Document:

Amendment No. 6 to License Agreement Dated as of April 13, 2002

 EXHIBIT 10.1 
 Portions of this Exhibit were omitted and filed separately with the Secretary of the Commission pursuant to an application for confidential treatment filed with the Commission pursuant to Rule 24b-2 under the Securities Exchange Act of
1934. Such omissions are designated as ***. 
  
 AMENDMENT NO. 6 TO

 LICENSE AGREEMENT 
 DATED AS OF APRIL 13, 2002 
 BY AND BETWEEN 
 UNIGENE LABORATORIES, INC. 
 AND 
 SMITHKLINE BEECHAM CORPORATION 
 This Amendment No. 6
(“Amendment No. 6”) dated as of April 9, 2008 (the “Amendment Date”) to the License Agreement dated as of April 13, 2002, as amended on January 27, 2007, January 16, 2003, October 14, 2003, May 27, 2004 and September 23, 2004
(referred to hereinafter as the “Agreement”) by and between Unigene Laboratories, Inc. (“Unigene”), a Delaware corporation, and SmithKline Beecham Corporation, a GlaxoSmithKline Company (“GSK”), a Pennsylvania
corporation. 
 WHEREAS, GSK and Unigene entered into the Agreement to provide for the license grant by Unigene to GSK of certain
Licensed Technology to discover, develop, make, have made, market, sell and import certain Licensed Products throughout the world under the Unigene Patent Rights (as defined in the Agreement) and Unigene Know-How; and 
 WHEREAS, GSK and Unigene have also entered into a Phase I Clinical Manufacture and Supply Agreement dated November 20, 2002 (the “Phase I
Agreement”); and 
 WHEREAS, pursuant to Section 11.10 of the Agreement, the Parties to the Agreement may, by written instruments
specifically referring to and executed in the same manner as the Agreement, amend the Agreement; and 
 WHEREAS, the Parties hereto
desire to amend the Agreement as provided herein, and any capitalized terms used but not defined herein shall have the meaning set forth in the Agreement; 
 NOW THEREFORE, for and in consideration of the premises and the mutual promises and benefits contained herein, GSK and Unigene hereby agree as follows: 
 1.    (a)    Unigene shall conduct a research program *** for the Licensed Product *** (the “Research Program”). The
Research Program shall ***. Except as otherwise provided herein, the scope, protocols and outcomes of the Research Program shall be solely determined by Unigene, after consultation with GSK, and it is anticipated that the Research Program will be
completed within *** from the date hereof (the “Completion Date”). The Research Program shall be *** by Unigene. Unigene shall have the right, in its sole discretion, to terminate the Research Program at any time for any reason. ***
Unigene shall provide to GSK all study data, reports and other information generated during the course of the Research Program through the date of termination reasonably necessary *** to determine in its sole discretion *** whether to ***. Such ***
period *** to not more than *** upon written notice from *** to *** prior to *** then the Parties will negotiate in good faith ***. If *** then the Parties shall keep it confidential and shall not *** disclose it to any third party during the Term
of the Agreement. ***. 
 (b)    In the event that GSK either (i) *** or (ii) *** then Unigene shall have the right to
*** the Research Results shall be deemed Unigene Know-How and Unigene Confidential Information as provided in Paragraph 5(b) hereof. 

 2.    GSK agrees and consents to the use by Unigene of the Licensed Technology for the limited and
sole purpose of conducting the Research Program. GSK further agrees to *** providing to Unigene such clinical study results, development batch records, tablets and such other data, documents, materials and samples related to the Research Program as
Unigene may reasonably request, ***. *** GSK shall either (i) provide to Unigene the information or materials requested, or (ii) provide a written response setting forth its reasons for failing to deliver any of the requested information or
materials. 
 3.    Unigene hereby agrees and acknowledges that *** under the Agreement ***, due or payable for any activities ***
conducted pursuant to the Research Program. 
 4.    Immediately upon the completion of the Research Program, *** Unigene shall provide
to GSK a written notice of such completion accompanied by sufficient information (including without limitation such final reports) with respect to the results, findings and data generated by the Research Program to enable GSK to ***. Unigene shall
also provide GSK with such additional information with respect to the results, findings and data generated by the Research Program as may be reasonably requested by GSK. ***, GSK shall *** for a purchase price of *** (the “Research Purchase
Price”). *** Unigene shall not offer any Third Party rights to the Research Results. 
 5.    (a)    In the
event that *** GSK shall so notify Unigene *** and all Research Results *** shall automatically be deemed *** Confidenital Information and shall be subject to the rights granted to Unigene in Article 2 and Section 6.2 of the Agreement. The physical
transfer of the Research Results by Unigene and the payment of the Research Purchase Price by GSK shall be made ***. 
 (b)    In the event *** if GSK notifies Unigene in writing *** such Research Results *** shall automatically be deemed *** Confidential Information. In such event, Unigene shall have the right to *** and the provisions
of *** shall apply as if *** pursuant to Section ***. For the avoidance of doubt, the foregoing *** provision shall be an addition to, and not a replacement of, the *** rights afforded to the Parties in *** of the Agreement. 
 (c)    In the event that *** or *** then within the *** period following the date *** shall have the right to submit to *** written
notice that *** becoming effective on the date that is *** days after the date of such *** notice. *** treated as if it *** pursuant to Section *** of the Agreement. For the avoidance of doubt, the foregoing *** provision shall be an addition to,
and not a replacement of, the *** rights afforded to the Parties in *** of the Agreement. 

 6.    Notwithstanding Sections 4 and 5 of this Amendment No. 6, if Unigene provides GSK with any ***
data arising from the Research Program prior to the completion of the Research Program, GSK shall have the option, *** to *** acquire all of the then-existing and future Research Results, if any, in exchange for *** prior to completion of the
Research Program. GSK may ***. ***, it may elect to require Unigene to continue the Research Program at GSK’s cost and expense. For the avoidance of doubt, if Unigene provides data, reports and other information to GSK upon early termination of
the Research Program pursuant to Section 1 above, and GSK ***, then the payment to Unigene *** shall cover transfer to GSK of all Research Results, including any data, reports or other information provided under Section 1 ***. 
 7.    Unigene may in its discretion *** conduct ***. If Unigene conducts such *** GSK may elect to acquire the results thereof, ***. If GSK elects to
so acquire such results, ***. 
 8.    Except as specifically provided herein, all other terms and conditions of the Agreement shall
remain in full force and effect, and this Amendment No. 6 to the Agreement shall not be construed to amend or waive any provisions of the Agreement except as specifically set forth above. 
 9.    This Amendment No. 6 to the Agreement, and the rights and obligations of the Parties hereunder, shall be construed in accordance with, and
governed by the laws of the Commonwealth of Pennsylvania (without regard to its conflict of laws principles). 
 10.    This Amendment
No. 6 may be executed in two (2) or more counterparts, each of which shall be deemed an original but all of which together shall constitute one and the same instrument. 
 11.    This Amendment No. 6 shall inure to the benefit of and be binding upon GSK and Unigene and their respective successors, heirs and assigns. 
 IN WITNESS WHEREOF, the Parties hereto have caused this Amendment to be duly executed by their authorized representatives as of the Amendment Date. 
  

									
	UNIGENE LABORATORIES, INC.	 		 	 SMITHKLINE BEECHAM CORPORATION,
 a
GlaxoSmithKline Company

					
	By:	 	 /s/ Ronald S. Levy
	 		 	By:	 	 /s/ Carol G. Ashe

	Name:	 	Ronald S. Levy	 		 	Name:	 	Carol G. Ashe
	Title:	 	Executive Vice President	 		 	Title:	 	Vice President & SecretaryAgreement by and between Shijiazhuang Pharmaceutical Group Company

 EXHIBIT 10.2 
 Portions of this Exhibit were omitted and filed separately with the Secretary of the Commission pursuant to an application for confidential treatment filed with the Commission pursuant to Rule 24b-2 under the Securities Exchange Act of
1934. Such omissions are designated as ***. 
 AGREEMENT BETWEEN SHIJIAZHUANG PHARMACEUTICAL GROUP 
 COMPANY, LTD. AND UNIGENE LABORATORIES, INC. 
 This Agreement (the “Agreement”), dated as of April 23, 2008, is entered into by Shijiazhuang Pharmaceutical Group Company, Ltd., a legal person established under the laws of the People’s Republic of China
(“SPG”), and Unigene Laboratories, Inc., a corporation under the laws of the State of Delaware in the United States (“Unigene”). 
 WHEREAS, SPG and Unigene previously entered into that certain Joint Venture Contract, dated June 15, 2000 (the “Joint Venture Agreement”) pursuant to which they formed an equity joint venture in
Shijiazhuang (the “JV”); 
 WHEREAS, SPG and Unigene now wish to enter into this additional agreement regarding certain
related and separate matters; and 
 WHEREAS, the SPG and Unigene are entering into a technology transfer agreement (the “Technology
Transfer Agreement”). 
 NOW, THEREFORE, in consideration of the covenants, representations and warranties set forth herein, and for
other good and valuable consideration the receipt and sufficiency of which are hereby acknowledged, the parties agree as follows: 
 Phase I 

 Establish the SPG Unigene Biotechnology Research Institute (The “Institute”) with a Registered Capital of ***. Unigene shall contribute
*** and SPG shall contribute ***.This legal entity will *** to continue the IDP registration for Injectable and Nasal sCT as well as to develop the joint venture initial marketing strategy and to establish and supervise building the distribution
network in China. The Institute will also be responsible for overseeing the planning and development of the cGMP Manufacturing Facilities planned for Phase II. The manufacturing facility will be designed and operated under standards that are
compliant with FDA regulations regarding cGMP manufacturing. The Institute will also be responsible for *** as well as its possible ***. 
 The Institute
will be the legal entity that will apply for Government Grants for New Drug development in China. Any grants obtained from the Government shall be used solely for research purposes and the funds will be credited to the parties according to their
equity participation (SPG 55% and Unigene 45%). Any contribution by either party (SPG or Unigene) to The Institute including but not 

 
limited to the registered capital of The Institute will be credited as their respective cash contribution obligation for the JV. 
 The Institute shall serve as the research platform for improvement of existing technologies, new drug development, clinical studies, and market research. 
 Phase II 
 Register the JV under the name Unigene Biotechnology
Co., Ltd. China with Registered Capital of 7 million dollars. 
 Equity Contribution 
 The original JV Contract and all articles contained within stipulate: Unigene’s contribution is $2.7 million, $900,000 in cash and $1.8 million in technology. It is
revised as follows: 
 Unigene shall contribute technologies and expertise in constructing and managing the technology platform represented by the Institute
and the JV which includes sCT bacterial fermentation technology and all formulations for sCT (including updated innovations), and recombinant production of PTH. Unigene’s technology contribution to the JV shall be valued as 30% of the $15
million capital investment, i.e. $4.5 million. Unigene’s cash contribution shall be $1,050,000, which is counted as 15% of the equity position for registered capital in the JV. 
 As for other drugs selected and decided by both parties, the value of technology contributed by Unigene shall be agreed on case-by-case basis. 
 Concerning cash contribution in capital investment and possible increases during the course of the construction and operation for JV, Unigene is given the following options: 
  

	 	1.	To fulfill its cash contribution according to the terms of the Contract; 

  

	 	2.	Elect not to contribute cash and have its equity participation adjusted accordingly; 

  

	 	3.	SPG will provide Unigene’s portion of the cash contribution; Unigene has two years from the time when a contribution is made, to repay all or part of this no-interest loan
through an equity share transfer agreement and Unigene’s equity participation will be adjusted accordingly. 

  

	 	4.	If Unigene elects to not repay the “loan” the provisions of Option #2 comes into effect. 

 The JV can apply for a loan with SPG serving as the guarantor. 
 Both parties can agree to recruit third party investment to
replace part or the entire remaining cash obligation of Unigene and/or SPG. Equity position of the party(ies) shall be adjusted accordingly. 
 Unigene shall
make best efforts to ***. 

 Unigene shall provide Conceptual Design Plans for the cGMP Manufacturing Facility and provide assistance to assure cGMP
compliance according to ICH guidelines and standards for the facility and its operations. 
 The facilities shall be located in the Economy &
Technology Developing Zone of Shijiazhuang, with land of approximately ***. In the event the JV decides to purchase the land SPG shall insure legitimate transfer of the title to this land to the JV within *** from the registration of the JV.

 Office Facilities shall be shared with the NBP subsidiary of SPG. Power supply, waste treatment and water will be assured by SPG. 
 Other Provisions 
 At Unigene’s election, Unigene and SPG
or its affiliates and transferees shall cooperate and take all actions required to cause the JV to be treated as a partnership for U.S. tax purposes by filing Form 8832 (Entity Classification Election) or any successor form, including providing any
signatures required necessary to make such elections. 
 Chapter IX (Arbitration) of the Technology Transfer Agreement is incorporated by reference herein
and the parties agree that its terms shall control and be binding regarding any disputes which arise in connection with this Agreement. 
 This Agreement
supersedes all previous negotiations, commitments and writings with respect to the subject matter above, including, without limitation, the “Addendum SPG-Unigene Joint Venture signed June 16, 2000” executed in December 2007.

 Following the execution of this Agreement, SPG and Unigene agree to discuss which amendments to the Joint Venture Agreement, Articles of Association of
the JV and/or the Technology Transfer Agreement are required in light of this Agreement and discussions occurring in connection with this Agreement, and the parties agree to use their best efforts to prepare, negotiate and execute such amendments,
if deemed necessary or appropriate. 
 Signed by: 
 Representative of Shijiazhuang Pharmaceutical Group Corporation. 
 /s/Cai Dongchen, Chairman 
  
 Representative of Unigene Laboratories, Inc. 
 /s/Warren P. Levy, President and Chief Executive Officer 
  
 Shijiazhuang, Hebei Province, PRC.

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00146-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00146-of-00352.parquet"}]]