Agreement the terms of
this Agreement and any confidential information of the other Party or any data, technical and economic information (including the economic terms hereof), commercialization, and research strategies and know-how and other information provided by the
other Party (the “Disclosing Party”) during the term of this Agreement or during the negotiation of this Agreement, the License Agreement, or the Transaction Agreement, or in connection with the transactions contemplated thereby, or any
Research Results, Patent Rights, Know-How and Materials solely owned by the Disclosing Party (collectively, the “Confidential Information”) furnished to it by the Disclosing Party pursuant to this Agreement, the License Agreement, the
Transaction Agreement, or the transactions contemplated thereby. The Parties acknowledge and agree that the foregoing restrictions shall not apply to any: 

 

 
 49 

  
 (a)    information that is or becomes part of the public
domain through no fault of the Receiving Party or its Affiliates; 
  
 (b)    information that is
obtained after the date hereof by the Receiving Party or one of its Affiliates from any Third Party which is lawfully in possession of such Confidential Information and not in violation of any contractual or legal obligation to the Disclosing Party
with respect to such Confidential Information; 
  
 (c)    information that is known to the
Receiving Party or one or more of its Affiliates prior to disclosure by the Disclosing Party, as evidenced by the Receiving Party’s written records; or 
  
 (d)    information which has been independently developed by the Receiving Party without the aid or use of any Confidential Information, as shown by contemporaneous written records.

  
 10.2    Permitted Disclosures.  Confidential Information may be disclosed to
employees, agents, consultants and actual or bona fide potential Sublicensees of the Receiving Party or its Affiliates, but only to the extent reasonably required to accomplish the purposes of this Agreement and only if such employees, agents,
consultants and actual or potential bona fide Sublicensees to whom disclosure is to be made are subject to a written obligation to hold in confidence and not make use of such information for any purpose other than those permitted by this Agreement.
Each Party will use at least the same standard of care as it uses to protect proprietary or confidential information of its own to ensure that such employees, agents, consultants and Sublicensees do not disclose or make any unauthorized use of the
Confidential Information. The Receiving Party shall be permitted to disclose Confidential Information in the event that, and only to the extent that, such information is required to be disclosed to comply with applicable laws or regulations or for
regulatory filings to test, register and sell Syngenta Products and Diversa Products and any other products sold or licensed, or developed for sale or license, by Diversa or its Affiliates or Sublicensees which incorporate or are made through use of
Program Technology as provided hereunder (such as disclosure to the United States Securities and Exchange Commission, the United States Environmental Protection Agency, the United States Department of Energy, the United States Food and Drug
Administration, or the United States Patent and Trademark Office, or to their foreign equivalents), or to comply with a court or administrative order, provided that the Disclosing Party receives prior written notice of such disclosure and that the
Receiving Party takes all reasonable and lawful actions to obtain confidential treatment for such disclosure and, if possible, to minimize the extent of such disclosure. In addition, 

 

 
 50 

  
 each Party may disclose the terms of this Agreement to lenders, investment bankers, and similar
financial institutions solely for purposes of financing the business operations of such Party and to Third Parties in connection with a potential bona fide merger or acquisition transaction either (i) upon the written consent of the other Party or
(ii) if the disclosing Party obtains a signed confidentiality agreement with such financial institution or Third Party with respect to such information, upon terms substantially similar to those contained in this Section 10. 
  
 10.3    Publicity.  All publicity, press releases and other announcements relating to this Agreement
or the transaction contemplated hereby shall be reviewed in advance by, and shall be subject to the approval of, both Parties; provided, however, that either Party may disclose the terms of this Agreement pursuant to Section 10.2 or to the extent
required to comply with applicable securities or other laws, in which case the disclosing Party shall use reasonable efforts to provide the non-disclosing Party the opportunity to review and comment on such disclosure prior to its submission. Once a
particular disclosure has been approved for disclosure, either Party may make disclosures which do not differ materially therefrom without any need for further consents. All such disclosures shall be copied to the other party for information.

  
 10.4    Publication.  Neither Party shall publish any Research Results
without the other Party’s prior written consent. If the Party not proposing disclosure gives such consent, the Parties shall cooperate in appropriate publication of the results of research and development work performed pursuant to this
Agreement, but subject to the predominating interest to obtain patent protection for any patentable subject matter. To this end, it is agreed that prior to any public disclosure of such results, the Party proposing disclosure shall send the other
Party a copy of the information to be disclosed, and shall allow the other Party thirty (30) days from the date of receipt in which to determine whether the information to be disclosed contains subject matter for which patent protection should be
sought prior to disclosure, or otherwise contains Confidential Information of the reviewing Party which such Party desires to maintain as a trade secret. If such notification is not received during the thirty (30) day period, the Party proposing
disclosure shall be free to proceed with the disclosure. If due to a valid business reason or a reasonable belief by the non-disclosing Party that the disclosure contains subject matter for which a patentable invention should be sought or
Confidential Information of the non-disclosing party, then prior to the expiration of the thirty (30) day period, the non-disclosing Party shall so notify the disclosing Party, who shall then delete the Confidential Information of the non-disclosing
Party and, at the request of the non-disclosing Party, delay public disclosure of the remainder of the disclosure for an 

 

 
 51 

  
 additional period of up to sixty (60) days to permit the preparation and filing of a patent application
on the subject matter to be disclosed or other action to be taken. The Party proposing disclosure shall thereafter be free to publish or disclose the information. The determination of authorship for any paper shall be in accordance with accepted
scientific practice. 
  
 11.    INDEMNIFICATION 
  
 11.1    Syngenta.  Syngenta agrees to indemnify, defend and hold harmless Diversa and its Affiliates
and Sublicensees and their respective employees, agents, officers, directors and permitted assigns (each a “Diversa Indemnitee”) from and against any claims, actions or suits by a Third Party resulting in any liabilities, damages,
settlements, claims, penalties, fines, and reasonable costs or reasonable expenses incurred (including, without limitation, reasonable attorneys’ fees and other expenses of litigation, if any, of Third Parties awarded by the court in a final
decision which is not appealed or is unappealable) (any of the foregoing, a “Claim”) against or incurred by any Diversa Indemnitee to the extent arising out of or resulting from (i) negligence or willful misconduct by Syngenta in the
Research Program; (ii) a breach of any of the representations or warranties of Syngenta hereunder; (iii) a material breach of Syngenta’s obligations under this Agreement; (iv) the use of the Syngenta Proprietary Technology, Syngenta Materials
and any other intellectual property or Materials which Syngenta provides for or uses in the conduct of the Research Program (excluding any intellectual property or Materials provided by Diversa or licensed by Diversa to Syngenta); and (v) the
development or manufacture, use, promotion, marketing, sale or other distribution of any Syngenta Product by Syngenta or its Affiliates or Sublicensees, except, in each case, to the extent that such Claim arises out of or results from a matter for
which Syngenta is entitled to be indemnified by Diversa pursuant to Section 11.2 hereof, and provided that notwithstanding the foregoing, Syngenta shall have no liability to any Diversa Indemnitee for its consequential or special damages or lost
profits, and with respect to Third Party claims, shall only be obligated to indemnify Diversa Indemnitees against actual damages, if any, awarded to a Third Party or actual settlement amounts, as applicable. For the avoidance of doubt, any claims
that Diversa may have with respect to the TMRI Intellectual Property Rights licensed under the License Agreement shall be made under the Transaction Agreement and not under or in connection with this Agreement. 
  
 11.2    Diversa.  Diversa agrees to indemnify, defend and hold harmless Syngenta and its Affiliates
and Sublicensees and their respective employees, agents, officers, directors and permitted assigns (each a “Syngenta Indemnitee”) from and against any Claims against or incurred by any Syngenta Indemnitee arising out of or resulting from

 

 
 52 

  
 (i)  the negligence or willful misconduct of Diversa in the Research Program; (ii) a breach of
any of the representations or warranties by Diversa hereunder; (iii) a material breach by Diversa of its obligations under this Agreement; (iv) to the extent not covered by Section 11.1 above, the use of Diversa Materials and any other intellectual
property or Materials which Diversa provides for or uses in the conduct of the Research Program; and (v) the development or manufacture, use, promotion, marketing, sale or other distribution by Diversa or its Affiliates or its Sublicensees of any
Diversa Product or any other product sold or licensed, or developed for sale or license, by Diversa or its Affiliates or Sublicensees which incorporates or is made through use of Program Technology, except, in each case, to the extent that such
Claim arises out of or results from a matter as to which Diversa is entitled to be indemnified by Syngenta pursuant to Section 11.1 hereof; provided, however, that notwithstanding the foregoing, Diversa shall have no liability to any Syngenta
Indemnitee for its consequential or special damages or lost profits and with respect to Third Party claims shall only be obligated to indemnify Syngenta Indemnitees against actual damages, if any, awarded to a Third Party or actual settlement
amounts, as applicable. 
  
 11.3    Procedure.  A Diversa Indemnitee or Syngenta
Indemnitee (the “Indemnitee”) that intends to claim indemnification under this Section 11 shall promptly notify the indemnifying Party (the “Indemnitor”) in writing of any Claim in respect of which the Indemnitee intend to claim
such indemnification, and the Indemnitor shall have the right to participate in, and, to the extent the Indemnitor so desires, to assume the defense thereof with counsel chosen by Indemnitor, with consent of Indemnitee, which consent shall not be
unreasonably withheld. The Indemnitee shall not enter into negotiations or enter into any agreement with respect to the settlement of any Claim without the prior written approval of the Indemnitor, and the indemnity agreement in this Section 11
shall not apply to amounts paid in settlement of any Claim if such settlement is made without the consent of the Indemnitor, which consent shall not be withheld unreasonably. The failure to deliver written notice to the Indemnitor within a
reasonable time after the commencement of any such action, if prejudicial to its ability to defend such action, shall relieve such Indemnitor of any liability to the Indemnitee under this Section 11. At the Indemnitor’s request, the Indemnitee
under this Section 11, shall cooperate fully with the Indemnitor and its legal representatives in the investigation and defense of any action, claim or liability covered by this indemnification and provide full information with respect thereto.

  
 12.    TERM AND TERMINATION 
  
 12.1    Term and Termination of Research Program.  The initial five (5) year term of the Research Program shall commence on the
Effective Date and, unless terminated 

 

 
 53 

  
 earlier due to the termination of the Agreement pursuant to Section 12.3, 12.4 or 12.5, shall terminate
on the fifth anniversary of the Effective Date. Syngenta shall have the right to extend the Research Term beyond the initial five (5) year term, from time to time, for consecutive periods of one Year by delivering written notice thereof to Diversa
at least [...***...] prior to the expiration of the initial five (5) year term or at least [...***...] prior to the expiration of any extension period, and in any event the Research Term shall be extended so that funding of
the Research Program during the Research Term shall comply with Section 2.6(b); provided, however, that Diversa’s express written consent shall be required for any such extension beyond the [...***...] anniversary of the Effective
Date. Diversa shall give Syngenta at least [...***...] prior notice before the fifteenth or any subsequent anniversary of the Effective Date if it does not agree to the extension of the Research Term beyond the fifteenth or such
subsequent anniversary date. If Diversa gives Syngenta this notice, Syngenta shall have no obligation to continue the Research Term or to provide any FTE Funding at any level beyond the fifteenth or such subsequent anniversary date of the Effective
Date. The “Research Term” includes the initial five (5) year term and all extension periods pursuant to this Section 12.1 if applicable. The effective date of termination of the Research Term shall not be earlier than two Years after the
expiration of the initial five year term, except as otherwise expressly provided under this Agreement. 
  
 12.2    Term and Termination of Agreement.  This Agreement shall be effective as of the Effective Date and, unless otherwise terminated earlier pursuant to the other provisions of this Section 12,
shall continue in full force and effect on a country-by-country basis and Syngenta Product-by-Syngenta Product, or Diversa Product-by-Diversa Product basis, as the case may be, until the date that neither Party has remaining royalty obligations to
the other for such Syngenta Product or Diversa Product, as applicable, in such country. Following the expiration of royalty obligations in any country with respect to a particular Syngenta Product or Diversa Product, as the case may be, Syngenta or
Diversa shall retain a non-exclusive, perpetual, worldwide, fully paid license under the other Party’s interest in the Know-How within the Program Technology to commercialize such Syngenta Product or Diversa Product, as the case may be in the
Syngenta Exclusive Field with respect to Syngenta and outside the Syngenta Exclusive Field with respect to Diversa. 
  
 12.3    Termination for Material Breach.  Either Party may terminate this Agreement in the event the other Party has materially breached or defaulted in the performance of any of its obligations
hereunder and such default has continued for sixty (60) days (ten (10) days with respect to any payment default) after written notice thereof was provided to the breaching Party by the non-breaching Party, or if a cure of such default 

 
 *Confidential Treatment Requested 

 
 54 

  
 (other than a payment default) cannot reasonably be effected within such sixty (60) day period, the
defaulting Party has failed to deliver within such period a plan for curing such breach or default which is reasonably sufficient to effect a cure and which is satisfactory to the non-breaching party in its sole judgment. An assignment of this
Agreement by a Party in contravention of Section 14.3 hereof shall be deemed to be a material breach which shall entitle the other Party to terminate this Agreement. It is understood and agreed that a Party may terminate this Agreement based upon
the conduct of any Sublicensee of the other Party that would constitute a material breach of this Agreement if such other Party undertook such conduct, unless such other Party promptly and diligently acts (and continues to act) to enforce the
restrictions and obligations set forth in this Agreement against such Sublicensee. Any termination shall become effective at the end of such cure period unless the breaching Party has cured any such breach or default prior to the expiration of the
cure period, or has delivered to the other Party during such cure period a plan for curing such breach which is reasonably acceptable to the other Party. 
  
 12.4    Termination for Bankruptcy.  If voluntary or involuntary proceedings by or against a Party are instituted in bankruptcy under any insolvency law, or a
receiver or custodian is appointed for such Party, or proceedings are instituted by or against such Party for corporate reorganization or the dissolution of such Party, which proceedings, if involuntary, shall not have been dismissed within sixty
(60) days after the date of filing, or if such Party makes an assignment for the benefit of creditors, or substantially all of the assets of such Party are seized or attached and not released within sixty (60) days thereafter, the other Party may
immediately terminate this Agreement effective upon notice of such termination. 
  
 12.5    Termination for Change in Control of Diversa.  In the event that during Research Term, Diversa proposes to undertake a Change in Control, Diversa will provide written notice thereof
promptly upon such information being made publicly available. Syngenta shall have the right to terminate this Agreement if Diversa undergoes a Change in Control during such period if either (i) the Change of Control is with or involving any entity
which is a competitor of Syngenta’s or its Affiliates, or (ii) as a result of such Change in Control, Syngenta reasonably determines, in its sole judgment, that such Change in Control would have an adverse effect on the ability of the surviving
entity to perform the Research Program and provides Diversa the reason for this determination at the time of notice of such termination. In either case, Syngenta may terminate the Agreement effective upon such Change in Control by giving Diversa
written notice of such prospective termination within 

 

 
 55 

  
 thirty (30) days after Syngenta receives written notice of such proposed Change in Control from Diversa.

  
 12.6    Effect of Termination. 
  

(a)    Termination of this Agreement for any reason shall not release any Party hereto from any liability which, at the time of such termination,
has already accrued to the other Party or which is attributable to a period prior to such termination, nor preclude either Party from pursuing any rights and remedies it may have hereunder or at law or in equity which accrued or are based upon any
event occurring prior to such termination. 
  
 (b)    Upon any termination of this Agreement,
Syngenta and Diversa shall promptly return to the other Party hereto all Confidential Information received from the other Party (except one copy of which may be retained by legal counsel for archival purposes and ensuring compliance with Section
10), and all Materials shall be returned to the owner thereof, except to the extent either Party retains rights to use Know-How of the other Party pursuant to this Agreement and to the extent that Diversa retains rights under the License Agreement.

  
 12.7    Survival.  Sections 1, 2.2(j) (ii)(but only for a period of five
years after expiration or termination of this Agreement), 2.2(j)(iii), 2.6(f) (for the period described therein), 2.7, 3.5(a), 4.4(b), and 7.5 (for the period described therein), 8.1, 8.2, 8.3, 8.4, 8.6,8.7, 8.8, 8.9, 8.10, 9, 10, 11, 12.6, 12.7,
12.8, 13 and 14 of this Agreement shall survive the expiration or termination of this Agreement for any reason. 
  
 12.8    Rights in Bankruptcy.  All rights and licenses granted under or pursuant to this Agreement are, and shall otherwise be deemed to be, for purposes of Section 365(n) of the U.S. Bankruptcy
Code, licenses of rights to “intellectual property” as defined under Section 101 of the U.S. Bankruptcy Code. The Parties agree that each Party that is a licensee of such rights under this Agreement shall retain and may fully exercise its
rights and elections under the U.S. Bankruptcy Code. The Parties further agree that, in the event of the commencement of a bankruptcy proceeding by or against either Party under the U.S. Bankruptcy Code, the Party hereto which is not a Party to such
proceeding shall be entitled to a complete duplicate of (or complete access to, as appropriate) any such intellectual property and all embodiments of such intellectual property, and same, if not already in their possession, shall be, within ten (10)
days of the commencement of such proceeding, delivered to them (i) upon any such commencement of a bankruptcy proceeding upon their written request therefore, unless the Party subject to such proceeding (or a 

 

 
 56 

  
 trustee on behalf of the subject Party) elects to continue to perform all of their obligations under
this Agreement or (ii) if not delivered under (i) above, upon the rejection of this Agreement by or on behalf of the Party subject to such proceeding upon written request therefore by the non-subject Party. 
  
 13.      DISPUTE RESOLUTION 
  
 13.1    Acknowledgement.  Notwithstanding any other provision of this Agreement, it is understood and agreed that the matters as to
which this Agreement provides that Syngenta or Syngenta’s representatives on the Research Committee have the right to make the decision shall not be subject to dispute resolution under this Section 13 including the following: the selection of
which Projects, including without limitation, Reserved Projects, will be conducted in the Research Program which are within the Syngenta Exclusive Field (which decision shall be within Syngenta’s sole discretion); decisions to add, terminate,
modify, reorder the priority or substitute Projects which are within the Syngenta Exclusive Field and the allocations of resources with respect thereto which will be made by the Syngenta representatives on the Research Committee under Section 2.2;
and the amendment of Milestones and Milestone payments requiring Syngenta’s agreement and the determination by Syngenta whether Milestones have been achieved under Section 5.1. In addition, any dispute regarding ownership of any Research
Results, Patent Rights and Know-How shall be resolved in accordance with Section 8.3 and shall not be subject to dispute resolution under this Section 13. 
  
 13.2    Consultation.  If an unresolved dispute arises out of or relates to this Agreement, or the breach thereof, either Party may refer such dispute to the Chief
Executive Officer of Diversa and Syngenta’s Head of Plant Science (or equivalent position) or his or her nominee (who shall not be a member of the Research Committee) for good faith resolution. If such dispute is not settled within
[...***...] of such referral, then either Party may thereafter initiate arbitration in accordance with Section 13.3. 
  
 13.3    Arbitration. 
  
 (a)    Except as otherwise
provided in this Agreement, including Section 13.1 or 13.3(e), any dispute, controversy or claim arising out of the performance of this Agreement, including termination thereof, or any alleged breach thereof which is not settled by mutual consent
pursuant to Section 13.2 above, shall be finally settled by binding arbitration as set forth in Sections 13.3(b) or 13.3(c) below. Any arbitration award may be 
  
 *Confidential Treatment Requested 

 

 
 57 

  
 entered in a court of competent jurisdiction for a judicial recognition of the decision and an order of
enforcement. 
  
 (b)    Except as otherwise provided in Section 13.3(c) below, arbitration of any
dispute, controversy or claim shall be conducted in accordance with the Commercial Arbitration Rules of the American Arbitration Association by three (3) independent, neutral arbitrators appointed in accordance with said rules. Any arbitration shall
be held in New York, New York. The arbitrators shall determine what discovery shall be permitted, consistent with the goal of limiting the cost and time which the Parties must expend for discovery; provided the arbitrators shall permit such
discovery as they deem necessary to permit an equitable resolution of the dispute. Any written evidence originally in a language other than English shall be submitted in English translation accompanied by the original or a true copy thereof. Except
as otherwise expressly provided in this Agreement, the costs of the arbitration, including administrative and arbitrators’ fees, shall be shared equally by the parties and each Party shall bear its own costs and attorneys’ and
witness’ fees incurred in connection with the arbitration. A disputed performance or suspended performances pending the resolution of the arbitration must be completed within a reasonable time period following the final decision of the
arbitrators. The arbitrators shall be directed that any arbitration subject to this Section 13.4(b) shall be completed within one (1) year from the filing of notice of a request for such arbitration. The arbitration proceedings and the decision
shall not be made public without the joint consent of the Parties and each Party shall maintain the confidentiality of such proceedings and decision unless otherwise permitted by the other Party. Any decision which requires a monetary payment shall
require such payment to be payable in United States dollars, free of any tax or other deduction. The Parties agree that the decision shall be the sole, exclusive and binding remedy between them regarding any and all disputes, controversies, claims
and counterclaims presented to the arbitrators. 
  
 (c)    If the Parties do not agree upon (i)
the adjustment of Revenue with respect to a Product as provided under Section 6.3 or (ii) the financial value of non-financial consideration pursuant to Section 6.4, then such matters shall be determined by binding arbitration pursuant to this
Section 13.3 (c) by one (1) independent, neutral arbitrator that is mutually acceptable to the Parties and who is an expert in the appropriate industry (e.g., agriculture, pharmaceuticals, etc.) to which the applicable Products or non-financial
consideration, as the case may be, relate. If the Parties are unable to agree upon a mutually acceptable arbitrator, the arbitrator shall be an independent expert as described in the preceding sentence selected by the chief executive of the office
of the American Arbitration 

 

 
 58 

  
 Association encompassing New York, New York. For arbitration of disputes subject to this Section 13.3(c)
each Party to the arbitration shall prepare and submit one written proposal setting forth its proposed allocation of Revenue or its proposed financial valuation of non-financial consideration, all expressed in U.S. Dollars) for the commercialization
at issue, together with a written explanation setting forth the reasons for its position. After the arbitrator has received proposals from both Syngenta and Diversa, the arbitrator shall forward a copy of the other Party’s proposal to each. No
oral presentations shall be permitted. The arbitrator shall select the proposal of one of the Parties as his decision, and shall not have the authority to render any substantive decision other than to so select in its entirety the proposal of one
Party or the other. Except as otherwise expressly provided in this Agreement, the costs of the arbitration, including administrative and arbitrator’s fees, shall be shared equally by the Parties and each Party shall bear its own costs and
attorneys’ fees incurred in connection with the arbitration. A disputed performance or suspended performances pending the resolution of the arbitration must be completed within a reasonable time period following the final decision of the
arbitrator. The arbitrator shall be directed that any arbitration subject to this Section 13.3 (c) shall be completed within four (4) months from the filing of notice of a request for such arbitration. The arbitration proceedings and the decision
shall not be made public without the joint consent of the Parties and each Party shall maintain the confidentiality of such proceedings and decision unless otherwise permitted by the other Party. Any decision which requires a monetary payment shall
require such payment to be payable in United States dollars, free of any tax or other deduction. The Parties agree that the decision shall be the sole, exclusive and binding remedy between them regarding determination of the matters presented to the
arbitrator. 
  
 (d)    The arbitrator or arbitrators shall, within fifteen (15) calendar days
after the conclusion of the arbitration hearing pursuant to Section 13.3(b) or (c), issue a written award and statement of decision describing the essential findings and conclusions on which the award is based, including the calculation of any
damages awarded. The arbitrator or arbitrators shall be authorized to award compensatory damages, but shall NOT be authorized (i) to award non-economic damages, such as for emotional distress, pain and suffering or loss of consortium, (ii) to award
punitive damages, or (iii) to reform, modify or materially change this Agreement or any other agreements contemplated hereunder; provided, however, that the damage limitations described in parts (i) and (ii) of this sentence will not apply if such
damages are statutorily imposed. The arbitrator or arbitrators also shall be authorized to grant any temporary, preliminary or permanent equitable remedy or relief the arbitrator or arbitrators deems just and equitable and within the scope of this
Agreement, including, without limitation, an injunction or order for specific performance. Judgment on 

 

 
 59 

  
 the award rendered by the arbitrator or arbitrators may be entered in any court having competent
jurisdiction thereof. 
  
 (e)    This Section 13 shall not apply to any dispute, controversy or
claim that concerns (a) the validity or infringement of a patent, trademark or copyright; or (b) any antitrust, anti-monopoly or competition law or regulation, whether or not statutory. 
  
 (f)    By agreeing to this binding arbitration provision, the Parties understand that they are waiving certain rights and protections which may
otherwise be available if a claims between the Parties were determined by litigation in court, including, without limitation, the right to seek or obtain certain types of damages precluded by this provision, the right to a jury trial, certain rights
of appeal, and a right to invoke formal rules of procedure and evidence. 
  
 14.    MISCELLANEOUS

  
 14.1    Governing Law.  This Agreement and any dispute arising from the
performance or any breach hereof, including without limitation, any arbitration, shall be governed by and construed in accordance with the laws of the State of New York, without reference to conflicts of laws principles. 
  
 14.2    Waiver.  No failure on the part of Syngenta or Diversa to exercise and no delay in exercising
any right under this Agreement, or provided by statute or at law or in equity or otherwise, shall impair, prejudice or constitute a waiver of any such right, nor shall any partial exercise of any such right preclude any other or further exercise
thereof or the exercise of any other right, including without limitation any right under this Agreement or under common law, in equity, by statute, or otherwise. 
  
 14.3    Assignment. This Agreement shall not be assignable by either Party to any Third Party hereto without the written consent of the other Party hereto; except either
Party may assign this Agreement, without such consent, to an Affiliate of such Party; and except that, subject to Section 12.5, either Party may assign this Agreement to an entity that acquires all or substantially all of the business or assets of
such Party to which this Agreement pertains, whether by merger, reorganization, acquisition, sale, or otherwise; provided, however, that, in the event of such merger, reorganization, acquisition, sale or other transaction, no intellectual property
of any acquiring entity that is not a Party on the Effective Date shall be included in the technology and intellectual property licensed hereunder. The terms and conditions of this Agreement shall be binding on and inure to the benefit of the
permitted successors and assigns of the Parties. 

 

 
 60 

  
 14.4    Notices. All notices, requests and other
communications hereunder shall be in writing and shall be personally delivered or sent by internationally recognized express delivery service, registered or certified mail, return receipt requested, postage prepaid, in each case to the respective
address specified below, or such other address as may be specified in writing to the other Parties hereto: 
  
 If to Syngenta: 
  
 Syngenta Participations AG 
 Schwarzwaldallee 215 
 CH-4002 

Basel, Switzerland 
 Attention: President

 Fax: 41 61 323 7571 
  
 With a copy to: 
  
 Syngenta International AG

 Schwarzwaldallee 215 
 CH-4002 
 Basel, Switzerland 
 Attention: General Counsel 
 Fax: : 41 61 323 7571 
  
 And with a copy to: 
  
 Syngenta International AG 
 Schwarzwaldallee 215 
 CH-4002 
 Basel, Switzerland 
 Attention: Head of Mergers, Acquisitions, Ventures and Licensing 
 Fax: 41 61 323 5568 
  
 If to Diversa: 
  
 Diversa Corporation 
 4955 Directors Place 
 San Diego, California 
 92121-1609 
 Attention: President 
 Fax: (858) 526-5160 

 

 
 61 

  
 With a copy to: 
  
 Diversa Corporation 
 4955 Directors Place 
 San Diego, California 
 92121-1609 
 Attention: Vice President, Intellectual Property 
 Fax: (858) 526-5604 
  
 With a copy to: 
  
 Cooley Godward LLP 
 4401 Eastgate Mall 
 San Diego, California

 92121-1909 
 Attention: L.
Kay Chandler, Esq. 
 Fax: (858) 550-6420 
  
 Each Party providing notice, shall as a matter of courtesy, use reasonable efforts to transmit an electronic or facsimile copy of any such notice, but a failure to do so shall not constitute a failure to provide notice or a breach of
this Agreement. All notices, requests and other communications shall be deemed received on the date of receipt by the recipient thereof if received prior to 5:00 p.m. in the place of receipt and such is a business day in the place of receipt.
Otherwise, any such notice, request or communication shall be deemed not to have been received until the next succeeding business day in the place of receipt. 
  
 14.5    Force Majeure.  Neither Party shall be liable to the other for failure or delay in the performance of any of its obligations under this Agreement (other
than failure to make any payment when due) for the time and to the extent such failure or delay is caused by earthquake, riot, civil commotion, war, hostilities between nations, governmental law, order or regulation, embargo, action by the
government or any agency thereof, act of God, storm, fire, accident, labor dispute or strike, sabotage, explosion or other similar or different contingencies, in each case, beyond the reasonable control of the respective Party. The Party affected by
Force Majeure shall provide the other Party with full particulars thereof as soon as it becomes aware of the same (including its best estimate of the likely extent and duration of the interference with its activities), and will use its best
endeavors to overcome the difficulties created thereby and to resume performance of its obligations as soon as practicable. If the performance of any obligation under this Agreement is delayed owing to a force majeure for any continuous period of
more than six (6) months, the Parties hereto shall consult with respect to an equitable solution, including the possible termination of this Agreement. 

 

 
 62 

  
 14.6    Independent Contractors.  Both
Parties hereto are independent contractors and are engaged in the operation of their own respective businesses, and neither Party hereto is to be considered the agent or partner of the other Party for any purpose whatsoever. Neither Party has any
authority to enter into any contracts or assume any obligations for the other Party or make any warranties or representations on behalf of the other Party. 
  
 14.7    Advice of Counsel.  Diversa and Syngenta have each consulted counsel of their choice regarding this Agreement, and each acknowledges and agrees that this
Agreement shall not be deemed to have been drafted by one Party or another and will be construed accordingly. 
  
 14.8    Severability.  In the event that any provisions of this Agreement are determined to be invalid or unenforceable by a court of competent jurisdiction, the remainder of the Agreement shall
remain in full force and effect without said provision. The Parties shall in good faith negotiate a substitute clause for any provision declared invalid or unenforceable, which shall most nearly approximate the intent of the Parties in entering this
Agreement; provided, if the Parties are unable to agree on such a substitute clause and the deletion of the provision held invalid or unenforceable would produce material adverse financial consequences for one Party, such Party shall have the right
to terminate the Agreement with one hundred eighty (180) days notice. 
  
 14.9    Compliance
with Laws.  Each Party shall furnish to the other Party any information reasonably requested or required by that Party during the term of this Agreement or any extensions hereof to enable that Party to comply with the requirements of
any U.S. or foreign federal, state and/or government agency. Each Party shall comply with all applicable U.S., foreign, state, regional and local laws, rules and regulations relating to its activities to be performed pursuant to this Agreement

  
 14.10    Entire Agreement.  This Agreement, the Exhibits hereto, and the
Transaction Documents (as defined in the Transaction Agreement), constitute the entire agreement, both written or oral, with respect to the subject matter hereof and thereof, and supersede all prior or contemporaneous understandings or agreements,
whether written or oral, between Diversa and Syngenta with respect to such subject matter. 
  
 14.11    Headings.  The captions to the several Sections and Subsections hereof are not a part of this Agreement, but are included merely for convenience of reference only and shall not affect its
meaning or interpretation. 

 

 
 63 

  
 14.12    Binding Effect.  This Agreement
shall be binding upon and inure to the benefit of the parties and their respective legal representatives, successors and permitted assigns. 
  
 14.13    Counterparts.  This Agreement may be executed in two counterparts, each of which shall be deemed an original and which together shall constitute one
instrument. 
  
 IN WITNESS WHEREOF, the Parties hereto have caused this Agreement to be duly executed by their
authorized representatives as of the Effective Date. 
  
 
	 SYNGENTA PARTICIPATIONS AG
 	 	  	 	 DIVERSA CORPORATION
 
	 
	 By:
 	 	 /s/ Adrian C. Dubock
 
	 	  	 	 By:
 	 	 /s/ Jay M. Short
 

	 
	 Name:
 	 	 Adrian C. Dubock
 
	 	  	 	 Name:
 	 	 Jay M. Short
 

	 
	 Title:
 	 	 Head: Mergers & Acquisitions,
 
	 	  	 	 Title:
 	 	 CEO
 

	 
	  	 	 Ventures and Licensing
 
	 	  	 	  	 	  
	  	 	  	 	  	 	  	 	  
	  	 	  	 	  	 	  	 	  
	 
	 By:
 	 	 /s/ Marian T. Flattery
 
	 	  	 	  	 	  
	 
	 Name:
 	 	 Marian T. Flattery
 
	 	  	 	  	 	  
	 
	 Title:
 	 	 Head of Global Intellectual Property
 
	 	  	 	  	 	  

 

 

 
 64 

  
 EXHIBIT A 
  
 PLATFORM TECHNOLOGY PATENT APPLICATIONS 
  
 
	 Country/Patent Office
 
	  	 Syngenta Filing Ref.
 
	  	 Application No.
 
	  	 Application Date
 
	  	 Earliest Priority
 
	  	 Status
 
	  	 Publication No
 
	  	 Title
 

	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	  	  	  	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	  	  	  	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 

 

 
 *Confidential Treatment Requested 

 
 65 

  
 
	 Country/Patent Office
 
	  	 Syngenta Filing Ref.
 
	  	 Application No.
 
	  	 Application Date
 
	  	 Earliest Priority
 
	  	 Status
 
	  	 Publication No
 
	  	 Title
 

	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 

 

 
 *Confidential Treatment Requested 

 
 66 

  
 
	 Country/Patent Office
 
	  	 Syngenta Filing Ref.
 
	  	 Application No.
 
	  	 Application Date
 
	  	 Earliest Priority
 
	  	 Status
 
	  	 Publication No
 
	  	 Title
 

	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 

 

 
 *Confidential Treatment Requested 

 
 67 

  
 
	 Country/Patent Office
 
	  	 Syngenta Filing Ref.
 
	  	 Application No.
 
	  	 Application Date
 
	  	 Earliest Priority
 
	  	 Status
 
	  	 Publication No
 
	  	 Title
 

	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 

 

 
 *Confidential Treatment Requested 

 
 68 

  
 
	 Country/Patent Office
 
	  	 Syngenta Filing Ref.
 
	  	 Application No.
 
	  	 Application Date
 
	  	 Earliest Priority
 
	  	 Status
 
	  	 Publication No
 
	  	 Title
 

	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 
	 
	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	 [...***...]
 	  	  	  	 [...***...]
 

 

 
 *Confidential Treatment Requested 

 
 69 

  
 EXHIBIT B 
  
 PROJECT LIST AS OF EFFECTIVE DATE 
  
 [...***...] 

 
 *Confidential Treatment Requested 

 
 70 

  
 [...***...] 

 
 *Confidential Treatment Requested 

 
 71 

  
 [...***...] 

 
 *Confidential Treatment Requested 

 
 72 

  
 [...***...] 

 
 *Confidential Treatment Requested 

 
 73 

  
 [...***...] 

 
 *Confidential Treatment Requested 

 
 74 

  
 [...***...] 

 
 *Confidential Treatment Requested 

 
 75 

  
 [...***...] 

 
 *Confidential Treatment Requested 

 
 76 

  
 [...***...] 

 
 *Confidential Treatment Requested 

 
 77 

  
 [...***...] 

 
 *Confidential Treatment Requested 

 
 78 

  
 [...***...] 

 
 *Confidential Treatment Requested 

 
 79 

  
 EXHIBIT C 
  
 PATENT STRATEGY COOPERATION PROCEDURES 
  
 [...***...] 

 
 *Confidential Treatment Requested 

 
 80 

  
 [...***...] 

 
 *Confidential Treatment Requested 

 
 81

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00046-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00046-of-00352.parquet"}]]