Document:

EX-10.12

 Exhibit 10.12 

TECHNOLOGY SUBLICENSE AGREEMENT 

This Sublicense Agreement (“Agreement”) is made effective this 1st day of June,
2011, by and between Convergen LifeSciences, Inc., a Delaware corporation (“Sublicensor”), and Introgen Research Institute, Inc., a Texas corporation (“Sublicensee”). 

RECITALS: 
 WHEREAS, a Patent and
Technology License Agreement dated July 20, 1994, was entered into between Board of Regents of the University of Texas System and Intron Therapeutics, Inc. (which later changed its name to Introgen Therapeutics, Inc.) (the “1994 MDA
Agreement”); and 
 WHEREAS, a Patent and Technology License Agreement dated September 30, 2006, was entered into between Board of
Regents of the University of Texas System and Introgen Therapeutics, Inc. (the “2006 MDA Agreement”); and 
 WHEREAS, the 1994 MDA
Agreement and the 2006 MDA Agreement granted licenses to Introgen Therapeutics, Inc. for the exploitation of the Licensed Technology (defined below) as well as other technologies; and 

WHEREAS, a Technology Sublicense Agreement dated April 7, 2007, was entered into between Introgen Therapeutics, Inc. and Introgen
Research Institute, Inc. wherein Introgen Therapeutics, Inc., sublicensed the Licensed Technology to Introgen Research Institute, Inc. (the “Introgen-IRI Sublicense”); and 

WHEREAS, by an Assignment and Collaboration Agreement dated March 13, 2009, Introgen Research Institute, Inc. assigned the Introgen-IRI
Sublicense herein; and 
 WHEREAS, Sublicensor and Sublicensee are parties to agreements whereby Sublicensor has obtained a State of Texas
Emerging Technology Fund award and a United States Treasury research grant, and Sublicensee has obtained a National Institutes of Health (“NIH”) grant and United States Treasury research grant, all for research and commercial development
of the Licensed Subject Matter (defined below) and Sublicensee will provides services to Sublicensor in in connection with such research in return for compensation; 

WHEREAS, said funding has funded and will continue to fund research at the University of Texas M.D. Ander Cancer Center (“UTMDACC”),
a component of the University of Texas System, which is the owner and licensor to Licensor of the Licensed Technology (defined below), and will provide funds to pay Sublicensee for services it will provide to Sublicensor; 

WHEREAS, Sublicensee is in the business of providing such services and desires to perform the services and be paid for them; 

 NOW, THEREFORE, to assist Sublicensee in obtaining funding for research and development which
will benefit Sublicensor, and in consideration of Sublicensee’s efforts to obtain funding, and in further consideration of Sublicensee’s services, and other good and valuable consideration, receipt and sufficiency of which is hereby
acknowledged by Sublicensor, Sublicensor and Sublicensee agree as follows: 
 AGREEMENT 

Definitions. The capitalized terms set forth in this section have the following meanings for purposes of this agreement: 

 

	 	(a)	“Affiliate” means an entity in which Sublicensee owns at least fifty percent (50%) of the equity ownership. 

  

	 	(b)	“License Agreement” means the Patent and Technology License Agreement between Sublicensor and the Board of Regents of the University of Texas System (the “Board”) dated July 20, 1994, including
all amendments thereto. 

  

	 	(c)	“Sublicensed Patents” means those patents and patent applications described on Schedule A attached hereto. 

  

	 	(d)	“Patent Rights” has the same meaning in this Agreement as it has in Section 2.3 of the License Agreement, except that for purposes of this Agreement Schedule A attached to this Agreement shall be
substituted for the Schedule A which is attached to the License Agreement. From time to time during the term of this Agreement, upon request of either party, Sublicensor and Sublicensee shall promptly update Schedule A to this Agreement to include
all patents and patent applications that are then within the Patent Rights under this Agreement. 

  

	 	(e)	“Licensed Products”, “Licensed Technology” and “Licensed Subject Matter” shall have the same meanings herein as are attributed to them in the License Agreement, after giving effect to the
substitution of Schedule A to this Agreement for Schedule A of the License Agreement. 

  

	 	(f)	“Territory” means the Licensed Territory as such term is defined in the License Agreement. 

  

	 	(g)	“Field” means the Licensed Field as such term is defined in the License Agreement. 

  

	 	(h)	“Net Sales” means gross revenues received by Sublicensee, its Affiliates or sublicensees, from a Sale, less discounts actually granted, sales and use taxes actually paid, import and/or export duties actually
paid, outbound transportation costs actually paid or allowed, and amounts actually allowed or credited due to returns, not exceeding the original billing amount. 

	 	(i)	“Sale” or “Sold” means the transfer or disposition of a Licensed Product for value, or with respect to products which are services, the provision of such services on a
fee-for-service basis, to a party other than Sublicensee or an Affiliate. 

  

	 	(j)	“Sublicense Income” means all consideration received by Sublicensee from a sublicense in consideration of a sublicense of the Licensed Subject Matter, including, but not limited to, up-front payments, marketing, distribution, franchise, option, license, bonus and milestone payments and equity securities. However, Sublicense Income specifically excludes: payments received by Sublicensee from a
sublicense as a result of purchase or sale of debt or equity securities of Sublicensee by such sublicensee, and (ii) payments for research and development of Licensed Products; and (iii) any royalties that Sublicensee receives for the
sublicensee’s sale of Licensed Products. 

 2. Sublicense Grant. Sublicensor hereby grants to Sublicensee a non-exclusive, fully paid, royalty free, perpetual, non-cancellable sublicense to manufacture, have manufactured, use and research Licensed Products and to otherwise exploit
Licensed Technology, but only for research purposes and not for commercial use, in the Field throughout the Territory, including the right to grant further sublicenses, it being intended that the sublicense herein granted covers all rights of
Sublicensor in the Licensed Subject Matter in the Field and in the Territory. For avoidance of doubt, it is intended hereby that this sublicense covers all rights of Sublicensor in the Sublicensed Patents and all of Sublicensor’s rights in any
technical information, know how, process, procedure, composition, biological materials, device, method, formula, protocol, technique, software, design, drawing, or data related to the subject matter of any Sublicensed Patent, whether or not covered
by Patent Rights, which is reasonably necessary for practicing an invention at any time covered by the Patent Rights. Sublicensee agrees to comply with the provisions of the License Agreement as they pertain to a sublicense, and to reasonably
cooperate with Sublicensor in performing its obligations under the Sublicense Agreement. 
 3. Patent Maintenance and Prosecution.
Sublicensor agrees to maintain, prosecute and continue in force all Sublicensed Patents, including preparing, filing, maintenance and prosecution of each Sublicensed Patent, as well as reissues, reexaminations and similar proceedings with respect to
each Sublicensed Patent, and the conduct of interferences, defense of oppositions, requests for term extensions, and similar proceedings with respect to each Sublicensed Patent; and including the payment of all license fees, royalties, annuities,
government fees and other fees and costs for the maintenance of such Sublicensed Patents. In the event that Sublicensor for any reason and at any time abandons or otherwise fails to maintain, prosecute, and enforce any Sublicensed Patent in any
country in the Territory, Sublicensor shall give Sublicensee reasonable advance written notice of such abandonment or other failure which notice shall in any event be given before Sublicensed Patent rights are lost in such country. In the event
Sublicensor abandons or otherwise fails to maintain, prosecute, or enforce any Sublicensed Patent in any country then Sublicensee shall have the right to assume the future maintenance, prosecution and enforcement, of such Sublicensed Patent; and
upon such assumption by Sublicensee the license granted herein shall automatically convert from non-exclusive to exclusive with respect to such Sublicensed Patent in each country in which Sublicensee assumes
such obligations, and Sublicensee’s rights hereunder will expand so that Sublicensee will have the right to use, manufacture, have manufactured, and sell Licensed Products, and generally to 

 
fully exploit Licensed Technology for commercial purposes, without execution of any further documents, and Sublicensee will become obligated to pay royalties as provided below. The above
provisions notwithstanding, neither Sublicensor, nor Sublicensee after assumption of the obligation to maintain, enforce and prosecute any Sublicensed Patent, shall be obligated to expend its funds for litigation in connection therewith. Subsequent
to assuming the obligation to maintain, enforce, and prosecute any Sublicensed Patent, Sublicensee shall be free to abandon same on a country by country basis. 

4. Additional Consideration. In the event this license is converted from non-exclusive to
exclusive as provided above, Subicensee shall after the date of conversion pay additional consideration as follows: 
  

	 	(a)	All out of pocket expenses incurred by Sublicensor after the conversion date in filing, prosecuting, enforcing and maintaining Patent Rights in each country in which this license has become exclusive for so long as this
Agreement and such Patent Rights remain in effect in such country. 

  

	 	(b)	Sublicensee shall pay all royalties with respect to Sublicensee’s sales and all other fees that may become due to Board, NIH, Introgen Therapeutics, Inc., or other licensors, their successors and assigns, with
respect to each patent in each country after the date of conversion to exclusivity in such country, for so long as Sublicensee desires to maintain such patent; however, Sublicensee may abandon any patetn without further obligation hereunder. For
avoidance of doubt, royalties payable by Sublicensee hereunder are the only royalties attributable to Sublicensee’s Sales that will be payable by Sublicensee. 

 

	 	(c)	All such payments are payable within thirty days after March 31, June 30, September 30, and December 31 of each year during the term of this Agreement, at which time Sublicensee shall also deliver to
Sublicensor a true and accurate report, giving such particulars of the business conducted by Sublicensee, its Affiliates and sublicensees during the preceeding three calendar months as necessary for Sublicensor to calculate Sublicensee’s
payments hereunder. At the time of delivery of each such report Sublicensee will pay the amount due for the period of the report. The reports are required even if no payment is due. 

 

	 	(d)	During the term of this Agreement and for one year thereafter, Sublicensee will keep complete and accurate records of its, its Affiliates and its sublicensees Sales and Net Sales sufficient to enable the royalties and
other payments due hereunder to be determined. Sublicensee will permit Sublicensor or its representatives, at Sublicensor’s expense, to examine Sublicensee’s records during regular business hours in order to verify any report required
under this Agreement. If any amounts due Sublicensor hereunder are determined to have been underpaid in an amount equal to or greater than five percent (5%) of the amount due during the period so examined, then Sublicensee will pay the cost of the
examination plus accrued interest on the underpayment at the highest rate allowed by law. 

 5. Confidentiality. In connection with the implementation of this Agreement, Sublicensee may receive
confidential, scientific, financial, or product information from Sublicensor, and Sublicensor may receive the same from Sublicensee, including information relating to Licensed Products and Licensed Technology. Such information, when given in
writing, shall be marked or otherwise identified as confidential when disclosed or, in the case of information given verbally, shall be identified as confidential at the time of such verbal disclosure. Both parties shall maintain the confidentiality
of the Confidential Information received from the other party, not disclose it to others (except with the permission of the disclosing party), and use it only in connection with this Agreement. Both parties will use reasonable efforts to assure that
all of their employees, consultants, contractors and others who have access to Confidential Information through them comply with the confidentiality obligations of this section. The parties’ obligation shall not apply to Confidential
Information which: (i) was in the receiving party’s possession as evidenced by written records prior to disclosure for the other party; (ii) was at the time of disclosure or becomes public through no fault of the receiving party;
(iii) is disclosed to the receiving party by a third party who has no obligation of confidentiality to the disclosing party; (iv) is independently developed by the receiving party without use of such Confidential Information of the other
party. A party receiving Confidential Information may disclose such information as required by law, court order, or order of an administrative agency to be disclosed, provided, however, that notice of such potential legally required disclosure shall
be provided to the disclosing party so the disclosing party may seek a protective order, and the receiving party shall assist the disclosing party in the event the disclosing party seeks to obtain such a protective order or use other legal means to
protect the confidential nature of the information. This section shall survive termination of this Agreement. 
 6. Notices. Notices required or
permitted hereunder shall be delivered by United States certified or registered mail, return receipt requested, by email or other electronic transmission with confirmation of receipt, by hand delivery, or in any other manner in which delivery
actually occurs, to the party at the address set forth below: 
  

					
	 Convergen LifeSciences, Inc.
 9015 Mountain
Ridge Drive
 Austin, TX 78759
 Attention: David G. Nance, Exec.
Chairman
	  	 Introgen Research Institute, Inc.
 115 Laura
Lane
 Austin, Texas 78746
 Attention Rodney Varner,
President
	  	

 Notices deposited in the United States mail will be deemed received five days after deposit, postage paid, in an official
United States mail receptacle. Other notices will be deemed received only upon actual receipt. A party may change its address for notice by giving the other party notice of change in the manner provided herein. 

7. Term. This Agreement will continue from the date hereof until expiration of the License Agreement pursuant to section 14.1 thereof, unless sooner
terminated as provided below. This Agreement will survive earlier termination of the License Agreement pursuant to section 14.2 thereof or otherwise. 

 8. Termination. This Agreement and the sublicense granted herein may be terminated by Sublicensor upon
material default by Sublicensee, provided that no default will be deemed to have occurred until Sublicensor shall have given Sublicensee written notice describing the default and the following period to cure: (a) thirty (30) days if the default
is a failure to pay money when due, and (b) a reasonable period, in the case of any other default. Further sublicenses granted hereunder shall survive termination of this Agreement. Sublicensee may terminate this Agreement as to any Sublicensed
Patent, on a country-by-country basis, by giving Sublicensor written notice of termination. All obligations of Sublicensee that accrue before termination shall survive
termination by Sublicensee. 
 9. Entire Agreement. This Agreement is the entire agreement of the parties with respect to the subject matter hereof,
and supersedes all prior agreements between the parties with respect thereto. 
 10. Multiple Counterparts: Copies: Electronic Transmission. This
Agreement may be executed in multiple counterparts, each of which shall be binding on the parties who sign it. Photocopies of this Agreement, and copies transmitted by electronic means, shall be effective as originals. 

11. WAIVER OF CONFLICTS OF INTEREST. SUBLICENSEE ACKNOWLEDGES THAT ATTORNEY RODNEY VARNER ASSISTED IN DRAFTING THIS AGREEMENT, AND IS AN ATTORNEY FOR LICENSOR
IN OTHER MATTERS AND IS ALSO A SHAREHOLDER AND OFFICER OF LICENSEE. LICENSOR AGREES THAT RODNEY VARNER DOES NOT REPRESENT LICENSOR WITH RESPECT TO THIS AGREEMENT, AND LICENSOR WAIVES ALL ACTUAL AND POTENTIAL CONFLICTS OF INTEREST OF RODNEY VARNER
AND ALL LAW FIRMS THAT HE IS NOW ASSOCIATED WITH OR MAY BECOME ASSOCIATED WITH IN THE FUTURE. LICENSOR AGREES THAT IT HAS HAD AMPLE OPPORTUNITY TO SEEK OTHER LEGAL COUNSEL REGARDING THIS AGREEMENT AND THIS WAIVER OF CONFLICTS OF INTEREST. 

 

							
	Signed effective as of the date first written above.
			
	LICENSOR:	 		 	CONVERGEN LIFESCIENCES, INC.
				
		 		 	By:	 	 /s/ DAVID G. NANCE

		 		 		 	David G. Nance, Executive Chairman
			
	LICENSEE:	 		 	INTROGEN RESEARCH INSTITUTE, INC.
				
		 		 	By:	 	 /s/ RODNEY VARNER

		 		 		 	Rodney Varner, President

 SCHEDULE A 

LICENSED PATENTS 
 Item l 

Patent Family Reference Number: 
 INGN:095 

Title: 
 Chromosome 3p21.3 genes are tumor suppressors 

Inventors: 
 L. Ji; J. Minna; J. Roth; M. Lerman 

Patent Application or Patent Numbers: 
 USA 20040016006 Serial
Number 101445,718 
 International: PCT/US2001/021781 
 Item 2

 Patent Family Reference Number: 
 INGN: 147 

Title: 
 Compositions and Methods Involving Gene Therapy and
Proteaseome Modulation 
 Inventors: 
 R. Ramesh; S. Chada 

Patent Application or Patent Numbers 
 USA: 111672,896 

International: PCT/US07/061883 
 Item 3 

Patent Family Reference Number: 
 INGN:160 

Title: 

 Bioactive FUSl Peptides and Nanoparticle-Polypeptide Complexes 

Inventors: 
 L. Lin; R. Arlinghaus; T. Sun; L. Ji; B. Ozpolat; G.
Berestein-Lopez; J. Roth 
 Patent Application or Patent Number: 

USA: 20060251726, Serial Number 375544 
 International: PCT/US
2006/009044 
 Item 4: 
 Patent Family Reference Number:
INRP:083 
 Title: 
 Methods and Compositions of Non-Viral Gene Therapy for Treatment of Hyperproliferative Diseases 
 Inventors: 

R. Ramesh; J. Roth; T. Saeki; D. Wilson 
 Patent Application or
Patent Numbers: 
 USA: Serial No. 60/135,818 

International: PCT/US2000/014350 

 SCHEDULE A 

LICENSED PATENTS 
 (Updated) 

This is Schedule A to the Technology Sublicense Agreement between Convergen LifeSciences, Inc. and Introgen Research Institute, Inc., updated
in accordance with Section 1(d) thereof. 
 Item 1: 

Patent Family Reference Number: 
 INGN:095 

Title: 
 Chromosome 3p21.3 genes are tumor suppressors 

Inventors: 
 L. Ji; J. Minna; J, Roth; M. Lerman 

Patent Application or Patent Numbers: 
 USA 20040016006 Serial
Number 101445,718 
 International: PCT/US2001 /021781 
 Item 2:

 Patent Family Reference Number: 
 INGN: 147 

Title: 
 Compositions and Methods Involving Gene Therapy and
Proteaseome Modulation 
 Inventors: 
 R. Ramesh; S. Chada 

Patent Application or Patent Numbers 
 USA: 111672,896 

International: PCT/US07/061883 
 Item 3 

Patent Family Reference Number: 
 INGN: 160 

Title: 

 Bioactive FUSl Peptides and Nanoparticle-Polypeptide Complexes 

Inventors: 
 L. Lin; R. Arlinghaus; T. Sun; L. Ji; B. Ozpolat; G.
Berestein-Lopez; J. Roth 
 Patent Application or Patent Number: 

USA: 20060251726, Serial Number 375544 
 International: PCT/US
2006/009044 
 Item 4: 
 Patent Family Reference Number:
INRP.083 
 Title: 
 Methods and Compositions of Non-Viral Gene Therapy for Treatment of Hyperproliferative Diseases 
 Inventors: 

R. Ramesh; J. Roth; T. Saeki; D. Wilson 
 Patent Application or
Patent Numbers: 
 USA: Serial No. 60/135,818 International: PCT/US2000/014350 

Item 5: 
 Patent Family Reference Number: INGN 164 

Title: 
 Methods and Compositions Related to Novel hTMC Promoter
and Vectors for Tumor-Selective and High-Efficient Expression of Therapeutic Genes 
 Inventors: 

L. Ji; B. Fang; J. Roth 
 Patent Application or Patent Numbers:

 11/372,246 
 Item 6: 

Patent family Reference Number: 
 INGN: 162 

Patent Application or Patent Numbers: 
 60/845,934 

 Updated effective the 1st day of June 2008. 

CONVERGEN LIFESCIENCES, INC. 
  

			
		 	 By: /s/ DAVID G.
NANCE                                        
            

		 	 David G. Nance, CEO

	
	 INTROGEN RESEARCH INSTITUTE, INC.

		
		 	 By: /s/ RODNEY
VARNER                                        
          

		 	 Rodney Varner, PresidentEX-10.13

 Exhibit 10.13 

AMENDED COLLABORATION AND ASSIGNMENT AGREEMENT 

This Amendment Collaboration and Assignment Agreement (“Agreement”) is made by and between Introgen Research Institute, Inc., a
Texas corporation (“IRI”) and Convergen LifeSciences, Inc., a Delaware corporation (“Convergen”) to be effective this first day of July, 2011. 

RECITALS 
 WHEREAS, a Patent and
Technology License Agreement was entered into between the Board of Regents of the University of Texas System and Introgen Therapeutics, Inc., with an effective date of July 20, 1994 (the “1994 MDA Agreement”); and 

WHEREAS, a Patent and Technology License Agreement was entered into between the Board of Regents of the University of Texas System and
Introgen Therapeutics, Inc., with an effective date of September 30, 2006 (the “2006 MDA Agreement”); and 
 WHEREAS, the
1994 MDA Agreement and the 2006 MDA Agreement are collectively referred to herein as the “MDA License Agreements”; and 
 WHEREAS,
a non-exclusive Technology Sublicense Agreement was entered into between Introgen Therapeutics, Inc., and IRI dated March 7, 2007, (the “Introgen-IRI
Sublicense”) whereby IRI sublicensed all rights of Introgen Therapeutics, Inc., under the MDA License Agreements with respect to those certain patent families described on Exhibit “A” attached thereto, and related know how, data, and
other technology (such patents, know how, and other technology being referred to herein as the “License Technology”); and 

WHEREAS, Introgen Therapeutics, Inc., subsequently filed for bankruptcy protection in the United States Bankruptcy Court for the Western
District of Texas, and pursuant to an agreement that was confirmed by the United States Bankruptcy Court, the sublicense rights of IRI set forth in the Introgen-IRI Sublicense became exclusive; and 

WHEREAS, by a Collaboration and Assignment Agreement between IRI and Convergen agreement dated March 13, 2009, IRI assigned the exclusive
Introgen-IRI Sublicense to Convergen; and 
 WHEREAS, subsequent to the assignment of the Introgen-IRI Sublicense Agreement from IRI to Convergen, IRI has continued to manage the patent portfolio described therein, clinical trials, and a federal grant pertaining to the Licensed Technology; 

WHEREAS, pursuant to the Collaboration and Assignment Agreement, Convergen and IRI have worked to advance commercialization of the Licensed
Technology, which technology is sometimes referred to as “a targeted nanomolecular therapy product for the treatment of cancer”; and 

  
 1 

 WHEREAS, IRI has the opportunity to license additional technologies from MD Anderson that are
important to the development and Commercialization of Convergen’s product candidates; 
 WHEREAS, IRI has long-standing credit
relationships with crucial vendors and service providers, including University of Texas MD Anderson Cancer Center (“MD Anderson”) and Fulbright & Jaworski, LLP; which credit relationships vendors are critical to the development of
the Licensed Technology; and 
 WHEREAS, funding of continued commercialization of the Licensed Technology through Convergen LifeSciences,
Inc. is uncertain, and continued availability of credit from said vendors and service providers is critical; and 
 WHEREAS, IRI has
experience in obtaining and administering federal grant funding, as well as funding from private sources; and 
 WHEREAS, IRI has experience
in pharmaceutical development, including negotiation and administration of clinical trial contracts, and in dealing with regulatory matters, including those with the FDA; and 

WHEREAS, Convergen desires to obtain the right to sublicense additional technologies from IRI, and desires for IRI to continue making its
expertise, credit relationships with critical vendors and service providers, and other assistance available to Convergen; 
 NOW, THEREFORE,
Convergen and IRI agree as follows: 
 AGREEMENT 

1. Sublicense. IRI has the right to sublicense from MD Anderson the technology described below in this section (the “License
Opportunity”). In consideration of the financial payments, the royalties, and other covenants of Convergen provided herein, IRI grants to the License Opportunity on the identical terms that IRI receives from MD Anderson. The License Opportunity
is described as: 
 U.S. Provisional Patent Application No. 61/512,244 TUSC2 Therapies for Cancer 

Methods of predicting a response to a TUSC2 (also known as FUS1) therapy, improved constructs of TUSC2 preparations including use of a “mini-CMV promoter” and TUSC2 therapy combined with EGFR TKI drugs (UTSC.P1085US). 
 Convergen may exercise
this option by giving written notice of exercise to IRI within five years after the date hereof, after which the option will expire. 
 2.
Assistance. IRI agrees to continue providing the following assistance to Convergen: assist with management of Convergen’s patent portfolio, negotiation and administration of contracts relating to Convergen’s clinical trials; and
general management of regulatory affairs; assisting in obtaining grants and private funding; and managing other legal matters. 

  
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 3. Consideration. In consideration of the sublicense rights, expertise and assistance
provided hereunder, Convergen will pay to IRI the sum of thirty thousand dollars ($30,000) per month during the term hereof. 
 4. Product
royalty. Further, Convergen hereby grants to IRI and agrees to pay to IRI, its successors and assigns, a perpetual running royalty equal to one-percent (1%) of all Net Sales of Licensed Products (as such
capitalized terms are defined below), made by Convergen, its sublicensees, successors, assigns, and Affiliates (defined below). For avoidance of doubt, in the event that Convergen ever owes a royalty upon product sales to the Board of Regents of the
University of Texas System, University of Texas MD Anderson Cancer Center, or Introgen Therapeutics, Inc., or their successors or assigns, pursuant to the Introgen-IRI Sublicense Agreement, the 1994 MDA
License, or the 2006 MDA License, as same may be amended from time to time hereafter, or under any other agreement providing for payment of royalties, with respect to the Licensed Technology or any component thereof, or would owe such a royalty if
any of any of such agreements continued in effect at that time, then Convergen will also owe the one-percent (1%) royalty to IRI provided herein. This royalty obligation shall continue for twenty-one (21) years after termination of the last to terminate of the MDA License Agreements and the Introgen-IRI Sublicense. This royalty obligation is not dependent
upon the validity or existence of any patent. 
 5. Payments. Such royalty payments are due and payable within 30 days after
March 31, June 30, September 30, and December 31 of each year during the term of this Agreement, at which time Convergen shall also deliver to IRI a true and accurate report, giving such particulars of the business conducted by
Convergen, its Affiliates, successors, assigns, and sublicenses during the preceding three calendar months as necessary for IRI to calculate IRI’s payments hereunder. At the time of delivery of each such report Convergen will pay the amount due
for the period of the report. The reports are required even if no payment is due. 
 6. Records. During the term of this Agreement and
for one year thereafter, Convergen will keep complete and accurate records of its, its Affiliates’, assigns’ and sublicensees’ Sales and Net Sales (as such terms are defined in the Introgen-IRI
Sublicense Agreement) sufficient to enable the royalties and other payments due hereunder to be determined. Convergen will permit IRI or its representatives, at IRI’s expense, to examine Convergen’s records during regular business hours in
order to verify any report required under this Agreement. If any amounts due IRI hereunder are determined to have been under paid in an amount equal to or greater than 5% of the amount due during the period so examined, then Convergen will pay the
cost of the examination plus accrued interest on the underpayment at the highest rate allowed by law. 
 7. Affiliate defined. For
purposes of this Agreement, the terms “Affiliate” shall mean, with respect to a party, any entity or association that, directly or indirectly through one or more intermediaries, controls or is controlled by or is under common control of
the party. For purposes of this definition, the term “control” shall mean directly or indirectly owning or having 

  
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the power to vote more than 50% of the voting rights in any entity or association. The terms “Net Sales” and “Licensed Products” shall have the meanings attributed to them in
the Introgen-IRI Sublicense, applied as if the patents and patent applied for that are described on Exhibit A thereto are granted and remain valid throughout the term of the royalty obligation set forth above.
For avoidance of doubt, it is understood that some or all of such patents may not be granted or may expire before the expiration of the royalty obligation provided therein. 

8. Binding upon successors. In the event of any sublicense, assignment or other transfer of Licensed Technology by Convergen, Convergen
shall include contractual terms binding each such assignee, sublicensee or other transferee to the terms of Sections 4, 5, 6, 7 and8 of this Agreement; and obligating such assignee, sublicensee or other transferee, at the option of IRI, to pay the
required royalties directly to IRI. However, such terms will not release Convergen from this royalty obligation except to the extent that such royalties are actually paid. 

9. Confidentiality. In connection with the implementation of this Agreement, IRI may receive confidential, scientific, financial, or
product information from Convergen, and Convergen may receive the same from IRI, including information relating to methods and methodologies. Such information, when given in writing, shall be marked or otherwise identified as confidential when
disclosed or, in the case of information given verbally, shall be identified as confidential at the time such verbal disclosure. Both parties shall maintain the confidentiality of the Confidential Information received from the other party, not
disclose it to others (except with permission of the disclosing party), and use it only in connection with this Agreement. Both parties will use reasonable efforts to assure that all of their employees, consultants, contractors and others who have
access to the Confidential Information through them comply with the confidentiality obligations of this section 4. The parties’ obligation shall not apply to Confidential information which: (i) was in the receiving party’s possession
as evidenced by written records prior to disclosure by the other party; (ii) was at the time of disclosure or becomes public knowledge through no fault of the receiving party; (iii) is disclosed to the receiving party by a third party
which has no obligation of confidentiality to the disclosing party; or (iv) is independently developed by the receiving party without use of such information, provided however that any combination of elements of information shall not be deemed
to be excluded from the class of Confidential Information by reason of each such element satisfying one or more of the exclusions set forth in clauses (i) through (iv) of this sentence unless the combination itself satisfies one or more such
exclusions. 
 A party receiving Confidential Information may disclose such information as required by law, court order or the order of an
administrative agency to be disclosed, provided however that notice of such potential legally required disclosure shall be provided to the disclosing party so the disclosing party may seek a protective order, and the receiving party shall assist the
disclosing party in the event disclosing seeks to obtain such a protective order or utilize other legal means to protect the confidential nature of the information. 

10. Limitation of Liability. UNDER NO CIRCUMSTANCES SHALL IRI BE LIABLE TO CONVERGEN OR ANY THIRD PARTY CLAIMING BY OR THROUGH CONVERGEN
FOR ANY CONSEQUENTIAL, SPECIAL, INDIRECT, OR EXEMPLARY DAMAGES. FURTHER, IN ANY EVENT, THE AMOUNT OF DAMAGES 

  
 4 

 
RECOVERABLE BY CONVERGEN FROM IRI SHALL AT ALL TIMES BE LIMITED TO THE AMOUNT OF FEES (EXCLUDING OUT OF POCKET EXPENSES) COLLECTED BY IRI FROM CONVERGEN UNDER SECTION 3 HEREOF FOR THE 12 MONTHS
PRECEDING THE DATE WHEN SUCH CLAIM IS FIRST ASSERTED AGAINST IRI. IN THE EVENT OF MULTIPLE CLAIMS, THE MAXIMUM AGGREGATE AMOUNT OF DAMAGES ALLOWABLE TO CONVERGEN SHALL BE THE AMOUNT OF FEES ACTUALLY COLLECTED BY IRI WITHIN THE 12 MOHTHS PRECEDING
THE DATE OF THE LAST CLAIM ASSERTED AGAINST IRI BY CONVERGEN. 
 12. Indemnification. CONVERGEN SHALL DEFEND, INDEMNIFY AND HOLD
HARMLESS IRI, ITS SHAREHOLDERS, DIRECTORS, MANAGERS, OFFICERS, EMPLOYEES AND AGENTS (COLLECTIVELY THE “IRI INDEMNITIES”) FROM AND AGAINST ANY AND ALL LIABILITY, LOSS, EXPENSE (INCLUDING REASON ATTORNEYS FEES) IN CONNECTION WITH ALL THIRD
PARTY CLAIMS FOR INJURY OR DAMAGES ARISING OUT OF OR IN CONNECTION WITH SERVICES PROVIDED HEREUNDER, INCLUDING BUT NOT LIMITED TO THIRD PARTY CLAIMS OF INTELLECTUAL PROPERTY INFRINGEMENT, AND CLAIMS BASED UPON ALLEGED NEGLIGENCE OF IRI IN PERFORMING
ITS SERVICES. CONVERGEN’S OBLIGATION TO INDEMNIFY IRI PURSUANT TO THIS AGREEMENT SHALL BE CONTINGENT UPON IRI PROVIDING NOTIFICATION TO CONVERGEN OF ANY CLAIM, SUIT OR SERVICE OF PROCESS; AND CONVERGEN’S OPPORTUNITY TO PARTICIPATE IN THE
CONDUCT OF THE DEFENSE AND SETTLEMENT OF ANY SUCH CLAIM, DEMAND OR SUIT. 
 13. Term. The term of this Agreement shall commence on
the date set forth above and shall continue thereafter for a period of two years, unless sooner terminated as provided below. This Agreement will automatically renew for addition consecutive periods of one year each unless either party gives written
notice to the other of termination prior to the end of any then current term. In addition, either party shall, without further notice have the immediate right to terminate this Agreement if any of the following events or conditions occur: 

 

	 	a.	A petition for bankruptcy is filed by or against either party hereto, which is not discharged within 60 days; 

  

	 	b.	A default by the other party hereto in the performance of any material obligation under the terms of this Agreement is not cured within 30 days of such party’s receipt of written notice of such default.

 The royalty obligation in Section 4 shall continue through the term specified in Section 4, and shall not be affected by
termination or expiration of other provisions of this Agreement for any reason. 
 14. Miscellaneous. 

 

	 	a.	 Notices. All notices, demands or other communications given hereunder shall be deemed to have been duly
given only upon hand delivery thereof or upon the first business day after mailing by United States mail, postage 

  
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prepaid, addressed as set forth above, or to such other address or such other person as any party shall designate in writing to the other for such purposes and in the manner set forth herein.
Notices are to be addressed as follows: 
  

					
	   To Convergen:
	  	 Convergen LifeSciences, Inc.
	  	
		  	 9015 Mountain Ridge Drive, Suite 140
	  	
		  	 Austin, Texas 78759
	  	
			
	   To IRI:
	  	 Introgen Research Institute, Inc.
	  	
		  	 c/o Rodney Varner

115 Laura Lane
	  	
		  	 Austin, Texas 78746
	  	

 or to such other address or such other person as any party shall designate in writing to the other for such purposes and in
the manner hereinafter set forth. 
  

	 	b.	Entire Agreement. This Agreement sets forth all the promises, covenants, agreements, conditions and understandings between the parties hereto, and supersedes all prior and contemporaneous agreements,
understandings, inducements or conditions, expressed or implied, oral or written, between the parties with respect to the subject matter hereof. 

  

	 	c.	Binding Effect; No Assignment. This Agreement shall be for the benefit of and be binding upon the parties hereto, their heirs, administrators, successors and assignees. 

 

	 	d.	Amendment. The parties hereby agree that no attempted amendment, modification, elimination, revision or changes (collectively “Amendment”) of this Agreement shall be valid and effective unless such
Amendment is in writing and signed by a duly authorized officer or representative of IRI and signed by a duly authorized officer or representative of Convergen. 

  

	 	e.	No Waiver. No waiver of any provision of this Agreement shall be effective unless it is in writing and signed by the party against who it is asserted, and any such written waiver shall only be applicable to the
specific instance to which it relates and shall not be deemed to be a continuing or future waiver. 

  

	 	f.	Counterparts. This Agreement and any amendments may be executed in one or more counterparts, each of which shall be deemed an original, but all of which together will constitute one and the same instrument.

  
 6 

	 	g.	Headings. The paragraph headings contained in this Agreement are inserted for convenience only and shall not affect in any way the meaning or interpretation of this Agreement. 

 

	 	h.	Governing Law, Venue. This Agreement shall be construed, without regard to principals of conflicts of law, in accordance with the laws of the State of Texas and any proceeding arising between the parties in any
manner pertaining or related to this Agreement shall, to the extent permitted by law, be held in Travis County, Texas. 

  

	 	i.	Further Assurances. The parties hereto will execute and deliver such further instruments and do such further acts and things as may be reasonably required to carry out the intent and purposes of this Agreement.

  

	 	j.	Severability. This Agreement is intended to be performed in accordance with, and only to the extent permitted by, all applicable laws, ordinances, rules, and regulations of the jurisdiction in which the parties
do business. If any provision of this Agreement or the application thereof to any person or circumstances shall, for any reason or to any extent, be invalid or unenforceable, the remainder of this Agreement and the application of such provision to
other persons or circumstances shall not be affected thereby, but rather shall be enforced to the greatest extent permitted by law. 

15. WAIVER OF CONFLICTS OF INTEREST. CONVERGEN ACKNOWLEDGES THAT RODNEY VARNER IS AN ATTORNEY WHO REPRESENTS CONVERGEN IN VARIOUS LEGAL MATTERS
AND ALSO REPRESENTS IRI AND IS AN OFFICE AND SHAREHOLDERS OF IRI. VARNER PARTICIPATED IN NEGOTIATING AND DRAFTING THIS AGREEMENT. CONVERGEN WAIVES ALL ACTUAL, APPARENT, AND POTENTIAL CONFLICTS OF INTEREST, NOW AND IN THE FUTURE, OF RODNEY VARNER,
WILSON & VARNER, LLP, MATHESON, KEYS, GARSSON AND KORDZIK, AND ANY OTHER LAW FIRM WITH WHICH VARNER MAY NOW OR IN THE FUTURE BE ASSOCIATED. CONVERGEN HAS HAD THE OPPORTUNITY TO SEEK AND OBTAIN OTHER LEGAL COUNSEL WITH RESPECT TO THIS
AGREEMENT AND THIS WAIVER, AND IN FACT AT THIS TIME HAS OTHER LEGAL COUNSEL. 
 Signed to be effective the date first written above. 

 

			
	CONVERGEN LIFESCIENCES, INC.
		
	By:	 	 /s/ DAVID G. NANCE

		 	David G. Nance, Executive Chairman

  
 7 

 
			
	INTROGEN RESEARCH INSTITUTE, INC.
		
	By:	 	 /s/ RODNEY VARNER

		 	Rodney Varner, President

  
 8

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