Document:

Exhibit 10.1

EXECUTION COPY

RESEARCH, DEVELOPMENT AND COMMERCIALIZATION AGREEMENT

by and between

Sangamo BioSciences, Inc.

and

Juvenile Diabetes Research Foundation International

 

 

 

 

 

Table of Contents

 

	
 
	
 
	
page

	
 
	
 
	
 

	
ARTICLE I
	
DEFINITIONS.
	
2

	
 
	
 
	
 

	
    1.1
	
Affiliate
	
2

	
 
	
 
	
 

	
    1.2
	
Agreement
	
2

	
 
	
 
	
 

	
    1.3
	
Applicable Law
	
2

	
 
	
 
	
 

	
    1.4
	
Application
	
2

	
 
	
 
	
 

	
    1.5
	
Award
	
2

	
 
	
 
	
 

	
    1.6
	
Award Received
	
2

	
 
	
 
	
 

	
    1.7
	
Commercially Reasonable Efforts
	
2

	
 
	
 
	
 

	
    1.8
	
Confidential Information
	
2

	
 
	
 
	
 

	
    1.9
	
Controlled
	
2

	
 
	
 
	
 

	
    1.10
	
Default
	
2

	
 
	
 
	
 

	
    1.11
	
Diabetes
	
2

	
 
	
 
	
 

	
    1.12
	
Dispute
	
2

	
 
	
 
	
 

	
    1.13
	
Dollars
	
2

	
 
	
 
	
 

	
    1.14
	
Effective Date
	
2

	
 
	
 
	
 

	
    1.15
	
FDA
	
2

	
 
	
 
	
 

	
    1.16
	
Field
	
2

	
 
	
 
	
 

	
    1.17
	
First Commercial Sale
	
2

	
 
	
 
	
 

	
    1.18
	
Five Percent Payment
	
3

	
 
	
 
	
 

	
    1.19
	
Funding Date
	
3

	
 
	
 
	
 

	
    1.20
	
GAAP
	
3

	
 
	
 
	
 

	
    1.21
	
Indemnitee
	
3

	
 
	
 
	
 

	
    1.22
	
Interruption
	
3

	
 
	
 
	
 

	
    1.23
	
Interruption License
	
3

	
 
	
 
	
 

	
    1.24
	
Interruption Notice
	
3

	
 
	
 
	
 

	
    1.25
	
Interruption Response
	
3

	
 
	
 
	
 

	
    1.26
	
JDRF 
	
3

	
 
	
 
	
 

	
    1.27
	
JDRF Designees 
	
3

	
 
	
 
	
 

	
    1.28
	
JDRF Indemnitee 
	
3

	
 
	
 
	
 

	
    1.29
	
JDRF Interruption License Technology 
	
3

	
 
	
 
	
 

	
    1.30
	
JDRF Patents 
	
3

	
 
	
 
	
 

	
    1 .31
	
JDRF Studies 
	
3

	
 
	
 
	
 

	
    1.32
	
Joint Invention 
	
3

	
 
	
 
	
 

	
    1.33
	
Joint Research Advisory Committee 
	
3

	
 
	
 
	
 

	
    1.34
	
Major Markets 
	
3

-i-

 

Table of Contents

(CONTINUED)

 

	
 
	
 
	
page

	
 
	
 
	
 

	
    1.35
	
Matched Funds 
	
3

	
 
	
 
	
 

	
    1.36
	
Milestones 
	
3

	
 
	
 
	
 

	
    1.37
	
NetSales
	
3

	
 
	
 
	
 

	
    1.38
	
Owner 
	
4

	
 
	
 
	
 

	
    1.39
	
Party(ies) 
	
4

	
 
	
 
	
 

	
    1.40
	
Patents 
	
4

	
 
	
 
	
 

	
    1.41
	
Person 
	
4

	
 
	
 
	
 

	
    1.42
	
Policies 
	
4

	
 
	
 
	
 

	
    1.43
	
Primary Statistical Analysis 
	
4

	
 
	
 
	
 

	
    1.44
	
Prime Rate 
	
4

	
 
	
 
	
 

	
    1.45
	
Principal Investigator 
	
4

	
 
	
 
	
 

	
    1.46
	
Product 
	
4

	
 
	
 
	
 

	
    1.47
	
Program Material 
	
4

	
 
	
 
	
 

	
    1.48
	
Qualified Subject 
	
4

	
 
	
 
	
 

	
    1.49
	
Quarterly Report 
	
4

	
 
	
 
	
 

	
    1.50
	
Recipient 
	
4

	
 
	
 
	
 

	
    1.51
	
Recipient Notice Requirement 
	
4

	
 
	
 
	
 

	
    1.52
	
Registration 
	
4

	
 
	
 
	
 

	
    1.53
	
Regulatory Approval 
	
4

	
 
	
 
	
 

	
    1.54
	
Research Plan 
	
5

	
 
	
 
	
 

	
    1.55
	
Research Program 
	
5

	
 
	
 
	
 

	
    1.56
	
Research Termination Date 
	
5

	
 
	
 
	
 

	
    1.57
	
Sangamo 
	
5

	
 
	
 
	
 

	
    1.58
	
Sangamo Designees 
	
5

	
 
	
 
	
 

	
    1.59
	
Sangamo Indemnitee 
	
5

	
 
	
 
	
 

	
    1.60
	
Sangamo Party 
	
5

	
 
	
 
	
 

	
    1.61
	
Sangámo Patents 
	
5

	
 
	
 
	
 

	
    1.62
	
Sangamo Research Program Technology 
	
5

	
 
	
 
	
 

	
    1.63
	
Surrogate Endpoint Data
	
5

	
 
	
 
	
 

	
    1.64
	
Territory
	
5

	
 
	
 
	
 

	
    1.65
	
Therapeutic Candidate
	
5

	
 
	
 
	
 

	
    1.66
	
Third Party
	
5

	
 
	
 
	
 

	
ARTICLE II
	
RESEARCH PROGRAM
	
5

	
 
	
 
	
 

	
  2.1
	
Overview
	
5

-ii-

 

Table of Contents

(CONTINUED)

 

	
  2.2
	
Commencement of the Research Program
	
5

	
 
	
 
	
 
	
 

	
  2.3
	
Research Diligence
	
5

	
 
	
 
	
 
	
 

	
 
	
2.3.1
	
Generally 
	
5

	
 
	
 
	
 
	
 

	
 
	
2.3.2 
	
Obligations of Sangamo
	
6

	
 
	
 
	
 

	
  2.4
	
Modifications to JDRF Studies
	
6

	
 
	
 
	
 

	
  2.5
	
Joint Research Advisory Committee
	
6

	
 
	
 
	
 

	
 
	
2.5.1 
	
Composition and Purposes
	
6

	
 
	
 
	
 

	
 
	
2.5.2 
	
Meetings
	
7

	
 
	
 
	
 

	
 
	
2.5.3 
	
Discussions/Recommendations
	
7

	
 
	
 
	
 

	
 
	
2.5.4 
	
Expenses
	
7

	
 
	
 
	
 

	
  2.6
	
Delivery of Adverse Event Data to the JRAC
	
7

	
 
	
 
	
 

	
ARTICLE III
	
RESEARCH FUNDING; RECORDS
	
7

	
 
	
 
	
 

	
  3.1
	
Research Funding
	
7

	
 
	
 
	
 
	
 

	
 
	
3.1.1 
	
Payments
	
7

	
 
	
 
	
 

	
 
	
3.1.2 
	
Limitations
	
7

	
 
	
 
	
 

	
 
	
3.1.3 
	
Matched Funds
	
8

	
 
	
 
	
 

	
 
	
3.1.4 
	
Payments
	
8

	
 
	
 
	
 

	
 
	
3.1.5 
	
Competition
	
8

	
 
	
 
	
 

	
  3.2
	
Records; Reporting Obligations; Audits
	
8

	
 
	
 
	
 

	
 
	
3.2.1 
	
Records
	
8

	
 
	
 
	
 

	
 
	
3.2.2 
	
Audit
	
8

	
 
	
 
	
 

	
 
	
3.2.3 
	
Reports; Notices
	
8

	
 
	
 
	
 

	
ARTICLE IV
	
DILIGENCE; COMPENSATION TO JDRF
	
9

	
 
	
 
	
 

	
  4.1
	
Development and Commercialization of Product
	
9

	
 
	
 
	
 

	
  4.2
	
Compensation to JDRF
	
9

	
 
	
 
	
 

	
  4.3
	
Sales Reports
	
10

	
 
	
 
	
 

	
  4.4
	
Royalties to Sangamo
	
10

	
 
	
 
	
 

	
ARTICLE V
	
CONFIDENTIALITY
	
10

	
 
	
 
	
 

	
  5.1
	
Confidentiality
	
10

	
 
	
 
	
 

	
 
	
5.1.1 
	
Definition of Confidential Information
	
10

	
 
	
 
	
 

	
 
	
5.1.2 
	
Non-Disclosure
	
11

	
 
	
 
	
 

	
 
	
5.1.3 
	
Required Disclosure
	
11

	
 
	
 
	
 

	
 
	
5.1.4 
	
No Use of Confidential Information
	
11

	
 
	
 
	
 

	
  5.2
	
Publicity; Use of Name
	
11

	
 
	
 
	
 

-iii-

 

Table of Contents

(CONTINUED)

 

	
 
	
 
	
page

	
 
	
 
	
 

	
ARTICLE VI
	
PUBLICATION
	
12

	
 
	
 
	
 

	
ARTICLE VII
	
INDEMNIFICATION
	
13

	
 
	
 
	
 

	
  7.1
	
Indemnification by Sangamo
	
13

	
 
	
 
	
 

	
  7.2
	
Indemnification by JDRF
	
13

	
 
	
 
	
 

	
  7.3
	
Claims Procedures
	
13

	
 
	
 
	
 

	
   7.4
	
Participation; Assuming Control of the Defense
	
13

	
 
	
 
	
 

	
  7.5
	
Advance Payment of Expenses
	
13

	
 
	
 
	
 

	
  7.6
	
Limitation of Liability
	
14

	
 
	
 
	
 

	
  7.7
	
Insurance
	
14

	
 
	
 
	
 

	
ARTICLE VIII
	
PATENTABLE INVENTIONS
	
14

	
 
	
 
	
 

	
  8.1
	
Ownership
	
14

	
 
	
 
	
 

	
  8.2
	
Preparation
	
14

	
 
	
 
	
 

	
  8.3
	
Costs
	
14

	
 
	
 
	
 

	
  8.4
	
Abandonment
	
14

	
 
	
 
	
 

	
ARTICLE IX
	
TERM AND TERMINATION
	
15

	
 
	
 
	
 

	
  9.1
	
Term
	
15

	
 
	
 
	
 

	
  9.2
	
Termination by JDRF With Cause
	
15

	
 
	
 
	
 

	
  9.3
	
Termination for JDRF Breach
	
15

	
 
	
 
	
 

	
  9.4
	
General Effect of Termination; Survival
	
15

	
 
	
 
	
 

	
  9.5
	
Interruption License
	
16

	
 
	
 
	
 

	
ARTICLE X
	
REPRESENTATIONS AND WARRANTIES
	
17

	
 
	
 
	
 

	
10.1
	
Representations, Warranties and Covenants of Sangamo
	
17

	
 
	
 
	
 

	
10.2
	
Representations and Warranties of JDRF
	
17

	
 
	
 
	
 

	
ARTICLE XI
	
MISCELLANEOUS PROVISIONS
	
18

	
 
	
 
	
 

	
11.1
	
Governing Law
	
18

	
 
	
 
	
 

	
11.2
	
Dispute Resolution
	
18

	
 
	
 
	
 

	
11.3
	
Equitable Relief
	
18

	
 
	
 
	
 

	
11.4
	
Waiver
	
18

	
 
	
 
	
 

	
11.5
	
Force Majeure
	
18

	
 
	
 
	
 

	
11.6
	
Severability
	
19

	
 
	
 
	
 

	
11.7
	
Assignment
	
19

	
 
	
 
	
 

	
11.8
	
Counterparts
	
19

	
 
	
 
	
 

	
11.9
	
No Agency
	
19

	
 
	
 
	
 

	
  11.10
	
Notice
	
19

-iv-

 

Table of Contents

(CONTINUED)

 

	
 
	
 
	
page

	
 
	
 
	
 

	
 11.11
	
Headings
	
20

	
 
	
 
	
 

	
 11.12
	
Entire Agreement
	
20

	
 
	
 
	
 

	
 
	
Exhibit A — Research Plan
	
 

	
 
	
 
	
 

	
 
	
Exhibit B — Research Funding and Milestones
	
 

	
 
	
 
	
 

	
 
	
Exhibit C — JDRF Policies and Conditions Regarding Funding of Research Involving Human Clinical Trials
	
 

	
 
	
 
	
 

	
 
	
Exhibit D — Form of Press Release
	
 

 

 

-v-

 

EXECUTION COPY

RESEARCH, DEVELOPMENT AND COMMERCIALIZATION AGREEMENT

This Agreement (this “Agreement”) is made on this 24th day of October, 2006, by and between Sangamo BioSciences, Inc., a Delaware corporation, with its principal office at 501 Canal Boulevard, Suite A100, Richmond, CA 94804 (“Sangamo”) and Juvenile Diabetes Research Foundation International, a Pennsylvania nonprofit corporation with its principal offices at 120 Wall Street, New York, NY 10005 (“JDRF”).  This Agreement shall become effective on the Effective Date (as defined below). Sangamo and JDRF are each a “Party,” and, collectively, the “Parties.”

WHEREAS, JDRF’s principal charitable mission is the discovery and development of a cure for diabetes and its complications, to which JDRF brings significant scientific and human resources and financial support;

WHEREAS, Sangamo desires, among other things, to collect additional clinical endpoints during the Phase II Repeat Dosing Clinical Trial of SB-509 for the purpose of understanding the mechanistic basis of efficacy and reversal of neuropathy (as more fully described in the Research Plan); and

WHEREAS, JDRF wishes to support the Research Program.

NOW, THEREFORE, in consideration of the mutual covenants set forth in this Agreement, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Parties agree as follows:

 

 

 

 

 

 

ARTICLE I DEFINITIONS

For purposes of this Agreement, the terms defined in this Article 1 shall have the following meanings whether used in their singular or plural forms. Use of the singular shall include the plural and vice versa, unless the context requires otherwise:

1.1 “Affiliate” shall mean, with respect to any Person, any other Person who directly or indirectly, by itself or through one or more intermediaries, controls, or is controlled by, or is under direct or indirect common control with, such Person. The term “control” means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a Person, whether through the ownership of voting securities, by contract or otherwise. Control will be presumed if one Person owns, either of record or beneficially, more than fifty percent (50%) of the voting stock of any other Person.

1.2 “Agreement” means this agreement, together with all appendices, exhibits and schedules hereto, and as the same may be amended or supplemented from time to time hereafter by a written agreement duly executed by authorized representatives of each Party hereto.

1.3 “Applicable Law” shall have the meaning set forth in Section 10.1(b).

1.4 “Application” shall mean Sangamo’s submitted Industry Discovery & Development Partnerships Application, dated May 12, 2006 and approved by JDRF on June 29, 2006.

1.5 “Award” shall mean an amount up to, but not to exceed, Three Million Dollars ($3,000,000), which is to be paid by JDRF to Sangamo for the Research Program in accordance with the terms, and subject to the conditions, set forth in this Agreement.

1.6 “Award Received” shall mean the amount of the Award actually received by Sangamo from JDRF pursuant to this Agreement, not including any amounts refunded to JDRF pursuant to Section 3.2.3(b).

1.7 “Commercially Reasonable Efforts” shall mean a level of effort and application of expertise and resources that are consistent with a continuing intention to research, develop and commercialize the Product, including without limitation the reasonable time during which Sangamo is engaged in active efforts to identify a potential Third Party licensee or collaborator and negotiate a license or collaboration arrangement with such Third Party to research, develop and/or commercialize the Product, it being acknowledged by the Parties that there may be delays for regulatory or other reasons that are not within Sangamo's or its licensee’s, sublicensee's or transferee's control and such delays shall not constitute a cessation of Commercially Reasonable Efforts.

1.8 “Confidential Information” shall have the meaning set forth in Section 5.1.1.

1.9 “Controlled” (except in the context of Section 1.1) shall mean the legal authority or right of a Party to grant a license or sublicense of intellectual property rights to the other Party hereto, or to otherwise disclose proprietary or trade secret information to such other Party, without breaching the terms of any agreement with a Third Party.

1.10 “Default” shall have the meaning set forth in Section 9.2.

1.11 “Diabetes” shall mean any one and/or all of the human diseases commonly known as diabetes and the complications of such diseases.

1.12 “Dispute” shall have the meaning set forth in Section 11.2(a).

1.13 “Dollars” shall have the meaning set forth in Section 3.1.4.

1.14 “Effective Date” shall mean the date the last Party signs this Agreement.

1.15 “FDA” shall mean the United States Food and Drug Administration, or any successor agency having regulatory jurisdiction over the manufacture, distribution and sale of drugs in the United States, and its territories and possessions.

1.16 “Field” shall mean the diagnosis, treatment and/or prevention of Diabetes in humans.

1.17 “First Commercial Sale” shall mean the first sale of the Product by Sangamo or an Affiliate, licensee, sublicensee, transferee or successor of Sangamo to an independent Third Party in a Major Market country following Regulatory Approval of the Product in that country.

2.

 

1.18 “Five Percent Payment” shall have the meaning set forth in Section 4.2(b).

1.19 “Funding Date” shall mean each date set forth on Exhibit B.

1.20 “GAAP” shall mean United States generally accepted accounting principles, consistently applied.

1.21 “Indemnitee” shall mean either Sangamo Indemnitee or JDRF Indemnitee, as applicable.

1.22 “Interruption” shall occur if, at any time before the First Commercial Sale of the Product, Sangamo, its Affiliates, licensees, sublicensees, transferees and/or successors, all cease to conduct, or have ceased Commercially Reasonable Efforts with respect to, the research, development and/or commercialization of all Products for a period of one hundred eighty (180) consecutive days, except that no Interruption shall be deemed to have occurred, if Sangamo, its Affiliates, licensees, sublicensees, transferees, and/or successors suspend, postpone or discontinue the development or commercialization of a Product on account of (a) a serious adverse event; (b) a clinical hold; or (c) communications with a regulatory authority.

1.23 “Interruption License” shall have the meaning set forth in Section 9.5(e).

1.24 “Interruption Notice” shall have the meaning set forth in Section 9.5(a).

1.25 “Interruption Response” shall have the meaning set forth in Section 9.5(a).

1.26 “JDRF” shall have the meaning set forth in the preamble of this Agreement.

1.27 “JDRF Designees” shall have the meaning set forth in Section 2.5.1.

1.28 “JDRF Indemnitee” shall have the meaning set forth in Section 7.1.

1.29 “JDRF Interruption License Technology” shall mean all intellectual property, data, technical information, know-how, inventions (whether or not patented), trade secrets, processes and methods that are (a) discovered or developed by or on behalf of JDRF or its Affiliates, in the performance of the Research Program or exploitation of the Interruption License under this Agreement, (b) Controlled by JDRF, and (c) necessary or useful for the research, development and commercialization of the Product.

1.30 “JDRF Patents” shall mean any Patents Controlled by JDRF or its Affiliates that claim an invention that relates to the Research Program but is not a Joint Invention.

1.31 “JDRF Studies” shall mean the mechanistic add-on studies for the collection of Surrogate Endpoint Data that are described in the Application.

1.32 “Joint Invention” shall have the meaning set forth in Section 8.1.

1.33 “Joint Research Advisory Committee” or “JRAC” shall have the meaning set forth in Section 2.5.1.

1.34 “Major Markets” shall mean the United States, United Kingdom, Germany, France, Italy and Spain.

1.35 “Matched Funds” shall have the meaning set forth in Section 3.1.3.

1.36 “Milestones” shall mean the performance milestones for the Research Program set forth in Exhibit B.

1.37 “Net Sales” means, for any period, the gross price received for the Product sold or otherwise disposed of (other than for use as clinical supplies or free samples) for consideration by Sangamo or its Affiliates to Third Parties other than sublicensees, reduced by the following amounts (calculated in accordance with GAAP consistently applied by Sangamo and its Affiliates across its product lines), if not previously deducted from the amount invoiced: (a) amounts actually allowed as trade, volume or quantity discounts, including early pay cash discounts; (b) amounts repaid or credited by reason of defects, recalls, accrued or actual returns, rebates and allowances of goods or because of retroactive price reductions specifically identifiable to the Product; (c) rebates and administrative fees paid to medical health care organizations in line with approved contract terms; (d) rebates resulting from government (or agency thereof) mandated rebate programs or chargeback programs; (e) rebates paid to wholesalers for inventory management programs or distribution management agreements, in accordance with Sangamo’s practice reasonably consistently applied; (f) discounts pursuant to indigent patient programs and patient discount programs to include coupons and vouchers to the extent included in Net Sales; (g) 

3.

 

retroactive and temporary price reductions that are actually allowed or granted; (h) sales commissions paid to Third Party distributors or selling agents (which shall not include sales organizations, whether contract or internal to Sangamo); (i) sales or excise taxes, custom duties, and other governmental charges (including payments made to United Kingdom government departments under the UK Pharmaceutical Pricing Regulatory Scheme or similar programs, and government taxes, charges or penalties, such as French Social Security rebates, which payments need not be calculated in accordance with GAAP) imposed directly on and actually paid by Sangamo or its Affiliates; and (j) transportation costs, including insurance and shipping, freight, and handling charges, to the extent billed separately to customers.

1.38 “Owner” shall have the meaning set forth in Section 5.1.2.

1.39 “Partv(ies)” shall have the meaning set forth in the preamble of this Agreement.

1.40 “Patents” means all existing patents and patent applications and all patent applications hereafter filed, including any continuation, continuation-in-part, division, provisional or any substitute applications, any patent issued with respect to any such patent applications, any reissue, reexamination, renewal or extension (including any supplementary protection certificate) of any such patent, any confirmation patent or registration patent or patent of addition based on any such patent, and all foreign counterparts of any of the foregoing.

1.41 “Person’ means any individual, corporation, partnership, association, joint-stock company, trust, unincorporated organization or government or political subdivision thereof.

1.42 “Policies” shall have the meaning set forth in Section 1 0.1(b).

1.43 “Primary Statistical Analysis” shall mean the analysis performed of the six (6) month follow up of all clinical endpoints of all evaluable patients participating in Sangamo 's Phase II Repeat Dosing Clinical Trial of SB-509.

1.44 “Prime Rate” shall mean the average prime rate published in the Wall Street Journal during the relevant period (calculated by dividing (a) the sum of the prime rates for each of the days during the relevant period, by (b) the number of days in the relevant period).

1.45 “Principal Investigator” shall mean the Chief Medical Officer of Sangamo, who will personally conduct or supervise the Research Program.

1.46 “Product” shall mean (a) the pharmaceutical product containing the Therapeutic Candidate or (b) any derivatives or related products that (i) encode a zinc finger DNA-binding protein designed to activate the expression of vascular endothelial growth factor (VEGF-A) and (ii) result from Sangamo's research for treatment of diabetic neuropathy.

1.47 “Program Material” shall have the meaning set forth in Section 2.3.2(d).

1.48 “Qualified Subject” is a human subject who, on enrollment into the Research Plan, has met all of the eligibility criteria and none of the exclusion criteria in the Research Plan and has given his or her written informed consent to participate in the Research Plan.

1.49 “Quarterly Report” shall have the meaning set forth in Section 3.2.3(a).

1.50 “Recipient” shall have the meaning set forth in Section 5.1.2.

1.51 “Recipient Notice Requirement” shall have the meaning set forth in Section 5.1.3.

1.52 “Registration” shall mean, with respect to each country in the Territory, Regulatory Approval for the Product filed in such country.

1.53 “Regulatory Approval” shall mean, with respect to any country, all authorizations by the appropriate governmental entity or entities necessary for commercial sale of the Product in that country including, without limitation and where applicable, approval of labeling, price, reimbursement and manufacturing, in the United States final approval of a new drug application or biologic license application, as the case may be, pursuant to the then-applicable provisions of the Code of Federal Regulations permitting marketing of the Product in interstate commerce in the United States, and in the European Union final approval of a Marketing Authorization Application, or equivalent.

4.

 

1.54 “Research Plan” means the written protocol for Sangamo’s Phase II Repeat Dosing Clinical Trial of SB-509, that shall be attached to this Agreement as Exhibit A upon approval by the FDA, which protocol was based on the Application, includes the JDRF Studies, and has been approved by the FDA, as modified from time to time by Sangamo in consultation with the FDA and in accordance with Section 2.4.

1.55 “Research Program” shall mean the work conducted by or on behalf of Sangamo in furtherance of the Research Plan.

1.56 “Research Termination Date” shall mean the date of completion of all activities specified in the Research Plan, including all follow-ups of Qualified Subjects and all analysis included in the JDRF Studies.

1.57 “Sangamo” shall have the meaning set forth in the preamble of this Agreement.

1.58 “Sangamo Designees” shall have the meaning set forth in Section 2.5.1.

1.59 “Sangamo Indemnitee” shall have the meaning set forth in Section 7.2.

1.60 “Sangamo Party” shall have the meaning set forth in Section 7.l(a).

1.61 “Sangamo Patents” shall mean any Patents Controlled by Sangamo or its Affiliates claiming Sangamo Research Program Technology.

1.62 “Sangamo Research Program Technology” shall mean all intellectual property, data, technical information, know-how, inventions (whether or not patented), trade secrets, processes and methods that are (a) discovered or developed by or on behalf of Sangamo or its Affiliates, in the performance of the Research Program under this Agreement, (b) Controlled by Sangamo, and (c) necessary or useful for the research, development and commercialization of the Product.

1.63 “Surrogate Endpoint Data” shall have the meaning set forth in Article VI.

1.64 “Territory” shall mean worldwide.

1.65 “Therapeutic Candidate” shall mean the plasmid, known as SB-509, that encodes a zinc finger DNA-binding protein designed to upregulate the expression of vascular endothelial growth factor (VEGF-A).

1.66 “Third Party” shall mean any Person which is not a Party or an Affiliate of any Party to this Agreement.

ARTICLE II RESEARCH PROGRAM

2.1 Overview. Sangamo shall be responsible for the conduct of the Research Program as set forth herein. JDRF shall provide the financial support hereinafter specified, and consultation and advice as provided herein through its participation on the JRAC as provided below.

2.2 Commencement of the Research Program. If not commenced prior to the Effective Date, the Research Program shall commence as soon after the Effective Date as practicable in light of the date of the FDA’s approval of the Research Plan. If the Research Plan is approved by the FDA after the Effective Date and substantial changes are made to the JDRF Studies as described in the Application, then JDRF shall have the right to terminate this Agreement within ten (10) days following such approval of the Research Plan.

2.3 Research Diligence.

2.3.1 Generally. Sangamo shall use Commercially Reasonable Efforts to: (a) conduct the Research Program in accordance with the Research Plan; and (b) satisfy and achieve the Milestones. In furtherance of the foregoing, and in accordance with the terms and conditions of this Agreement (including, without limitation, Section 2.3.2 below), Sangamo shall commit to the Research Program directly or through Third Party contractors (i) the level of staffing required by the Research Plan, with staff that possesses appropriate experience, training and scientific expertise for the tasks to which they are assigned, and (ii) the infrastructure (e.g., laboratories, offices, equipment and facilities) required by the Research Plan.

5.

 

2.3.2 Obligations of Sangamo. Subject to the terms and conditions of this Agreement, and without limiting the generality of Section 2.3.1 above, Sangamo directly or through its Third Party contractors shall be responsible for conducting the sponsorship, conduct and oversight of the Research Program, such responsibilities to include, without limitation:

(a) identifying appropriate clinical sites to conduct the Research Plan, and entering into clinical trial agreements with such clinical sites;

(b) providing the approved clinical sites with a copy of the Research Plan;

(c) identifying, selecting, and enrolling Qualified Subjects;

(d) providing the investigators at approved clinical sites with the required quantity of the Product or placebo (the “Program Material”), appropriately formulated in accordance with the Research Plan;

(e) monitoring compliance of the approved clinical sites with the Research Plan;

(f) monitoring adverse events arising in the course of the Research Program;

(g) providing the investigators at approved clinical sites and JDRF (the latter for informational purposes) with a copy of the current investigator brochure;

(h) performing laboratory analyses on biopsies collected from Qualified Subjects as outlined in the Research Plan;

(i) complying with all Applicable Law and guidelines regarding administration, transportation, manufacture and production of the Program Material and any other drugs or fluids which are to be supplied by Sangamo for use in connection with the Research Plan;

(j) abiding by and complying with the Policies; and

(k) promptly and thoroughly responding to all reasonable requests and inquiries of JDRF for information regarding the Research Program.

2.4 Modifications to JDRF Studies. Sangamo shall not propose to the FDA any changes to the Research Plan that would have a material impact on the JDRF Studies without first presenting such changes to the JRAC and obtaining the JRAC's recommendation of such changes.

2.5 Joint Research Advisory Committee.

2.5.1 Composition and Purposes. During the term of the Research Program, the Parties shall establish a Joint Research Advisory Committee (“JRAC”) consisting of four (4) members, two (2) of whom shall be designated by Sangamo (the “Sangamo Designees”), and two (2) of whom shall be designated by JDRF (the “JDRF Designees”). Each Party (a) shall select a program coordinator from among its designees to the JRAC (who may be changed at any time or from time to time by such Party), and (b) may change any of its designees to the JRAC at any time or from time to time. The program coordinator of Sangamo shall serve as the Chairperson of the JRAC. The Sangamo Designees initially shall be Heidi Kim and Dale Ando, who also initially shall serve as Sangamo’s program coordinator and the Chairperson of the JRAC, and the JDRF Designees initially shall be Richard Insel and Paul Burn, who also initially shall serve as JDRF’s program coordinator.

The JRAC shall have the authority to:

(i) facilitate communication between the Parties with respect to the Research Program;

(ii) receive Quarterly Reports from Sangamo with respect to the progress of the Research Program and consider and discuss such reports;

(iii) determine whether the Milestones have been satisfied and achieved; and

(iv) decide whether to recommend any changes presented by Sangamo in accordance with Section 2.4.

6.

 

2.5.2 Meetings. The JRAC shall meet once in each six (6) month period between the Effective Date and the Research Program Termination Date; provided, however, the JRAC shall meet within forty-five (45) days following JDRF’s receipt from Sangamo of a written certification setting forth Sangamo’s achievement of a Milestone. Meetings of the JRAC shall be held at such times and locations as may be mutually agreed upon by the program coordinators, which times and locations shall be communicated in writing (including, without limitation, by email) to the other members of the JRAC with reasonable advance notice of the meeting. At least one (1) Sangamo Designee and one (1) JDRF Designee shall be required to participate in a meeting for such meeting to be deemed to have a quorum of the JRAC members. So long as a quorum is present at a meeting, the JRAC may make, or decide to make, recommendations to Sangamo, or take, or decide to take, such actions as are within the scope of the JRAC’s authority hereunder. Members of the JRAC may attend each meeting either in person or by means of telephone or other telecommunications device that allows all participants to hear and speak at such meeting simultaneously.  At least ten (10) business days prior to each meeting, Sangamo shall deliver (including by email) to JDRF a written report detailing the progress made on the Research Program since the last meeting of the JRAC. In satisfaction of such written report, Sangamo may provide the most recent Quarterly Report supplemented by any new significant developments since the most recent Quarterly Report. Within thirty (30) days after the date of each meeting, the Sangamo Designees shall prepare and deliver (including by email) to the JDRF Designees written minutes of such meeting setting forth in detail all discussions and/or recommendations of the JRAC made at such meeting, which minutes shall be subject to revision to take account of the comments of JDRF’s program coordinator.

2.5.3 Discussions/Recommendations.

(a) As a general matter, and except as otherwise provided for herein, recommendations of the JRAC shall be unanimous and non-binding.

(b) Notwithstanding the foregoing, the determination as to whether or not a Milestone has been achieved and satisfied shall be subject to the unanimous vote of the JRAC. In each such instance, the Sangamo Designees shall, collectively, have one (1) vote, and the JDRF Designees shall, collectively, have one (1) vote, which, in each instance, shall be cast by each Party's program coordinator (unless such Party’s program coordinator expressly authorizes such Party’s other JRAC designee to cast such Party’s vote). In the event of a deadlock, the Sangamo Designees and the JDRF Designees shall attempt to resolve such deadlock for a period of twenty (20) days by engaging in good faith discussions. If such deadlock is not resolved after such twenty (20) day period, then, such deadlock shall be resolved in accordance with the dispute resolution process set forth in Section 11.2.

2.5.4 Expenses. Each Party shall pay its own expenses (including travel and lodging expenses) incurred in connection with its participation on the JRAC.

2.6 Delivery of Adverse Event Data to the JRAC. In the event of a serious adverse event (as defined by the ICH Harmonized Tripartite Guideline on Clinical Safety Data Management), directly or indirectly attributable to the use or application of the Product, Sangamo shall deliver to each JRAC member any information and other data related to such adverse event within a reasonable time after Sangamo has had an opportunity to discuss such adverse event with the FDA. Any disclosure of patient-identifiable information of any Qualified Subject in connection with the Quarterly Reports due under Section 3.2.3(a) or any other reporting requirements hereunder shall comply with the Health Insurance and Portability and Accountability Act of 1996 and regulations, laws and guidelines related thereto.

ARTICLE III RESEARCH FUNDING; RECORDS

3.1 Research Funding.

3.1.1 Payments. Subject to Section 3.1.2, JDRF shall make payments to Sangamo of the Award in accordance with Exhibit B.

3.1.2 Limitations. Notwithstanding Section 3.1.1 above, JDRF shall not be required to make any payment or additional payment in respect of the Award:

(a) in excess of Three Million Dollars ($3,000,000);

(b) unless at the time such payment is due, the Research Program is in compliance with all Applicable Law;

(c) if Sangamo is, at the time such payment is due, in material breach of any of its covenants or obligations under this Agreement (including, without limitation, Sangamo's obligations under Section 3.1.3 below) and JDRF provides Sangamo with written notification of such breach at least thirty (30) days before such payment due date;

7.

 

(d) if, at the time such payment is due, a case or proceeding (i) under the bankruptcy laws of the United States now or hereafter in effect is filed against Sangamo or all or substantially all of its assets and such petition or application is not dismissed within sixty (60) days after the date of its filing or Sangamo shall file any answer admitting and not contesting such petition, or (ii) under the bankruptcy laws of the United States now or hereafter in effect or under any insolvency, reorganization, receivership, dissolution or liquidation law or statute of any jurisdiction now or hereafter in effect (whether at law or equity) is filed by Sangamo for all or substantially all of its assets; and/or

(e) if this Agreement previously is terminated by any Party in accordance with Article IX, provided, however, that any payments accrued prior to such termination shall immediately become due and payable to Sangamo upon such termination; provided, however, that JDRF shall pay Sangamo any amount not paid on account of subsection (b), (c) or (d) above as soon as the condition that caused such non-payment has been remedied or no longer exists.

3.1.3 Matched Funds. The Parties agree, acknowledge and recognize that the Award represents only partial financial support for the Research Program, and Sangamo agrees to provide the balance of the funds necessary to conduct and complete the Research Program. In furtherance of, but without limiting the generality of the foregoing, Sangamo shall contribute to the Research Program, in the aggregate, an amount that is at least equal to the Award Received (the “Matched Funds”). Sangamo hereby covenants and agrees to solely use the Award Received and the Matched Funds to fund the Research Program.

3.1.4 Payments. All payments to be made hereunder (including, without limitation, pursuant to Article IV) shall be made in United States dollars (“Dollars”) and, at the option and direction of the receiving party, shall be made by cashier’s or certified check or by wire transfer of immediately available funds.

3.1.5 Competition. Sangamo hereby agrees and acknowledges that nothing contained herein shall restrict or prevent JDRF's ability to provide funding to, or take any other action with respect to, any Person that competes with the business, operations and/or research of Sangamo, provided, however, that in no event shall JDRF disclose to such Persons any non­public information concerning the Research Program, including the results thereof.

3.2 Records; Reporting Obligations; Audits.

3.2.1 Records. Sangamo shall prepare and maintain complete and accurate books and records in accordance with GAAP documenting its expenditure of funds in connection with the Research Program (including financial records of expenditures of the Award Received and the Matched Funds), and shall keep all such books and records for no less than a period of three (3) years following the Research Termination Date.

3.2.2 Audit. At the request of JDRF not more often than once in each twelve (12) month period, Sangamo shall permit JDRF internal accounting personnel or representatives and agents of an independent, certified public accounting firm appointed by JDRF and reasonably acceptable to Sangamo, to audit and examine, during normal business hours, the financial records of Sangamo covering the previous twelve (12) month period as may be necessary to verify Sangamo’s expenditures of funds in connection with performance of the Research Program in general and the JDRF Studies in particular. Any and all records audited and examined by JDRF personnel or such representatives and agents of such accounting firm shall be deemed Sangamo’s Confidential Information. JDRF shall pay the costs of such audit and examination of such financial records, provided, however, that, if such audit and examination reveals an over-reporting by Sangamo to JDRF of Matched Funds or expenditures attributed to the JDRF Studies of more than five percent (5%), then the reasonable costs of such audit and examination shall be borne by Sangamo and Sangamo shall reimburse JDRF for all of the reasonable costs and expenses incurred by JDRF in connection with such audit and examination.

3.2.3 Reports; Notices. Sangamo shall (y) maintain a system of accounting in accordance with GAAP; and (z) furnish to JDRF the following reports and notices under the confidentiality provisions of Article V:

(a) As soon as practicable, and in any event within ninety (90) days after the end of each calendar quarter (including the calendar quarter ending December 31) prior to the Research Termination Date, a report describing (i) the actual costs of the Research Program during such quarter and how the Award Received and Matched Funds have been allocated and in fact used in respect of the Research Program, (ii) the Research Program work performed during such quarter, including, without limitation, Milestones achieved, (iii) a summary of all Research Program clinical data collected and analyzed during such quarter, (iv) a summary of all regulatory filings made during such calendar that materially alter the Research Plan, and (v) any other information that JDRF reasonably requests (each a “Quarterly Report”).

(b) As soon as practicable, and in any event within ninety (90) days after the end of the calendar quarter in which the Research Termination Date occurs or the termination of the Agreement becomes effective, whichever is earlier, a closing report which (i) sets forth Sangamo's final analysis, summary tables, data listings, results and conclusions from the Research Program and 

8.

 

such other information and materials as JDRF may reasonably request and (ii) provides an accounting of the out-of-pocket expenses incurred by Sangamo since the Effective Date with respect to performance of the JDRF Studies. If the total amount of such expenses is less than the total Award Received, then, Sangamo shall, within thirty (30) days after delivery of the closing report, refund the difference between such total expenses and the total Award Received in such manner as JDRF shall reasonably instruct Sangamo. Such closing report shall be in lieu of a Quarterly Report covering the last calendar quarter of the Research Program.

(c) Within sixty (60) days after the end of each fiscal year, audited financial statements as of the end of such year (including, without limitation, a copy of the consolidated balance sheet of Sangamo as of the end of such year, together with consolidated statements of income, operations, cash flow and retained earnings of Sangamo for such year), prepared in accordance with GAAP, along with a comparison of such financial statements with the corresponding periods of the prior year. Notwithstanding the foregoing, the scope of the information to be included in the report due under this Section 3.2.3(c) shall be no more extensive or detailed than the scope of financial disclosures that Sangamo is required to make by the Securities and Exchange Act of 1934, as amended.

(d) As soon as practicable, and in any event within thirty (30) days after the end of each calendar year following the Research Termination Date, a report summarizing the Product development and commercialization activities performed by or on behalf of Sangamo or its Affiliates, collaborators, licensees or sublicensees during such year.

(e) As soon as practicable, and in any event promptly after the consummation thereof, any proposed license, sublicense, transfer, or subcontract by Sangamo of rights related to the research, development, and/or commercialization of the Product, any permitted assignment by Sangamo of this Agreement or its rights and/or obligations hereunder, or of any merger, acquisition, consolidation or similar transaction involving Sangamo and materially affecting JDRF's rights and/or obligations hereunder.

ARTICLE IV DILIGENCE; COMPENSATION TO JDRF

4.1 Development and Commercialization of Product. Following the Research Termination Date, Sangamo shall use Commercially Reasonable Efforts to develop, commercialize and bring one Product in the Field to market in the Major Markets. The activities of Sangamo's Affiliates, licensees, sublicensees, subcontractors, collaborators, transferees and successors shall be attributed to Sangamo for the purposes of determining Sangamo's satisfaction of the foregoing diligence obligation.

4.2 Compensation to JDRF.

(a) In consideration of JDRF's payments to Sangamo and JDRF’s licenses to Sangamo hereunder, Sangamo shall pay JDRF an amount equal to three (3) times the Award Received less all payments made pursuant to Section 4.2(b) (such amount, the “JDRF ROI”) as follows: within ninety (90) days of the first, second, third and fourth anniversaries of the First Commercial Sale, Sangamo shall pay JDRF an amount equal to: (i) one-fourth of the JDRF ROI, (ii) twenty-five percent (25%) of Net Sales during the 12-month period between such anniversary and the previous anniversary of the First Commercial Sale, as applicable (such period, the “Relevant Period”), or (iii) fifty percent (50%) of the royalties received by Sangamo during the Relevant Period from its licensees and sublicensees on account of the sale of the Product, whichever is less, provided that such amounts shall be reduced as necessary to ensure that the total amount paid, when this Section 4.2(a) is combined with all payments made pursuant to Section 4.2(b), shall not exceed three (3) times the Award Received. If the amount paid to JDRF in any year is less than one-fourth of the JDRF ROI plus any deficit from a preceding year of JDRF ROI (in each case after crediting all payments made in such year pursuant to Section 4.2(b)), any such deficit shall be carried forward and added to the amount applicable under Section 4.2(a)(i) for the following year. If the total amount paid by Sangamo to JDRF pursuant to this Section 4.2 by the date that is ninety (90) days after the fourth anniversary of the First Commercial Sale is less than the JDRF ROI, then Sangamo shall continue to make payments in accordance with this Section 4.2 in the following years equal to the lesser of the remaining JDRF ROI, or the lesser of the amounts in Sections 4.2(a)(ii) and (iii) to JDRF within ninety (90) days of each subsequent such anniversary until such time as the total amount paid by Sangamo equals the JDRF ROI.

(b) If Sangamo is commercializing the Product in connection with any license, transfer, or sale of the Sangamo Research Program Technology, any Sangamo Patents, or any Product, to a Third Party, then Sangamo shall pay to JDRF in cash five percent (5%) of the gross proceeds that are received by Sangamo on or after December 31, 2008 and prior to the time of Regulatory Approval of the Product in connection with any such license, transfer, or sale, whether such payments are upfront license fees, milestone payments, or other fees, but excluding FTE payments or purchases of equity at or below fair market value (the “Five Percent Payment”), up to an aggregate amount equal to two (2) times the amount of the Award Received. Such payments to JDRF will be made within ninety (90) days of receipt of such gross proceeds from any licensee, transferee or purchaser of Sangamo Research Program Technology. Thereafter, Sangamo shall pay any remaining JDRF ROI to JDRF in accordance with Section 4.2(a). For clarity, 

9.

 

Sangamo shall not be obligated to pay JDRF, in the aggregate, an amount more than three (3) times the Award Received when the amounts paid under this Section 4.2(b) and Section 4.2(a) are combined.

(c) If aggregate Net Sales of the Product exceed $1 billion Dollars on or before the fifth (5th) anniversary of the First Commercial Sale, Sangamo shall pay to JDRF within ninety (90) days after such Net Sales are achieved, an additional royalty equal to the amount of the Award Received.

(d) If aggregate Net Sales of the Product exceed $2 billion Dollars on or before the fifth (5th) anniversary of the First Commercial Sale, Sangamo shall pay to JDRF within ninety (90) days after such Net Sales are achieved, an additional royalty equal to the amount of the Award Received.

4.3 Sales Reports.

4.3.1 In connection with each payment made to JDRF pursuant to Section 4.2 above with respect to which the amount of Net Sales is relevant, Sangamo shall furnish or cause to be furnished to JDRF a written sales report setting forth in reasonable detail amounts received with respect to which Net Sales during such period were calculated. With respect to sales of the Product invoiced in Dollars, the Net Sales amounts and the amounts due to JDRF hereunder shall be expressed in Dollars. With respect to sales of the Product invoiced in a currency other than Dollars, the Net Sales and amounts due to JDRF hereunder shall be expressed in the domestic currency of the country in which the sale was made, together with the Dollar equivalent of the amount payable to JDRF, calculated by translating foreign currency sales into Dollars in a manner that is consistent with the then-current foreign currency calculations that Sangamo employs for purposes of its reporting obligations under the Securities and Exchange Act of 1934, as amended.  If any licensee or sublicensee makes any sales invoiced in a currency other than its domestic currency, the Net Sales shall be converted to its domestic currency in accordance with the licensee's or sublicensee's normal accounting principles. Sangamo shall keep accurate records in sufficient detail to enable the amounts due hereunder to be determined and to be verified by JDRF.

4.3.2 Upon the written request of JDRF, at JDRF's expense and not more often than once a year, Sangamo shall permit an independent accountant selected by JDRF and reasonably acceptable to Sangamo to have access during normal business hours to the records of Sangamo from the previous twenty-four month period (“Audit Period”) as may be reasonably necessary to verify the accuracy of the report furnished by Sangamo pursuant to Section 4.3.1. Such independent accountant may examine and audit the records from each Audit Period only once. Such independent accountants may be required by Sangamo to enter into a reasonably acceptable confidentiality agreement, and in no event shall such accountants disclose to JDRF any information, other than the accuracy of reports and payments made or due hereunder.

4.3.3 In case of any delay in payment by Sangamo to JDRF or by JDRF to Sangamo not occasioned by force majeure in accordance with Section 11.5, interest shall be calculated at the lesser of (i) the Prime Rate plus five (5) percentage points or (ii) the maximum rate allowed by law, calculated from the tenth (10th) day after the date upon which the applicable payment first becomes due from Sangamo.

4.4 Royalties to Sangamo. In the event that, pursuant to Section 9.5, the Interruption License becomes effective and thereafter is maintained by JDRF, in lieu of any other royalties pursuant to this Agreement (other than royalties or payments under Section 4.2 previously paid by Sangamo to JDRF in accordance with this Agreement), the Parties shall share equally, subject to this Section 4.4, any amount JDRF receives with respect to the Product (including amounts received in connection with sublicenses of the Interruption License). JDRF's share shall increase and Sangamo’s share shall decrease by two percent (2%) for each one million Dollars ($1,000,000) JDRF spends in addition to the Award Received with respect to the research, development and/or commercialization of the Product after the Interruption License Effective Date (as defined in Section 9.5(d)), except that, in no event shall Sangamo’s share decrease below twenty percent (20%). Thus, for example, if JDRF’s expenditures after the Interruption License Effective Date are ten million Dollars ($10,000,000), JDRF's share will increase to seventy percent (70%) and Sangamo’s share will decrease to thirty percent (30%).

ARTICLE V CONFIDENTIALITY

5.1 Confidentiality.

5.1.1 Definition of Confidential Information. For purposes of this Agreement, “Confidential Information” shall mean any trade secrets, know-how, confidential or proprietary information, data and test results relating to the Research Program and any other knowledge, information, documents or materials, owned, developed or possessed by Owner (as defined below), whether in tangible or intangible form, the confidentiality of which Owner takes or has taken reasonable measures to protect; provided, however, that “Confidential lnformation” shall not include any information of Owner that: (a) is already independently known to Recipient (as 

10.

 

defined below) at the time of its disclosure without any obligations of confidentiality; (b) becomes publicly known through no wrongful act of Recipient; (c) is received from a Third Party free to disclose it to Recipient without any obligations of confidentiality with respect thereto; or (d) is independently developed by Recipient without use of any Confidential Information of the Owner; provided, that, in each such instance, Recipient shall bear the burden of proving that any such information of Owner is not Confidential Information. Confidential Information of Sangamo shall include without limitation, investigator brochures, any reports, notices, data, results, case report forms and regulatory filings generated pursuant to the Research Program. The terms and conditions of this Agreement shall be the Confidential Information of both Parties.

5.1.2 Non-Disclosure. During the term of this Agreement and for a period of five (5) years thereafter, each Party (“Recipient”) shall hold all Confidential Information it receives or received from the other Party (“Owner”) in strict confidence, and, other than as expressly provided herein or without first obtaining the prior written consent of Owner, shall not disclose any Confidential Information to any Person, except to officers, directors, employees, consultants, committee members, volunteers, contractors, subcontractors, licensees, sublicensees, accountants or counsel of Recipient who have a need to know and who are bound to confidentiality obligations at least as restrictive as Recipient’s obligations under this Agreement. Recipient shall use not less than the same degree of care it uses to avoid disclosure of its own Confidential Information.

5.1.3 Required Disclosure. Notwithstanding Section 5.1.2 above, Recipient’s disclosure of Confidential Information shall not be prohibited if such disclosure is required by a valid and existing order of a court of competent jurisdiction or other governmental body or agency; provided, however, that, Recipient shall have first given prompt notice to Owner of any possible or prospective order and Owner shall have been afforded a reasonable opportunity to prevent or limit such disclosure (the “Recipient Notice Requirement”); provided, further, that the Recipient Notice Requirement shall not apply to proceedings which, by applicable law, are of a nature that the existence of such proceedings may not be disclosed or made public. In the event that Recipient discloses any Confidential Information pursuant to the immediately preceding sentence, Recipient shall cooperate with Owner, at Owner's sole cost and expense, in the prosecution of any appeal that Owner decides to pursue.

5.1.4 No Use of Confidential Information. Recipient hereby agrees and acknowledges that, other than as provided herein or without first obtaining Owner’s prior written consent, Recipient shall not use any of Owner's Confidential Information.

5.2 Publicity; Use of Name.

5.2.1 As soon as practicable after the Effective Date and not later than the deadline for any required disclosure of the execution of this Agreement, the Parties shall issue a joint press release announcing the execution of this Agreement in substantially the same form as the press release attached as Exhibit D.

5.2.2 Except to the extent already disclosed in the initial press release referenced in Section 5.2.1 above, and except as may be otherwise provided herein, neither Party shall issue any press release or make any public announcement concerning the terms of this Agreement or the transactions described herein without the prior written consent of the other Party, which consent shall not be unreasonably withheld, conditioned or delayed; provided, however, that it shall not be unreasonable for any Party to withhold consent with respect to any press release or public announcement containing any of such Party's Confidential Information. This Section 5.2.2 shall not preclude any Party from issuing press releases or making public announcements if such Party reasonably believes that any such release or announcement is (a) legally required by Applicable Laws or (b) required by the rules of any stock exchange on which such Party’s securities are listed. Sangamo shall accord JDRF the opportunity to review and comment on any submission of this Agreement and redaction thereof required to be submitted to the Securities and Exchange Commission by Sangamo.  For clarity, Sangamo shall have the right to issue press releases without obtaining the consent of JDRF so long as such press releases contain substantially the same information as contained in Sangamo's Form 8-K filings made pursuant to the Securities and Exchange Act of 1934, as amended.

5.2.3 In each instance, the Party desiring to issue any press release or to make any public announcement shall provide the other Party with a written copy of the proposed release or announcement in sufficient time where practicable prior to public release to allow such other Party to comment upon such release or announcement prior to its public release. In addition, each press release and/or public announcement issued or made pursuant to this Section 5.2, where practicable, shall include JDRF-approved language acknowledging JDRF’s funding of a portion of the Research Program.

5.2.4 Except as may be otherwise provided herein, no Party shall have any right, express or implied, to use in any manner the name or other designation of the other Party or any other trade name, trademark or logos of the other Party for any purpose.

5.2.5 Notwithstanding the foregoing or any contrary provision contained herein, in connection with: (a) any description by JDRF of its research portfolio and of its industry discovery and development program, and/or (b) JDRF's fundraising activities, marketing materials and/or reporting requirements, JDRF shall be entitled to use and/or disclose, and Sangamo hereby pre-approves 

11.

 

JDRF's use and/or disclosure of: (i) the names “Sangamo,” “Sangamo BioSciences, Inc.”, Sangamo’s logo and a general description of Sangamo, (ii) the existence and a general description of the nature of this Agreement in a form previously agreed upon by the Parties, and (iii) a general description of the nature of the Research Program in a form previously agreed upon by the Parties. In connection with: (w) any description of Sangamo’s intellectual property rights and drug pipeline; (x) Sangamo’s reporting requirements under the Securities and Exchange Act of l 934, as amended, and the Securities Act of l 933, as amended; (y) Sangamo’s fundraising activities or marketing materials; and (z) any description or acknowledgment of JDRF or JDRF funding as required hereunder, Sangamo shall be entitled to use and/or disclose, and JDRF hereby pre-approves Sangamo’s use and/or disclosure of: (i) the names “JDRF,” “Juvenile Diabetes Research Foundation International”, JDRF’s logo and a general description of JDRF in the context of describing the funding provided by JDRF, (ii) the existence and a general description of the nature of this Agreement in a form previously agreed upon by the Parties, and (iii) a general description of the nature of the Research Program in a form previously agreed upon by the Parties.

ARTICLE VI PUBLICATION

Sangamo shall have the first right to publish, publicly present, or otherwise make available the results of the Research Plan, including any data necessary for Third Parties to utilize any new discoveries and information regarding the surrogate clinical endpoints related to the JDRF Studies and identified by Sangamo during the Research Program (the “Surrogate Endpoint Data”). In the event that Sangamo does not exercise its publication rights by submitting within twelve (12) months after the Research Termination Date a manuscript for publication, JDRF shall have the right to publish, publicly present, or otherwise make available the Surrogate Endpoint Data, but only to the extent that such publication, presentation or availability of the data would not have an adverse impact on any ongoing or planned development and/or commercialization of the Product. If JDRF is the publishing party, JDRF will submit a draft of any proposed manuscript or speech to Sangamo for comments at least sixty (60) days prior to submission for publication or oral presentation. Sangamo shall notify JDRF in writing within thirty (30) days of receipt of such draft whether such draft contains (a) information which Sangamo considers to be Confidential Information under the provisions of Article V hereof, (b) information that if published would have an adverse effect on a patent application which Sangamo intends to file, or (c) information which Sangamo reasonably believes would be likely to have an adverse impact on the development or commercialization of the Product. In any such notification, Sangamo shall indicate with specificity its suggestions regarding the manner and degree to which JDRF may disclose such information.  In the case of item (a) above, JDRF shall not publish the Confidential Information of Sangamo in violation of Article V of this Agreement. In the case of item (b) above, Sangamo may request a delay and JDRF shall delay such publication, for a period not exceeding an additional ninety (90) days, to permit the timely preparation and filing of a patent application or an application for a certificate of invention on the information involved. In the case of item (c) above, if JDRF disagrees with Sangamo’s assessment of the impact of the publication, then the program coordinator of each Party shall attempt in good faith to reach a fair and equitable resolution of such disagreement. If the disagreement is not resolved in this manner within fourteen (14) days of referral to the respective program coordinators, then the decision of Sangamo as to publication of any information generated by it, subject always to the confidentiality provisions of Article V hereof shall be final, provided that such decision shall be exercised with reasonable regard for the interests and rights of JDRF. The Parties agree that authorship of any publication will be determined based on the customary standards then being applied in the relevant scientific journal. JDRF shall comply with the foregoing publication requirements in the event that pursuant to Section 9.5, the Interruption License becomes effective.

Notwithstanding the foregoing, (a) Sangamo intends to advance the body of general scientific knowledge of Diabetes and its potential therapies and cures, all in a manner consistent with its general scientific and commercial objectives in entering into this Agreement with JDRF, and (b) the Parties acknowledge that Sangamo intends to publish the results of the placebo data from the Research Program in a major scientific peer reviewed publication as soon as practicable, following the completion of the Research Program; provided that Sangamo shall not be obligated to publish any information which Sangamo reasonably believes would be likely to have an adverse impact on the development or commercialization of the Product. Sangamo shall acknowledge the financial support of JDRF in all Research Program publications. In addition, Sangamo agrees to make available to requesting Third Parties the Surrogate Endpoint Data without charge but only after twelve (12) months have passed since the Research Termination Date.

12.

 

ARTICLE VII INDEMNIFICATION

7.1 Indemnification by Sangamo. Sangamo shall indemnify, defend and hold harmless JDRF, its Affiliates, and each of their respective directors, officers, committee members, volunteers, employees, consultants, agents and representatives and their respective successors, heirs and assigns (including, without limitation, the JDRF Designees) (each, a “JDRF Indemnitee”), from and against any and all claims, suits and demands of Third Parties and losses, liabilities, damages for personal injury, property damage or otherwise, costs, penalties, fines and expenses (including court costs and the reasonable fees of attorneys and other professionals) arising therefrom (collectively “Losses”), to the extent that such Losses arise from:

(a) the conduct of the Research Program by Sangamo or its Affiliates or their respective directors, officers, employees, consultants, agents, representatives, licensees, sublicensees, subcontractors and/or investigators (each, a “Sangamo Party”) under this Agreement and/or pursuant to one or more agreements between Sangamo and any Sangamo Party, or any actual or alleged violation of law resulting therefrom;

(b) the Product (not including any Product developed, manufactured or sold pursuant to the Interruption License) and/or any claim of infringement or misappropriation of intellectual property with respect thereto;

(c) Sangamo’s breach of any of its representations, warranties, covenants and/or obligations under this Agreement, or the negligence or willful misconduct of any Sangamo Party in connection with Sangamo’s performance of its obligations under this Agreement; or

(d) Any tort claims of personal injury (including death) arising out of, or in connection with, Sangamo’s performance of the Research Program.

The above indemnification shall not apply to the extent that any Losses are due to the gross negligence or willful misconduct of JDRF or the practice of the Interruption License.

7.2 Indemnification by JDRF. In the event that, pursuant to Section 9.5, the Interruption License becomes effective, JDRF shall indemnify, defend and hold harmless Sangamo, its Affiliates, and their respective directors, officers, employees, consultants, agents and representatives and their respective successors, heirs and assigns (including, without limitation, the Sangamo Designees), (each a “Sangamo Indemnitee”), from and against any and all Losses that arise as a result of (a) practice of the Interruption License or (b) JDRF's activities after the Interruption License Effective Date and before the Reversion License Effective Date to the extent that such Losses arise from JDRF’s breach of any of its obligations under this Agreement, or the negligence or willful misconduct of JDRF in connection with JDRF’s performance of its obligations under this Agreement.

The above indemnification shall not apply to the extent that any Losses are due to the gross negligence or willful misconduct of Sangamo or a Sangamo Party.

7.3 Claims Procedures. The Party claiming indemnity under this Article VII (the “Indemnified Partv”) shall give written notice to the Party from whom indemnity is being sought (the “Indemnifying Party”) promptly after learning of the commencement of the relevant Third Party action, suit or proceeding (the “Claim”).  Subject to this Section 7.3, the Indemnifying Party shall have the right to assume and manage the defense thereof (with counsel selected by the Indemnifying Party and reasonably satisfactory to the Indemnified Party), including the right to settle, compromise and/or litigate with respect to any such Claim (but only after obtaining the Indemnified Party’s prior written consent with respect to any proposed settlement, compromise or litigation; provided, however, that the Indemnifying Party shall not be required to obtain the Indemnified Party’s prior written consent in connection with any proposed settlement, compromise or litigation if, in connection with and following any such settlement, compromise or litigation, the Indemnified Party (a) has no liability (monetary or otherwise), (b) has not waived any of its rights and has not admitted to any wrongdoing or guilt, (c) is not subject to any injunction or other equitable or non-monetary relief, and (d) receives a full and unconditional release of all applicable claims and liability).

7.4 Participation; Assuming Control of the Defense. Notwithstanding Section 7.3 above, the Indemnified Party may participate in the defense of any Claim at the Indemnified Party’s sole expense, provided that, (a) the employment of counsel by the Indemnified Party has been authorized by the Indemnified Party; or (b) there is a conflict of interest that would prevent an Indemnitee from being represented by a single law firm in the defense of such action; in each such instance, the Indemnifying Party shall pay the reasonable fees and expenses of one law firm serving as counsel for the Indemnified Party, which law firm shall be subject to the prior consent of the Indemnifying Party, which such consent shall not be unreasonably withheld, conditioned or delayed.

7.5 Advance Payment of Expenses. The expenses of an Indemnified Party incurred in defending a Claim shall be paid by the Indemnifying Party as they are incurred and in advance of the final disposition of the action, suit or proceeding, upon receipt of an 

13.

 

undertaking by or on behalf of the Indemnified Party to repay the amount if it is ultimately determined by a court of competent jurisdiction that such Indemnified Party is not entitled to be indemnified by the Indemnifying Party. All costs and expenses incurred by an Indemnified Party in connection with enforcement of this Article VII also shall be reimbursed by the Indemnifying Party.

7.6 Limitation of Liability. NEITHER PARTY SHALL BE LIABLE TO THE OTHER PARTY FOR ANY SPECIAL, INDIRECT, INCIDENTAL, CONSEQUENTIAL, PUNITIVE OR EXEMPLARY DAMAGES, INCLUDING, BUT NOT LIMITED TO, LOST PROFITS, IN CONNECTION WITH SUCH PARTY'S PERFORMANCE OR BREACH OF THIS AGREEMENT. NOTWITHSTANDING THE FOREGOING, NOTHING IN THIS SECTION 7.6 IS INTENDED TO OR SHALL LIMIT OR RESTRICT THE INDEMNIFICATION RIGHTS OR DAMAGES AVAILABLE FOR A PARTY’S BREACH OF CONFIDENTIALITY OBLIGATIONS IN ARTICLE V.

7.7 Insurance. Sangamo shall maintain at its own expense, with a reputable insurance carrier reasonably acceptable to JDRF, full coverage for Sangamo, its Affiliates, and their respective employees that is commensurate with a reasonable estimate of the liability exposure associated with the Research Program, written on a per occurrence basis, which will name JDRF as an additional insured, including, without limitation, errors and omissions insurance encompassing claims relating to the performance and lack of performance of Sangamo’s obligations under this Agreement and comprehensive general liability insurance for claims relating to the performance and lack of performance of Sangamo’s obligations under this Agreement and comprehensive general liability insurance for claims for damages arising from bodily injury (including death) and property damages arising out of acts or omissions of a Sangamo Party which will be specifically endorsed to cover Sangamo’s indemnification obligations under this Article VII. Maintenance of such insurance coverage will not relieve Sangamo of any responsibility under this Agreement for damage in excess of insurance limits or otherwise. On or prior to the Effective Date, Sangamo shall provide JDRF with an insurance certificate from insurer(s) evidencing each insurance coverage and the insurer’s agreement to notify JDRF at least sixty (60) days in advance of any cancellation or modification of such insurance coverage.

In the event that the Interruption License becomes effective pursuant to Section 9.5, JDRF shall comply with the foregoing insurance requirements and shall maintain such insurance for as long as necessary to cover any claims that may arise from JDRF’s activities during the effectiveness of the Interruption License.

ARTICLE VIII PATENTABLE INVENTIONS

8.1 Ownership. All inventions made and all data and know-how generated solely by either Party or its Affiliates (directly or through others acting on its behalf), as determined in accordance with United States laws of inventorship, prior to and during the term of this Agreement that relates to the Research Program shall be solely owned by the Party making the invention or generating the data or know-how, and all Patents claiming such inventions shall be solely owned by such Party. All inventions made and all data and know-how generated by both Parties jointly, as determined in accordance with United States laws of inventorship, prior to and during the term of this Agreement that relate to the Research Program (a “Joint Invention”), shall be owned jointly, with each Party having an undivided one-half interest in each Joint Invention and each Patent claiming a Joint Invention.

8.2 Preparation. Sangamo shall take initial responsibility for the preparation, filing, prosecution and maintenance of all Sangamo Patents, JDRF Patents, and any patents and patent applications claiming Joint Inventions. JDRF shall have the right to review, and Sangamo shall deliver to JDRF, all patent applications for JDRF Patents or claiming Joint Inventions prior to their filing. With respect to such patent applications, Sangamo shall include in the Quarterly Reports delivered to JDRF pursuant to Section 3.2.3(a) the name of each patent application filed by Sangamo in the United States and other jurisdictions for such Joint Inventions and/or JDRF Patents, along with a general summary of the claims made and the jurisdictions of filing.

8.3 Costs. Subject to Section 8.4, Sangamo shall be responsible for all costs incurred in the preparation, prosecution and maintenance of Sangamo Patents, JDRF Patents, and Joint Inventions.

8.4 Abandonment.

(a) Notwithstanding any contrary provision contained herein, prior to the Interruption License Effective Date, before Sangamo (or any Affiliate, licensee, sublicensee, transferee or successor of Sangamo) abandons any patent or patent application for any JDRF Patents or claiming any Joint Inventions (including abandonment for failure to pay any required fees), Sangamo shall promptly notify JDRF, or cause JDRF to be notified, of such pending abandonment, whereupon JDRF shall have the right and opportunity to take title to such patent and/or patent application by agreeing to maintain the issued patent or continue prosecution of the patent application at JDRF’s own expense.

14.

 

(b) Following the Interruption License Effective Date, before Sangamo (or any Affiliate, licensee, sublicensee, transferee or successor of Sangamo) abandons any patent or patent application for any JDRF Patents, claiming any Joint Inventions, or for any Sangamo Patents (including abandonment for failure to pay any required fees), Sangamo shall promptly notify JDRF, or cause JDRF to be notified, of such pending abandonment, whereupon JDRF shall have the right and opportunity to take title to such patent and/or patent application by agreeing to maintain the issued patent or continue prosecution of the patent application at JDRF’s own expense. Sangamo shall reasonably cooperate with JDRF to obtain such consents, on JDRF’s behalf, as may be necessary, advisable and/or appropriate for JDRF to exercise its rights under this Section 8.4.

ARTICLE IX TERM AND TERMINATION

9.1 Term. This Agreement shall become effective as of the Effective Date and, unless earlier terminated pursuant to the other provisions of this Article IX, shall terminate at such time as when there are no longer any payment obligations owing from either Party to the other Party under Article IV hereto.

9.2 Termination by JDRF With Cause. Notwithstanding any provision contained herein, JDRF may, without prejudice to any other remedies available to it at law or in equity, terminate this Agreement if, after the occurrence of a Default (as defined herein) and Sangamo’s receipt of a written notice from JDRF identifying such Default, Sangamo fails to cure such Default within sixty (60) days after Sangamo’s receipt of such notice. The following events shall constitute a “Default” hereunder:

(a) Any material breach by Sangamo of any applicable foreign, federal, state or local laws, statutes, rules or regulations in the course of its performance of the Research Program;

(b) Any material breach or default by Sangamo in the performance of any of its material covenants or obligations hereunder;

(c) Any representation or warranty made by Sangamo in this Agreement is not true in any material respects as of the Effective Date; and/or

(d) A case or proceeding (i) under the bankruptcy laws of the United States now or hereafter in effect is filed against Sangamo or all or substantially all of its assets and such petition or application is not dismissed within sixty (60) days after the date of its filing or Sangamo shall file any answer admitting and not contesting such petition, or (ii) under the bankruptcy laws of the United States now or hereafter in effect is filed by Sangamo for all or substantially all of its assets.

For clarity, an Interruption shall not, for the purposes of this Section 9.2, be considered a material breach or default by Sangamo in the performance of any of its material covenants or obligations hereunder. JDRF’s remedies in the event of an Interruption are set forth in Section 9.5 rather than in this Section 9.2.

9.3 Termination for JDRF Breach. Sangamo may, without prejudice to any other remedies available to it at law or in equity, terminate this Agreement upon written notice to JDRF in the event JDRF shall have materially breached or defaulted in the performance of any of its material covenants or obligations hereunder, and JDRF fails to cure such breach or default within sixty (60) days after written notice thereof was provided to JDRF by Sangamo.

9.4 General Effect of Termination; Survival.

(a) Termination, relinquishment or expiration of this Agreement for any reason shall be without prejudice to any rights that shall have accrued to the benefit of any Party prior to such termination, relinquishment or expiration. Such termination, relinquishment or expiration shall not relieve any Party from obligations which are expressly indicated to survive termination of this Agreement.

(b) If this Agreement is terminated for any reason, all of the Parties’ rights and obligations under, and/or the provisions contained in, Sections 3.2.1, 3.2.2, 3.2.3(b), and 9.4, Articles V, VI, VII, VIII, and XI shall survive expiration, termination or relinquishment of this Agreement. If this Agreement is terminated pursuant to Section 9.2 and no Interruption License is in effect at the time of such termination, in addition to the provisions specified in the preceding sentence, the Parties’ rights and obligations under, and/or provisions contained in Sections 4.2, 4.3, 4.4 and 9.5 shall also survive such termination. In the event that, pursuant to Section 9.5, the Interruption License becomes effective prior to termination of this Agreement pursuant to Sections 9.1 or 9.2, in addition to the provisions specified in the first sentence of this Section 9.4(b), the Parties’ rights and obligations under, and/or provisions contained in Sections 4.4, 9.5(e), 9.5(g) and 9.5(h) shall survive such termination.

(c) Sangamo will retain sole ownership of the Sangamo Research Program Technology.

15.

 

9.5 Interruption License.

(a) In the event JDRF determines that an Interruption has occurred, it shall notify Sangamo in writing of such belief, stating in reasonable detail the basis for its belief that an Interruption has occurred (the “Interruption Notice”). If at the time of receipt of the Interruption Notice, Sangamo (i) has not licensed or otherwise transferred rights to a Third Party to the Sangamo Research Program Technology in the Field; or (ii) has successfully terminated the rights it licensed or otherwise transferred to a Third Party to the Sangamo Research Program Technology in the Field, then Sangamo shall have sixty (60) days after the receipt of the Interruption Notice to avoid the Interruption License Effective Date by (x) responding to the Interruption Notice by explaining why it believes an Interruption has not occurred (the “Interruption Response”); or (y) resuming Commercially Reasonable Efforts (either itself or through an Affiliate, collaborator, licensee, sublicensee, transferee, or successor); provided that, Sangamo may avoid the Interruption License Effective Date by any such resumption only once.

(b) If at the time of receipt of the Interruption Notice, Sangamo has licensed or otherwise transferred rights to a Third Party to the Sangamo Research Program Technology in the Field pursuant to an agreement that includes a provision that gives Sangamo the right to terminate such Third Party’s rights under the Sangamo Research Program Technology in the Field upon a final determination that an Interruption has occurred and not been cured within the applicable time after the relevant notice, then Sangamo shall have sixty (60) days after the receipt of the Interruption Notice to avoid the Interruption License Effective Date by (i) providing an Interruption Response to JDRF; or (ii) commencing and continuing thereafter commercially reasonable efforts to effect such a termination. If Sangamo successfully effects such a termination then it shall have sixty (60) days after the termination effective date to avoid the Interruption License Effective Date by resuming Commercially Reasonable Efforts (either itself or through an Affiliate, collaborator, licensee, sublicensee, transferee, or successor); provided that, Sangamo may avoid the Interruption License Effective Date by any such resumption only once.

(c) If Sangamo provides an Interruption Response within the sixty (60) day period set forth in Section 9.5(a) or 9.5(b) and JDRF disagrees with the Interruption Response, JDRF may resolve such Dispute in accordance with Section 11.2. Sangamo shall have sixty (60) days after a final determination pursuant to Section 11.2 that an Interruption has occurred (or if earlier a subsequent written admission by Sangamo that an Interruption has occurred) to avoid the Interruption License Effective Date by (i) resuming Commercially Reasonable Efforts (either itself or through an Affiliate, collaborator, licensee, sublicensee, transferee, or successor); provided that, Sangamo may avoid the Interruption License Effective Date by any such resumption only once; or (ii) if Sangamo provided the Interruption Response pursuant Section 9.5(b), commencing and continuing thereafter commercially reasonable efforts to terminate such Third Party’s rights under the Sangamo Research Program Technology in the Field upon a final determination that an Interruption has occurred and not been cured within the applicable time after the relevant notice. If Sangamo successfully effects such a termination then it shall have sixty (60) days after the termination effective date to avoid the Interruption License Effective Date by resuming Commercially Reasonable Efforts (either itself or through an Affiliate, collaborator, licensee, sublicensee, transferee, or successor); provided that, Sangamo may avoid the Interruption License Effective Date by any such resumption only once.

(d) The “Interruption License Effective Date” shall be the first of the following events to occur: (i) the expiration of the sixty (60) day period set forth in Section 9.5(a) without Sangamo having taken any of the actions specified in Section 9.5(a), (ii) Sangamo’s agreement in writing, following receipt of the Interruption Notice, that an Interruption has occurred (provided, however, that none of Sangamo’s written communications pursuant to Section 9.5(b)(ii) or 9.5(c)(ii) shall be considered such an agreement), (iii) the expiration of the applicable sixty (60) day period set forth in Section 9.5(b) without Sangamo having taken any of the actions specified in Section 9.5(b), or (iv) the expiration of the applicable sixty (60) day period set forth in Section 9.5(c) without Sangamo having taken any of the actions specified in Section 9.5(c).

(e) Upon the Interruption License Effective Date, Sangamo shall be deemed to have automatically granted to JDRF with respect to the Research Program an exclusive (even as to Sangamo) worldwide license, with the right to sublicense, under the Sangamo Research Program Technology, to manufacture, have manufactured, sell, offer to sell and import the Product in the Field (the “Interruption License”). Sangamo’s obligations pursuant to Sections 3.2.3(d), 4.1 and 4.2 shall expire upon the Interruption License Effective Date.

(f) For clarity, prior to the Interruption License Effective Date, Sangamo shall be free to license to a Third Party the Sangamo Research Program Technology (including the grant of exclusive worldwide sublicensable rights under Sangamo Research Program Technology for such Third Party to research, develop, or commercialize the Product). In the event that Sangamo commences negotiations with a Third Party to transfer all of or certain of Sangamo’s rights under the Sangamo Research Program Technology to such Third Party to develop and commercialize a Product in the Field, Sangamo shall use best commercial efforts to include in the agreement a provision that gives Sangamo the right to terminate such Third Party’s rights under the Sangamo Research Program Technology in the Field upon a final determination that an Interruption has occurred and not been cured within the applicable time after the relevant notice; and solely for purposes of this Section 9.5, the term “Interruption” with respect to a Sangamo Third Party licensee or transferee shall be defined in a manner that is as close to the definition contained in Section 1.22 as Sangamo, by the 

16.

 

exercise of best commercial efforts, is able to include in the executed agreement with such Third Party. In the event that Sangamo does not successfully negotiate such a provision, then Sangamo shall so notify JDRF prior to Sangamo’s execution of the agreement with such Third Party and, upon receipt of such notice, JDRF shall no longer have any right to obtain the Interruption License with respect to the Sangamo Research Program Technology licensed or transferred to such Third Party.

(g) In connection with this Section 9.5, Sangamo shall deliver to JDRF, within sixty (60) days of the Interruption License Effective Date, all materials and data generated in the performance of the Research Program and the Sangamo Research Program Technology and all other materials and data that Sangamo may Control that are reasonably required by JDRF to manufacture, have manufactured, sell, offer to sell and import the Product in the Field, provided that the foregoing obligations shall apply only to the extent such materials or data are reasonably accessible and available to Sangamo.

(h) Notwithstanding the foregoing or any contrary provision contained in this Section 9.5, if, following the Interruption License Effective Date, JDRF ceases to conduct Commercially Reasonable Efforts with respect to the research, development and commercialization of the Product in the Field for a period of one hundred eighty (180) consecutive days then upon the expiration of such 180-day period (the “Reversion License Effective Date”) the Interruption License shall terminate and, in accordance with the terms and conditions of this Agreement, JDRF shall be deemed to have automatically granted to Sangamo a non-exclusive, royalty-free, fully paid, irrevocable, perpetual, worldwide license (with the right to grant sublicenses), under the JDRF Interruption License Technology to research, develop, make, have made, use, import, offer for sale and sell the Product in the Field. In addition, JDRF shall deliver to Sangamo within sixty (60) days of the Reversion License Effective Date all materials and data generated by JDRF and all other materials and data that JDRF may Control that are reasonably required by Sangamo to manufacture, have manufactured, sell, offer to sell and import the Product in the Field, provided that the foregoing obligations shall apply only to the extent such materials or data are reasonably accessible and available to JDRF.

ARTICLE X REPRESENTATIONS AND WARRANTIES

10.1 Representations, Warranties and Covenants of Sangamo.

(a) As of the Effective Date, Sangamo represents and warrants to JDRF that: (i) this Agreement has been duly executed and delivered by Sangamo and constitutes tbe valid and binding obligation of Sangamo, enforceable against Sangamo in accordance with its terms, except as enforceability may be limited by bankruptcy, fraudulent conveyance, insolvency, reorganization, moratorium and other laws relating to or affecting creditors’ rights generally and by general equitable principles; (ii) the execution, delivery and performance of this Agreement have been duly authorized by all necessary action on the part of Sangamo and its directors and stockholders; (iii) the individual executing this Agreement on behalf of Sangamo is duly authorized to do so; and (iv) no provision contained in this Agreement violates any other agreement to which Sangamo is bound or otherwise subject.

(b) In addition to the foregoing, as of the Effective Date, Sangamo represents, warrants and covenants to JDRF that (i) while guaranteeing no specific results, it has the knowledge, skills, expertise and experience to perform the Research Program or the resources to engage Persons to perform the Research Program who have such knowledge, skills, expertise and experience; (ii) it has and shall maintain all licenses, permits and other approvals and authorizations required for Sangamo to conduct work under the Research Program consistent with its obligations pursuant to this Agreement and shall do so in conformity with all applicable laws, statutes, rules and regulations, and the applicable policies of any and all medical research institutions at which Sangamo is conducting work under the Research Program (collectively, “Applicable Law”); (iii) it shall abide by and comply with all of the applicable provisions and conditions set forth in the “JDRF Policies and Conditions Regarding Funding of Research Involving Human Clinical Trials,” attached hereto as Exhibit C (the “Policies”), and Sangamo hereby acknowledges that it is a “Sponsor” within the meaning of such Policies; (iv) it shall not enter into any arrangement, understanding or agreement that conflicts in any marmer with this Agreement and Sangamo’s obligations and responsibilities hereunder; provided that the foregoing shall not be interpreted as prohibiting Sangamo from entering into an agreement with a Third Party whereby such Third Party would research, develop, make, have made, use, import, offer for sale and sell the Product or participate in the Research Program; and (v) with respect to any Third Party to whom Sangamo subcontracts the performance of any aspect of the Research Program, Sangamo shall: (A) subcontract only with reputable entities that possess the knowledge, skills, expertise, and experience necessary to perform such services; (B) use Commercially Reasonable Efforts to ensure that each such subcontractor possesses and shall maintain all necessary licenses, permits, approvals or authorizations necessary for such subcontractor to conduct its work under the Research Program; and (C) use Commercially Reasonable Efforts to ensure that each such subcontractor conducts all work under the Research Program in conformity with Applicable Law.

10.2 Representations and Warranties of JDRF. As of the Effective Date, JDRF represents and warrants to Sangamo that: (a) this Agreement has been duly executed and delivered by JDRF and constitutes the valid and binding obligation of JDRF, enforceable against JDRF in accordance with its terms, except as enforceability may be limited by bankruptcy, fraudulent conveyance, insolvency, 

17.

 

reorganization, moratorium and other laws relating to or affecting creditors’ rights generally and by general equitable principles; (b) the execution, delivery and performance of this Agreement have been duly authorized by all necessary action on the part of JDRF and its directors; (c) the individual executing this Agreement on behalf of JDRF is duly authorized to do so; and (d) no provision contained in this Agreement violates any other agreement to which JDRF is bound or otherwise subject.

ARTICLE XI MISCELLANEOUS PROVISIONS

11.1 Governing Law. This Agreement shall be governed by and construed in accordance with the internal laws of the State of Delaware without regard to any conflict of laws principles thereof that would cause the application of the laws of a different jurisdiction.

11.2 Dispute Resolution.

(a) In the event of any dispute, claim or controversy arising out of, relating to or in any way connected to the interpretation of any provision of this Agreement, the performance of either Party under this Agreement or any other matter under this Agreement, including any action in tort, contract or otherwise, at equity or law (a “Dispute”), either Party may at any time provide the other Party written notice specifying the terms of such Dispute in reasonable detail. As soon as practicable after receipt of such notice, the Chief Executive Officers, or their respective designees, of both JDRF and Sangamo shall meet at a mutually agreed upon time and location for the purpose of resolving such Dispute. The Chief Executive Officers, or their respective designees, shall engage in good faith discussions and/or negotiations for a period of up to thirty (30) days to resolve the Dispute or negotiate an interpretation or revision of the applicable portion of this Agreement which is mutually agreeable to both Parties without the necessity of formal dispute resolution procedures relating thereto. During the course of such discussion and/or negotiation, the Parties shall reasonably cooperate in order that each of the Chief Executive Officers, or their respective designees, may be fully informed with respect to the issues in the Dispute.

(b) In the event any Dispute is not resolved by the Chief Executive Officers, or their respective designees, pursuant to Section 11.2(a), then the Parties shall resolve such Dispute by final and binding arbitration. Arbitration shall be held in New York, NY, according to the then-current JAMS’ Commercial Rules of Arbitration (“JAMS’ Rules”), except to the extent such rules are inconsistent with this Section 11.2. The arbitration will be conducted by one (1) arbitrator who shall be reasonably acceptable to the Parties and who shall be appointed in accordance with JAMS’ Rules. If the Parties are unable to select an arbitrator, then the arbitrator shall be appointed in accordance with JAMS’ Rules. Any arbitrator chosen hereunder shall have educational training and industry experience sufficient to demonstrate a reasonable level of relevant scientific, financial, medical and biotechnology industry knowledge. Within twenty (20) days of the selection of the arbitrator, each Party shall submit to the arbitrator a proposed resolution of the Dispute that is the subject of the arbitration (the “Proposals”).  The arbitrator shall thereafter select one of the Proposals so submitted as the resolution of the Dispute, but may not alter the terms of either Proposal and may not resolve the Dispute in a manner other than by selection of one of the submitted Proposals. If a Party fails to submit a Proposal in accordance with the terms of this Section 11.2(b), the arbitrator shall select the Proposal of the other Party as the resolution of the Dispute. The arbitrator shall agree to render its opinion within thirty (30) days of the final arbitration hearing. No arbitrator shall have the power to award punitive damages under this Agreement regardless of whether any such damages are contained in a Proposal, and such award is expressly prohibited. The proceedings and decisions of the arbitrator shall be confidential, final and binding on all of the Parties. Judgment on the award so rendered may be entered in a court having jurisdiction thereof. The Parties shall share the costs of arbitration according to the decision of the arbitrator. Nothing in this Section 11.2(b) will preclude either Party from seeking equitable relief in accordance with Section 11.3 or interim or provisional relief from a court of competent jurisdiction, including a temporary restraining order, preliminary injunction or other interim equitable relief, concerning a dispute either prior to or during any arbitration if necessary to protect the interests of such Party or to preserve the status quo pending the arbitration proceeding.

11.3 Equitable Relief. The Parties acknowledge and agree that, in the event of a breach or a threatened breach by either Party of this Agreement for which there is no adequate remedy at law, the other Party may suffer irreparable damage and accordingly, shall be entitled to seek injunctive and other equitable remedies to prevent or restrain such breach or threatened breach, in addition to any other remedy such Party might have at law or at equity.

11.4 Waiver. No provision of this Agreement may be waived except in writing by both Parties hereto. No failure or delay by either Party hereto in exercising any right or remedy hereunder or under applicable law will operate as a waiver thereof, or a waiver of any right or remedy on any subsequent occasion.

11.5 Force Majeure. Neither Party will be in breach hereof by reason of its delay in the performance of or failure to perform any of its obligations hereunder, if that delay or failure is caused by strikes, acts of God or the public enemy, riots, incendiaries, interference by civil or military authorities, compliance with governmental priorities for materials, or any fault beyond its reasonable 

18.

 

control. In such event Sangamo or JDRF, as the case may be, shall immediately notify the other Party of such inability and of the period for which such inability is expected to continue. The Party giving such notice shall thereupon be excused from such of its obligations under this Agreement as it is thereby disabled from performing for so long as it is so disabled. To the extent possible, each Party shall use reasonable efforts to minimize the duration of any force majeure.

11.6 Severability. Should one or more provisions of this Agreement be or become invalid, then the Parties hereto shall attempt to agree upon valid provisions in substitution for the invalid provisions, which in their economic effect come so close to the invalid provisions that it can be reasonably assumed that the Parties would have accepted this Agreement with those new provisions. If the Parties are unable to agree on such valid provisions, the invalidity of such one or more provisions of this Agreement shall nevertheless not affect the validity of the Agreement as a whole, unless the invalid provisions are of such essential importance for this Agreement that it may be reasonably presumed that the Parties would not have entered into this Agreement without the invalid provisions.

11.7 Assignment. This Agreement may not be assigned or otherwise transferred by either Party without the prior written consent of the other Party; provided, however, that either Party may assign this Agreement, without the consent of the other Party, (i) to any of its Affiliates, if the assigning Party guarantees the full performance of its Affiliate’s obligations hereunder; (ii) in connection with such Party’s merger, consolidation or transfer or sale of all or substantially all of the assets of such Party; or (iii) to any Third Party to whom Sangamo grants an exclusive or co-exclusive license to develop the Product in the Field, provided, that in the case of (ii) or (iii) hereunder, the successor, surviving entity, purchaser of assets, transferee, or Third Party, as applicable, expressly assumes in writing such Party’s obligations under this Agreement. Any purported assignment in contravention of this Section 11.7 shall, at the option of the non­ assigning Party, be null and void and of no effect. No assignment shall release either Party from responsibility for the performance of any accrued obligation of such Party hereunder. This Agreement shall be binding upon and enforceable against the successor to or any permitted assignees from either of the Parties hereto.

11.8 Counterparts. This Agreement may be executed in duplicate, each of which shall be deemed to be original and both of which shall constitute one and the same Agreement.

11.9 No Agency. Nothing herein contained shall be deemed to create an agency, joint venture, amalgamation, partnership or similar relationship between JDRF and Sangamo. Notwithstanding any of the provisions of this Agreement, neither Party to this Agreement shall at any time enter into, incur, or hold itself out to Third Parties as having authority to enter into or incur, on behalf of the other Party, any commitment, expense, or liability whatsoever, and all contracts, expenses and liabilities in connection with or relating to the obligations of each Party under this Agreement shall be made, paid, and undertaken exclusively by such Party on its own behalf and not as an agent or representative of the other.

11.10 Notice. All communications between the Parties with respect to any of the provisions of this Agreement will be sent to the addresses set out below, or to such other addresses as may be designated by one Party to the other by notice pursuant hereto, by prepaid, certified mail (which shall be deemed received by the other Party on the fifth (5th) business day following deposit in the mails), or by facsimile transmission, or other electronic means of communication (which shall be deemed received when successful transmission is confirmed), with confirmation by first class letter, postage pre-paid, given by the close of business on or before the next following business day:

if to JDRF, at:

Richard Insel, M.D.

Executive Vice President for Research

Juvenile Diabetes Research Foundation International

120 Wall Street, 16th Floor

New York, NY 10005-4001

Tel.: (212) 785-9500

Fax: (212) 785-9595

Email: rinsel@jdrf.com 

19.

 

with a copy to:

Kenneth I. Schaner, Esq.

Bingham McCutchen LLP

3000 K Street, N.W., Suite 300

Washington, D.C. 20007

Tel: (202) 373-6518

Fax: (202) 424-7647

Email: kenneth.schaner@bingham.com

if to Sangamo, at:

Sangamo BioSciences, Inc.

501 Canal Boulevard, Suite A100

Richmond, CA 94804

Attention: Chief Executive Officer

with a copy to:

Marya Postner, Ph.D.

Cooley Godward, LLP

5 Palo Alto Square

3000 El Camino Real

Palo Alto, CA 94306

11.11 Headings. The paragraph headings are for convenience only and will not be deemed to affect in any way the language of the provisions to which they refer.

11.12 Entire Agreement. This Agreement contains the entire understanding of the Parties relating to the matters referred to herein, and may only be amended by a written document, duly executed on behalf of the respective Parties.

 [Remainder of Page Intentionally Left Blank.]

 

 

 

20.

 

IN WITNESS WHEREOF, the undersigned have executed this Agreement as of the date first Written above.

 

		
	
Sangamo BioSciences, Inc.

	
 

By:
	
/s/ EDWARD O. LANPHIER

	
 

Name:
	
EDWARD O. LANPHIER

	
 

Title
	
Chief Executive Officer

	
 
	
 

	
Juvenile Diabetes Research Foundation International

	
 
	
 

	
 

By:
	
/s/ Richard A. Insel

	
 

Name:
	
Richard A. Insel

	
 

Title:
	
Executive Vice President for Research

 

 

 

 

 

EXECUTION COPY

Exhibit A

Research Plan

 

 

 

 

 

Exhibit B

Research Funding and Milestones

I. Payment Schedule for Research Funding: Up to an aggregate amount of Three Million Dollars ($3,000,000), payable as follows:

 

		
	
Milestones
	
Payment Amount($)

	
1. Upon the Effective Date, if FDA acceptance of phase 2 plan (102 patients in two treatment groups) has occurred; or upon FDA acceptance of such Phase 2 plan, if such acceptance has not yet occurred as of the Effective Date
	
$500,000

	
2. Enrollment of the first Qualified Subject
	
$500,000

	
3. Enrollment of the 25th Qualified Subject
	
$500,000

	
4. Enrollment of the 50th Qualified Subject
	
$500,000

	
5. Enrollment of the 100th Qualified Subject
	
$500,000

	
6. Receipt by JDRF of the final report of the Primary Statistical Analysis
	
$500,000

II. Payments pursuant to this Exhibit B shall be paid by JDRF to Sangamo within forty-five (45) days following JDRF’s receipt from Sangamo of a written certification setting forth Sangamo’s achievement of the applicable Milestone unless the JRAC determines, in a meeting held within such forty-five (45) day period, that such Milestone was not achieved. If JRAC’s vote on such matter during such meeting is not unanimous, then JDRF shall make the applicable payment within forty-five (45) days following resolution of such dispute in Sangamo’s favor.

 

 

 

2.

 

Exhibit C

JDRF Policies and Conditions Regarding

Funding of Research Involving Human Clinical Trials

JDRF will fund research involving human clinical trials only if the Sponsor of the trial can assure JDRF, with a reasonable degree of certainty, that the following conditions will be met:

	
●
	
The research will be conducted in accordance with basic ethical principles as reflected in the Nuremburg Code, the World Medical Association Declaration of Helsinki and the Belmont Report;

	
●
	
The research will comply with governmental regulatory requirements and guidance, as applicable;

	
●
	
The research will be reviewed and approved by an institutional review board to assure that risk is minimized and reasonable in relation to anticipated benefits, that voluntary informed consent is given, and that the rights, safety and welfare of the subjects are maintained;

	
●
	
The investigators will be qualified by training, education and experience to assume responsibility for the proper conduct of the trial and to comply with good clinical practices;

	
●
	
A qualified physician will be responsible for all trial-related medical decisions. During and following a subject’s participation in the trial, the investigator will arrange for adequate medical care to be provided to a subject for any adverse events, including clinically significant laboratory values, related to the trial;

	
●
	
Conflicts of interest will be disclosed and appropriate action taken;

	
●
	
Safety reporting, including serious adverse event reports, will be made in a timely fashion and in accordance with applicable regulatory requirements;

	
●
	
The Sponsor of the trial will implement and maintain quality assurance and quality control systems with written standard operating procedures in order to conduct the trial, generate data and document compliance with the protocol, good clinical practices and applicable regulatory requirements;

	
●
	
The clinical trial will be registered in a public registry acceptable to JDRF, if applicable; and

	
●
	
The investigators conducting the research, the responsible institutional review board and the Sponsor will engage in ongoing compliance and review activity to promote and assure the integrity of the research.

 

 

 

3.

 

Exhibit D

Press Release

4.Exhibit 10.2

FIRST AMENDMENT TO

RESEARCH, DEVLEOPMENT AND COMMERCIALIZATION AGREEMENT

BETYWEEN SANGAMO BIOSCIENCES, INC. (“SANGAMO”) AND JUVENILE

DIABETES RESEARCH FOUNDATION INTERNATIONAL (“JDRF”)

This First Amendment (this “First Amendment”) to the Agreement of October 24, 2006 is made as of this 8th day of January 2010 (the “First Amendment Effective Date”) by and between Sangamo and JDRF. Capitalized terms used but not defined herein shall have the definition provided in this Agreement.

WHEREAS, the Parties entered into the Agreement; and

WHEREAS, the Parties now desire to amend the Agreement so that JDRF may support Sangamo’s SB-509-901 clinical trial which is entitled “A Phase 2b Repeat Dosing Clinical Trial of SB-509 in Subjects with Moderately Severe Diabetic Neuropathy”.

NOW THEREFORE, in consideration of the foregoing, the receipt and sufficiency of which is hereby acknowledged, the Parties agree as follows:

	
1.
	
Confirmation of Terms.

Except as provided in this First Amendment, the Agreement shall remain in full force and effect.

	
2.
	
Acknowledgement.

The Parties hereby acknowledge that, prior to the First Amendment Effective Date, Sangamo fulfilled its obligations under the Agreement to perform the Research Plan as described in Exhibit A and to achieve the Milestones set forth in Exhibit B as it existed prior to the First Amendment Effective Date, and JDRF fulfilled its obligations under the Agreement to pay to Sangamo the amounts set forth in Exhibit B as it existed prior to the First Amendment Effective Date.

	
3.
	
Amendment to Agreement.

The following amendments shall be made to the Agreement:

(a) The term “Award” as defined in Section 1.5 of the Agreement shall be amended to substitute “Six Million Dollars ($6,000,000”)” in lieu of “Three Million Dollars ($3,000,000)” previously specified therein:

(b) The definiton of “Research Plan” as set forth in Section 1.54 of the Agreement shall be replaced with the following: “Research Plan” means (a) the written protocol for Sangamo’s Phase II Repeat Dosing Clinical Trial of SB-509, that shall be attached to this Agreement as Exhibit A upon approval by the FDA, which protocol was based on the Application, includes the JDRF Studies, and has been accepted ’y the FDA, as modified from time to time by Sangamo in consultation with the FDA and in accordance with Section 2.4 and (b) the written protocol for Sangamo’s SB-509-901 clinical trial that is attached to the First Amendment as Exhibit C, which Exhibit will be updated to reflect any amendments to such protocol that are agreed upon by Sangamo and the FDA.”

(c) Section 3.1.2(a) shall be amended by increasing “Three Million Dollars ($3,000,000)” to “Six Million Dollars ($6,000,000)”;

(d) Section 7. 7 (Insurance) of the Agreement is hereby deleted in its entirety and is replaced with the following provision:

Insurance. Sangamo shall maintain at its own expense, with a reputable insurance carrier reasonably acceptable to JDRF, coverage for Sangamo, its Affiliates, and their respective employees written on a per occurrence basis commensurate with a reasonable assessment of the risks associated with the research efforts being conducted by Sangamo, the following policies:

(a) Comprehensive general liability insurance for claims relating to the performance and lack of performance of Sangamo’s obligations under this Agreement;

(b) Comprehensive general liability insurance for claims for damages, including, damages as a result of bodily injury (including death) and damages to property, arising out of acts or omissions of a Sangamo Party;

 

1

 

(c) Products liability insurance for claims for damages, including, damages as a result of bodily injury (including death) and damages to property, arising out of the acts or omissions of a Sangamo Party; and

(d) Clinical trials liability insurance for damages, including, damages as a result of bodily injury (including death) and damages to property, arising out of any clinical trials conducted by Sangamo in connection with its obligations under the Agreement, or arising out of the acts or omissions of a Sangamo Party. This insurance shall specifically include coverage for obligations and liabilities of Sangamo under any clinical trial agreement or protocol that is a part of clinical trials conducted by Sangamo under the Agreement and for liability arising as a result of allegations of the insufficiency or other defects in the informed consent provided to participants in the clinical trials.

All insurance policies required hereunder shall name JDRF as an additional insured, be specifically endorsed to cover Sangamo’s indemnification obligations under this Article VII and be written with coverage limits approved by JDRF. Maintenance of such insurance coverage will not relieve Sangamo of any responsibility under this Agreement for damage in excess of insurance limits or otherwise. On or prior to the First Amendment Effective Date, Sangamo shall provide JDRF with an insurance certificate from the insurer(s) evidencing each insurance coverage and the insurer’s agreement to notify JDRF at least sixty (60) days in advance of any cancellation or material modification of such insurance coverage. At its request, JDRF may review Sangamo’s insurance coverage with relevant Sangamo officials from time to time.

In the event that the lnterruption License becomes effective pursuant to Section 9.5, JDRF shall comply with the foregoing insurance requirements and shall maintain such insurance for as long as necessary to cover any claims that may arise from JDRF’s activities during the effectiveness of the Interruption License.

(e) Section 11 .10 shall be amended to replace the notice address for JDRF with the following:

Richard Insel, MD

Chief Scientific Officer

Executive Vice President, Research

Juvenile Diabetes Research Foundation International

26 Broadway, 14th Floor

New York, NY 10004

Tel.: 212-479-7604

Email: rinsel@ jdrf.org

(f) Exhibit B shall be replaced with the Exhibit B attached to this First Amendment; and

(g) Exhibit C attached to this First Amendment shall be added to the Agreement.

[Signatures on next page]

 

 

2

 

IN WITNESS WHEREOF, the undersigned have executed this First Amendment as of the First Amendment Effective Date.

 

		
	
Sangamo BioSciences, Inc.

	
By:
	
/s/ Edward O. Lanphier

	
Name:
	
Edward O. Lanphier

	
Title:
	
President and Chief Executive Officer

 

		
	
Juvenile Diabetes Research Foundation International

	
By:
	
/s/ Alan J. Lewis, Ph.D.

	
Name:
	
Alan J. Lewis, Ph.D.

	
Title:
	
President and Chief Executive Officer

 

 

 

 

3

 

EXHIBIT B

RESEARCH FUNDING AND MILESTONES

I. Payment Schedule for Research Funding: Up to an aggregate amount of Six Million Dollars ($6,000,000), payable as follows:

 

	
Milestones
	
Payment Amount ($)

	
1.  Upon the Effective Date, if FDA acceptance of Phase 2 plan (102 patients in two treatment groups) has occurred; or upon FDA acceptance of such Phase 2 plan, if such acceptance has not yet occurred as of the Effective Date
	
$500,000

	
2.  Enrollment of the first Qualified Subject
	
$500,000

	
3.  Enrollment of the 25th Qualified Subject
	
$500,000

	
4.  Enrollment of the 50th Qualified Subject
	
$500,000

	
5.  Enrollment of the 100th Qualified Subject
	
$500,000

	
6.  Receipt by JDRF of the final report of the Primary Statistical Analysis
	
$500,000

	
7.  Initiation of patient screening for SB-509-901
	
$250,000

	
8.  First patient for SB-509-901 randomized by assignment of randomization number
	
$250,000

	
9.  76th patient, or 50% of the then planned number of patients for SB-509-901, whichever occurs first, randomized by assignment of randomization number
	
$500,000

	
10.  150th patient, or the last planned patient for SB-509-901, whichever occurs first, randomized by assignment of randomization number
	
$500,000

	
11.  Submission to JDRF of day 180 data analysis for SB-509-901
	
$500,000

	
12.  Submission to JDRF of day 360 data analysis for SB-509-901
	
$500,000

	
13.  Submission to JDRF of draft clinical study report for SB-509-901
	
$500,000

II Payments pursuant to this Exhibit B shall be paid by JDRF to Sangamo within forty-five (45) days following JDRF’s receipt from Sangamo of a written certification setting forth Sangamo’s achievement of the applicable Milestone unless the JRAC determines, in a meeting held within such forty-five (45) day period, that such Milestone was not achieved. If JRAC’s vote on such matter during such meeting is not unanimous, then JDRF shall make the applicable payment within forty-five (45) days following resolution of such dispute in Sangamo’s favor.

 

 

 

 

		
	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

Clinical Study Protocol

A Phase 2b Repeat Dosing Clinical Trial

of SB-509 in Subjects with Moderately

Severe Diabetic Neuropathy

 

	
 
	
Protocol Number
	
 
	
SB-509-0901
	
 

	
 
	
 
	
 
	
 
	
 

	
 
	
BB-IND
	
 
	
12189
	
 

	
 
	
 
	
 
	
 
	
 

	
 
	
Sponsor
	
 
	
Sangamo BioSciences, Inc.
	
 

	
 
	
 
	
 
	
Point Richmond Tech Center II
	
 

	
 
	
 
	
 
	
501 Canal Blvd., Suite A100
	
 

	
 
	
 
	
 
	
Richmond, CA 94804
	
 

	
 
	
 
	
 
	
Phone: (510) 970-6000
	
 

	
 
	
 
	
 
	
Fax: (510) 970-6009
	
 

	
 
	
 
	
 
	
 
	
 

	
 
	
Medical Monitor
	
 
	
Ely Benaim, M.D.
	
 

	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
 
	
Phone: (510) 970-7868
	
 

	
 
	
 
	
 
	
Fax: (510) 970-6009
	
 

	
 
	
 
	
 
	
 
	
 

	
 
	
Original Date
	
 
	
August 18, 2009
	
 

	
 
	
 
	
 
	
 
	
 

	
 
	
Amendment 1 Date
	
 
	
October 9, 2009
	
 

Confidentiality Statement

This document contains confidential information. It is intended solely for the use of the principal investigator, co-investigators, staff, appropriate institutional review boards or ethical committees, and other required regulatory bodies.

 

 

 

 

		
	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

Sangamo BioSciences, Inc.

Clinical Approval Signature Page

 

		
	
Protocol Number:
	
SB-509-0901

	
 
	
 

	
Protocol Title:
	
A Phase 2b Repeat Dosing ClinicalTrial of SB-509 in Subjects with Moderately Severe Diabetic Neuropathy

	
 
	
 

	
Version:
	
Amendment 1

	
 
	
 

	
Date:
	
October 9, 2009

 

	
/s/Ely Benaim, M.D.
	
 
	
10/09/2009

	
Ely Benaim, M.D.
	
 
	
Date

	
Vice Preseident, Clinical Affairs
	
 
	
 

	
 
	
 
	
 

	
/s/Shelley Wang, MS. M.D.
	
 
	
10/09/2009

	
Shelley Wang, MS. M.D.
	
 
	
Date

	
Associate Director, Clinical Development
	
 
	
 

 

 

 

 

		
	
Page ii of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

TABLE OF CONTENTS

 

	
PROTOCOL SYNOPSIS
	
VI

	
 
	
 

	
SCHEMA
	
VIII

	
 
	
 

	
ABBREVIATIONS
	
IX

	
 
	
 

	
1.
	
INTRODUCTION
	
11

	
 
	
1.1.
	
Background
	
11

	
 
	
1.2.
	
Rationale
	
11

	
 
	
 
	
 

	
2.
	
OBJECTIVES
	
11

	
 
	
 
	
 

	
3.
	
STUDY DESIGN
	
13

	
 
	
 
	
 

	
4.
	
SUBJECT SELECTION
	
13

	
 
	
4.1.
	
Inclusion Criteria
	
13

	
 
	
4.2.
	
Exclusion Criteria
	
14

	
 
	
 
	
 

	
5.
	
INFORMED CONSENT
	
15

	
 
	
 
	
 

	
6.
	
AUTHORIZATION TO USE AND DISCLOSE MEDICAL INFORMATION
	
15

	
 
	
 
	
 

	
7.
	
STUDY METHODOLOGY
	
16

	
 
	
7.1.
	
Screening Visit
	
16

	
 
	
7.2.
	
Subject Enrollment Procedures
	
18

	
 
	
7.3.
	
Baseline Duplicate Assessments
	
18

	
 
	
7.4.
	
Schedule for Treatment Period
	
18

	
 
	
7.5.
	
Schedule for Follow-Up Period
	
20

	
 
	
 
	
 

	
8.
	
CRITERIA FOR WITHDRAWAL FROM THE STUDY
	
23

	
 
	
8.1.
	
Discontinuation from Study Treatment and Follow-up of Subjects
	
23

	
 
	
 
	
 
	
 

	
9.
	
ADMINISTRATION OF STUDY DRUG
	
23

	
 
	
9.1.
	
Product Description
	
23

	
 
	
9.2.
	
Description and Manufacturer of Drug Substance
	
23

	
 
	
9.3.
	
SB-509 and Placebo Study Drug Composition
	
24

	
 
	
9.4.
	
Inventory, Storage, and Handling of the Drug Product
	
24

	
 
	
9.5.
	
SB-509 Administration
	
31

	
 
	
9.6.
	
Precautions
	
31

	
 
	
9.7.
	
Premedications
	
31

	
 
	
9.8.
	
Dose Modifications
	
31

	
 
	
 
	
 
	
 

	
10.
	
SAFETY
	
31

	
 
	
10.1.
	
Potential Risks
	
31

	
 
	
 
	
 
	
 

	
11.
	
EFFICACY
	
32

	
 
	
 
	
 
	
 

	
 
	
11.1.
	
Potential Benefits
	
32

	
 
	
11.2.
	
Efficacy Criteria
	
32

	
 
	
 
	
 
	
 

	
12.
	
CONCOMITANT MEDICATIONS
	
33

	
 
	
 
	
 
	
 

	
13.
	
ADVERSE EVENTS
	
33

	
 
	
13.1.
	
Adverse Event Reporting Period
	
33

	
 
	
13.2.
	
Definitions
	
33

	
 
	
13.3.
	
Recording of an Adverse Event
	
34

 

 

		
	
Page iii of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
14.
	
SERIOUS ADVERSE EVENT
	
35

	
 
	
14.1.
	
Serious Adverse Event Reporting
	
35

	
 
	
14.2.
	
Definitions
	
35

	
 
	
14.3.
	
Recording of a Serious Adverse Event
	
35

	
 
	
 
	
 
	
 

	
15.
	
STATISTICAL METHODS AND DATA ANALYSIS
	
35

	
 
	
15.1.
	
Sample Size
	
35

	
 
	
15.2.
	
Randomization
	
36

	
 
	
15.3.
	
Statistical Methods/Data Analysis
	
36

	
 
	
15.4.
	
Intent-to-Treat Population
	
36

	
 
	
15.5.
	
Subject Disposition
	
36

	
 
	
15.6.
	
Demographics
	
36

	
 
	
15.7.
	
Efficacy
	
36

	
 
	
15.8.
	
Baseline Values
	
37

	
 
	
15.9.
	
Missing Data
	
37

	
 
	
15.10.
	
Safety
	
37

	
 
	
15.11.
	
Laboratory Data
	
38

	
 
	
 
	
 
	
 

	
16.
	
STUDY ADMINISTRATION AND INVESTIGATOR OBLIGATIONS
	
38

	
 
	
16.1.
	
Institutional Review Board/Institutional Ethics Committee
	
38

	
 
	
16.2.
	
Informed Consent
	
38

	
 
	
16.3.
	
Study Amendments
	
38

	
 
	
16.4.
	
Study Drug Accountability
	
39

	
 
	
16.5
	
Study Personnel
	
39

	
 
	
16.6
	
Monitoring the Study
	
39

	
 
	
16.7
	
Completion and Return of Case Report Forms
	
40

	
 
	
16.8
	
Deviation from Protocol for Individual Subjects
	
40

	
 
	
16.9
	
Quality Assurance Procedures
	
40

	
 
	
16.10
	
Sangamo BioSciences Policy on Fraud in Clinical Studies
	
41

	
 
	
16.11
	
Termination of the Study
	
41

	
 
	
16.12
	
Record Retention
	
25

	
 
	
16.13
	
Confidentiality
	
25

	
 
	
16.14
	
Publication Statement
	
26

	
 
	
 
	
 
	
 

	
17
	
STUDY FUNDING
	
26

	
 
	
 
	
 
	
 

	
18
	
REFERENCES
	
26

	
 
	
 
	
 

	
APPENDIX 1:
	
SCHEDULE OF EVENTS
	
29

	
 
	
 
	
 

	
APPENDIX 2:
	
CTCAE
	
42

	
 
	
 
	
 

	
APPENDIX 3:
	
AMERICAN CANCER SOCIETY (ACS) CANCER DETECTION GUIDELINES
	
43

	
 
	
 
	
 

	
APPENDIX 4:
	
SB-509 DRUG PRODUCT AND PLACEBO DESCRIPTION AND INSTRUCTIONS FOR STORAGE, HANDLING, ADMINISTRATION AND DISPOSAL
	
46

	
 
	
 
	
 

	
APPENDIX 5:
	
NEUROPATHY IMPAIRMENT SCORE- LOWER LIMB (NIS-LL)
	
49

	
 
	
 
	
 

	
APPENDIX 6:
	
LOWER EXTREMITY NEUROLOGICAL SENSORY EXAM
	
51

	
 
	
 
	
 

	
APPENDIX 7:
	
ELECTROPHYSIOLOGICAL STUDIES
	
52

	
 
	
 
	
 

	
APPENDIX 8:
	
QUANTITATIVE SENSORY TESTING (QST)
	
53

	
 
	
 
	
 

	
APPENDIX 9:
	
SKIN BIOPSY
	
55

	
 
	
 
	
 

	
APPENDIX 10:
	
NEUROPATHY TOTAL SYMPTOM SCORE (NTSS-6)
	
56

 

 

		
	
Page iv of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
APPENDIX 11:
	
VISUAL ANALOG SCALE FOR PAIN INTENSITY (VASPI)
	
58

	
 
	
 
	
 

	
APPENDIX 12:
	
NEURO-QOL
	
59

	
 
	
 
	
 

	
APPENDIX 13:
	
SF-36
	
63

	
 
	
 
	
 

	
APPENDIX 14:
	
GLOBAL ASSESSMENT
	
66

 

 

 

 

		
	
Page v of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

PROTOCOL SYNOPSIS

 

			
	
Title
	
A Phase 2b Repeat Dosing Clinical Trial of SB-509 in Subjects with Moderately Severe Diabetic Neuropathy

	
 
	
 

	
Sponsor
	
Sangamo BioSciences, Inc.

	
 
	
 

	
Investigational Products
	
SB-509

	
 
	
 

	
Objectives
	
Primary:

	
 
	
To compare the effect of SB-509 versus placebo in subjects with moderately severe diabetic neuropathy (DN) on sural Nerve Conduction Velocity (NCV) at six-months

	
 
	
 

	
 
	
Secondary:

	
 
	
·
	
To compare in subjects with moderately severe diabetic neuropathy the effect of SB-509 versus placebo on the following endpoints:

	
 
	
·    Neuropathy Impairment Score - Lower Limb (NIS-LL)

·    Motor Nerve Conduction Velocity (NCV)

·    Quantitative Sensory Testing (QST)

·    lntraepidermal Nerve Fiber Density (IENFD)

·    Lower Extremity Neurological Sensory Exam

·    Visual Analog Scale for Pain Intensity (VASPI)

·    Neuropathy Total Symptom Score (NTSS-6)

·    Quality of Life: NeuroQoL and SF-36

·    Global Assessment

	
 
	
 

	
 
	
·
	
To compare the effect of SB-509 versus placebo in subjects with moderately severe diabetic neuropathy using a multi-endpoint analysis that includes Neuropathy Impairment Score - Lower Limb (NIS-LL), Sural Nerve Conduction Velocity (NCV) and lntraepidermal Nerve Fiber Density (IENFD), as detailed by O’Brien (1984)

	
 
	
·
	
To evaluate the safety of SB-509 as compared to placebo in subjects with moderately severe diabetic neuropathy

	
 
	
 

	
Subject Population
	
A total of 150 subjects with moderately severe diabetic neuropathy as defined by mean sural NCV ≤ 45 m/s,IENFD ≤ 18 fibers/mm, NIS-LL ≥ 3 points, sICAM ≥ 200 ng/ML, with measurable lower extremity nerves (sural NCV amplitude must be > 1.0 μV) will be enrolled in this trial.

	
 
	
 

	
Study Design
	
Phase 2b, randomized, double-blind, placebo-controlled, multi­center study.

	
 
	
 

	
Treatment
	
150 subjects will be randomized in a 1:1 ratio to treatment with

	
 
	
 

	
Plan
	
SB-509 or placebo:

1)    SB-509 treatment: 60 mg of SB-509 on Day 0, Day 60 and Day 120.

2)    Placebo on Day 0, Day 60 and Day 120.

	
 
	
 

	
 
	
30 mg of SB-509 or an equal volume of placebo will be injected intramuscularly (IM) into each lower limb for a total dose of 60 mg. Each subject will receive a total of three treatments, two months apart.

 

		
	
Page vi of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

 

		
	
 
	
 

	
Duration of

Participation
	
The duration of participation will be approximately 15 months: 12 weeks for screening, 5 months for treatment (includes one month after the last dose), and 7 months for follow-up after the treatment period.

	
 
	
 

	
Randomization
	
Subjects will be randomized in a 1:1 ratio to SB-509 or placebo stratified by study site and screening IENFD (< 9, ≥ 9).

	
 
	
 

	
Sample Size

and Analyses
	
A sample size of 150 subjects provides 93% power to detect a mean improvement of 2.2 units on the sNCV in a comparison between the SB-509 and placebo arms, assuming a standard deviation of 4. The statistical test used will be a two-sided Wilcoxon Rank-Sum test, with a Type I error rate of 5%.

	
 
	
 

	
 
	
Primary Efficacy Analyses

The Day 180 change from baseline sNCV will be compared by treatment group using the Wilcoxon Rank-Sum test at an alpha level of 0.05

	
 
	
 

	
 
	
Secondary Efficacy Analyses

The Day 180 change from baseline sNCV will be compared by treatment group  using  the Cochran-Mantel-Haenszel test stratified by IENFD < 9 and ≥ 9 at an alpha level of 0.05

	
 
	
 

	
 
	
For the following measures, the Day 180 change from baseline measures will be compared by  treatment group using the Wilcoxon Rank-Sum test.

·    Neuropathy Impairment Score - Lower Limb (NIS-LL)

·    Lower Extremity Neurological Sensory Exam

·    Motor Nerve Conduction Velocity (NCV)

·    Quantitative Sensory Testing (QST)

·    lntraepidermal Nerve Fiber Density (IENFD)

·    Neuropathy Total Symptom Score (NTSS-6)

·    Visual Analog Scale for Pain Intensity (VASPI)

·    Quality of Life (QOL)- NeuroQoL and SF-36

·    Global assessment

	
 
	
 

	
 
	
The effect of SB-509 versus placebo in subjects with moderately severe diabetic neuropathy will be compared using a multi-endpoint analysis that includes Neuropathy Impairment Score - Lower Limb (NIS-LL), Sural Nerve Conduction Velocity (NCV) and lntraepidermal Nerve Fiber Density (IENFD), as detailed by O’Brien (1984).

	
 
	
 

	
 
	
Safety

Safety assessment will occur on all subjects who received any study medication. Terminations/premature withdrawals, adverse events, concomitant medications, and laboratory data will be tabulated. Adverse events will be coded to a standard set of terms using the MedDRA dictionary. Frequency of adverse events will be compared using Fisher’s exact test.

 

 

 

 

		
	
Page vii of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

SCHEMA

 

 

 

 

 

		
	
Page viii of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

ABBREVIATIONS

 

	
32Ep65
	
 
	
Engineered ZFP-TF

	
ACS
	
 
	
American Cancer Society

	
ADA
	
 
	
American Diabetes Association

	
ADR
	
 
	
Adverse drug reaction

	
AE
	
 
	
Adverse event

	
ALP
	
 
	
Alkaline phosphatase

	
ALT
	
 
	
Alanine aminotransferase

	
ARI
	
 
	
Aldose reductase inhibitors

	
AST
	
 
	
Aspartate aminotransferase

	
BMI
	
 
	
Body mass index

	
BOCF
	
 
	
Baseline observation carried forward

	
BUN
	
 
	
Blood urea nitrogen

	
CBC
	
 
	
Complete blood count

	
CFR
	
 
	
Code of Federal Regulations

	
cm
	
 
	
Centimeter

	
CPK
	
 
	
Creatinine phosphokinase

	
CPKmb
	
 
	
Creatinine phosphokinase, mb fraction

	
CRF
	
 
	
Case report form

	
CTCAE
	
 
	
Common terminology criteria for adverse events

	
DN
	
 
	
Diabetic neuropathy 

	
DNA
	
 
	
Deoxyribonucleic acid

	
ECG
	
 
	
Electrocardiogram

	
ENFD
	
 
	
Epidermal nerve fiber density

	
ENFDR
	
 
	
Epidermal nerve fiber density regeneration

	
FDA
	
 
	
Food and Drug Administration

	
FOBT
	
 
	
Fecal occult blood test

	
HBV
	
 
	
Hepatitis B virus

	
HCV
	
 
	
Hepatitis C virus

	
Hg
	
 
	
Mercury

	
HIV
	
 
	
Human Immunodeficiency Virus

	
HPV
	
 
	
Human papillomaviurs

	
ICH
	
 
	
International Conference on Harmonization

	
IBC
	
 
	
Institutional Biosafety Committee

	
ICAM
	
 
	
Intracellular Adhesion Molecules

	
IEC
	
 
	
Institutional Ethics Committee

	
IENFD
	
 
	
lntraepidermal Nerve Fiber Density

	
IM
	
 
	
Intramuscular

	
INR
	
 
	
International normalized ratio

	
IRB
	
 
	
Institutional Review Board

	
Kb
	
 
	
Kilobase

	
kg
	
 
	
Kilogram

	
L
	
 
	
Liter

	
LDH
	
 
	
Lactate dehydrogenase

	
LDL
	
 
	
Low-density lipoprotein

	
LOCF
	
 
	
Last observation carried forward

	
mg
	
 
	
Milligram 

	
mL
	
 
	
Milliliter

	
mm
	
 
	
Millimeter

	
mM
	
 
	
Millimolar

	
MRI
	
 
	
Magnetic resonance imaging

	
NCI
	
 
	
National Cancer Institute

	
NCS
	
 
	
Nerve conduction studies

	
NCV
	
 
	
Nerve conduction velocity

	
NF
	
 
	
National Formulary

	
NTSS-6
	
 
	
Neuropathy Total Symptom Score

	
ng
	
 
	
Nanogram

	
NGF
	
 
	
Nerve growth factor

 

		
	
Page ix of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
NIH
	
 
	
National Institute of Health

	
NIS-LL
	
 
	
Neuropathy Impairment Score - Lower Limb

	
NLS
	
 
	
Nuclear localization sequence

	
NOAEL
	
 
	
No observed adverse effect level

	
NSAIDs
	
 
	
Non-steroidal anti-inflammatory drugs

	
P188
	
 
	
Poloxamer 188

	
PCR
	
 
	
Polymerase chain reaction 

	
PSA
	
 
	
Prostate-specific antigen

	
PT
	
 
	
Prothrombin time

	
PTT
	
 
	
Partial prothrombin time

	
pV-32Ep65
	
 
	
Plasmid; the active drug substance in SB-509

	
QOL
	
 
	
Quality of Life

	
QST
	
 
	
Quantitative sensory testing

	
RNA
	
 
	
Ribonucleic acid

	
SAE
	
 
	
Serious adverse event

	
SB-509
	
 
	
Plasmid formulation containing the 32Ep65 expression cassette, an engineered transcription factor that induces expression of VEGF-A

	
sNCV
	
 
	
Sural Nerve Conduction Velocity

	
STZ
	
 
	
Streptozotocin

	
SV40
	
 
	
Simian Virus 40

	
TF
	
 
	
Transcription factor

	
TSH
	
 
	
Thyroid Stimulating Hormone

	
Tris-HCI
	
 
	
Tris-(hydroxymethyl)-aminomethane hydrochloride

	
U
	
 
	
Unit

	
μm
	
 
	
Micrometer (micron)

	
USP
	
 
	
United States Pharmacopoeia

	
VPT
	
 
	
Vibration Perception Threshold

	
VASPI
	
 
	
Visual Analog Scale for Pain Intensity

	
VEGF
	
 
	
Vascular endothelial growth factor

	
VEGF-A
	
 
	
Vascular endothelial growth factor-A

	
WBC
	
 
	
White blood cell

	
WHO
	
 
	
World Health Organization

	
ZFP
	
 
	
Zinc finger protein

	
ZFP-TF
	
 
	
Zinc finger protein transcription factor

 

 

 

 

		
	
Page x of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
1.
	
INTRODUCTION

VEGF-A is well known as a potent angiogenic factor, but it has also been shown to be a potent neurotrophic and neuroprotective factor. Studies have shown that plasmid-mediated delivery of hVEGF-A can reverse neuropathy in diabetic animals (Schratzberger et al. 2001). Another study showed that gene transfer of an engineered transcription factor promoting expression of VEGF-A protects against experimental diabetic neuropathy (Price et al. 2006). A Phase 1 clinical trial testing hVEGF-A165 cDNA suggests that this approach may be beneficial (Simovic et al.2001).

The VEGF-A mRNA is alternatively spliced to express three major protein isoforms, VEGF-A189, VEGF-A165, and VEGF-A121 Recent studies suggest that the combination of all three isoforms provides a more potent angiogenic response than any of the isoforms alone (Whitlock et al. 2004). The same may be true for the neurotrophic and neuroprotective effects of VEGF-A.

Sangamo BioSciences has developed a plasmid SB-509 that expresses an engineered transcription factor (TF) that binds the endogenous VEGF-A promoter and activates transcription of the endogenous VEGF-A gene. The transcript produced undergoes alternative splicing, naturally producing the three major protein isoforms. This TF is based on the Cys2-His2 zinc finger DNA binding domain. Treatment of disease via localized gene delivery may mimic local autocrine/paracrine mechanisms by which VEGF-A works. It has been shown, in side-by-side comparisons, that activation of the endogenous VEGF-A gene, using engineered TFs, produces non-leaky vasculature with normal vessel architecture (Rebar et al. 2002) in contrast to vessels produced in response to a single isoform, which leak and have defective architecture (Elson et al. 2001).

SB-509 is an investigational product that has not been approved or marketed in any country.

	
1.1.
	
Background

Epidemiology and Treatment of Diabetic Neuropathy

It is estimated that diabetes affects nearly 23.6 million patients in the United States, of which 5.7 million are undiagnosed (CDC 2007 National Diabetes Fact Sheet). The incidence of diabetic peripheral neuropathy ranges from 10% at the time of diagnosis of diabetes to 50% after 25 years of living with diabetes (Poncelet 2003). The severity of neuropathy in diabetes is related to the duration of disease, glucose control, hypertension, and hyperlipidemia (Feldman et al. 1999; Stratton et al. 2000; Malik 2000). In addition, neuropathy is an independent risk factor for further morbidity in diabetes due to foot ulcerations and limb amputation (McNeely et al. 1995; Potter et al. 1998). The pathogenesis is related to hyperglycemia, which affects both small and large nerve fibers. The WHO definition of diabetic neuropathy (DN) is “A disease characterized as a progressive loss of nerve fibers leading to sensation loss, foot ulceration, and amputation.” Symptoms and signs are directly related to the type of nerve fiber damage. Thinly myelinated small nerve fibers mediate pain and altered cold, heat, and light touch. Large myelinated fibers mediate vibration and proprioception. Symptoms and signs include the stocking and glove distribution of sensory loss, pain and eventually motor loss resulting in weakness of the muscles in the feet and are directly related to the type of nerve fiber damage (Thomas and Tomlinson 1993).

There is no treatment for diabetic neuropathy that has been shown to modify disease onset or progression; current treatments are limited to the relief of select symptoms (i.e. pain). Intensive glucose control can stabilize or improve diabetic neuropathy (DN) (UKPDS 33 1998). Medical treatment for pain symptoms associated with diabetic neuropathy includes anti-depressants, anti-convulsants, opiates, anti-arrhythmics, and topical agents (Poncelet 2003). Duloxetine and pregabalin have recently received FDA approval for the symptomatic treatment on Diabetic Neuropathy pain (Argoff et al. 2006). Additional treatment strategies have included attempts to protect or regenerate neurons and thus interfere with the primary disease process in neuropathy. Aldose reductase inhibitors (ARI) and growth factors such as Nerve Growth Factor (NGF) have been evaluated in clinical trials. Phase 3 trials with these agents have proved unsuccessful in detecting significant improvement in neurologic endpoints and have been limited by side effects (Boulton et al. 2004). These studies did provide significant insight into the natural course of progression of DN and the need for a composite endpoint combining measurements of the signs and symptoms of DN, neurological examination, and electrophysiological testing (Feldman 2002). Epalrestat (KinedakTM, Ono Pharmaceuticals, Osaka, Japan), approved in Japan in 1992, is the only ARI currently available commercially.

	
1.2.
	
Rationale

1.2.1. Pre-clinical Data

The biological activity of the 32Ep65 transcriptional activator (also known as VZ+434) was evaluated in both in vitro multiple cell lines and in vivo in multiple species. In vitro studies demonstrated that the transcriptional activator can 1)upregulate the major 

 

	
Page 11 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

isoforms VEGF-A mRNA and conserve their relative proportions and 2) increase VEGF-A protein and 3) the secreted protein can protect neuronal-derived cells from growth arrest in response to serum starvation. The therapeutic potential of SB-509 was assessed in a validated experimental model of diabetic neuropathy in streptozotocin (STZ)-induced diabetic rats (Schratzberger et al. 2001; Calcutt et al. 2003; Biessels et al. 1999, Price et al 2006). Single and repeat administration of the formulated plasmid encoding 32Ep65 (SB-509) showed a significant and dose-related protection against losses in both motor and sensory nerve conduction velocities. Please refer to the SB-509 DN Clinical Investigator’s Brochure.

Single administration pre-clinical toxicology and biodistribution studies of SB-509 were designed to support the Phase 1 dose-escalation clinical trial of a single treatment of SB-509 in subjects with diabetic neuropathy. Single administration toxicology studies included both toxicology and biodistribution studies in rats and rabbits. The single intramuscular injection treatment of SB-509 was, in general, well-tolerated, with no treatment-related effects or biologically significant differences among treatment groups for body weights, clinical observations, laboratory tests, and microscopic histological evaluation. SB-509 plasmid persisted up to 30 days and was localized to the injection site. A NOAEL of 1.0 mg/kg SB-509 was determined from the study

A repeat SB-509 administration study in rats was designed to support the Phase 2 repeat administration clinical trial in subjects with diabetic neuropathy. Rats received monthly SB-509 intramuscular administration for three months. In general, rats tolerated three doses of SB-509 given at monthly intervals at up to 1.0 mg/kg/dose SB-509 without any toxic effects. Specific ocular histopathology revealed no evidence of retinal arterial proliferation or other lesions related to SB-509 treatment. Proteinuria was observed at 5.0 mg/kg/dose SB-509 at Study Day 60 in 1/5 males and at Study Day 90 in 1/5 females. Proteinuria was also observed at a similar incidence at Study Day 120 for both the low (1.0 mg/kg) and high (5.0 mg/kg) dose groups in both male (1/5) and female (1/5) groups. This finding was not supported by protein serum changes in creatinine and blood urea nitrogen levels or by histological changes in the kidney. The only microscopic histology findings were local inflammation and muscle damage at the injection site. The incidence of these findings generally correlated with the volume administered and was a transient effect. No significant changes in body weight gain were observed during dosing (Study Days 0-60); however, during the recovery period (Study Days 60-120), males and females in the 5.0 mg/kg dose groups showed significant changes in body weight gains and were considered to insignificant and were not toxicologically relevant. One mortality was observed in a PCR (biodistribution) satellite group (5 mg/kg/dose SB-509), and the cause of death was undetermined. At all study time points (Study Days 30, 60, 90, and 120), plasmid DNA was detected at the injection sites in all rats given SB-509 at 5 mg/kg/dose. SB-509 plasmid was not found in heart or gonads at Study Days 30, 60, 90, and 120. The NOAEL was 1.0 mg/kg/dose for repeat administration of SB-509. For additional information, please refer to the SB-509 DN Clinical Investigator’s Brochure.

1.2.2. Clinical Rationale

Clinical trials of SB-509 in subjects with mild, moderate, or severe diabetic peripheral neuropathy have identified the following effects of SB-509: improvement in sensory and motor nerve conduction velocity, improvement in quantitative sensory testing, decrease in the neuropathy impairment score-lower limb, and a strong trend for re­ growth of nerve fibers in the skin. Subgroup analyses by baseline disease severity show that subjects with more advanced disease (i.e., low nerve conduction velocity, low intraepidermal nerve fiber density and poor vibration perception) tend to respond better to SB-509, as indicated, for example, by a greater decrease in the neuropathy impairment score. Thus, this protocol will be conducted in subjects with advanced diabetic neuropathy who have a mean sural nerve conduction velocity of ≤ 45 m/s, NIS-LL ≥ 3, an intraepidermal nerve fiber density ≤ 18 fibers/mm, and serum Intracellular Adhesion Molecule (ICAM) ≥ 200 ng/ml.

Further information is provided in the SB-509 DN Clinical Investigator’s Brochure.

	
2.
	
OBJECTIVES

The primary objective is:

To compare the effect of SB-509 versus placebo in subjects with moderately severe diabetic neuropathy on the sural Nerve Conduction Velocity (sNCV) endpoint at six­months

The secondary objective is:

	
·
	
To compare in subjects with moderately severe diabetic neuropathy the effect of SB-509 versus placebo on the following endpoints: Neuropathy Impairment Score - Lower Limb (NIS-LL), motor Nerve Conduction Velocity (NCV), Quantitative Sensory Testing (QST), lntraepidermal Nerve Fiber Density (IENFD), Lower Extremity Neurological Sensory Exam, Visual 

 

	
Page 12 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

		
Analog Scale for Pain Intensity (VASPI), Neuropathy Total Symptom Score (NTSS-6), NeuroQoL, SF-36, and Global Assessment

	
·
	
To compare the effect of SB-509 versus placebo in subjects with moderately severe diabetic neuropathy using a multi-endpoint analysis that includes Neuropathy Impairment Score - Lower Limb (NIS-LL), Sural Nerve Conduction Velocity (NCV) and lntraepidermal Nerve Fiber Density (IENFD), as detailed by O’Brien (1984)

	
·
	
To evaluate the safety of SB-509 as compared to placebo in subjects with moderately severe diabetic neuropathy

	
3.
	
STUDY DESIGN

The Phase 2 trial is a randomized, double-blind, placebo-controlled, multi-center study of SB-509 given by intramuscular injections into the lower limbs in 150 subjects with moderately severe diabetic neuropathy.

150 subjects will be randomized in a 1:1 ratio to treatment with SB-509 or placebo stratified by study site and screening IENFD (<9 fiber/mm, ≥ 9 fiber/mm):

1) SB-509 treatment: 60 mg of SB-509 on Day 0, Day 60 and Day 120.

2) Placebo on Day 0, Day 60 and Day 120.

30 mg of SB-509 or an equal volume of placebo will be injected (IM) into each lower limb for a total dose of 60 mg. Each subject will receive a total of three treatments.

The duration of participation will be approximately 15 months: 12 weeks for screening, 5 months for treatment (includes one month after the last dose), and 7 months for follow-up after the treatment period.

	
4.
	
SUBJECT SELECTION

	
4.1.
	
Inclusion Criteria

	
1. 
	
Written informed consent signed and dated by study subject

	
2.
	
Male or female between the ages of 18 and 70, inclusive

	
3.
	
Clinical diagnosis of Diabetes Mellitus Type I or II for at least 12 months. A past history of Diabetes Mellitus and/or the use of anti-diabetic medications for the treatment of Diabetes Mellitus are sufficient.

	
4.
	
Clinical signs and symptoms of moderate to severe diabetic sensori­ motor polyneuropathy of the lower extremities for at least 6 months that are not otherwise attributed to an etiology other than diabetes, as determined by a an internist with neuropathy experience, neurologist or endocrinologist and excluding subjects with only diabetic autonomic neuropathy or mononeuropathy.

	
5.
	
Mean sural nerve conduction velocity ≤ 45 m/s as confirmed by the Neurological Core Laboratory

	
6.
	
Measurable sural response (amplitude equal or greater than 1.0 μv) and a measurable peroneal response (amplitude equal to or greater than 500 μV) bilaterally

	
7.
	
Neuropathy Impairment Score Lower Limb (NIS-LL) must be ≥ 3 points

	
8.
	
lntraepidermal Nerve Fiber Density ≤ 18 fibers per mm

	
9.
	
Serum Intracellular Adhesion Molecule level (ICAM) ≥ 200 ng/mL

	
10.
	
Hemoglobin level ≥ 10 g/dL

	
11.
	
HgbA1c level ≤ 9%. Subjects should be treated according to ADA guidelines and goals for dietary intervention and/or glucose control therapy and have stable glycemic control for 3 months, as determined by the investigator

	
12.
	
WBC count ≥ 3,000/mm3, an absolute granulocyte count ≥ 1,500/mm3, and a platelet count ≥ 100,000/mm3

	
13.
	
Serum creatinine < 1.5 mg/dL

	
14.
	
Total bilirubin ≤ 1.5 times the upper limit of normal

	
15.
	
AST and ALT ≤ 2 times the upper limit of normal

 

	
Page 13 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
16.
	
INR < 1.5 times the upper limit of normal or PTT < 1.5 times the upper limit of normal

	
17.
	
Normal or elevated serum levels of vitamin B12

	
18.
	
Normal thyroid function (as determined by normal TSH and free T4 levels). For subjects on thyroid hormone replacement therapy, an elevated TSH level that is no higher than 7 mU/L is acceptable if the investigator feels the subject is clinically euthyroid.

	
19.
	
Random urine sample albumin/creatinine ratio ≤ 300 μg/mg creatinine. Normal urinalysis, with the exception of glucose and protein. If other abnormalities are present, the urinalysis may be repeated within the screening period at the discretion of the investigator.

	
20.
	
If subject is female and of childbearing potential, she agrees to use a medically acceptable physical barrier method contraceptive during the treatment phase through 30 days after the last dose and have a negative serum pregnancy test prior to study entry.

A female subject is considered to be of childbearing potential if she is postmenarchial, has an intact uterus and at least 1 ovary, and is less than 2 years postmenopausal. A male subject must agree to use a medically acceptable physical barrier method contraceptive during the treatment phase through 30 days after the last dose. The following are acceptable physical barrier methods: Male condom, Female condom, Diaphragm, Cervical cap.

	
21.
	
Subject must not be breastfeeding. Subjects who become pregnant during treatment must inform the investigator of their pregnancy, be withdrawn from treatment, and agree to provide follow-up information at time of delivery.

	
22.
	
Complete screening tests for malignancies of the colon, breast (females only), cervix/uterus (females only), and prostate (males only) at the time of screening based on the American Cancer Society’s current recommended guidelines (see Appendix 3). Documented evidence of negative screening tests is sufficient. Any subject found to have cancer by these screening tests is excluded from the trial.

	
23.
	
Negative mammogram, if female and over age 40

	
24.
	
Have a PSA (<4 ng/mL), if male and over age 45

	
25.
	
Normal Pap smear documented within a year of screening, if female, unless the subject has had a hysterectomy

	
26.
	
Be willing and able to participate in the study as an outpatient, make the required visits to the study center during the treatment and post­ treatment periods, and comply with study requirements

	
27.
	
LDL cholesterol ≤ 130 mg/dL. Subjects with hyperlipidemia should be treated by diet or medications according to ADA guidelines and goals. Modification of treatment during the screening period is allowed at the discretion of the investigator. Subjects with elevated LDL in spite of adequate stalin therapy (at least 3 months) or intolerant to statins, will be discussed with the FDA for eligibility approval.

	
28.
	
Blood pressure ≤ 140/90 mm Hg. Subjects with hypertension should be treated according to ADA guidelines and goals, as determined by the investigator.

	
29.
	
Subjects should have a body mass index (BMI) ≤ 38 and should be receiving medical care, education, and counseling for obesity according to ADA guidelines and goals, as determined by the investigator. BMI is obtained by dividing the body weight (in kilograms) by the height squared (in meters squared).

 

			
	
BMI
	
=
	
weight (kg)

	
 
	
 
	
height (m) x height (m)

	
4.2.
	
Exclusion Criteria

	
1.
	
Unable to comply with the protocol evaluation requirements

	
2.
	
Require surgical intervention within 4 weeks of treatment

	
3.
	
Moderate to severe ischemic heart disease or any history of congestive heart failure, or have had a myocardial infarction within the previous 6 months

	
4.
	
Evidence of cardiac enlargement and/or congestive heart failure.

	
5.
	
Current diabetic foot or leg ulcer, gangrene in the lower extremity, or any amputation of the lower extremity

 

	
Page 14 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
5.
	
Bleeding diathesis (e.g., hemophilia due to Factor VIII or IX deficiency) or require treatment with warfarin 2 weeks prior to and including the dosing period (up to 24 hours after dosing)

	
6. 
	
Hemorrhagic stroke

	
7.
	
Gastrointestinal hemorrhage

	
8.
	
Any other condition that, in the opinion of the clinical investigator or sponsor, might compromise any aspect of this trial

	
9.
	
Participation in another clinical trial concurrently or have participated in such a trial within 30 days of screening

	
10.
	
Received gene transfer agents within 6 months of screening

	
11.
	
History of malignancy, except for the following: adequately treated basal cell or squamous cell skin cancer, superficial bladder cancer, adequately treated Stage 1 or 2 cancer currently in complete remission, or any other cancer that has been in complete remission for at least 5 years

	
12.
	
Inflammatory angiopathy (e.g., Buerger’s disease, etc.)

	
13.
	
Have an active infection requiring systemic or oral antibiotics. Subjects with prior infection must have discontinued such treatments at least 2 weeks prior to administration of the investigational agent.

	
14.
	
Be expected to require immunosuppressants (such as methotrexate, cyclophosphamide, or cyclosporine) for 30 days prior to, during, and for 30 days following administration of the investigational drug product

	
15.
	
Known immune or immunodeficiency disorders (e.g., HIV positive, sarcoidosis, tuberculosis, rheumatoid arthritis, autoimmune disorders – e.g. psoriasis)

	
16.
	
Chronic active viral hepatitis (HBV, HCV) or other active liver disease

	
17.
	
History of clinically significant hypersensitivity reactions to any component of SB-509

	
18.
	
Current history (within 12 months of start of study) of alcohol or chemical dependency (excluding nicotine), as assessed by the investigator.

	
19.
	
History of or current proliferative retinopathy, macular edema or retinal neovascularization based on a dilated retinal examination with fluorescein angiography and retinal photographs performed by an ophthalmologist

	
20.
	
Pre-cancerous conditions (e.g. Barrett’s Esophagus, dysplasias) or benign tumors which have the potential for clinically significant growth due to VEGF stimulation.

	
21.
	
History of or current benign colon polyps that have been removed that meet the following criteria: 3 or more adenomas, any adenoma ≥ 1cm, any adenoma with villous features, high-grade dysplasia or sessile adenomas.

	
22.
	
Family history of inherited neuropathy (e.g. Charcot Marie Tooth, Hereditary Predisposition to Pressure Palsy).

	
23.
	
Known or suspected spinal pathology such as spinal stenosis, or a history suspicious of claudication (neurogenic and/or vascular).

	
5.
	
INFORMED CONSENT

Prior to entering the study, the investigator or designated assistant will explain to each subject the nature of the study, its purpose, the procedures, the expected duration, alternative therapies available, and the benefits and risks involved in study participation. Subjects will be given an information and consent document, will have the opportunity to ask questions, and will be informed of their right to withdraw from the study at any time without prejudice. After this explanation and before any study­specific procedures have been performed, the subject will voluntarily sign and date the informed consent document.

If a subject is re-screened for study participation, the subject should be re-consented if outside of the acceptable screening window. The subject will receive a copy of the re-signed and dated written informed consent form and any other written information provided to the subject.

	
6.
	
AUTHORIZATION TO USE AND DISCLOSE MEDICAL INFORMATION

Under federal law, subject study records cannot be used or disclosed for research purposes unless an authorization to use and disclose medical information is signed by each subject prior to participation in the study. The investigator or designated assistant will explain 

 

	
Page 15 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

to each subject the purpose of the subject authorization, and the disclosures will be agreed to by signing the authorization document. Subjects will be given an authorization document and will have the opportunity to ask questions. The subject must also be informed of the following:

	
1.
	
They may not participate in the study unless the authorization is signed; however, they have the right to revoke this authorization (in writing) at any time.

	
2.
	
If subject discontinues from the study, they need not revoke the authorization to use and disclose their medical information.

	
3.
	
If subject discontinues from the study and does decide to revoke their authorization to use and disclose their medical information, the information that has already been collected in their study records may be used and disclosed as necessary to protect the integrity of the research project.

After this explanation and before any study-specific procedures have been performed, the subject will voluntarily sign and date an authorization document.

Prior to participation in the study, the subject will receive a copy of the signed and dated written authorization.

	
7.
	
STUDY METHODOLOGY

The following sections describe in detail all study procedures. A detailed flow chart of all study procedures is presented in the Schedule of Events (Appendix 1).

STUDY VISIT PROCEDURES

	
7.1.
	
Screening Visit

The objective of the screening visit procedures is to identify subjects who meet the stated inclusion and exclusion criteria and who are willing and able to participate in the study. The following screening information and procedures must be obtained and completed within 12 weeks prior to administering the first treatment.

Blood tests including CBC with WBC differential and platelet count, Coagulation tests PT/INR and PTT and Serum chemistry: electrolytes (Na, K, CO2 , Cl), CPK, CPKmb, troponin, creatinine, BUN, glucose, uric acid, total bilirubin, ALP, ALT (or SGPT), AST (or SGOT), LDH, albumin, calcium, vitamin B12, T4/TSH, direct LDL, and total protein must be performed and reviewed for eligibility within 12 weeks prior to administering the first treatment.

Procedures that were performed as standard care (e.g., chest X-ray and ECG) may be done prior to written informed consent and may be used for screening eligibility, but they must be completed within 12 weeks prior to administering the first treatment. Sigmoidoscopies or colonoscopies and pap smears may be used for screening eligibility if these procedures have been completed within a year of screening. Mammograms may also be used for screening eligibility if the procedure has been completed within 3 months of screening.

A summary table of the study procedures can be found in the Schedule of Events, Appendix 1. The following study procedures will be performed at the screening visit:

	
1.
	
Obtain a signed and dated subject informed consent form and authorization document to use and disclose medical information prior to performing any study-specific procedures

	
2.
	
Assign a subject number

	
3.
	
Review the inclusion and exclusion criteria

	
4.
	
Collect subject demographic information

	
5.
	
A complete medical history; and perform a general physical examination, including evaluation of lower extremity edema, height, weight, vital sign measurements (temperature, blood pressure [systolic and diastolic], and pulse rate), assessment of concomitant medications and a digital rectal exam for male subjects only. If the subject is not normally seen at the study center and reports having a condition listed in the exclusion criteria, it may be necessary to obtain medical records to confirm study eligibility (i.e., document stability of a clinically significant abnormality or disease)

 

	
Page 16 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
6.
	
CBC with WBC differential and platelet count

	
7.
	
Coagulation tests PT/INR and PTT

	
8.
	
Serum chemistry: electrolytes (Na, K, C02 , Cl), CPK, CPKmb, troponin, creatinine, BUN, glucose, uric acid, total bilirubin, ALP, ALT (or SGPT), AST (or SGOT), LDH, albumin, calcium, total protein, and vitamin B12

	
9.
	
T4/TSH

	
10.
	
Direct LDL cholesterol (subject should be fasting from midnight on)

	
11.
	
HgbA1c levels

	
12.
	
HIV serology

	
13.
	
Serum pregnancy test if female subject is of childbearing potential

	
14.
	
Urinalysis - test for presence of glucose, protein, bilirubin, blood, pH, and specific gravity

	
15.
	
Spot urine test for microalbumin/creatinine

	
16.
	
Blood sample collection: 6 mL blood (3 mL plasma) sample for PCR assay and 10 mL blood (5 mL serum) sample for serum Intracellular Adhesion Molecule (ICAM) level, cytokine assay, immunogenicity testing and detection of inflammatory markers, which should be collected and stored frozen until ready to be shipped to the laboratory. Collection, handling, and shipping instructions will be provided in the Study Reference Manual.

	
17.
	
Lower extremity neurological examination for NIS-LL and Lower Extremity Neurological Sensory Exam testing. (See Appendix 5 and Appendix 6 for details).

	
18.
	
Electrophysiological testing of the sural and peroneal nerves (See Appendix 7 and the Study Reference Manual for details of testing requirements)

	
19.
	
Review of waveforms for nerve conduction velocity by the Neurological Core Laboratory.

	
20.
	
Quantitative sensory testing (QST) of bilateral lower extremities (Appendix 8)

	
21.
	
3 mm skin biopsy to determine lntraepidermal Nerve Fiber Density (IENFD) (See Appendix 9)

	
22.
	
Neuropathy Total Symptom Score (NTSS-6) (See Appendix 10)

	
23.
	
Visual Analog Scale for Pain Intensity (VASPI) (See Appendix 11)

	
24.
	
Neuro-QoL(lSee Appendix 12)

	
25.
	
SF-36 (See Appendix 13)

	
26.
	
Electrocardiogram (ECG)- standard 12-lead

	
27.
	
Chest X-ray (2 views anterior-posterior and lateral)

	
28.
	
Retinal examination with fluorescein angiography and fundus photos, performed by an ophthalmologist

	
29.
	
PSA blood test for male subjects 45 years of age and older

	
30.
	
Mammogram for female subjects 40 years of age and older; A mammogram performed within 3 months of screening can be used for screening eligibility.

	
31.
	
Pap smear for females who have not had a procedure within a year of screening

	
32.
	
Flexible sigmoidoscopy for subjects 50 years of age and older; A sigmoidoscopy or colonoscopy performed within a year of screening can be used for screening eligibility. Subjects with a history of benign colon polyps removed that do not meet exclusion criteria, must have documented evidence of a normal colonoscopy within the last 12 months. Subjects who have benign colon polyps removed during a sigmoidoscopy performed in the screening period that do not meet exclusion criteria need to have a colonoscopy performed and any additional polyps removed.

	
33.
	
Fecal Occult Blood Test (FOBT) for subjects 50 years of age and older; (Note: It is acceptable to perform the FOBT test without altering the subject’s anti-platelet medication. If the subject tests positive, anti-platelet medications should be stopped for 3 days and the test should be repeated.) Note: Only a sigmoidoscopy is required at screening, however if a colonoscopy is performed during screening, the FOBT test is not required.

 

	
Page 17 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
7.2.
	
Subject Enrollment Procedures

For the subject to be enrolled, the clinical site must fax all required documentation, signed by the investigator, to Sangamo BioSciences at (510) 970-6009. The Medical Monitor will review the enrollment form and supportive clinical documentation to confirm eligibility. If the subject meets the enrollment criteria, the subject will be approved for entry into the treatment phase of the protocol and will be randomized to one of the two treatment groups. A product kit number will be assigned to the subject. Please refer to the Study Reference Manual for additional details.

	
7.3.
	
Baseline Duplicate Assessments

After a subject is enrolled and randomized into the study, baseline duplicate measurements will be performed within 14 days prior to the Day 0 visit.

NOTE: Duplicate assessments cannot be performed on the same day (there must be a minimum of 1 day and a maximum of 14 days from the other assessment).

The following duplicate assessments must be performed in enrolled and randomized subjects within 14 days prior to the Day 0 visit.

	
1.
	
Electrophysiological testing of the sural and peroneal nerves

	
2.
	
Quantitative sensory testing (QST)

	
3.
	
Lower extremity neurological examination

	
7.4.
	
Schedule for Treatment Period

	
7.4.1
	
Day 0 - Baseline Evaluations (to be completed prior to treatment)

	
1.
	
Review eligibility (inclusion and exclusion criteria)

	
2.
	
Vital signs: blood pressure (systolic and diastolic), pulse, and temperature

	
3.
	
Weight

	
4.
	
Assessment for ischemic ulcers (present, absent, location, number, size), gangrene (present, absent), and lower extremity edema

	
5.
	
CBC with WBC differential and platelet count

	
6.
	
Coagulation tests PT/INR and PTT

	
7.
	
Serum chemistry: electrolytes (Na, K, CO2, Cl), CPK, CPKmb, troponin, creatinine, BUN, glucose, uric acid, total bilirubin, ALP, ALT (or SGPT), AST (or SGOT), LDH, albumin, calcium, and total protein

	
8.
	
Urine pregnancy test – must be negative prior to drug administration

	
9.
	
Spot urine test for microalbumin/creatinine

	
10.
	
Blood sample collection - 6 mL blood (3 mL plasma) sample for PCR assay and 10 mL blood (5 mL serum) sample for serum Intracellular Adhesion Molecule (ICAM) level, cytokine assay, immunogenicity testing and detection of inflammatory markers

	
11.
	
Electrophysiological testing of the sural and peroneal nerves

	
12.
	
Quantitative sensory testing

	
13.
	
Lower extremity neurological examination, including gait

	
14.
	
3 mm skin biopsy

	
15.
	
Neuropathy Total Symptom Score (NTSS-6)

	
16.
	
Visual Analog Scale for Pain Intensity (VASPI)

	
17.
	
NeuroQoL

	
18.
	
SF-36

 

	
Page 18 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
19.
	
Assessment of concomitant medications

	
20.
	
Subjects counseled to remain compliant with ACS guidelines and follow­up

	
21.
	
Drug administration

	
7.4.2
	
Day 0 – 2 hours post-treatment

	
1.
	
AE query and appropriate medical evaluation if positive

	
2.
	
Blood sample collection. 6 mL blood (3 mL plasma) sample for PCR assay and 10 mL blood (5 mL serum) sample for cytokine assay, immunogenicity testing and detection of inflammatory markers.

	
7.4.3
	
Day 60 - Evaluations to be completed prior to treatment (visit window may be ± 7 days)

	
1.
	
Vital signs: blood pressure (systolic and diastolic), pulse, and temperature

	
2.
	
Weight

	
3.
	
Assessment for ischemic ulcers (present, absent, location, number, size), gangrene (present, absent), and lower extremity edema.

	
4.
	
CBC with WBC differential and platelet count

	
5.
	
Serum chemistry: electrolytes (Na, K, CO2, Cl), CPK, CPKmb, troponin, creatinine, BUN, glucose, uric acid, total bilirubin, ALP, ALT (or SGPT), AST (or SGOT), LDH, albumin, calcium, and total protein

	
6.
	
Spot urine test for microalbumin/creatinine

	
7.
	
Blood sample collection: 6 mL blood (3 mL plasma) sample for PCR assay and 10 mL blood (5 mL serum) sample for cytokine assay, immunogenicity testing and detection of inflammatory markers.

	
8.
	
Global assessment

	
9.
	
AE query and appropriate medical evaluation if positive

	
10.
	
Assessment of concomitant medications

	
11.
	
Drug administration

	
7.4.4
	
Day 60 – 2 hours post-treatment

	
1.
	
AE query and appropriate medical evaluation if positive

	
2.
	
Blood sample collection. 6 mL blood (3 mL plasma) sample for PCR assay and 10 mL blood (5 mL serum) sample for cytokine assay, immunogenicity testing and detection of inflammatory markers.

	
7.4.5
	
Day 90 (visit window may be ± 7 days)

	
1.
	
Vital signs: blood pressure (systolic and diastolic), pulse, and temperature

	
2.
	
Weight

	
3.
	
Assessment for ischemic ulcers (present, absent, location, number, size), gangrene (present, absent), and lower extremity edema.

	
4.
	
CBC with WBC differential and platelet count

	
5.
	
Serum chemistry: electrolytes (Na, K, CO2 , Cl), CPK, CPKmb, troponin, creatinine, BUN, glucose, uric acid, total bilirubin, ALP, ALT (or SGPT), AST (or SGOT), LDH, albumin, calcium, and total protein

	
6.
	
HgbA1c

	
7.
	
Spot urine test for microalbumin/creatinine

	
8.
	
Blood Sample collection: 6 mL blood (3 mL plasma) sample for PCR assay and 10mL blood (5 mL serum) sample for cytokine assay, immunogenicity testing and detection of inflammatory markers.

	
9.
	
Electrophysiological testing of the sural and peroneal nerves

 

	
Page 19 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
10.
	
Quantitative sensory testing (QST) of bilateral lower extremities

	
11.
	
Lower extremity neurological examination

	
12.
	
Neuropathy Total Symptom Score (NTSS-6)

	
13.
	
Visual Analog Scale for Pain Intensity (VASPI)

	
14.
	
NeuroQoL

	
15.
	
Global assessment

	
16.
	
AE query and appropriate medical evaluation if positive

	
17.
	
Assessment of concomitant medications

	
7.4.6
	
Day 120 - Evaluations to be completed prior to treatment (visit window may be ± 7 days)

	
1.
	
Vital signs: blood pressure (systolic and diastolic), pulse, and temperature

	
2.
	
Weight

	
3.
	
Assessment for ischemic ulcers (present, absent, location, number, size), gangrene (present, absent), and lower extremity edema.

	
4.
	
CBC with WBC differential and platelet count

	
5.
	
Serum chemistry: electrolytes (Na, K, CO2 , Cl), CPK, CPKmb, troponin, creatinine, BUN, glucose, uric acid, total bilirubin, ALP, ALT (or SGPT), AST (or SGOT), LDH, albumin, calcium, and total protein

	
6.
	
HgbA1c

	
7.
	
Spot urine test for microalbumin/creatinine

	
8.
	
Blood sample collection: 6 mL blood (3 mL plasma) sample for PCR assay and 10 mL blood (5 mL serum) sample for cytokine assay, immunogenicity testing and detection of inflammatory markers.

	
9.
	
Global assessment

	
10.
	
AE query and appropriate medical evaluation if positive

	
11.
	
Assessment of concomitant medications

	
12.
	
Drug administration

	
7.4.7
	
Day 120 – 2 hours post-treatment

	
1.
	
AE query and appropriate medical evaluation if positive

	
2.
	
Blood sample collection. 6 ML blood (3 mL plasma) sample for PCR assay and 10 mL blood (5 mL serum) sample for cytokine assay, immunogenicity testing and detection of inflammatory markers.

	
7.4.8
	
Day 150 (visit window may be ± 7 days)

	
1.
	
3 mm skin biopsy

	
2.
	
Global assessment

	
3.
	
AE query and appropriate medical evaluation if positive

	
4.
	
Assessment of concomitant medications

	
7.5.
	
Schedule for Follow-Up Period

	
7.5.1
	
Day 180 (visit window may be ± 7 days)

	
1.
	
Vital signs: blood pressure (systolic and diastolic), pulse, and temperature

	
2.
	
Weight

 

	
Page 20 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
3.
	
Ischemic ulcers (present, absent, location, number, size)

	
4.
	
Gangrene (present, absent)

	
5.
	
Assessments for lower extremity edema.

	
6.
	
CBC with WBC differential and platelet count

	
7.
	
Serum chemistry: electrolytes (Na, K, CO2, Cl), CPK, CPKmb, troponin, creatinine, BUN, glucose, uric acid, total bilirubin, ALP, ALT (or SGPT), AST (or SGOT), LDH, albumin, calcium, and total protein

	
8.
	
HgbA1c

	
9.
	
Spot urine test for microalbumin/creatinine

	
10.
	
Urine pregnancy test

	
11.
	
Blood sample collection: 6 mL blood (3 mL plasma) sample for PCR assay and 10 mL blood (5 mL serum) sample for serum Intracellular Adhesion Molecule (ICAM) level, cytokine assay, immunogenicity testing and detection of inflammatory markers.

	
12.
	
Electrophysiological testing of the sural and peroneal nerves

	
13.
	
Quantitative sensory testing (QST) of bilateral lower extremities

	
14.
	
Lower extremity neurological examination, including gait

	
15.
	
3 mm skin biopsy

	
16.
	
Neuropathy Total Symptom Score (NTSS-6)

	
17.
	
Visual Analog Scale for Pain Intensity (VASPI)

	
18.
	
NeuroQoL

	
19.
	
SF-36

	
20.
	
Global assessment

	
21.
	
Retinal examination with fluorescein angiography and fundus photos, performed by an ophthalmologist (Visit window for the retinal examination is ±14 days)

	
22.
	
AE query and appropriate medical evaluation if positive

	
23.
	
Assessment of concomitant medications

	
7.5.2
	
Day 180 ± 14 days: The following duplicate assessments must be performed ± 14 days of the Day 180 visit. Duplicate assessments cannot be performed on the same day (there must be a minimum of 1 day and a maximum of 14 days from the other assessment).

	
1.
	
Electrophysiological testing of the sural and peroneal nerves

	
2.
	
Quantitative sensory testing

	
3.
	
Lower extremity neurological examination

	
7.5.3
	
Day 240 (visit window may be ± 7 days)

	
1.
	
Vital signs: blood pressure (systolic and diastolic), pulse, and temperature

	
2.
	
Weight

	
3.
	
Assessment for ischemic ulcers (present, absent, location, number, size), gangrene (present, absent), and lower extremity edema.

	
4.
	
CBC with WBC differential and platelet count

	
5.
	
Serum chemistry: electrolytes (Na, K, CO2, Cl), CPK, CPKmb, troponin, creatinine, BUN, glucose, uric acid, total bilirubin, ALP, ALT (or SGPT), AST (or SGOT), LDH, albumin, calcium, and total protein

	
6.
	
HgbA1c

 

	
Page 21 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
7.
	
Spot urine test for microalbumin/creatinine

	
8.
	
Blood sample collection: 6 mL blood (3 mL plasma) sample for PCR assay and 10 mL blood (5 mL serum) sample for cytokine assay, immunogenicity testing and detection of inflammatory markers.

	
9.
	
Global assessment

	
10.
	
AE query and appropriate medical evaluation if positive

	
11.
	
Assessment of concomitant medications

	
7.5.4
	
Day 360 (visit window may be ± 14 days)

	
1.
	
General physical examination for all subjects, including a digital rectal exam for male subjects only.

	
2.
	
Vital signs: blood pressure (systolic and diastolic), pulse, and temperature

	
3.
	
Weight

	
4.
	
Assessment for ischemic ulcers (present, absent, location, number, size), gangrene (present, absent), and lower extremity edema.

	
5.
	
CBC with WBC differential and platelet count

	
6.
	
Coagulation tests PT/INR and PTT

	
7.
	
Serum chemistry: electrolytes (Na, K, CO2, Cl), CPK, CPKmb, troponin, creatinine, BUN, glucose, uric acid, total bilirubin, ALP, ALT (or SGPT), AST (or SGOT), LDH, albumin, calcium, and total protein

	
8.
	
HgbA1c

	
9.
	
Direct LDL cholesterol (subject should be fasting from midnight on)

	
10.
	
Spot urine test for microalbumin/creatinine

	
11.
	
Urine pregnancy test

	
12.
	
Blood sample collection: 6 mL blood (3 mL plasma) sample for PCR assay and 10 mL blood (5 mL serum) sample for serum Intracellular Adhesion Molecule (ICAM) level, cytokine assay, immunogenicity testing and detection of inflammatory markers.

	
13.
	
Electrophysiological testing of the sural and peroneal nerves

	
14.
	
Quantitative sensory testing (QST) of bilateral lower extremities

	
15.
	
Lower extremity neurological examination, including gait

	
16.
	
3 mm skin biopsy

	
17.
	
Neuropathy Total Symptom Score (NTSS-6)

	
18.
	
Visual Analog Scale for Pain Intensity (VASPI)

	
19.
	
NeuroQoL

	
20.
	
SF-36

	
21.
	
Global assessment

	
22.
	
ECG – standard 12-lead

	
23.
	
Retinal examination with fluorescein angiography and fundus photos, performed by an ophthalmologist

	
24.
	
PSA blood test for male subjects 45 years of age and older

	
25.
	
Mammogram for female subjects 40 years of age and older

	
26.
	
FOBT for subjects 50 years of age and older

	
27.
	
Subject counseled to remain compliant with ACS guidelines and follow­up

	
28.
	
AE query and appropriate medical evaluation if positive

 

	
Page 22 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
29.
	
Assessment of concomitant medications

	
7.5.5
	
Day 360 ± 14 days: The following duplicate assessments must be performed ± 14 days of the Day 360 visit. Duplicate assessments cannot be performed on the same day (there must be a minimum of 1 day and a maximum of 14 days from the other assessment).

	
1.
	
Electrophysiological testing of the sural and peroneal nerves

	
2.
	
Quantitative sensory testing

	
3.
	
Lower extremity neurological examination

	
8.
	
CRITERIA FOR WITHDRAWAL FROM THE STUDY

	
8.1.
	
Discontinuation from Study Treatment and Follow-up of Subjects

Subjects will be strongly encouraged to continue with follow-up safety evaluations if they withdraw consent from the study. If a subject discontinues from the study a conference between the investigator and medical monitor will take place to ensure that all subjects will comply with the follow-up safety evaluations of the protocol. Participation in this study will not prejudice the subject’s future medical care.

Subjects will be assessed for treatment-related adverse events and disease status. 

Subjects who discontinue during the post-treatment follow-up period will not be replaced; therefore, study centers are encouraged to carefully select subjects who would be likely to complete all study procedures.

	
9.
	
ADMINISTRATION OF STUDY DRUG

	
9.1.
	
Product Description

The SB-509 drug product is a clear, colorless, and sterile liquid supplied in single­ use glass vials. Each 3 mL glass vial is filled with 2.2 mL of drug product that contains 2 mg/mL of pV-32Ep65 DNA plasmid, 2 mM Tris, 150 mM sodium chloride and 5% (w/v) poloxamer 188 at pH 8.0. It is intended for intramuscular administration.

	
9.2.
	
Description and Manufacturer of Drug Substance

The drug substance containing the active ingredient, plasmid pV-32Ep65, is manufactured under cGMP at Althea Technologies, Inc., San Diego, CA.

pV-32Ep65 is a typical eukaryotic expression vector bearing the CMV immediate early enhancer/promoter and a polyadenylation site from the bovine growth hormone gene. The vector backbone, pVAX-1 (3.0 kb), has been specifically designed for use in the development of DNA vaccines.

pV-32Ep65 is a 4106 base-pair DNA plasmid that encodes an engineered ZFP-TF. The therapeutic gene encodes a 3-finger DNA binding ZFP with a transactivation domain and nuclear localization signal (NLS) and was cloned into a pVAX-1 vector backbone. The ZFP-TF is a 378 amino acid protein that is composed of:

	
a)
	
the NLS of the long T antigen of SV40

	
b)
	
a designed 3-finger ZFP (32E) that binds to a 9 base pair target present in the human VEGF-A promoter region (GGGGGTGAC)

	
c)
	
the transactivation domain from the p65 subunit of the human transcription factor NF-KB

 

	
Page 23 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

The key features of pV-32Ep65 are illustrated in the plasmid map shown in Figure 5.

Figure 5. Circular Plasmid Map of pV-32Ep65

 

	
9.3.
	
SB-509 and Placebo Study Drug Composition

SB-509 is a purified, double-stranded bacterial DNA plasmid. It is formulated as a sterile, injectable solution and is filled 2.2 mlin 3-mL vials. The drug product composition is described in Table 1. It consists of pV-32Ep65 DNA plasmid (2 mg/ml), Poloxamer 188 (5% w/v), NaCI (150 mM), 2 mM Tris-HCI, pH 8.0, and sterile water for injection.

Table 1. Composition of SB-509

 

		
	
Component
	
Unit Formula (mg/mL)

	
pV-32Ep65 (plasmid DNA)
	
2 mg

	
Sodium chloride, USP (150mM NaCI)
	
8.76 mg

	
Poloxamer 188, NF (5%w/v)
	
50 mg

	
Tromethamine, pH 8.0, USP (2 mM Tris-HCI)
	
0.242 mg

	
Sterile Water for Injection, USP
	
q.s. to 1.0 mL

The final drug product is tested for appearance, identity, potency, concentration, purity, pH, conductivity, endotoxin, and sterility.

Normal saline (0.9% NaCI) will be provided in identical 3-mL vials and will serve as the placebo.

	
9.4.
	
Inventory, Storage, and Handling of the Drug Product

Labeled product will be stored at Fisher Clinical Services for distribution to the clinical sites. Sangamo BioSciences requires its sponsored investigators to maintain adequate drug inventory and security at all times (Appendix 4). Therefore, SB-509 and placebo will be supplied as a frozen liquid "to deliver"

2.0 ml. Upon receipt of labeled product, the investigator or designated individual (e.g., pharmacist) will check the details of the supplies and document receipt. As a double-blind controlled trial, the clinical supplies will be in a blinded packaging configuration containing 18 vials per kit. One kit will be assigned for each dose.

 

	
Page 24 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

The investigator will store both SB-509 and the placebo in a locked –20°C freezer and will monitor and maintain a log of the temperature. Immediately before use, vials will be thawed at room temperature and allowed to equilibrate to room temperature for at least 10 minutes. Once thawed, vials will not be reused on subsequent days.

Empty vials and any remaining product in the used vials will be stored at room temperature at the clinical sites and must be kept with original carton. Vials should not be discarded until the Sangamo BioSciences monitor reviews the drug accountability log.

Accessibility to labeled product should only be to those individuals authorized by the investigator to dispense this study drug.

The investigator or designated individual will maintain an inventory. A drug accountability log will be provided to the pharmacist. This inventory will include the description and quantity of labeled product received during the course of this study, as well as a record of the labeled product that is dispensed. This inventory record shall indicate the quantity and description of labeled product on hand at any time during the course of this study. A Sangamo BioSciences monitor will review this inventory during interim monitoring visits.

At the conclusion or termination of this study, return or destruction of all drug supplies must be coordinated with Sangamo BioSciences. Please see the Study Reference Manual for additional details.

The investigator agrees not to supply labeled product to any person other than study personnel and subjects in this study.

In accordance with Good Clinical Practice, it is Sangamo BioSciences policy always to investigate suspected cases of fraud.

16.11 Termination of the Study

Sangamo BioSciences retains the right to terminate the study and remove all study materials at any time. Specific instances that may precipitate such termination are as follows:

	
●
	
Completion of the study at an investigational site

	
●
	
Unanticipated adverse medical experiences in this or other studies indicating a potential health hazard caused by the investigational drug

	
●
	
Significant protocol deviation and/or lack of compliance and cooperation on the part of the investigator; such as failure to obtain signed informed consent prior to initiating study-related procedures, unsatisfactory subject enrollment with regard to quality or quantity, deviation from protocol requirements without prior approval from Sangamo BioSciences, or inaccurate and/or incomplete data recording on a recurrent basis

	
●
	
Investigator withdrawal from participation in the study

	
●
	
Withdrawal of investigational drug from investigational use

	
●
	
Termination of this study by Sangamo BioSciences

16.12 Record Retention

The investigator should retain essential documents according to 21 CFR 312.62(c) and ICH Guidelines for Good Clinical Practices (E6), until at least 2 years after the last approval of a marketing application in an ICH region and until there are no pending or contemplated marketing applications in an ICH region or at least 2 years have elapsed since the formal discontinuation of clinical development of the investigational product. These documents should be retained for a longer period, however, if required by the applicable regulatory requirements or by an agreement with Sangamo BioSciences. It is the responsibility of Sangamo BioSciences to inform the investigator as to when these documents no longer need to be retained.

Records to be retained by the investigator include, but are not restricted to, protocols; amendments; investigator’s brochure; Investigator agreement (including financial agreement); IRB/IEC/IBC applications; approvals and composition; copies of the Form FDA 1572; pre-study and follow-up financial disclosure; completed, signed, and dated informed consents; subject medical records; case report forms;

monitoring log; serious adverse event reports; IRB notifications; subject screening/enrollment log; study personnel signature log; drug accountability record and logs; clinical laboratory normal ranges and accreditation certificate; and all correspondence between study monitor, study sponsor, and IRB/IEC/IBC.

 

	
Page 25 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

Subject files and other source data must be kept for the maximum period of time permitted by the hospital, institution, or private practice, but not less than 15 years.

16.13 Confidentiality

Subject medical information obtained for the purpose of this trial is confidential, and disclosure to third parties, other than those noted below, is prohibited. Upon the subject’s request and receipt of written permission, medical information may be given to his/her personal physician or other appropriate medical personnel responsible for the subject’s welfare.

Data generated for this study must be available for inspection upon request to representatives of the FDA, other national or local health authorities, Sangamo BioSciences, and the associated IRB/IEC/IBC.

Release of research results or data that reveal subject names or other identifiers, such as photographs, audiotapes, or videotapes, must be carried out in accordance with the Department of Health and Human Services’ proposed Standards for Privacy of Individual Health information, 45 CFR 164.508. Written authorization must be obtained from the subject and the IRB/IEC/IBC prior to the release of such information. Identifiable subject data may not be used for the purpose of promoting the study drug.

16.14 Publication Statement

It is intended that the results of the study be published in scientific literature. Results may also be used in submissions to regulatory authorities. The following conditions are to protect commercial confidential materials (e.g., patents), not to restrict publication.

All information concerning the labeled product under study (such as patent applications, formulae, basic scientific data, or formulation information supplied to the investigator and not previously published) is considered confidential by Sangamo BioSciences and shall remain the sole property of Sangamo BioSciences.

It is understood by the investigator that the results of this clinical trial may be used by Sangamo BioSciences in registration documents for regulatory authorities in the U.S. or abroad, or for public dissemination in the form of papers, abstracts, posters, or other informational materials to be presented at scientific meetings, or published in professional journals, or as a part of an academic thesis by an investigator.

All proposed publications, papers, abstracts, or other written materials related to the study, or an outline of any proposed oral presentations, shall be submitted to

Sangamo BioSciences for approval at least 45 days prior to (1) submission for publication or (2) any proposed oral disclosure to a third party. Sangamo BioSciences shall have the right to review and comment on such written material or outline, and to confirm the accuracy of the data described therein by comparison with that collected during the course of this study. In the event that Sangamo BioSciences determines that an enabling description of patentable subject matter is contained in such written material or outline, it shall notify the clinical site(s) within 1 month after receipt by Sangamo BioSciences, and Sangamo BioSciences will have an additional 90 days for review.

In the event of publication of multi-center data, the number of subjects enrolled by each investigator will usually determine the order of participation, unless otherwise agreed upon by the investigators and Sangamo BioSciences.

17STUDY FUNDING

The costs necessary to perform the study will be agreed to by the investigator and/or the management of the study facility and will be documented in a separate financial agreement. All financial agreements will be signed by the investigator and Sangamo BioSciences.

18REFERENCES

American Cancer Society (2009). Cancer Facts & Figures 2009. Atlanta, Ga: American Cancer Society.

Argoff, C.E., Backonja, M.M., Belgrade, M.J., Bennett, G.J., Clark, M.R., Cole, B.E., Fishbain, D.A., Irving, G.A., McCarberg, B.H., and McLean, M.J. (2006). Consensus guidelines: treatment planning and options. Mayo Clin. Proc. 81, S12–S25.

 

	
Page 26 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

Bastyr, E., Price, K., Bril, V., et al. (2005). Development and Validity Testing of the Neuropathy Total Symptom Score-6: Questionnaire for the Study of Sensory Symptoms of Diabetic Peripheral Neuropathy. Clinical Therapeutics. 27:1278-1294

Biessels, G.-J., Cristino, N.A., Rutten, G.-J., Hamers, F.P.T., Erkelens, D.W., and Gispen, W.H. (1999). Neurophysiological changes in the central and peripheral nervous system of streptozotocin-diabetic rats. Course of development and effects of insulin treatment. Brain 122, 757–768.

Bril, V. (1999). NIS-LL: The primary measurement scale for clinical trial endpoints in diabetic peripheral neuropathy. European Neurology. 41(Suppl 1):8-13

Boulton, A.J.M., Malik, R.A.M., Arezzo, J.C., and Sosenko, J.M. (2004). Diabetic somatic neuropathies. Diabetes Care. 27, 1458-1486.

Calcutt, N.A., Allendoerfer, K.L., Mizisin, A.P., Middlemas, A., Freshwater, J.D., Burgers, M., Ranciato, R., Delcroix, J.-D., Taylor, F.R., Shapiro, R., et al. (2003). Therapeutic efficacy of sonic hedgehog protein in experimental diabetic neuropathy. J. Clin. Invest. 111,507–514.

Elson, D.A., Thurston, G., Huang, L.E., Ginzinger, D.G., McDonald, D.M., Johnson, R.S., and Arbeit, J.M. (2001). Induction of hypervascularity without leakage or inflammation in transgenic mice overexpressing hypoxia-inducible factor-1alpha. Genes Dev. 15, 2520–2532.

Feldman, E.L. (2002). Diabetic Neuropathy, Presented at May 16, 2002 Anesthetic and Life Support Drugs Advisory Committee, FDA. (http://www.fda.gov/ohrms/dockets/ac/02/slides/3864S1_01_Hertz.ppt).

Feldman, E.L., Russell, J.W., Sullivan, K.A., and Golovoy, D. (1999). New insights into the pathogenesis of diabetic neuropathy. Curr. Opin. Neurol. 12, 553–563.

Levin, B., Lieberman, D.A., McFarland, et al. (2008). Screening and Surveillance for the Early Detection of Colorectal Cancer and Adenomatous Polyps, 2008: A Joint Guideline from the American Cancer Society, the US Multi-Society Task Force on Colorectal Cancer, and the American College of Radiology . Published online March 5, 2008. CA Cancer J Clin. 58.

Malik, R.A. (2000). Can diabetic neuropathy be prevented by angioensin-converting enzyme inhibitors? Ann. Med. 32, 1–5.

McNeely, M., Boyko, E., Ahroni, J., Stensel, V.L., Reiber, G.E., Smith, D.G., and Pecoraro, R.F. (1995). The independent contributions of diabetic neuropathy and vasculopathy in foot ulceration. How great are the risks? Diabetes Care 18, 216–219.

O’Brien, P.C. (1984). Procedures for comparing samples with multiple endpoints, Biometrics, 40, 1079–1087.

Poncelet, A.N. (2003). Diabetic polyneuropathy: Risk factors, patterns of presentation, diagnosis and treatment. Geriatrics 58, 16–30.

Potter, P., Maryniak, O., Yaworsky, R., and Jones, I. (1998). Incidence of peripheral neuropathy in the contralateral limb of persons with unilateral amputation due to diabetes. Rehabil. Res. Dev. 25, 335–339.

Price, S.A., Dent, C., Duran-Jimenez, B., Liang, Y., Zhang, L., Rebar, E.J., Case, C.C., Gregory, P.O., Martin, T.J., Spratt, S.K., Tomlinson, D.R. (2006). Gene Transfer of an Engineered Transcription Factor Promoting Expression of VEGF-A Protects Against Experimental Diabetic Neuroapthy. Diabetes. 55, 1847-1854.

Quattrini, C et al. Reduced vascular endothelial growth factor expression and intra­epidermal nerve fiber loss in human diabetic neuropathy. (2008). Diabetes Care.31(1):140-145

Rebar, E.J., Huang, Y., Hickey, R., Nath, A.K., Meoli, D., Nath, S., Chen, B., Xu, L., Liang, Y., Jamieson, A.C., et al. (2002). Induction of angiogenesis in a mouse model using engineered transcription factors. Nat. Med. 8, 1427–1432.

Saslow, D., Boetes, C., Burke, W., et. al. for the American Cancer Society Breast Cancer Advisory Group (2007). American Cancer Society guidelines for breast screening with MRI as an adjunct to mammography. CA Cancer J Clin. 57:75-89.

 

	
Page 27 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

Schratzberger, P., Walter, D.H., Rittig, K., Bahlmann, F.H., Pola, R., Curry, C., Silver, M., Krainin, J.G., Weinberg, D.H., Ropper, A.H., et al. (2001). Reversal of experimental diabetic neuropathy by VEGF gene transfer. J. Clin. Invest. 107, 1083–1092.

Simovic, D., Isner, J.M., Ropper, A.H., Pieczek, A., and Weinberg, D.H. (2001). Improvement in chronic ischemic neuropathy after intramuscular phVEGF165 gene transfer in patients with critical limb ischemia. Arch. Neurol. 58, 761–768.

Skyler, J. (1997). Diabetes Mellitus, Types I and II. In Textbook of Internal Medicine, 3rd Edition, Kelley, W.N., ed. (Philadelphia: Lippincott-Raven Publishers), pp. 2238–2252.

Stratton, I., Adler, A., Neil, H., Matthews, D.R., Manley, S.E., Cull, C.A., Hadden, D., Turner, R.C., and Homan, R.R. (2000). Association of glycaemia with macrovasclar and microvasclar complications of type 2 diabetes (UKPDS 35): Prospective observational study. BMJ 321, 405–412.

Thomas, P. and Tomlinson, D. (1993). Diabetic and hypoglycemic neuropathy. In Peripheral Neuropathy, 3rd Edition, Dyck, P. Thomas, P., eds. (Philadelphia: W.B. Saunders Company), pp. 1219–1250.

UK Prospective Diabetes Study Group. (1998). Intensive blood-glucose control with sulphonylureas or insulin compared with conventional treatment and risk of complications in patients with type 2 diabetes (UKPDS 33). Lancet 352, 837–853.

Vileikyte, L, Peyrot, M, Bundy, C, Rubin, RR, Leventhal, H, Mora, P, Shaw, JE, Baker, P, and Boulton, AJ. (2003) The development and validation of a neuropathy- and foot ulcer-specific quality of life instrument. Diabetes Care. 26(9):2549-2555.

Whitlock, P.R., Hackett, N.R., Leopold, P.L., Rosengart, T.K., and Crystal, RG. (2004). Adenovirus-mediated transfer of a minigene expressing multiple isoforms of VEGF is more effective at inducing angiogenesis than comparable vectors expressing individual VEGF cDNAs. Mol. Ther. 9, 67–75.

 

 

 

	
Page 28 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

APPENDIX 1:SCHEDULE OF EVENTS

 

	
Visit Number
	
VO
	
VI/V2
	
 
	
V3
	
 
	
V4
	
V5
	
 
	
V6
	
V7/V8
	
V9
	
V10/11

	
 
	
 
	
Dose 1
	
 
	
Dose 2
	
 
	
 
	
Dose 3
	
 
	
 
	
 
	
 
	
 

	
Visit
	
Day-84 Screening
	
Day 0
	
Day 0

(2 hours post-tx)
	
60
	
Day 60

(2 hours post-tx)
	
90
	
120
	
Day120

(2 hours post-tx)
	
150
	
180
	
240
	
360n

	
Informed consent
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
Eligibility
	
X
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
Medical history
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
Physical exama
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
X

	
Vital signsb
	
X
	
X
	
 
	
X
	
 
	
X
	
X
	
 
	
 
	
X
	
X
	
X

	
Height
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
Weight
	
X
	
X
	
 
	
X
	
 
	
X
	
X
	
 
	
 
	
X
	
X
	
X

	
Ischemic ulcers/Gangrene
	
 
	
X
	
 
	
X
	
 
	
X
	
X
	
 
	
 
	
X
	
X
	
X

	
Lower extremity edema
	
X
	
X
	
 
	
X
	
 
	
X
	
X
	
 
	
 
	
X
	
X
	
X

	
CBC with WBC differential and platelet count
	
X
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
X

	
PT/INR and PTT
	
X
	
X
	
 
	
X
	
 
	
X
	
X
	
 
	
 
	
X
	
X
	
X

	
Serum chemistryc
	
X
	
 
	
 
	
 
	
 
	
X
	
X
	
 
	
 
	
X
	
X
	
X

	
HgbA1c
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
HIV serology
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
Serum pregnancy test
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
Urine pregnancy testd
	
 
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
X
	
 
	
X

	
Urinalysise
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
Spot urine test for microalbumin/creatinine
	
X
	
X
	
 
	
X
	
 
	
X
	
X
	
 
	
 
	
X
	
X
	
X

	
Blood samplef
	
X
	
X
	
X
	
X
	
X
	
X
	
X
	
X
	
 
	
X
	
X
	
X

	
Drug administration
	
 
	
X
	
 
	
X
	
 
	
 
	
X
	
 
	
 
	
 
	
 
	
 

	
Electrophysiological testing (sural and peroneal nerves)g
	
X
	
XX*
	
 
	
 
	
 
	
X
	
 
	
 
	
 
	
XX*
	
 
	
XX*

	
QSTg
	
X
	
XX*
	
 
	
 
	
 
	
X
	
 
	
 
	
 
	
XX*
	
 
	
XX*

	
Lower extremity neurological examination
	
X
	
XX*
	
 
	
 
	
 
	
X
	
 
	
 
	
 
	
XX*
	
 
	
XX*

	
3 mm skin biopsy (IENFD)
	
X
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
X
	
X
	
 
	
X

	
NTSS-6
	
X
	
X
	
 
	
 
	
 
	
X
	
 
	
 
	
 
	
X
	
 
	
X

	
VASPI
	
X
	
X
	
 
	
 
	
 
	
X
	
 
	
 
	
 
	
X
	
 
	
X

	
Neuro-QoL
	
X
	
X
	
 
	
 
	
 
	
X
	
 
	
 
	
 
	
X
	
 
	
X

	
SF-36
	
X
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
X
	
 
	
X

	
Global assessment
	
 
	
 
	
 
	
X
	
 
	
X
	
X
	
 
	
X
	
X
	
X
	
X

	
12-lead ECGh
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
X

	
Chest X-rayh
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
Retinal examination and photos
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
X
	
 
	
X

	
PSAi
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
X

	
Mammogrami
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
X

	
Pap Smeark
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

 

	
Page 29 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
Visit Number
	
VO
	
VI/V2
	
 
	
V3
	
 
	
V4
	
V5
	
 
	
V6
	
V7/V8
	
V9
	
V10/11

	
 
	
 
	
Dose 1
	
 
	
Dose 2
	
 
	
 
	
Dose 3
	
 
	
 
	
 
	
 
	
 

	
Visit
	
Day-84 Screening
	
Day 0
	
Day 0

(2 hours post-tx)
	
60
	
Day 60

(2 hours post-tx)
	
90
	
120
	
Day120

(2 hours post-tx)
	
150
	
180
	
240
	
360n

	
FOBTl
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
X

	
Sigmoidoscopyl
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
AEsm
	
 
	
 
	
X
	
X
	
X
	
X
	
X
	
X
	
X
	
X
	
X
	
X

	
Assessment of concomitant medications
	
X
	
X
	
 
	
X
	
 
	
X
	
X
	
 
	
X
	
X
	
X
	
X

	
Subject counseled to remain compliant with ACS guidelines and follow-up
	
 
	
X
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
X

* Duplicate assessments (XX) must be performed in enrolled and randomized subjects within14 days prior to the Day 0 visit, or performed within ± 14 days of the projected visit day (Day 180 and Day 360).

a Physical examination for all subjects to include a digital rectal examination for male subjects only.

b Vital signs to include systolic/diastolic pressure, pulse, and temperature.

c Serum chemistry: electrolytes (Na, K, C02, Cl), CPK, CPKmb, troponin, creatinine, BUN, glucose, uric acid, total bilirubin, ALP, ALT (or SGPT), AST (or SGOT), LDH, albumin, calcium, and total protein; In addition: On screening day: vitamin B12, T4/TSH, direct LDL; On Day 360: direct LDL

d Urine pregnancy test: result must be negative prior to drug administration on Day 0.

e Urinalysis: test for the presence of glucose, protein, bilirubin, blood, pH, and specific gravity.

f Blood samples will be used for PCR assay, cytokine assay, immunogenicity testing, ICAM assay, and detection of inflammatory markers.

g The screening (Day -84) disease activity assessments may be done in stages, but they must be completed prior to Day 0.

h If none available in the preceding 12 weeks.

I PSA blood test for male subjects age 45 years or older.

j Mammogram: for females older than 40 years of age. A mammogram performed within 3 months of screening can be used for screening eligibility.

k Pap smear for females who have not had a procedure within a year of screening.

l FOBT for subjects 50 years of age or older. Only a sigmoidoscopy is required at screening, however if a colonoscopy is performed during screening, an FOBT is not required. Sigmoidoscopy for subjects 50 years of age or older. A sigmoidoscopy or colonoscopy performed within a year of screening may be used for screening eligibility.

m Query for AEs and appropriate medical evaluation if positive.

n Day 360 or early termination.

 

 

 

 

	
Page 30 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
9.5.
	
SB-509 Administration

9.5.1. Overview

150 subjects will be randomized in a 1:1 ratio stratified by study site and screening IENFD (<9, ≥9) to treatment with SB-509 or placebo:

1) SB-509 treatment: 60 mg of SB-509 on Day 0, Day 60 and Day 120.

2) Placebo on Day 0, Day 60 and Day 120.

30 mg of SB-509 or an equal volume of placebo will be injected (IM) into each lower limb for a total dose of 60 mg. Each subject will receive a total of three treatments. The drug will be supplied in 3-mL vials and will be injected in 0.5 or 1 mL volumes each injection in the lower leg and thigh, respectively. See Appendix 4 for detailed pharmacy preparation and subject injection instructions.

Injection Procedure

The injection site in the muscle will allow the deposit of 0.5 mL and 1.0 mL doses of study drug by inserting a needle along the long axis of the muscle fiber (i.e., parallel with the femoral artery) up to its hub (the needle’s full insertion point) and depositin 0.5 mL doses to the lower leg injection sites or 1.0 mL doses to the thigh injection sites.

9.5.2. Injection Needles and Volumes for Each Injection Site

Needles (25 gauge; 1- to 1.5-inch or 27 gauge; 1.25 inch) with 1 mL syringes are to be used. Care should be taken to avoid injection into any area of skin ulceration.

	
9.6.
	
Precautions

SB-509 is an investigational drug, and there is a possible risk of anaphylaxis. SB-509 should be administered in a setting where emergency treatment is available for anaphylaxis. If any serious allergic or anaphylactoid reaction occurs, administration should be immediately discontinued and appropriate therapy initiated.  Subjects must remain in the clinic for 2 hours after administration of SB-509.

	
9.7.
	
Premedications

NSAIDs or acetaminophen may be taken prior to or after injections for pain. Diphenhydramine, oral or topical, may be used for pruritus.

	
9.8.
	
Dose Modifications

No dose modifications will be allowed.

	
10.
	
SAFETY

	
10.1.
	
Potential Risks

10.1.1. SB-509

SB-509 has been administered to a total of 164 subjects with diabetic peripheral neuropathy in four clinical trials. Twenty-seven subjects received SB-509 as a single treatment; 75 subjects as a repeat dosing (Days 0, 60, and 120), and 30 subjects as a repeat dosing (Days 0 and 90). For the single treatment, separate groups received increasing doses of 1 mg, 5 mg, 15 mg, 30 mg, or 60 mg. For the repeat dosing, the dose was 60 mg. The length of follow-up was 180 days after the single dose, and 360 days after the first dose of the repeat dosing schedule.

SB-509 was well-tolerated. Most of the AEs were injection site reactions, which were mild to moderate in severity. There were no drug-related SAEs, dose-limiting toxicities, deaths, or discontinuations of study drug because of AEs. Immunogenicity was not triggered by SB-509. There was no evidence of retinal neovascularization or tumorigenesis.

Further information is provided in the SB-509 DN Clinical Investigator’s Brochure.

 

	
Page 31 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

10.1.2. Vascular Endothelial Growth Factor

SB-509 induces the production of all isoforms of VEGF. Clinical studies have been performed with recombinant human VEGF and VEGF plasmid DNA gene therapy. A review of the previous human experience with VEGF is in the SB-509 DN Clinical Investigator’s Brochure. The major potential risk is the augmentation of growth of tumors and a reversible leg edema with VEGF plasmid DNA gene therapy.

10.1.3. Poloxamer 188

Poloxamer 188 is being used as a delivery enhancer in SB-509. It is a complex polymer that is commonly used in stool softeners and foods. It has an effect on red blood cell elasticity and has been used parenterally for the treatment of Sickle Cell Crisis. A review of the previous human experience is in the SB-509 DN Clinical Investigator’s Brochure. The major risk is an idiosyncratic allergic reaction that would be associated with any component of the formulation.

10.1.4. Gene Transfer

There is a risk that people who receive gene transfer may develop new tumors. This risk is primarily associated with viral gene transfer vectors that integrate into the cellular DNA and may induce carcinogenesis. This risk with plasmid DNA gene transfer is extremely low.

10.1.5. Skin Biopsy

Skin biopsies will be obtained during the trial for the analysis of intraepidermal nerve fiber density to see if treatment with SB-509 will affect the number of epidermal nerve fibers in the skin. The size of the biopsies is 3 mm in diameter. Side effects include pain, bleeding, low rates of infection (1/500 biopsies), and, rarely, depigmented skin at the healed biopsy site.

	
11.
	
EFFICACY

	
11.1.
	
Potential Benefits

It is likely that the subjects receiving this treatment will not derive any benefit from their participation in this trial.  However, based on the results to date, subjects receiving SB-509 treatment may have improvements in nerve conduction velocities and vibration perception threshold.

	
11.2.
	
Efficacy Criteria

11.2.1. Clinical Evaluation

A neurological evaluation, electrophysiological test, and quantitative sensory testing will be performed at screening, on Day 0 pre-treatment, on Days 90, 180, and 360. Duplicate measurements will be completed within 14 days prior to the Day 0 visit, and ±14 days of Day180 and Day 360 visits. Note: Neurological evaluation must be performed by a qualified medical doctor

11.2.2. Disease Assessment

Diabetic peripheral neuropathy will be evaluated by using the following scales and modalities based on the neurological examination data, electrophysiological testing data, skin biopsy data, subject neurological questionnaire, subject pain assessment, and Quality of Life questionnaires.

	
●
	
Electrophysiological testing using nerve conduction velocity (NCV) studies (Appendix 7)

	
●
	
Signs using Neuropathy Impairment Score – Lower Limb (NIS-LL) (Appendix 5)

	
●
	
Lower Extremity Neurological Sensory Exam (Appendix 6)

	
●
	
Quantitative sensory testing (QST) with the Vibratron II instrument (Appendix 8)

	
●
	
lntraepidermal Nerve Fiber Density (IENFD) (Appendix 9) 

	
●
	
Neuropathy Total Symptom Score (NTSS-6) (Appendix 10)

	
●
	
Visual analog scale for pain intensity (VASPI) (Appendix 11)

 

	
Page 32 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
●
	
Neuro-Qo(Appendix 12)

	
●
	
SF-36 (Appendix 13)

	
●
	
Global Assessment (Appendix 14)

	
12.
	
CONCOMITANT MEDICATIONS

The investigator will record all concomitant medications, including those given for treatment of adverse events on the concomitant medication page in the subject's case report form. Any medication taken by the subject from screening throughout the course of the study, including over-the-counter medicinal products, dietary supplements, and herbal medications, should be recorded on this form. Medications may be adjusted as needed throughout the course of the study.

Subjects will be evaluated for pain, and use of pain medications will be recorded from the time of the first treatment throughout the course of the study.

If required after Day 0, antibiotics must be completed at least 2 weeks prior to the dose and the subject must be asymptomatic prior to dosing.

	
13.
	
ADVERSE EVENTS

	
13.1.
	
Adverse Event Reporting Period

The screening period is defined as starting with screen procedures and ending with the first treatment. The treatment period is defined as starting with the first treatment and ending 4 weeks after the last treatment.  The follow-up period is defined as starting 4 weeks after the last treatment until the Day 360 visit.

During the screening period, study procedural related adverse events will be reported. During both the treatment and follow-up periods, subjects will be queried and events will be assessed at each clinic visit. All adverse events will be reported. Subjects will be reminded to immediately report any Serious Adverse Event to the investigator.

	
13.2.
	
Definitions

An adverse event is any untoward medical occurrence in a patient or clinical investigation subject that is temporally related to protocol procedures, including the administration of a labeled product at any dose, but which does not necessarily have a causal relationship with the treatment.

The term adverse event also applies to laboratory findings or results of other diagnostic procedures that are considered to be clinically relevant (e.g., that required unscheduled diagnostic procedures or treatment measures, or resulted in withdrawal from the study).

An adverse drug reaction (ADR) occurring in a clinical study is an untoward medical occurrence in a patient or clinical investigation subject that is possibly or probably causally related to the administration of a labeled product. Such ADRs are a subset of the adverse events defined above.

The term “adverse event” could include any of the following events which develop or increase in severity during the course of the study. Examples include:

	
●
	
Any sign, symptom, or physical examination finding that worsens in nature, severity, or frequency compared to baseline. Whether thought to be related or unrelated to the condition under study

	
●
	
Any clinically significant laboratory abnormality or laboratory abnormality that requires medication or hospitalization

	
●
	
All reactions from study drug, including those occurring as a result of an overdose, abuse, withdrawal phenomena, sensitivity, or toxicity to study drug

	
●
	
Concurrent illness

	
●
	
Injury or accident

 

	
Page 33 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

A pre-existing condition is one that is present prior to or at the start of the study and is to be reported as part of the subject’s medical history. It should be reported as an adverse event only if the frequency, intensity, or the character of the condition worsen during study treatment.

An unexpected adverse event is one not identified in nature, severity, or frequency in the current protocol or the SB-509 DN Clinical Investigator’s Brochure.

	
13.3.
	
Recording of an Adverse Event

The principal investigator is responsible for evaluating all adverse events, obtaining supporting documents, and determining that documentation of the event is adequate. He/she is responsible for determining the severity and relationship to the investigational drug.  The principal investigator may delegate these duties to sub­ investigators and must assure that these sub-investigators are qualified to perform these duties under the supervision of the principal investigator.

All adverse events will be recorded in the subject’s case report form (CRF).  The detailed description of the event will include appropriately graded severity of the adverse event and its relationship to the study drug.

Severity will be categorized by toxicity grade according to the revised NCI Common Terminology Criteria for Adverse Events v4.0 (CTCAE) (Appendix 2).

Adverse events not listed in the NCI CTCAE will be evaluated by using the following criteria:

	
●
	
Grade 1, Mild: Subject is aware of signs and symptoms, are easily tolerated; usually transient and requiring no special treatment; does not interfere with usual daily activities

	
●
	
Grade 2, Moderate: May be ameliorated by simple therapeutic measures; sufficient to restrict; should not prevent usual daily activities

	
●
	
Grade 3, Severe: Incapacitating; inability to perform usual daily activities

	
●
	
Grade 4, Life-threatening/Disabling: Subject was at risk of death or significant disability at the time of the event

The relationship of the adverse event to the investigational drug will be determined by the principal investigator and will be categorized as:

	
●
	
Not Related: The adverse event is clearly related to other factors, such as the subject’s clinical state, environmental factors, or other modes of therapy or concomitant drugs administered to the subject.

	
●
	
Related: The adverse event is temporally associated with the use of the study drug, and/or a causal relationship between the study drug and the adverse event is at least a reasonable possibility, i.e., the relationship cannot be ruled out.

All Grade 3 and 4 clinical laboratory results that represent an increase in severity from baseline will be reported as adverse events. A Grade 1 or 2 clinical laboratory abnormality should be reported as an adverse event only if it is considered clinically significant by the investigator.

In the event of death, the cause of death should be recorded as the adverse event and reported as an SAE (see Section 14). “Death” is not the adverse event; “death” is an outcome. A copy of the death certificate should be obtained. Because the long-term effects of gene transfer are not known, the NIH would like an autopsy in the event of death. If an autopsy is performed, a copy of the autopsy report should be obtained.

 

	
Page 34 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
14.
	
SERIOUS ADVERSE EVENT

	
14.1.
	
Serious Adverse Event Reporting

“Serious” events, whether or not unexpected or considered to be associated with the use of the labeled product, must be communicated to Sangamo BioSciences upon discovery of the event, either by telephone or fax within 24 hours.

 

		
	
Medical Monitor: 
	
Ely Benaim, M.D

	
Phone Number:
	
(510) 970-7868

	
 
	
(510) 621-8533, mobile

	
Fax Number:
	
(510) 970-6009

The investigator is responsible for promptly notifying the Institutional Review Board (IRB) or Independent Ethics Committee (IEC), in accordance with local regulations, of all serious adverse events.

The National Institutes of Health (NIH) requires that all investigators participating in gene transfer research report all drug related serious adverse events immediately to the FDA, NIH, and Institutional Biosafety Committee (IBC). Sangamo BioSciences will assume responsibility for NIH and FDA reporting.

All “serious” events must be followed with appropriate medical management until resolved or stabilized.

	
14.2.
	
Definitions

A "Serious" Adverse Event (SAE) is defined as any event that suggests a significant hazard, contraindication, side effect, or precaution. An SAE is also any adverse event or adverse drug reaction that, at any dose, results in the following outcomes:

	
·
	
death

	
·
	
life-threatening condition

	
·
	
in-patient hospitalization or prolongation of an existing hospitalization

	
·
	
persistent or significant disability/incapacity

	
·
	
congenital anomaly/birth defect in the offspring of an exposed subject

An important medical event that may not result in death, be life-threatening, or require hospitalization may be considered a serious adverse drug experience when, based upon appropriate medical judgment, it jeopardizes the subject and may require medical or surgical intervention to prevent one of the outcomes listed in this definition.

A life-threatening adverse event is defined as any adverse experience that places the subject, in the view of the investigator, at immediate risk of death from the reaction as it occurred, i.e., it does not include a reaction that, had it occurred in a more severe form, might have caused death.

	
14.3.
	
Recording of a Serious Adverse Event

Serious Adverse Events reported by telephone must be recorded on a written Serious Adverse Event Report Form, provided by Sangamo BioSciences. The SAE report form must be faxed to the medical monitor within 24 hours.

The medical monitor will then advise the investigator regarding the nature of any further information or documentation that is required. Follow-up reports must be submitted in a timely fashion as additional information becomes available.

	
15.
	
STATISTICAL METHODS AND DATA ANALYSIS

	
15.1.
	
Sample Size

The results from SB-509-601 showed a treatment effect of SB-509 in patients with baseline serum ICAM > 200 ng/mL. The change from baseline in sural NCV for treated patients showed an increase in m/s of 1.06 compared to a decrease in placebo of -1.18. With 150 patients (75 per group) the power to detect a similar difference with a standard deviation of 4 and alpha=0.05 is 93%, using Wilcoxon’s rank-sum test.

 

	
Page 35 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
15.2.
	
Randomization

150 subjects will be randomized in a 1:1 ratio to treatment with SB-509 or placebo stratified by study site and screening IENFD (<9, ≥9):

	
1)
	
SB-509 treatment: 60 mg of SB-509 on Day 0, Day 60 and Day 120.

	
2)
	
Placebo on Day 0, Day 60 and Day 120.

	
15.3.
	
Statistical Methods/Data Analysis

The statistical analyses will be reported using summary tables, figures, and data listings. Statistical tests will be two-sided at the alpha =0.05 significance level. All analyses and tabulations will be performed using SAS® or SPLUS. Continuous variables will be summarized with means, standard deviations, medians, minimums, and maximums. Categorical variables will be summarized by counts and by percentages of subjects in corresponding categories. All raw data obtained from the case report forms as well as any derived data will be included in data listings.

All efficacy analyses will be performed on the intent-to-treat population. All safety analyses will be performed on all subjects that received any study medication.

All tables will report summary results by treatment and dose group.

	
15.4.
	
Intent-to-Treat Population

All subjects enrolled and randomized will be included in the intent-to-treat population and analyzed by the treatment received at Day 0.

	
15.5.
	
Subject Disposition

Summaries will include the number of randomized subjects, the number of subjects receiving study medication, the number of subjects completing the study, and the reasons for discontinuation.

	
15.6.
	
Demographics

Demographic variables include age, sex, and race. Other baseline characteristics include medical history, physical exam, duration of diabetes, duration of neuropathic pain, resting ankle-brachial systolic pressure index, and baseline assessments of diabetic neuropathy by symptoms, by neurological examination, by lower extremity electrophysiological testing and by quantitative sensory testing.

	
15.7.
	
Efficacy

The primary measurement of efficacy is:

	
·
	
Sural Nerve Conduction Velocity (NCV)

The secondary measurements of efficacy are:

	
·
	
Neuropathy Impairment Score-Lower Limb (NIS-LL)

	
·
	
Lower Extremity Neurological Sensory Exam

	
·
	
Motor Nerve Conduction Velocity (NCV)

	
·
	
Quantitative Sensory Testing (QST)

	
·
	
lntraepidermal Nerve Fiber Density (IENFD)

	
·
	
Neuropathy Total Symptom Score (NTSS-6)

	
·
	
Visual Analog Scale for Pain Intensity (VASPI)

	
·
	
Quality of Life (QOL)- NeuroQoL and SF-36

	
·
	
Global assessment

 

	
Page 36 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

Primary Efficacy Analyses

The Day 180 change from baseline sural NCV measurements will be compared by treatment group using the Wilcoxon Rank-Sum test at an alpha level of 0.05

Secondary Efficacy Analyses

The Day 180 change from baseline sNCV will be compared by treatment group using the Cochran-Mantel-Haenszel test stratified by IENFD < 9 fiber/mm and ≥ 9 fiber /mm at an alpha level of 0.05.

For the following measures, the Day 180 change from baseline measures will be compared by treatment group using the Wilcoxon Rank-Sum test.

	
·
	
Neuropathy Impairment Score-Lower Limb (NIS-LL)

	
·
	
Lower Extremity Neurological Sensory Exam

	
·
	
Motor Nerve conduction velocity (NCV)

	
·
	
Quantitative Sensory Testing (QST)

	
·
	
lntraepidermal Nerve Fiber Density (IENFD)

	
·
	
Neuropathy Total Symptom Score (NTSS-6)

	
·
	
Visual Analog Scale for Pain Intensity (VASPI)

	
·
	
Quality of Life (QOL)- NeuroQoL and SF-36

	
·
	
Global assessment

The effect of SB-509 versus placebo in subjects with moderately severe diabetic neuropathy will be compared using a multi-endpoint analysis that includes Neuropathy Impairment Score - Lower Limb (NIS-LL), Sural Nerve Conduction Velocity (NCV) and lntraepidermal Nerve Fiber Density (IENFD), as detailed by O’Brien (1984).

Exploratory

The efficacy variables will be organized by clinically meaningful groups of 4 or fewer endpoints and analyzed by treatment and dose group with a multiple endpoint analysis defined by O’Brien (1984). For each grouping of endpoints, subjects will be ranked separately by each component of the multiple endpoint and the sum of the ranks will be obtained for each subject. The sums of ranks by treatment group will be compared with a Wilcoxon Rank-Sum test.

	
15.8.
	
Baseline Values

The baseline value for each variable is the last value recorded before the start of dosing. For NCV, QST, NIS-LL, and the lower extremity neurological sensory exam, the two measurements prior to dosing will be averaged for the baseline value.

	
15.9.
	
Missing Data

Physically undetectable NCV measures will be imputed with the 1st percentile value of all measurable observations by nerve. For all other measures, no imputations for missing data will be made.

	
15.10.
	
Safety

Safety assessment will occur on all subjects who received any study medication. Terminations/premature withdrawals, adverse events, concomitant medications, and laboratory data will be tabulated. Adverse events will be coded to a standard set of terms using the MedDRA dictionary. Frequency of adverse events will be compared using Fisher’s exact test.

 

	
Page 37 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
15.11.
	
Laboratory Data

Laboratory data will be summarized for each time-point that specimens are collected. Change-from-baseline values may be calculated for selected laboratory parameters. (Baseline refers to blood drawn prior to the first study treatment.) Shift­ tables (change-from-baseline relative to the normal range) may be constructed for selected laboratory parameters.

	
16.
	
STUDY ADMINISTRATION AND INVESTIGATOR OBLIGATIONS

The investigator will ensure that the study is conducted in compliance with the protocol and according to ICH Guidelines for Good Clinical Practices (E6), the Declaration of Helsinki, and all regulatory and institutional requirements, including those for subject privacy, informed consent, IRB or IEC approval, and record retention.

A final study report will be prepared as part of Sangamo BioSciences’ commitment to Good Clinical Practice.

	
16.1.
	
Institutional Review Board/Institutional Ethics Committee

An Institutional Review Board should safeguard the rights, safety, and well being of all study subjects. In performing this study, both the investigator and sponsor endorse, as a minimum, the standards for conduct of clinical research activities as set forth in the Declaration of Helsinki and local country regulations. As such, this study must have the approval of a properly constituted IRB or IEC, with the investigator responsible for providing the IRB or IEC with all necessary documents for review.

This study will only be undertaken or investigational drug supplies shipped when full approval has been obtained from the appropriate IRB or IEC and a copy of the IRB or IEC approval letter has been received by Sangamo BioSciences. The approval letter must contain sufficient information to identify the version of both the protocol and subject information/informed consent, the date of the committee’s approval, the chairperson’s signature, and identify all study documents reviewed.

Protocol amendments must also be reviewed and approved by the IRB or IEC and must be received by Sangamo BioSciences before implementation.

Until written approval by the IRB or IEC has been received by the investigator, no subject may undergo any procedures solely for the purpose of determining eligibility for this study.

	
16.2.
	
Informed Consent

According to 21 CFR Part 50.20, no investigator may involve a human being as a subject in research covered by these regulations unless the investigator has obtained the legally effective informed consent of the subject or the subject's legally authorized representative. An investigator shall seek such consent only under circumstances that provide the prospective subject or the subject's legally authorized representative sufficient opportunity to consider whether or not to participate and that minimize the possibility of coercion or undue influence. The information that is given to the subject or the representative shall be in language understandable to the subject or the representative.

Sangamo BioSciences will provide the investigator with a template for the consent form. State and local laws and/or institutional requirements may require the disclosure of additional information in the informed consent. The proposed consent form must be submitted to Sangamo BioSciences prior to submission to the IRB or IEC to ensure that it meets Sangamo BioSciences’ standards for consent forms.

The IRB or IEC must approve the consent form. A copy of the approved form must be submitted to Sangamo BioSciences prior to the initiation of the study. Prior to the initiation of any procedures or treatment relating to the study, informed consent shall be documented by the use of a written consent form approved by the IRB and signed and dated by the subject or the subject's legally authorized representative at the time of consent. A copy of the signed informed consent will be given to the person signing the form. The investigator must keep each subject's signed consent form on file for inspection by a regulatory authority at any time.

 

	
Page 38 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
16.3.
	
Study Amendments

Any changes to this protocol will be initiated by Sangamo BioSciences. Approval of the amendment by the investigator’s IRB must be obtained before implementation, with the following exception:

	
·
	
When necessary to eliminate apparent immediate hazard to the subject

All amendments must be signed and dated by Sangamo BioSciences. Sangamo BioSciences will notify other investigators using this protocol.

	
16.4.
	
Study Drug Accountability

The investigator must ensure that subjects receive study drug only from personnel who fully understand the procedures for dosing and administering the drug.

The investigator or designated individual will maintain an inventory. A drug accountability log will be provided to the pharmacist or designated personnel. This inventory will include the description and quantity of labeled product received during the course of this study, as well as a record of the labeled product that is dispensed. This inventory record shall indicate the quantity and description of labeled product on hand at any time during the course of this study. Empty vials and any remaining product in the used vials will be stored at room temperature at the clinical sites and will be kept in the original carton. Vials should not be discarded until the Sangamo BioSciences monitor reviews the drug accountability log. A Sangamo BioSciences monitor will review this log during interim monitoring visits.

Drug accountability records must be readily available for inspection by representatives of Sangamo BioSciences and are open to inspection by regulatory authorities at any time.

Return or destruction of all drug supplies must be coordinated with Sangamo BioSciences. Please see the Study Reference Manual for additional details.

	
16.5
	
Study Personnel

The investigator should maintain a list of appropriately qualified persons who are delegated to perform significant study-related studies. In addition, the investigator should maintain a signature sheet to document signatures and initials of all persons authorized to make entries and/or corrections on the case report forms.

The investigator is responsible for informing the subject's primary care physician that the subject is participating in a clinical study. This should only be done after agreement from the subject.

	
16.6
	
Monitoring the Study

Sangamo BioSciences, as sponsor of this study, is responsible to regulatory authorities for ensuring the proper conduct of the study as regards protocol adherence and validity of the data recorded on the case report forms presented to the regulatory authorities. Sangamo BioSciences has therefore assigned a clinical monitor and a medical monitor to this study. Their duties are to aid the investigator and, at the same time, Sangamo BioSciences in the maintenance of complete, legible, well-organized, and easily retrievable data. In addition, a Sangamo BioSciences study monitor will explain, interpret, and ensure the investigator’s understanding of all applicable regulations concerning the clinical evaluation of a labeled product (whether licensed or unlicensed) and ensure an understanding of the protocol, reporting responsibilities, and the validity of the data.

In order to perforrn their roles well, the Sangamo BioSciences monitors must be given direct access to primary subject data (source documents) that support data entered onto the case report forms (e.g., hospital and general practice charts, appointment books, original laboratory records). The investigator must exercise judgment regarding information in a subject's chart that is not relevant to the performance, observation, or conduct of this study. The investigator must make available such records to Sangamo BioSciences, Quality Assurance, Institutional Review Board, and Regulatory personnel for inspection and copying. Because this enters into the realm of subject confidentiality, this fact must be included in the information signed by the subject.

 

	
Page 39 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

The investigator or designated person should agree, as a minimum requirement, to record the following information in the subject notes:

	
·
	
Protocol identification number, brief description or title of study

	
·
	
Date and statement that subject has given written informed consent

	
·
	
All visit dates

	
·
	
All Adverse Events

	
·
	
All concomitant medications

	
·
	
Primary efficacy details (as defined by the protocol)

	
·
	
All labeled product accountability information

Entries in the subject notes must contain the signature or initials of the person making the entries.

The clinical study monitor will perform source data verification at each monitoring visit.

A Sangamo BioSciences representative will monitor individual sites at appropriate intervals. The frequency of interim monitoring visits may vary depending on enrollment rate and the quality of data collected. Telephone contact will be made with each site Study Coordinator to keep abreast of subject status and to answer study-related questions.

	
16.7
	
Completion and Return of Case Report Forms

The investigator is responsible for the quality of the data recorded on the case report form. The data recorded should be a complete and accurate account of the subject's record collected during the study.

The investigator and Sangamo BioSciences study monitor will identify any data that will be recorded directly on the case report form and considered as source data (i.e., no prior written or electronic record of the data). The Sangamo BioSciences monitor will document this on the study initiation report and document the use of case report forms as source documents as necessary during the course of the study.

Detailed instructions for case report form completion will be provided in the Study Reference Manual.

The investigator agrees to complete case report forms in a timely fashion, and make them available to the Sangamo BioSciences study monitor for full inspection. In addition, all data queries should be resolved promptly.

Before acceptance, the Sangamo BioSciences study monitor will review the case report forms for completeness and adherence to the protocol.

	
16.8
	
Deviation from Protocol for Individual Subjects

Digressions from a written protocol for individual subjects are inherent to clinical research and will be categorized by Sangamo BioSciences as deviations.

Examples of protocol deviations include the following:

	
·
	
Informed consent improperly obtained

	
·
	
Violation of inclusion/exclusion criteria

	
·
	
Error in product randomization

	
·
	
Major drug injection errors that may compromise subject safety or efficacy assessments

	
·
	
Administration of an excluded concomitant medication or treatment during the course of the study

	
·
	
Vital signs were not measured at study visit

 

	
Page 40 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
·
	
Missed, delayed, or rescheduled visit

	
·
	
Missing laboratory results

Investigators are encouraged to adhere to protocol procedures in that the deviation does not affect the evaluation of the data for the subject or compromise statistical analysis.

When a significant deviation occurs, the investigator should contact the study or medical monitor by telephone. The medical monitor will decide whether the subject is to continue on study.

	
16.9
	
Quality Assurance Procedures

Quality Assurance activities undertaken during this study include monitoring and source data verification by the study monitor. It is possible that Sangamo BioSciences personnel or their agents may audit this study center.

	
16.10
	
Sangamo BioSciences Policy on Fraud in Clinical Studies

 

	
Page 41 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

APPENDIX 2: CTCAE

Sangamo BioSciences, Inc. will provide the Common Terminology Criteria for Adverse Events (CTCAE) v.4.0 to the clinical site.

 

 

 

 

	
Page 42 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

APPENDIX 3: AMERICAN CANCER SOCIETY (ACS) CANCER DETECTION GUIDELINES

The following cancer screening guidelines are recommended for those people at average risk for cancer (unless otherwise specified) and without any specific symptoms.

People who are at increased risk for certain cancers may need to follow a different screening schedule, such as starting at an earlier age or being screened more often. Those with symptoms that could be related to cancer should see their doctor right away.

Cancer-related Checkup

For people aged 20 or older having periodic health exams, a cancer-related checkup should include health counseling, and depending on a person’s age and gender, might include exams for cancers of the thyroid, oral cavity, skin, lymph nodes, testes, and ovaries, as well as for some non-malignant (non-cancerous) diseases.

Special tests for certain cancer sites are recommended as outlined below.

Breast Cancer

	
·
	
Yearly mammograms are recommended starting at age 40 and continuing for as long as a woman is in good health.

	
·
	
Clinical breast exam (CBE) should be part of a periodic health exam, about every 3 years for women in their 20s and 30s and every year for women 40 and over.

	
·
	
Women should know how their breasts normally feel and report any breast change promptly to their health care providers. Breast self-exam (BSE) is an option for women starting in their 20s.

	
·
	
Women at high risk (greater than 20% lifetime risk) should get an MRI and amammogram every year. Women at moderately increased risk (15% to 20% lifetime risk) should talk with their doctors about the benefits and limitations of adding MRI screening to their yearly mammogram. Yearly MRI screening is not recommended for women whose lifetime risk of breast cancer is less than 15%.

Colon and Rectal Cancer

Beginning at age 50, both men and women at average risk for developing colorectal cancer should use one of the screening tests below. The tests that are designed to find both early cancer and polyps are preferred if these tests are available to you and you are willing to have one of these more invasive tests. Talk to your doctor about which test is best for you.

Tests that find polyps and cancer

	
·
	
flexible sigmoidoscopy every 5 years*

	
·
	
colonoscopy every 10 years

	
·
	
double contrast barium enema every 5 years*

	
·
	
CT colonography (virtual colonoscopy) every 5 years*

Tests that mainly find cancer

	
·
	
fecal occult blood test (FOBT) every year*,**

	
·
	
fecal immunochemical test (FIT) every year*,**

	
·
	
stool DNA test (sDNA), interval uncertain*

*Colonoscopy should be done if test results are positive.

**For FOBT or FIT used as a screening test, the take-home multiple sample method should be used. A FOBT or FIT done during a digital rectal exam in the doctor’s office is not adequate for screening.

 

	
Page 43 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

People should talk to their doctor about starting colorectal cancer screening earlier and/or being screened more often if they have any of the following colorectal cancer risk factors:

	
·
	
a personal history of colorectal cancer or adenomatous polyps

	
·
	
a personal history of chronic inflammatory bowel disease (Crohns disease or ulcerative colitis)

	
·
	
a strong family history of colorectal cancer or polyps (cancer or polyps in a first­ degree relative [parent, sibling, or child] younger than 60 or in 2 first-degree relatives of any age)

	
·
	
a known family history of hereditary colorectal cancer syndromes such as familial adenomatous polyposis (FAP) or hereditary non-polyposis colon cancer (HNPCC)

Cervical Cancer

	
·
	
All women should begin cervical cancer screening about 3 years after they begin having vaginal intercourse, but no later than when they are 21 years old. Screening should be done every year with the regular Pap test or every 2 years using the newer liquid-based Pap test.

	
·
	
Beginning at age 30, women who have had 3 normal Pap test results in a row may get screened every 2 to 3 years. Another reasonable option for women over 30 is to get screened every 3 years (but not more frequently) with either the conventional or liquid-based Pap test, plus the HPV DNA test. Women who have certain risk factors such as diethylstilbestrol (DES) exposure before birth, HIV infection, or a weakened immune system due to organ transplant, chemotherapy, or chronic steroid use should continue to be screened annually.

	
·
	
Women 70 years of age or older who have had 3 or more normal Pap tests in a row and no abnormal Pap test results in the last 10 years may choose to stop having cervical cancer screening. Women with a history of cervical cancer, DES exposure before birth, HIV infection or a weakened immune system should continue to have screening as long as they are in good health.

	
·
	
Women who have had a total hysterectomy (removal of the uterus and cervix) may also choose to stop having cervical cancer screening, unless the surgery was done as a treatment for cervical cancer or precancer. Women who have had a hysterectomy without removal of the cervix should continue to follow the guidelines above.

Endometrial (Uterine) Cancer

The American Cancer Society recommends that at the time of menopause, all women should be informed about the risks and symptoms of endometrial cancer, and strongly encouraged to report any unexpected bleeding or spotting to their doctors. For women with or at high risk for hereditary non-polyposis colon cancer (HNPCC), annual screening should be offered for endometrial cancer with endometrial biopsy beginning at age 35.

Prostate Cancer

The American Cancer Society (ACS) does not support routine testing for prostate cancer at this time. ACS does believe that health care professionals should discuss the potential benefits and limitations of prostate cancer early detection testing with men before any testing begins. This discussion should include an offer for testing with the prostate­specific antigen (PSA) blood test and digital rectal exam (DRE) yearly, beginning at age 50, to men who are at average risk of prostate cancer and have at least a 10-year life expectancy. Following this discussion, those men who favor testing should be tested. Men should actively take part in this decision by learning about prostate cancer and the pros and cons of early detection and treatment of prostate cancer.

This discussion should take place starting at age 45 for men at high risk of developing prostate cancer. This includes African American men and men who have a first-degree relative (father, brother, or son) diagnosed with prostate cancer at an early age (younger than age 65).

This discussion should take place at age 40 for men at even higher risk (those with several first-degree relatives who had prostate cancer at an early age).

If, after this discussion, a man asks his health care professional to make the decision for him, he should be tested (unless there is a specific reason not to test).

 

	
Page 44 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

References

American Cancer Society. Cancer Facts & Figures 2009. Atlanta, Ga: American Cancer Society; 2009.

Levin B, Lieberman DA, McFarland, et al. Screening and Surveillance for the Early Detection of Colorectal Cancer and Adenomatous Polyps, 2008: A Joint Guideline from the American Cancer Society, the US Multi-Society Task Force on Colorectal Cancer, and the American College of Radiology. Published online March 5, 2008. CA Cancer J Clin. 2008;58.

Saslow D, Boetes C, Burke W, et al for the American Cancer Society Breast Cancer Advisory Group. American Cancer Society guidelines for breast screening with MRI as an adjunct to mammography. CA Cancer J Clin. 2007;57:75-89.

Last Revised: 05/21/2009

 

	
Page 45 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

APPENDIX 4: SB-509 DRUG PRODUCT AND PLACEBO DESCRIPTION AND INSTRUCTIONS FOR STORAGE, HANDLING, ADMINISTRATION AND DISPOSAL

Product Description

SB-509 is a bacterial DNA plasmid (pV-32Ep65) that encodes an engineered zinc finger protein transcription factor (32Ep65) that up-regulates endogenous VEGF-A gene transcription. SB-509 is formulated as a liquid in 5% poloxamer 188. Sterile injectable saline (0.9% NaCl) serves as the placebo.

They are supplied in 3 mL glass vials filled with 2.2 mL of product, to deliver 2.0 mL. The SB-509 drug product is supplied at a concentration of 2.0 mg/mL. Each vial is prepared as a direct injectable.

Refer to the SB-509 DN Clinical Investigator’s Brochure for additional information on SB-509 and the placebo.

Storage and Administration

SB-509 and placebo are shipped to the clinical site by air courier on dry ice. Upon receipt at the clinical site, the vials should be immediately transferred to a locked -20°C or below freezer. Accurate accounting logs of all investigational drug received, dispensed, destroyed, and/or returned to Sangamo should be maintained at the clinical site.

Injection Preparation

At the time of injection, the vials are removed from the freezer, allowed to thaw at room temperature at least 10 minutes. First draw the study drug into 1 mL syringes with 19 gauge, 11⁄2 inch needles. Syringes will be filled with either 0.5 mL or 1.0 mL according to the table shown on the next page. Once the syringes are filled, replace the 19 gauge needle with a 25 gauge needle, with either 1 inch or 11⁄2 inch needles, as indicated in the table. A 27 gauge 11⁄4 inch needle may also be used for the lower leg and thigh injections. Follow the same injection technique as described on the following page. Additional syringes may be filled as back-up if necessary. The syringes are then released to the appropriate medical personnel for intramuscular injection and kept at room temperature until the drug is administered. All injections should be given the same day the study drug is thawed.

Injection Volumes

Lower leg (injection 1-14): 0.5 mL

Thigh (injections 15-22): 1.0 mL

Injection Technique

Use standard aseptic technique for preparation of the skin at the injection site. Cleaning of the sites with alcohol wipes, with a second alcohol swipe at the site prior to injection is recommended. Administer 0.5 mL and 1.0 mL doses of study drug by inserting a needle along the long axis of the muscle fiber (i.e., parallel with the femoral artery) up to its hub (the needle’s full insertion point) and depositing 0.5 mL for the 0.5 mL volume in the lower leg or 1.0 mL volume in the anterior and lateral thigh. The needle will be pointed toward the foot and inserted at an approximate 30° angle to the surface of the skin. Needles (25 gauge) with 1 mL syringes are to be used as follows: 1-inch needle for the lower leg and a 11⁄2-inch needle for the thigh. If a 27 gauge needle is used, use the 1 1⁄4 inch needle for both the lower leg and thigh injections.

 

	
Page 46 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

Injection Site Summary

	
·
	
Dose level: 60 mg (30 mg per leg)

	
·
	
Total volume: 30 mL(15 mL per leg)

 

							
	
 
	
Syringe

Fill
	
Needle Gauge &

Length
	
Number of

Syringes

per Leg*
	
Total

Number of Syringes
	
Muscle

Injection

Sites
	
Peripheral

Nerve

	
Lower leg
	
0.5 mL
	
25 gauge:

1 inch or

27 gauge: 1 1⁄4 inches
	
14
	
28
	
1-14
	
peroneal, sural, tibial

	
Thigh
	
1.0 mL
	
25 gauge: 1 1⁄2 inches or

27 gauge: 1 1⁄4 inches
	
8
	
16
	
15-22
	
sciatic and femoral

 

 

 

	
Page 47 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

Dose Level Injection Instructions

Lower leg injections

	
●
	
Anterior leg injections

Identify the bony landmarks of the anterior tibia and the fibula in the anterior lower leg. The muscle between these bones is the tibialis anterior. Identify Injection site 1 as the distal tibialis anterior muscle, 2-3 inches above the lateral malleolus of the ankle. 

Beginning at site 1 as described above, identify 5 ascending injection sites in the tibialis anterior separated by at least one inch. Inject 0.5 mL into injections 1-5 (see figure).

	
●
	
Lateral leg injections

Palpate the lateral fibular head and then extending inferiorly to the lateral malleolus, the peroneus longus muscle. Inject five, 0.5 mL at least one inch apart, moving inferiorly along the leg for injections 6-10 (see figure).

	
●
	
Medial leg injections

Palpate the medial gastrocnemius muscle. At the top of the medial muscular portion of the muscle inject 4, 0.5 mL injections at least one inch apart moving inferiorly along the medial curve of the gastrocnemius for injections 11-14 (see figure).

Thigh injections

The upper leg or thigh injections will use syringes filled with 1.0 mL and will deliver one dose of 1.0 mL at maximum needle length (needle’s full insertion point).

	
●
	
Anterior thigh

Palpate the body of the rectus femoris muscle above the patella approximately 5-6 inches above the knee. Injections 15-18 (see figure) should be placed at least one inch apart, extending superiorly along the rectus femoris.

	
●
	
Lateral thigh

Palpate the body of the muscles of the lateral quadriceps, anterior and superior to the iliotibial band at approximately 5-6 inches above the knee. Injections 19-22 (see figure) should be placed at least one inch apart, extending superiorly along the lateral quadriceps.

 

 

 

 

	
Page 48 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

APPENDIX 5: NEUROPATHY IMPAIRMENT SCORE- LOWER LIMB

(NIS-LL)

Adapted from Bril, Eur. Neural. (1999). 41 (supp. 1):8-13

A. Muscle Group Testing

Groups Tested

The following muscle groups are tested for power (bilaterally):

	
·
	
Hip Flexion

	
·
	
Hip Extension

	
·
	
Knee Flexion

	
·
	
Knee Extension

	
·
	
Ankle Dorsiflexion

	
·
	
Ankle Plantar Flexion

	
·
	
Toe Extension

	
·
	
Toe Flexion

Scoring

Each muscle group is scored according to the following scale:

 

		
	
Muscle Power
	
NIS-LL Score

	
Normal
	
0

	
25% Weak
	
1

	
50% Weak
	
2

	
75% Weak
	
3

	
Paralysis
	
4

Muscles groups are scored between 0 and 4 points per side per group (bilaterally) for a maximum total of 64 points.

B. Sensory and Reflex Testing

Sensory Testing

The following sensory modalities are tested:

	
·
	
Touch pressure

	
·
	
Pin Prick

	
·
	
Vibration

	
·
	
Joint position

Reflex Testing

Deep tendon reflex testing is done at the following sites (bilaterally):

	
·
	
Quadriceps (patellar)

	
·
	
Ankle (Achilles)

 

	
Page 49 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

Scoring

Sensory testing and reflex testing is scored according to the following scale:

 

		
	
Sensory/Reflex Activity Grading
	
NIS-LL Score

	
Normal
	
0

	
Decreased
	
1

	
Absent
	
2

Sensory modalities are scored between 0 and 2 points per modality (bilaterally) for a maximum total of 16 points. Reflexes are scored between 0 and 2 points per reflex (bilaterally) for a maximum total of 8 points.

 

	
Page 50 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

APPENDIX 6: LOWER EXTREMITY NEUROLOGICAL SENSORY EXAM

The Lower Extremity Neurological Sensory Exam includes distal to proximal examinations to evaluate sensory changes.

Pin Prick, Vibration and Touch Pressure will be evaluated at the Toe, Mid-Foot, Ankle, Mid-calf, Knee and Above Knee locations. At each location and for each leg, the sensory testing is scored according to the following scale:

 

		
	
Sensory Grading 
	
Score

	
Normal 
	
0

	
Decreased
	
1

	
Absent 
	
2

Sensory modalities are scored between 0 and 2 points per modality (bilaterally) for a maximum total of 24 points per modality and 72 points overall.

 

	
Page 51 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

APPENDIX 7: ELECTROPHYSIOLOGICAL STUDIES

Nerve conduction studies (NCS) will be done at the sural and peroneal motor nerves. All NCS studies will be done bilaterally using standard surface recording techniques. Procedures for the recording of NCS are briefly outlined below and presented in full detail in an accompanying Study Reference Manual for NCS Studies.

The temperatures at the beginning and the end of the NCS will be recorded. Hard copies of all nerve conduction studies will be printed and saved (see Study Reference Manual for details).

Sural Sensory Nerve

Conduction velocity and sensory amplitudes will be measured using antidromic procedures. Surface electrodes will be placed adjacent to the lateral malleolus of the ankle (active recording electrode); the stimulating cathode will be applied to a more proximal segment of the nerve (12-14 cm distance).

Peroneal Motor Nerve

Motor nerve conduction velocity, distal and proximal baseline-to-peak compound muscle action potential amplitudes will be measured using orthodromic procedures. The active recording electrode will be placed over the extensor digitorum brevis muscle; the distal stimulation cathode will be placed at the ankle. The fibular head will be used as a proximal stimulation point.

 

	
Page 52 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

APPENDIX 8: QUANTITATIVE SENSORY TESTING (QST)

	
1.0
	
SCHEDULE

See Appendix 1, Schedule of Events.

	
2.0
	
DEFINITION OF TERMS

THRESHOLD - minimal energy required before a subject can just detect a stimulus - in the present study, the last correctly identified intensity.

TWO ALTERNATIVE FORCED CHOICE PROCEDURE - VPT testing algorithm in which two potential stimuli are presented in each trial and the subject must select which stimulus is actually vibrating.

	
3.0
	
EQUIPMENT

The Vibratron II, manufactured by Physitemp Instruments, Inc. (Clifton N.J), is a QST device to quantify the ability of human subjects to detect vibratory stimuli at the distal extremes of their upper and lower limbs. It consists of a controller and two vibrating posts. The frequency of vibration is fixed at 120 Hz. The power supply, switches and digital meter are encased as one unit, while the vibrating rods are located in separate units with adjoining cables. Each vibrating rod protrudes through a metal case and can be contacted by either the hands or the feet. The tandem vibrating surfaces are manufactured from hardened rubber and are identical in appearance. Vibration is achieved by driving the transducers with a variable voltage source. A dual position switch connected in series with the vibrating units, controls which rod vibrates, while a "dummy" switch is used to imitate the sounds and motions of switching. The amplitude of vibration is proportional to the square of the applied voltage and is continuously available on a digital display accurate to the nearest 0.1 units. A switch sets the maximal level of the vibration, which ranges from 0- 6.5 vibration units or 6.5 - 20 vibration units.

	
4.0
	
TESTING PROCEDURE

	
4.1
	
Methodology

Thresholds should be measured bilaterally, on the great toes. The methodology of testing is a "two alternative forced choice procedure." For each trial the subject is required to determine which of the two rods is actually vibrating. The position of vibration is under experimental control, determined by a randomization sequence. The intensity sequence is similarly under the control of the experimenter and is determined by a testing algorithm (see Section 4.6).

	
4.2
	
Temperature Control

Prior to testing, each subject should be seated in a comfortable chair and allowed an adaptation period of approximately 10 minutes, during which time they can become acclimated to room temperature. Subjects should then remove all footwear, including pantyhose. A surface thermometer should be used to determine skin temperature at the arch of the foot. Skin temperature at this site must be at least 30°C, otherwise the subject should be warmed using a circulating water bath, an insulated thermal wrap or a heating pad. Radiant heaters should not be used.

	
4.3
	
Adaptation Period

After the subject is warmed, they should be given an opportunity to become familiar with the testing apparatus and with the expected vibratory sensations. During this period, the experimenter can instruct the subject as to the appropriate length and force with which to contact the vibrating rod. An ideal duration for contact is approximately one second and the force should be the minimum necessary to detect vibration. This adaptation period will also allow the experimenter to determine the appropriate voltage level at which to begin testing. A number of vibration intensities should be set and sampled by the subject. For the initial trial, the experimenter should set the intensity at a level detectable by that subject 100% of the time. For many subjects in the 20 

 

	
Page 53 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

to 50 year age range, an initial intensity setting of 10-12 units is sufficient. This level should be increased for older subjects. For each trial, both the intensity setting and the subject's choice should be recorded in the appropriate columns on the data sheet.

	
4.4
	
Foot Support

Throughout testing, the subject should rest his/her feet on the elevated platform provided by Physitemp. Thus, the subject should only be required to pivot his/her foot to contact each vibrating rod.

	
4.5
	
Instructions

At the beginning of each testing session, the subject should be issued the following instructions:

"Please press your toe lightly against each rod in sequence for approximately one second. During each trial you will be allowed to touch the rods only once. Only one of the rods will be vibrating; please decided which rod (A or B) is vibrating or please let us know if you no longer can tell the difference. The task will become increasingly more difficult."

	
4.6
	
Testing Algorithm

The starting intensity, in vibration units (vu), should be entered on the left hand column of the worksheet. The location of the stimulus (A or B rod) is indicated by the first column in the A/B matrix. If the subject correctly identifies which rod is vibrating, circle the "A" or "B" - then decrease the intensity for the next presentation by approximately 10%. If the subject incorrectly identifies the vibrating rod, cross out the "A" or "B" on the sheet with an "X" and increase the intensity for the next presentation by approximately 10% (ie., return to the level immediately prior to the error). The A/B matrix should be followed diagonally to the right (up one level and to the right one column).Testing is complete when a subject responds that there is "no difference" (mark with a single line on the A/B matrix) OR if the subject makes two errors before responding "no difference." The final lowest "correct" intensity is entered as the VPT value. Ideally, the subject should have at least 10 correct responses before they report "no difference" or make their first error. If the subject reports "no difference" or if there is an error in the first 10 trials, the test must be restarted at a higher initial intensity level. If the test was started at 20 vibration units (vu), simply report the last score correctly identified. If the subject reports "no difference" or makes an error at the 20 vu level, check the circle "intensity >20" on the worksheet. For sample worksheet see Study Reference Manual.

	
5.0
	
TECHNICAL CONCERNS

To determine accurate vibration thresholds, the experimenter must be concerned with the following details:

	
5.1
	
The subject should be consistent in the location and duration of touch, as well as in the approximate force applied to the vibrating surface. Instructions such as “please don’t press so hard” can be issued during testing to ensure trial-to-trial consistency.

	
5.2
	
Throughout testing, the sounds and motions associated with changing the stimulus position should be presented between each trial. For the conditions where the stimulus position remains unaltered, the "dummy" switch must be used. Both the active and "dummy" switches can be used between trials to mask the actual positioning of the stimulus.

	
5.3
	
The rods should be visually inspected prior to every test to ensure that they are "free-standing" and not in contact with the metal covering.

	
5.4
	
The subject must take care not to contact the metal casing around the vibrating rods during the trials.

	
5.5
	
The subject should be carefully screened from viewing the instrument settings or the data sheet.

	
5.6
	
All testing should be conducted in a quiet room with minimal distractions.

	
5.7
	
Each Vibratron II should be factory calibrated at an interval appropriate for the study.

 

	
Page 54 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

APPENDIX 9: SKIN BIOPSY

1.0INTRODUCTION

Rationale

3 mm skin biopsy punches will be obtained for the evaluation of intra-epidermal nerve fiber density (IENFD). Epidermal nerve fibers are C and A-sigma small caliber unmyelinated nerve fibers that are relevant to diabetic neuropathy. These fibers are not directly assessed by conventional testing measures such as nerve conduction velocity, amplitude, or most forms of quantitative sensory testing.

In the figure below, epidermal nerve fiber axons can be seen extending to the dermis in a normal subject (panel A). Decreased numbers of epidermal nerve fiber axons are evident in a skin biopsy from a diabetic subject (panel B).

 

Skin section (50 μm) stained for PGP9.5+ IENFDs in a nondiabetic subject (A) and in a subject with established neuropathy (B). Original magnification X600 (Quattrini et al. 2008).

3.0SCHEDULE AND GENERAL PROCEDURES

The schedule for skin biopsy collection is located in Appendix 1: Schedule of Events. The method for obtaining this analysis requires a 3 mm skin biopsy on the distal lateral thigh. The sample will then be processed with fixative and shipped to Johns Hopkins University. The samples will then be further processed by the laboratory and analyzed to determine intraepidermal nerve fiber density.

A manual with detailed instructions will be provided to you in the Study Reference Manual for obtaining, processing and shipping the biopsy samples.  In addition, each investigator will be provided with a video clip presentation on CD that will further illustrate the specific procedures.

 

	
Page 55 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

APPENDIX 10: NEUROPATHY TOTAL SYMPTOM SCORE (NTSS-6)

Bastyr, Clinical Therapeutics (2005) 27:1278-1294

Instructions for the Health Care Professional (HCP)

	
1.
	
Each of the 6 questions is scored by marking an X in the box on the grid corresponding to the symptom frequency and intensity.

	
2.
	
Grading of the symptom frequency and intensity should be according to the definitions provided below for each category level.

	
3.
	
The symptom evaluated should be due to diabetic peripheral neuropathy in the feet or legs, in the opinion of the administering HCP. The symptom question should be evaluated taking into consideration what would be normal for a healthy person of comparable age and sex.

	
4.
	
Symptoms are graded based on the experience of the patient during the past 24 hours.

	
5.
	
Each symptom question can be assigned a maximum score of 3.66 points. The NTSS-6 total score is the sum of the 6 individual symptom scores and has a maximum of 21.96 points.

	
6.
	
The HCP scores the symptom question based on the patient's response to the question and the definitions of symptom frequency and intensity provided to the HCP (see below).

Definitions for Grading

Frequency

	
·
	
Never or occasional means that the symptom does not occur; occurs a normal amount; not beyond normal; not noticeable.

	
·
	
Occasional, but abnormal means that the symptom occurs or is present less than a third of the time, either in total frequency or duration. It also applies to symptoms that may have a duration of only seconds and occur only during a portion of the day and/or night.

	
·
	
Often means that the symptom occurs for one third to two thirds of the time, either in total frequency or duration. It may also apply to symptoms that may have a duration of only seconds and occur throughout the day and/or night.

	
·
	
Almost continuous means that the symptom occurs for more than two thirds of the time, either in total frequency or duration. It may also apply to symptoms that may have a duration of only seconds and occur throughout the day and/or night.

Intensity

	
·
	
Not present means no symptoms noted.

	
·
	
Mild means that the patient notices the pain or other symptom but it does not interfere with or restrict daily activities, and the patient does not need any treatment to control it.

	
·
	
Moderate means that the pain or other symptom sometimes interferes with or restricts ≥1 of the patient's sleep, work, social, or family activities, or the patient needs treatment to control the pain or symptom.

	
·
	
Severe means that the pain or other symptom usually interferes with or restricts ≥1 of the patient's sleep, work, social, or family activities, even if the pain or symptom is treated.

Symptoms and Questions Evaluated by the NTSS-6

	
·
	
Aching pain: "Do you experience a deep, aching, tightness, boring, pulling, or squeezing pain in your feet or legs?"

	
·
	
Allodynia: "Do you experience unusual sensitivity or tenderness when your feet are touched or are used in activities such as walking?"

	
·
	
Burning pain: "Do you experience burning pain in your feet or legs?"

	
·
	
Lancinating pain: "Do you experience sharp, stabbing, or shooting pain, electrical shock-like pain, or surges of pain that last seconds to minutes in your feet or legs?"

 

	
Page 56 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
·
	
Numbness: "Do you experience numbness, lost sensation, or a ‘dead feeling’ like an anesthetic, without prickling in your feet or legs?"

	
·
	
Prickling sensation: "Do you experience a prickling or tingling feeling, with or without an ‘asleep’ feeling, in your feet or legs?"

NTSS-6 Sample Scoring Sheet

 

	
 
	
 
	
Symptom Intensity
	
 

	
 

Symptom Frequency
	
 
	
Not

Present
	
 
	
 
	
Mild
	
 
	
 
	
Moderate
	
 
	
 
	
Severe
	
 

	
Never or occasional (normal amount)
	
 
	
 
	
0.00
	
 
	
 
	
 
	
0.00
	
 
	
 
	
 
	
0.00
	
 
	
 
	
 
	
0.00
	
 

	
Occasional but abnormal (less than 1/3 of the time)
	
 
	
 
	
0.00
	
 
	
 
	
 
	
1.00
	
 
	
 
	
 
	
2.00
	
 
	
 
	
 
	
3.00
	
 

	
Often (1/3 to 2/3 of the time)
	
 
	
 
	
0.00
	
 
	
 
	
 
	
1.33
	
 
	
 
	
 
	
2.33
	
 
	
 
	
 
	
3.33
	
 

	
Almost continuous (more than 2/3 of the time)
	
 
	
 
	
0.00
	
 
	
 
	
 
	
1.66
	
 
	
 
	
 
	
2.66
	
 
	
 
	
 
	
3.66
	
 

 

	
Page 57 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

APPENDIX 11: VISUAL ANALOG SCALE FOR PAIN INTENSITY (VASPI)

Please rate your pain by circling the one number that best describes your pain from diabetic neuropathy in the last 24 hours.

 

											
	
0
	
1
	
2
	
3
	
4
	
5
	
6
	
7
	
8
	
9
	
10

	
No 
Pain
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
Worst Possible Pain

 

	
Page 58 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

APPENDIX 12: NEURO-QOL

Vileikyte, Diabetes Care (2003) 26:2549-2555

NEUROPATHY-SPECIFIC QUALITY OF LIFE

Questionnaire Instructions (UK Version)

	
·
	
These questions ask about the effect your FOOT PROBLEMS may have on your daily life and well-being. By foot problems we mean lost or reduced feeling in your extremities, pain, discomfort and/or ulcers (open sores) on your feet and, in some cases unsteadiness while walking or standing.

	
·
	
Please note that many questions have two parts. Answer every question by ticking one box for each part (tick two boxes per line). Please make sure you answer all questions.

	
·
	
Please concentrate on how you have felt IN THE PAST 4 WEEKS for all of the questions.

	
·
	
There are no right or wrong answers. If you are unsure about how to answer a question, you can ask the person who gave you the questionnaire. Please DO NOT ask a relative or friend to help you.

	
·
	
All of your responses will be held strictly confidential.

 

	
In the past 4 weeks how often have you experienced the following symptoms?
	
All 
the 
time
	
Most 
of the time
	
Some 
of the time
	
Occa- sionally
	
Never
	
How much bother did this cause you?

	
Very

much
	
Some

bother
	
None

	
1. Burning in your legs or feet
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
2. Excessive heat or cold in your legs or feet
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
3. Pins and needles in your legs or feet
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
4. Shooting or stabbing pain in your legs or feet
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
5. Throbbing in your legs or feet
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
6. Sensations in your legs or feet that make them jump
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
7. Irritation of the skin caused by something touching your feel, such as bedsheets or socks
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
A. Have these painful symptoms reduced your quality of life?
	
Very 
much
	
Quite a 
lot
	
Some
 what
	
A little
	
Not at all

	
 
	
 
	
 
	
 
	
 

	
In the past 4 weeks how often have you experienced the following symptoms?
	
All 
the
 time
	
Most 
of the time
	
Some of the time
	
Occa- sionally
	
Never
	
How much bother did this cause you?

	
Very

much
	
Some

bother
	
None

	
8. Numbness in your feet
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
9. Inability to feel the difference between hot and cold with your feet
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
10. Inability to feel objects with your feet
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

 

	
Page 59 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
B. Have these last three symptoms reduced your quality of life?
	
Very 
much
	
Quite a 
lot
	
Some 
what
	
A little
	
Not at all

	
 
	
 
	
 
	
 
	
 

	
In the past 4 weeks how often have you experienced the following symptoms?
	
All the

time
	
Most of the time
	
Some of the time
	
Occa- sionally
	
Never
	
How much bother did this cause you?

	
Very

much
	
Some

bother
	
None

	
11. Weakness in your hands
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
12. Problems with balance or unsteadiness while walking
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
13. Problems with balance or unsteadiness while standing
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
C. Have these last three symptoms

reduced your quality of life?
	
Very 
much
	
Quite a
 lot
	
Some 
what
	
A little
	
Not at all

	
 
	
 
	
 
	
 
	
 

	
The following questions ask about how your FOOT PROBLEMS affect your daily activities, relationships and feelings.

	
Are you in PAID WORK?
	
Yes
	
No
	
If YES please go to Question 14.

If NO please go to Question 15.

	
In the past 4 weeks, HOW MUCH have your foot problems interfered with your:
	
Very
much
	
Quite 
a lot
	
Some 
what
	
A
little
	
Not 
at all
	
How important is this aspect of your

life to you?

	
Very 
much
	
Some what
	
Not 
at 
all

	
14. Ability to perform your paid work?
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
15. Ability to perform tasks around the house or garden?
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
16. Ability to take part in leisure activities?
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
D. Have these changes in daily activities as a result of your foot problems reduced your quality of life?
	
Very 
much
	
Quite 
a 
lot
	
Some 
what
	
A little
	
Not at all

	
 
	
 
	
 
	
 
	
 

	
 
	
 
	
 

	
In the past 4 weeks:
	
How important is this aspect of your life to you?

 

	
Page 60 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
 
	
Very 
much
	
Quite 
a lot
	
Some 
what
	
A 
little
	
Not 
at 
all
	
Very much
	
Some 
what
	
Not at all

	
17. How much have your foot problems interfered with your relationships with people close to you?
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
18. Have you felt more physically dependent than you would like to be on people close to you as a result of your foot problems?
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
19. Have you felt more emotionally dependent than you would like to be on people close to you as a result of your foot problems?
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
20. Has your role in the family changed as a result of your foot problems?
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
E. Have these changes in relationships with other people as a result of your foot problems reduced your quality of life?
	
Very 
much
	
Quite a lot
	
Some 
what
	
A

little
	
Not at all

	
 
	
 
	
 
	
 
	
 

	
 
	
How much bother did this cause you?

	
How much do you agree with the following statements:
	
Completely 
agree
	
Partly
agree
	
Neither agree or
	
Partly
disagree
	
Completely
disagree
	
Very
much
	
Some
bother
	
None

	
21. People treat me differently from other people as a result of my foot problems.
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
22. I feel older than my years as a result of my foot problems.
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
23. My self - confidence is affected as a result of my foot problems.
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
24. My foot problems make my life a struggle.
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
25. I generally feel frustrated because of my foot problems.
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
26. My foot problems cause me embarrassment.
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

 

	
Page 61 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
27. I feel depressed because of my foot problems
	
 
	
 
	
 
	
 
	
 
	
 
	
 
	
 

	
F. Have these feelings about yourself as a result of your foot problems reduced your quality of life?
	
Very 
much
	
Quite a lot
	
Some 
what
	
A little
	
Not at all

	
 
	
 
	
 
	
 
	
 

	
 
	
Very 
much
	
Quite a lot
	
Some 
what
	
A little
	
Not at all

	
28. Overall, I would say problems with my feet reduced my Quality of Life:
	
 
	
 
	
 
	
 
	
 

	
 
	
Excellent
	
Very good
	
Good
	
Fair
	
Poor

	
29. Overall, I would rate my quality of life as:
	
 
	
 
	
 
	
 
	
 

 

 

 

 

	
Page 62 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

APPENDIX 13: SF-36

This survey asks for your views about your health. This information will help keep track of how you feel and how well you are able to do your usual activities. Thank you for completing this survey!

For each of the following questions, please mark an x in the one box that best describes your answer.

	
1. 
	
In general, would you say your health is:

 

	
Excellent
	
Very good
	
Good
	
Fair
	
Poor

	
q
	
q
	
q
	
q
	
q

	
 £1
	
 £2
	
 £3
	
 £4
	
 £5

 

	
2.
	
Compared to one year ago, how would you rate your health in general now?

 

	
Much better

now than one

year ago
	
Somewhat

better now

than one year

ago
	
About the

same as one

year ago
	
Somewhat

worse now

than one year

ago
	
Much worse

now than one

year ago

	
q
	
q
	
q
	
q
	
q

	
 £1
	
 £2
	
 £3
	
 £4
	
 £5

 

SF-36v2TM Health Survey ©1996, 2000 by Quality Metric Incorporated and Medical Outcomes Trust. All Rights Reserved.

SF-36 ® is a registered trademark of Medical Outcomes Trust.

(SF-36v2 Standard, US Version 2.0)

	
3.
	
The following questions are about activities you might do during a typical day. Does your health now limit you in these activities? If so, how much?

 

	
 
	
 
	
Yes,

Limited

a lot

q
	
Yes,

Limited

a little

q
	
No, not

Limited

at all

q

	
a
	
Vigorous activities, such as running, lifting heavy objects, participating in strenuous
sports  
	
..........£1..........
	
..........£2..........
	
..........£3

	
b
	
Moderate activities, such as moving a table, pushing a vacuum cleaner, bowling, or playing golf
	
..........£1.........
	
..........£2..........
	
..........£3

	
c
	
Lifting or carrying groceries
	
..........£1.........
	
..........£2..........
	
..........£3

	
d
	
Climbing several flights of stair
	
..........£1.........
	
..........£2..........
	
..........£3

	
e
	
Climbing one flight of stairs
	
..........£1.........
	
..........£2..........
	
..........£3

	
f
	
Bending, kneeling, or stooping
	
..........£1.........
	
..........£2..........
	
..........£3

	
g
	
Walking more than a mile
	
..........£1.........
	
..........£2..........
	
..........£3

	
h
	
Walking several hundred yards
	
..........£1.........
	
..........£2..........
	
..........£3

	
i
	
Walking one hundred yards
	
..........£1.........
	
..........£2..........
	
..........£3

	
j
	
Bathing or dressing yourself
	
..........£1.........
	
..........£2..........
	
..........£3

 

 

	
Page 63 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

	
4. 
	
During the past 4 weeks, how much of the time have you had any of the following problems with your work or other regular daily activities as a result of your physical health?

 

							
	
 
	
 
	
All of
the time

q
	
Most of
the time

q
	
Some of
the time

q
	
A little 
of the 
time

q
	
None of 
the time

q

	
a
	
Cut down on the amount of time you spent on work or other activities
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

	
b
	
Accomplished less than you would 
like
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

	
c
	
Were limited in the kind of work or other

Activities
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

	
d
	
Had difficulty performing the work or other activities (for example, it took extra effort)
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

 

	
5. 
	
During the past 4 weeks, how much of the time have you had any of the following problems with your work or other regular daily activities as a result of any emotional problems (such as feeling depressed or anxious)?

 

							
	
 
	
 
	
All of
the time

q
	
Most of
the time

q
	
Some of
the time

q
	
A little 
of the 
time

q
	
None of 
the time

q

	
a
	
Cut down on the amount of time you spent on work or other activities
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

	
b
	
Accomplished less than you would like
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

	
c
	
Did work or other activities less carefully than usual
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

 

	
6. 
	
During the past 4 weeks, to what extent has your physical health or emotional problems interfered with your normal social activities with family, friends, neighbors, or groups?

 

	
Not at all

 
	
Slightly

 
	
Moderately

 
	
Quite a bit

 
	
Extremely

 

	
q
	
q
	
q
	
q
	
q

	
 £1
	
 £2
	
 £3
	
 £4
	
 £5

 

	
7.
	
How much bodilv pain have you had during the past 4 weeks?

 

	
None

 
	
Very mild

 
	
Mild

 
	
Moderate

 
	
Severe

 
	
Very Severe

 

	
q
	
q
	
q
	
q
	
q
	
q

	
 £1
	
 £2
	
 £3
	
 £4
	
 £5
	
 £6

 

 

	
Page 64 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

8.During the past 4 weeks, how much did pain interfere with your normal work
(including both work outside the home and housework)?

 

	
Not at all

 
	
A little bit 

 
	
Moderate

 
	
Quite a bit 

 
	
Extremely

 

	
q
	
q
	
q
	
q
	
q

	
 £1
	
 £2
	
 £3
	
 £4
	
 £5

 

	
9.
	
These questions are about how you feel and how things have been with you during the past 4 weeks. For each question, please give the one answer that comes closest to the way you have been feeling. How much of the time during the past 4 weeks....

 

							
	
 
	
 
	
All of
the time

q
	
Most of
the time

q
	
Some of
the time

q
	
A little 
of the 
time

q
	
None of 
the time

q

	
a
	
Did you feel full of life?
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

	
b
	
Have you been very nervous?
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

	
c
	
Have you felt so down in the dumps that nothing could cheer you up?
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

	
d
	
Have you felt calm and peaceful?
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

	
e
	
Did you have a lot of energy?
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

	
f
	
Have you felt downhearted and depressed?
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

	
g
	
Did you feel worn out?
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

	
h
	
Have you been happy?
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

	
i
	
Did you feel tried?
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

 

	
10.
	
During the past 4 weeks, how much of the time has your physical health or emotional problems interfered with your social activities (like visiting friends, relatives, etc.)?

 

	
All of the 
time 

 
	
Most of the 
time

 
	
Some of the 
time 

 
	
A little of the 
time 

 
	
None of the 
time

 

	
q
	
q
	
q
	
q
	
q

	
 £1
	
 £2
	
 £3
	
 £4
	
 £5

 

11.How TRUE or FALSE is each of the following statements for you?

 

							
	
 
	
 
	
Definitely true

q
	
Mostly 
true

q
	
Don’t
know

q
	
Mostly
false

q
	
Definitely
false

q

	
a
	
I seem to get sick a little easier than other people
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

	
b
	
I am as healthy as anybody I know
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

	
c
	
I expect my health to get worse
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

	
d
	
My health is excellent
	
.....£1.....
	
.....£2.....
	
.....£3.....
	
.....£4.....
	
......£5

 

	
Page 65 of 66
	
Version date: October  9, 2009

 

	
Sangamo BioSciences, Inc.
	
 

	
Protocol SB-509-0901 for Diabetic Neuropathy

 
	
Confidential

 

 

 

APPENDIX 14: GLOBAL ASSESSMENT

The following question will be asked of the subject according to the schedule outlined in Appendix 1: Schedule of Events:

 

			
	
How have you felt since your last visit?
	
£
	
Better 

	
 
	
£
	
Same

	
 
	
£
	
Worse

 

 

 

	
Page 66 of 66
	
Version date: October  9, 2009

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00244-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00244-of-00352.parquet"}]]