Document:

Separation Agreement and General Release of Claims dated April 4, 2003

  EXHIBIT 10.4
 SEPARATION
AGREEMENT
AND
GENERAL RELEASE OF CLAIMS
 This Separation Agreement and General Release of
Claims (hereinafter “Agreement”) is entered into by and between Robert E. Sobol, M.D. (hereinafter “Employee”) and Corautus Genetics Inc. (hereinafter “Corautus” or “Company”).
 RECITALS
 A.
Corautus (formerly known as GenStar Therapeutics Corporation) is a corporation and is doing business in the State of California.
 B.
Employee has been employed by Corautus as President.

 C.
Effective March 31, 2003, Employee will
resign his position with Corautus to pursue other interests. 
 D.
Employee desires to settle and compromise any and all possible claims and disputes he has against Corautus arising out of their relationship to
date, and to provide for a General Release of any and all such claims. 
 AGREEMENT
 1.
Termination of Employment.
 a.
Employee agrees that his resignation from employment with
Corautus shall be effective and that his employment relationship with Corautus shall terminate as of March 31, 2003. 
 b.
Corautus shall pay Employee the sum of Ninety-Three Thousand Five Hundred Ninety-Three and 46/100 Dollars ($93,593.46) less applicable payroll taxes, on the eighth day after execution hereof in complete and full satisfaction of all accrued wages, salary and vacation pay owed by Corautus to Employee. 
 c.
Employee hereby resigns as President and Director of
Corautus effective March 31, 2003. 
 2.
Separation Pay/Consideration.
 Eight (8) days after Employee’s execution of this Agreement, Employee shall become eligible to receive the
following consideration:
 

  a.
In consideration of
the covenants and releases of all claims other than Age Discrimination in Employment Act of 1967 (“ADEA”) claims given herein, Corautus will provide the following consideration to Employee: 
 i.
Corautus will issue to Employee options for 50,000
shares of Common Stock of Corautus at an exercise price of $.01 per share. Shares of Common Stock issued pursuant to the exercise of such options will be subject to the GenStar Stockholders Agreement among GenStar Therapeutics Corporation, Employee
and others dated September 12, 2002. 
 ii.
Corautus will extend the time period to exercise vested Corautus stock options from 90 days from the termination of employment date as set forth in Section 1 of this Agreement, to two (2) years from the termination of employment date as set
forth in Section 1 of this Agreement. 
 iii.
Corautus will continue to provide the existing medical and life insurance coverage elected by Employee under Corautus’s group health insurance and life insurance plans or will provide comparable medical insurance coverage to Employee and
his spouse and eligible dependent children for a period of six (6) months from March 31, 2003, with Corautus to pay the entire premium for such coverage. 
 iv.
As additional consideration for the favorable provisions in this Agreement, Corautus agrees to assign to Employee or
an entity designated by him, to the extent assignable, all of its right, title and interest, if any, which Corautus now has, in and to the grants, pending grants, patents and patent applications listed on Exhibit A and the intellectual property or
inventions of Corautus which are solely associated therewith, together with all reasonably related written, graphic and/or machine readable materials, research and development documentation, grant related documents and reagents reasonably associated
therewith (collectively “Property”); provided that (A) all such assignments of the Property will be AS IS and without any representation or warranty of any kind, express or implied, and subject to all liabilities, defects or encumbrances
associated therewith; (B) Corautus is released in writing by all applicable parties from all obligations and liabilities, whenever arising, with respect to such grants, pending grants, patents, patent applications and licenses and as part of and as
a condition to such transfers, and such parties agree to look solely to Employee or the entity designated by him for all performance required in connection therewith; (C) Employee will have the burden and sole expense of obtaining all needed
consents and preparing all agreements and documents for all such transfers, which shall comply with the foregoing and shall be subject to Corautus’s review and approval.
 
2

  v.
Corautus agrees to
execute such reasonably required additional documents and perform such reasonable acts as are reasonably necessary to effectuate the intent of this Agreement, including without limitation the assignment set forth in subsection iv above, which are
not, in Corautus’ sole opinion, unduly burdensome. Further, effective immediately upon such assignment, Corautus shall have no right or obligation to: (1) continue prosecution of patent applications that are part of the Property; (2) maintain
any existing patents that are part of the Property; (2) enforce any patents; or (3) take any action in furtherance of prosecuting or exploiting patent applications, patents, grants or pending grants. 
 b.
In consideration of the covenants and releases of all
ADEA claims given herein, Corautus will issue to Employee options for 50,000 shares of common stock of Corautus at an exercise price of $.01 per share, such shares being in addition to the shares under 2(a)(i) above. Shares of Common Stock issued
pursuant to the exercise of such options will be subject to the GenStar Stockholders Agreement among GenStar Therapeutics Corporation, Employee and others dated September 12, 2002
 c.
Release of All Claims Except ADEA
Claims.
 a.
In consideration of the separation
payment/consideration described in Section 2a of this Agreement, which Employee would otherwise not be entitled to except for signing this Agreement, Employee does hereby unconditionally, irrevocably and absolutely release and discharge Corautus,
its owners, directors, officers, employees, agents, attorneys, stockholders, insurers, divisions, predecessors, successors and assigns, and any related holding, parent, sister or subsidiary corporations from any and all loss, liability, claims,
demands, causes of action or suits of any type, whether in law and/or in equity, related directly or indirectly, or in any way connected with any transaction, affairs or occurrences between them to date, including, but not limited to,
Employee’s employment with Corautus and the termination of said employment. This Agreement specifically applies, without limitation, to any and all contract or tort claims, claims for wrongful termination, and claims arising under Title VII of
the Civil Rights Act of 1991, the Americans with Disabilities Act, the Equal Pay Act, the California Fair Employment and Housing Act, the Fair Labor Standards Act, the Family and Medical Leave Act, the California Family Rights Act, the California
Labor Code, the Employee Retirement Income Security Act of 1974, and any and all federal or state statutes or provisions governing discrimination in employment except the federal statute specifically excluded hereafter. This release specifically
excludes any and all loss, liability, claims, demands, causes of action or suits of any type arising under the ADEA. Employee’s release of ADEA claims will be addressed separately in Section 2(d) of this Agreement.
 
3

  b.
Employee does expressly waive all of the benefits
and rights granted to him pursuant to California Civil Code section 1542, which reads as follows:
 A GENERAL RELEASE DOES NOT EXTEND TO
CLAIMS WHICH THE CREDITOR DOES NOT KNOW OF OR SUSPECT TO EXIST IN HIS FAVOR AT THE TIME OF EXECUTING THE RELEASE, WHICH IF KNOWN BY HIM MUST HAVE MATERIALLY AFFECTED HIS SETTLEMENT WITH THE DEBTOR.
 Employee does certify that he has read all of this Agreement, including the release provisions contained herein and the quoted Civil Code section, and that he fully understands all of the same.
Employee hereby expressly agrees that this Agreement shall extend and apply to all unknown, unsuspected and unanticipated injuries and damages, as well as those that are now disclosed.
 c.
Employee irrevocably and absolutely agrees that he will not prosecute nor allow to be
prosecuted on his behalf, in any administrative agency, whether federal or state, or in any court, whether federal or state, any claim or demand of any type related to the matters released above, it being the intention of the parties that with the
execution by Employee of this release, Corautus, its owners, directors, officers, employees, agents, attorneys, stockholders, insurers, divisions, predecessors, successors and assigns, and any related holding, parent, sister or subsidiary
corporations will be absolutely, unconditionally and forever discharged of and from all obligations to or on behalf of Employee related in any way to the matters discharged herein.
 d.
Release of All ADEA Claims.
 a.
This section of the Agreement exclusively addresses
Employee’s release of claims arising under federal law involving discrimination on the basis of age in employment (age forty and above). This section is provided separately, in compliance with federal law, including but not limited to the Older
Workers’ Benefit Protection Act of 1990, to ensure that Employee clearly understands his rights so that any release of age discrimination claims under federal law (the Age Discrimination in Employment Act of 1967 (“ADEA”)) is knowing
and voluntary on the part of Employee.
 b.
Employee represents,
acknowledges and agrees that Corautus has advised him, in writing, to discuss this Agreement with an attorney, and to that extent, if any, that Employee has desired, Employee has done so; that Corautus has given Employee forty-five (45) days from
receipt of this Agreement to review and consider this Agreement before signing it, and Employee
 
4

  understands that he may use as much of this forty-five (45) day period as he wishes prior to signing; and that no promise,
representation, warranty or agreements not contained herein have been made by or with anyone to cause him to sign this Agreement; that he has read this Agreement in its entirety, and fully understands and is aware of its meaning, intent, content and
legal effect; and that he is executing this release voluntarily and free of any duress or coercion.
 c.
Employee represents, acknowledges and agrees that he has reviewed Exhibit B, attached to this Agreement, which sets forth the
job titles and ages of employees whose current position have been impacted by the reorganization and the relevant job titles and ages of employees who were not impacted by the reorganization.
 d.
The parties acknowledge that for a period of seven (7) days following the
execution of this Agreement, Employee may revoke the Agreement, and the Agreement shall not become effective or enforceable until the revocation period has expired. This Agreement shall become effective eight (8) days after it has been signed
by Employee and Corautus, and in the event the parties do not sign on the same date, then this Agreement shall become effective eight (8) days after the date it is signed by Employee. 
 e.
In consideration of the separation payment made to Employee described in Section 2b
of this Agreement, which Employee would otherwise not be entitled to except for signing this Agreement, Employee does hereby unconditionally, irrevocably and absolutely release and discharge Corautus, its owners, directors, officers, employees,
agents, attorneys, stockholders, insurers, divisions, predecessors, successors and assigns, and any related holding, parent, sister or subsidiary corporations from any and all loss, liability, claims, demands, causes of action or suits of any type
arising under the ADEA and related directly or indirectly to Employee’s employment with Corautus and the termination of said employment. 
 f.
Employee does expressly waive all of the benefits and rights granted to him pursuant to California Civil Code section 1542, which reads as follows:
 A GENERAL RELEASE DOES NOT EXTEND TO CLAIMS WHICH THE CREDITOR DOES NOT KNOW OF OR SUSPECT TO EXIST IN HIS FAVOR AT THE TIME OF EXECUTING THE RELEASE, WHICH IF
KNOWN BY HIM MUST HAVE MATERIALLY AFFECTED HIS SETTLEMENT WITH THE DEBTOR.
 
5

  Employee does certify that he has read all of this Agreement, including the release provisions contained herein and the quoted Civil Code
section, and that he fully understands all of the same. Employee hereby expressly agrees that this Agreement shall extend and apply to all unknown, unsuspected and unanticipated ADEA injuries and damages, as well as those ADEA injuries and damages
that are now disclosed.
 e.
Confidentiality/Non-Disparagement.
 Employee agrees that all matters relative to this Agreement shall remain confidential.
Accordingly, Employee hereby agrees that, with the exception of his spouse, counsel and tax advisors, he shall not discuss, disclose or reveal to any other persons, entities or organizations, whether within or outside of Corautus, the terms and
conditions of this Agreement. Employee agrees not to make any derogatory or adverse statements, written or verbal, regarding Corautus or any of its present or former directors, officers or employees, to anyone. Additionally, Employee acknowledges
and reaffirms responsibility under the Confidential Information and Inventions Assignment Agreement signed upon employment with Corautus.
 f.
Entire Agreement. 
 The
Parties further declare and represent that no promise, inducement or agreement not herein expressed has been made to them and that this Agreement contains the full and entire agreement between and among the Parties, and that the terms of this
Agreement are contractual and not a mere recital.
 g.
Applicable Law. 
 The
validity, interpretation, and performance of this Agreement shall be construed and interpreted according to the laws of the State of California.
 h.
Dispute Resolution. 
 Any
dispute arising out of or related to this Agreement shall be resolved through binding arbitration through JAMS/Endispute in San Diego, California, under the then current applicable rules of JAMS/Endispute. Each party shall be responsible for its or
his own costs and attorneys’ fees in connection with the arbitration.
 i.
Complete Defense.
 This
Agreement may be pleaded as a full and complete defense against any action, suit or proceeding which may be prosecuted, instituted or attempted by either party in breach thereof.
 j.
Severability.

6

  If any provision of this Agreement, or part thereof, is held invalid, void or voidable as against public policy or otherwise, the
invalidity shall not affect other provisions, or parts thereof, which may be given effect without the invalid provision or part. To this extent, the provisions, and parts thereof, of this Agreement are declared to be severable. 
 k.
No Admission of Liability.
 It is understood that this Agreement is not an admission of any liability by any person, firm, association or corporation but is in compromise of a
disputed claim.
 l.
Successors and
Assigns.
 This Agreement shall be binding upon and inure to the benefit of the parties hereto and their respective heirs, legal
representatives, successors and assigns.
 IN WITNESS WHEREOF, the undersigned have executed this Agreement on the dates shown
below.
   

	  
 	  
 	  
 
	 
 Dated: April 4, 2003
 	  
 	 
 /s/ ROBERT E. SOBOL, M.D.
 
	  
 	  
 	 
 
	  
 	  
 	 Robert E. Sobol, M.D.
 

  

	  
 	  
 	 Corautus Genetics Inc.
 
 
 
	 
 Dated: April 4, 2003
 	  
 	 By: 
 	 
 /s/ RICHARD E. OTTO
 
	  
 	  
 	  
 	 
 
	  
 	  
 	 Richard E. Otto, Chief Executive Officer
 

 
7

  EXHIBIT A
 Grants
  

	  
 	  
 	  
 
	 
 	 
 	 
 
	 Number/Status/Duration
 	  
 	 Title/Purpose
 
	 
 	 
 	 
 
	 R43 A1054065-01
 	  
 	 PEGylation of Max-Ad Vectors to Enhance Gene Delivery
 
	 
 	 
 	 
 
	 R43 AI055121-01
 	  
 	 Liposome Enhancement of Max-Ad Vector Gene Delivery
 
	 
 	 
 	 
 
	 R43 AI50324-02
 	  
 	 A Max-Ad Vaccine for Mucosal Immunity to HIV
 
	 
 	 
 	 
 
	 R43 CA 83156
 	  
 	 Complimentary Adenoviral Vectors for Treatment of Prostate Cancer (Phase I)
 
	 
 	 
 	 
 
	 R44 CA 83156
 	  
 	 Complimentary Adenoviral Vectors for Treatment of Prostate Cancer (Phase II)
 
	 
 	 
 	 
 
	 R44 HL 63477-03
 	  
 	 A Max-Ad Vector for Treatment of Hemophilia Factor VIII Deficiency
 
	 
 	 
 	 
 

 
 Licenses to Cover the Following Patents and Patent Applications
  

	  
 
	 
 
	 INDEX TO FOREIGN PATENT FILES [MBHB]
 
	 
 
	 No.
 	  
 	 Case No.
 	  
 	 Title
 	  
 	 Inventor
 	  
 	 Serial No.
 	  
 	 Vol.
 	  
 	 Patent Issued
 	  
 	 Location
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 MINI-AD
 
	 
 
	 1
 	  
 	 96,2087-B
 (PCT)
 	  
 	 Mini Ad Vector
 Filed: 12/4/97
 	  
 	 Zhang et al
 	  
 	 PCT/US97/10218
 	  
 	  
 	  
 	  
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 1.1
 	  
 	 96,2087-B
 (PCT)
 	  
 	 References to #1
 	  
 	 Zhang et al
 	  
 	 PCT/US97/10218
 	  
 	  
 	  
 	  
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 1.2
 	  
 	 96,2087-B
 (PCT)
 	  
 	 References to #1
 	  
 	 Zhang et al
 	  
 	 PCT/US97/10218
 	  
 	  
 	  
 	  
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 1.3
 	  
 	 96,2087-B
 (PCT)
 	  
 	 References to #1
 	  
 	 Zhang et al
 	  
 	 PCT/US97/10218
 	  
 	  
 	  
 	  
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 2
 	  
 	 96,2087-D
 (PCT)
 	  
 	 Factor VIII Mini-Ad Vector
 Filed: 12/18/97
 CASE WITHDRAWN PER 
 	  
 	 Josephs, et al
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 

 
8

	  
 
	 
 
	 INDEX TO FOREIGN PATENT FILES [MBHB]
 
	 
 
	 No.
 	  
 	 Case No.
 	  
 	 Title
 	  
 	 Inventor
 	  
 	 Serial No.
 	  
 	 Vol.
 	  
 	 Patent Issued
 	  
 	 Location
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	  
 	  
 	  
 	  
 	 EMILY MAIO 1/14/98
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 3
 	  
 	 96,2087-E
 (PCT)
 	  
 	 Factor VIII Mini-Ad Vector
 Filed: 05/19/98
 	  
 	 Zhang et al
 	  
 	 PCT/US98/10330
 	  
 	  
 	  
 	  
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 4
 	  
 	 96,2087-F
 (EPO)
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 5
 	  
 	 96,2087-G
 (CAN)
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 6
 	  
 	 96,2087-H
 (JP)
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 7
 	  
 	 96,424-I
 (PCT)
 	  
 	 Mini-Adenoviral Vector System for Vaccination
 Filed: 7/20/01
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 8
 	  
 	 96,2087-O
 	  
 	 Mini-Ad Vector for Immunization
 Filed: 4/18/02
 	  
 	  
 	  
 	 PCT/US02/12237
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 CELL LINES
 
	 
 
	 9
 	  
 	 96,424-C
 (PCT)
 	  
 	 Adenovirus E-1
 Complimenting Cell Lines
 Filed: 2/23/98
 	  
 	 Ayares, et al
 	  
 	 PCT/US98/03473
 	  
 	  
 	  
 	  
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 10
 	  
 	 96,424-D
 (EPO)
 	  
 	 Adenovirus E-1
 Complimenting Cell Lines
 	  
 	 Ayares, et al.
 	  
 	 98 908 661.6
 	  
 	  
 	  
 	  
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 11
 	  
 	 96,424-E
 (CAN)
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 12
 	  
 	 96,424-F
 (JP)
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 DUAL-AD SYSTEM
 
	 
 
	 13
 	  
 	 97,087-A
 (PCT)
 	  
 	 AN ONCOLYTIC/IMMUNOGENIC
COMPLEMENTARY-ADENOVIRAL VECTOR SYSTEM
 	  
 	 Alemany et al.
 	  
 	 PCT/US98/01301
 	  
 	  
 	  
 	 WO
  98/35028
 08/13/98
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 14
 	  
 	 97,087-C
 (EPO)
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 15
 	  
 	 96,424-D
 (JP)
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 16
 	  
 	 96,424-E
 (CAN)
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 BASIC AD VECTORS
 
	 
 
	 17
 	  
 	 96,2088-A
 (PCT)
 	  
 	 Methods for Highly Efficient Generation of Adenoviral Vectors
 Filed: 12/19/97
 	  
 	 Dai
 	  
 	 PCT/US/97/23685
 	  
 	  
 	  
 	 WO
 98/32860
 07/30/98
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 

 
9

	  
 
	 
 
	 INDEX TO FOREIGN PATENT FILES [MBHB]
 
	 
 
	 No.
 	  
 	 Case No.
 	  
 	 Title
 	  
 	 Inventor
 	  
 	 Serial No.
 	  
 	 Vol.
 	  
 	 Patent Issued
 	  
 	 Location
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 17.1
 	  
 	 96,2088-A
 (PCT)
 	  
 	 References for #16
 	  
 	 Dai
 	  
 	 PCT/US/97/23685
 	  
 	  
 	  
 	 WO
 98/32860
 07/30/98
 	  
 	 RES 3-1
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 

  

	  
 
	 
 
	 INDEX TO RADIATION SENSITIZATION PATENTS
 [CAMPBELL & FLORES]
 
	 
 
	  
 	  
 	 UCLA
 Ref.
 	  
 	 C&F
 Docket
 	  
 	 Title
 	  
 	 Inventor
 	  
 	 Serial No.
 	  
 	 Patent
 	  
 	 Issued
 	  
 	 Location
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 1.
 	  
 	 LA 96-
 569-1
 	  
 	 P-UL-
 1932
 	  
 	 Tumor Radiosensitization using Gene Therapy; Filed: 2/2/96
 	  
 	 McBride
 	  
 	 US 08/597,524
 	  
 	 US 6,051,218
 	  
 	 4/18/00
 	  
 	 RES 3-3
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 2.
 	  
 	 LA 96-
 569-01
 	  
 	 P-UL-
 1932
 	  
 	 Tumor Radiosensitization using Gene Therapy [CIP 08/597,524; filed 1/23/98
 	  
 	 McBride
 	  
 	 08/597,524
 	  
 	 LA 96-569-01
 	  
 	  
 	  
 	 RES 3-3
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 3.
 	  
 	 LA 96-
 569-2
 	  
 	 P-UL 
 4032
 	  
 	 Tumor Radiosensitization using Gene Therapy; filed 3/24/00
 	  
 	 McBride
 	  
 	 09/535,654
 	  
 	 LA 96-569-2
 	  
 	  
 	  
 	 RES 3-3
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 4.
 	  
 	 LA 96-
 569-1
 	  
 	 FP-UL 
 2407
 	  
 	 Combined Radiotherapy and Immunotherapy to Treat Cancer [Filed: 1/31/97]
 	  
 	 McBride
 	  
 	 PCT/US97/01465
 	  
 	  
 	  
 	  
 	  
 	 RES 3-3
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 5.
 	  
 	 LA 96-
 569-1
 	  
 	 FP-UL 
 3204
 	  
 	 Combined Radiotherapy and Immunotherapy to Treat Cancer [Filed: 1/31/97]
 	  
 	 McBride
 	  
 	 Canada Pat. App: 2,244,841
 	  
 	  
 	  
 	  
 	  
 	 RES 3-3
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 6.
 	  
 	 LA 96-
 569-01
 	  
 	 FP-UL 
 3205
 	  
 	 Combined Radiotherapy and Immunotherapy to Treat Cancer [Filed: 1/31/97]
 	  
 	 McBride
 	  
 	 Europe Pat. App: 97904085.4
 	  
 	  
 	  
 	  
 	  
 	 RES 3-3
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 7.
 	  
 	 LA 96-
 569-1
 	  
 	 FP-UL 
 3206
 	  
 	 Combined Radiotherapy and Immunotherapy to Treat Cancer [Filed: 1/31/97]
 	  
 	 McBride
 	  
 	 Japanese Pat. App: 9-527808
 	  
 	  
 	  
 	  
 	  
 	 RES 3-3
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 8.
 	  
 	 LA 96-
 569-1
 	  
 	 FP-UL 
 3896
 	  
 	 Combined Radiotherapy and Immunotherapy to Treat Cancer [Filed: 1/31/97]
 	  
 	 McBride
 	  
 	 Hong Kong Pat. App. 99104559.7 (European Pat. No. 0 907 720)
 	  
 	  
 	  
 	  
 	  
 	 RES 3-3
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 

  

	  
 
	 
 
	 INDEX TO ADENOVIRAL VECTOR
 U.S. PATENT FILES [MBHB]
 
	 
 
	 No.
 	  
 	 Case No.
 	  
 	 Title
 	  
 	 Inventor
 	  
 	 Serial No.
 	  
 	 Vol.
 	  
 	 Dates
 	  
 	 Patent Issued
 	  
 	 Location
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 MINI-AD
 
	 
 
	 1.1
 	  
 	 96,424
 	  
 	 Mini-Adenoviral Vector System (parent) Filed 5/31/96
 	  
 	 Zhang, et al.
 	  
 	 08/658,961
 	  
 	 I
 	  
 	 5/31//96
 through
 6/10/98
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 1.2
 	  
 	 96,424
 	  
 	 Mini-Adenoviral Vector System (parent) 
 	  
 	 Zhang, et al.
 	  
 	 08/658,961
 	  
 	 II
 	  
 	 6/12/98
 through
 2/26/01
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 

 
10

	  
 
	 
 
	 INDEX TO ADENOVIRAL VECTOR
 U.S. PATENT FILES [MBHB]
 
	 
 
	 No.
 	  
 	 Case No.
 	  
 	 Title
 	  
 	 Inventor
 	  
 	 Serial No.
 	  
 	 Vol.
 	  
 	 Dates
 	  
 	 Patent Issued
 	  
 	 Location
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 1.3
 	  
 	 96,424
 	  
 	 Mini-Adenoviral Vector System (parent)
 	  
 	 Zhang, et al.
 	  
 	 08/658,961
 	  
 	 III
 	  
 	 8/25/00 to
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 2
 	  
 	 96,424-G
 	  
 	 Mini-Adenoviral Vector System for Vaccination (Continuation of 96,424)
 FILED:
7/20/00
 	  
 	 Zhang, et al
 	  
 	 08/619,938
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 3
 	  
 	 96,2087
 	  
 	 Factor VIII Mini-Ad Vector (CIP of 96,424)
 Filed 1/27/97
 ABANDONED
 	  
 	 Josephs et al
 	  
 	 08/791,021
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 4.1
 	  
 	 96,2087-A
 	  
 	 Factor VIII Mini-Ad Vector (CIP of 96,424)
 Filed 1/13/97
 	  
 	 Josephs, et al
 	  
 	 08/791,218
 	  
 	 I
 	  
 	 1/31/97 through 4/99
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 4.2
 	  
 	 96,2087-A
 	  
 	 Factor VIII Mini-Ad Vector (CIP of 96,424)
 Filed 1/13/97
 	  
 	 Josephs, et al
 	  
 	 08/791,218
 	  
 	 II
 	  
 	 4/99 to 2/16/01
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 5.1
 	  
 	 96,2087-C
 	  
 	 Mini-Ad Vector (CIP of 96,424 and 96,2087-A)
 Filed: 5/30/97; Amended 10/23/97
 	  
 	 Zhang, et al.
 	  
 	 08/866,403
 	  
 	 I
 	  
 	 8/21/97 to 1/19/99
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 5.2
 	  
 	 96,2087-C
 	  
 	 Mini-Ad Vector (CIP of 96,424 and 96,2087-A)
 Filed: 5/30/97; Amended 10/23/97
 	  
 	 Zhang, et al.
 	  
 	 08/866,403
 	  
 	 II
 	  
 	 8/19/99 to 12/26/00
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 6
 	  
 	 96,2087-I
 	  
 	 Minimal Adenoviral Vector System for FVIII Gene Therapy (Cont of 96,2087-C)
 Filed: 4/18/01
 	  
 	 Zhang et al
 	  
 	 09/837,079
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 7
 	  
 	 96,2087-J
 	  
 	 Development and Application of a Minimal- Adenoviral Vector System for Gene Therapy of Hemophilia A: Thrombosis and Haemostasis, 82(2): 562-571 (1999)
[Provisional APPLICATION WITH NEW DATA, incorporated into 96,2087-L
 Filed: 4/18/00
 	  
 	 Zhang, et al
 	  
 	 60,197,734
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 8
 	  
 	 96,2087-K
 	  
 	 Sustained High-Level Expression of Full-Length Human Factor VIII and Restoration of Clotting Activity in Hemophilic Mice Using Minimal Adenovirus Vector.
Blood, 95(3): 820 (2/1/00) [Provisional, incorporated into 96,2087-L] 
 	  
 	 Balague, et al
 	  
 	 60,198,501
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 

 
11

	  
 
	 
 
	 INDEX TO ADENOVIRAL VECTOR
 U.S. PATENT FILES [MBHB]
 
	 
 
	 No.
 	  
 	 Case No.
 	  
 	 Title
 	  
 	 Inventor
 	  
 	 Serial No.
 	  
 	 Vol.
 	  
 	 Dates
 	  
 	 Patent Issued
 	  
 	 Location
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	  
 	  
 	  
 	  
 	 Filed: 4/18/00
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 9
 	  
 	 96,2087-L
 	  
 	 Mini-Ad Vector and Methods of Using Same [Provisional Application; includes data from 96,2087 J & K, and the use of immunomodulators (i.e., anti-CD4 with
mini-AD.
 Filed: 5/1/01 
 	  
 	 Fang and
 Hariharan
 	  
 	 60/287,850
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 10
 	  
 	 MBHB00-
 1104
 	  
 	 Mini-Ad Mediated Recombinant Vaccine [Provisional App]
 Filed 10/10/00
 	  
 	 Fang
 	  
 	 Prov: 60/239,224
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 11
 	  
 	 MBHB00-
 1130
 	  
 	 HIV/HPV Mini-Ad Vaccine [Provisional App]
 Filed 10/19/00
 	  
 	 Fang 
 	  
 	 Prov: 60/241,625
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 CELL LINES
 
	 
 
	 12.1
 	  
 	 96,424-B
 	  
 	 Adenovirus E1-Complementing Cell Lines (CIP of 96,424)
 Filed: 3/4/97
 Unintentionally abandoned and revived as
96,424-H
 	  
 	 Ayares, et al.
 	  
 	 08/810,039
 	  
 	 I
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 12.2
 	  
 	 96,424-B
 	  
 	 Adenovirus E1-Complementing Cell Lines (CIP of 96,424)
 Filed: 3/4/97
 Unintentionally abandoned and revived as
96,424-H
 	  
 	 Ayares, et al.
 	  
 	 08/810,039
 	  
 	 II
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 13
 	  
 	 96,424-H
 	  
 	 Adenovirus E-1 Complementing Cell Lines (Continuation of 96,424-B, which was unintentionally abandoned Filed: 2/8/01 with request to revive 96,424-B, which
was granted
 	  
 	 Ayares, et al
 	  
 	 09/779,570
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 DUAL-AD SYSTEM
 
	 
 
	 14.1
 	  
 	 97,087
 	  
 	 Oncolytic/Immunogenic Complementary Adenoviral Vector System Filed: 2/10/97 
 	  
 	 Alemany, et al
 	  
 	 08/797,160
 	  
 	 I
 	  
 	 2/10/97
 through
 5/30/00
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 14.2
 	  
 	 97,087
 	  
 	 Oncolytic/Immunogenic Complementary Adenoviral Vector System
 Filed: 2/10/97; Cont. 5/22/02
 Patent issued
6/11/02
 	  
 	 Alemany, et al
 	  
 	 08/797,160
 	  
 	 II
 	  
 	 8/11/00
 through
 2/12/01
 	  
 	 US 6,403,370
 B1 
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 

 
12

	  
 
	 
 
	 INDEX TO ADENOVIRAL VECTOR
 U.S. PATENT FILES [MBHB]
 
	 
 
	 No.
 	  
 	 Case No.
 	  
 	 Title
 	  
 	 Inventor
 	  
 	 Serial No.
 	  
 	 Vol.
 	  
 	 Dates
 	  
 	 Patent Issued
 	  
 	 Location
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 15
 	  
 	 97,087-B
 	  
 	 Oncolytic/Immunogenic Complimentary Adenoviral Vector System [Adds new data related to liver and prostate cancer along with DNA sequences] (CIP of
97,087)
 Filed: 3/31/00
 	  
 	 Alemany, et al
 	  
 	 09/539,698
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 BASIC AD VECTORS
 
	 
 
	 16.1
 	  
 	 96,2088
 	  
 	 Methods for Highly Efficient Generation of Adenoviral Vectors
 Filed: 1/28/97
 	  
 	 Dai
 	  
 	 08/789,886
 	  
 	 I
 	  
 	 1/28/97 through 5/1/98
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 16.2
 	  
 	 96,2088
 	  
 	 Methods for Highly Efficient Generation of Adenoviral Vectors
 Filed: 1/28/97
 	  
 	 Dai
 	  
 	 08/789,886
 	  
 	 II
 	  
 	 6/4/98 through 2/1/01
 	  
 	  
 	  
 	 RES 3-2
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 17
 	  
 	 MBHB 01-
 1207
 	  
 	 Methods of Treatment with Viral Vectors (TGf-Beta blocker)
 Filed: 9/20/01
 	  
 	  
 	  
 	 60/323,644
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 18
 	  
 	 MBHB 01-
 1700
 	  
 	 Vaccine and Cancer Therapy Vectors (Genetic Dual Ad Contracts)
 Filed: 1/10/02
 	  
 	  
 	  
 	 60/347,707
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 
	 19
 	  
 	 MBHB 02-
 308
 	  
 	 Materials and Methods for the Production of Biological Compositions (Liposomes / PEG)
 Filed: 4/29/02
 	  
 	  
 	  
 	 60/376,350
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 	  
 
	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 	 
 

 
13Fourth Amendment to Master Energy Efficiency Services Agreement

  EXHIBIT 10.95
 FOURTH AMENDMENT TO
MASTER ENERGY EFFICIENCY SERVICES AGREEMENT
BETWEEN
CITY OF SAN
DIEGO, CALIFORNIA
AND
ONSITE ENERGY CORPORATION
 Phase 4
Police Department Headquarters
Energy Efficiency and Self-Generation
Project
This Fourth Amendment to Master Energy Efficiency Services Agreement (this “Amendment”) is made as of January ___, 2003, by and between Onsite Energy Corporation
(“Onsite”) and the City of San Diego, California (“Customer”) (collectively, the “Parties”) (capitalized terms used herein, unless otherwise defined, shall have the meanings ascribed thereto in the Master ESA, defined
below), with reference to the following:
      A.     Onsite and Customer entered into that certain Master Energy Efficiency Services Agreement dated as of
November 22, 1999 (the “Master ESA”), whereby Onsite agreed to provide to Customer, or arrange for the provision of, certain ECMs at Customer’s facilities (the “Project”).
      B.     Pursuant to the terms of the Master ESA, the Parties agreed to amend the Master ESA to implement the various phases of the Project. The Parties now desire to amend
the Master ESA to implement Phase 4 of the Project. The Master ESA and this Amendment collectively shall be referred to herein as the “Agreement.”
 NOW, THEREFORE, for other good and valuable
consideration, the sufficiency of which is hereby acknowledged, the Parties agree as follows:
      1.     PHASE 4 - SCOPE OF
SERVICES:      For Phase 4 only and subject to the provisions of this Amendment, the ECMs set forth on Exhibit 1 attached hereto and incorporated herein are to be installed, and the Work described in
Exhibit 1 performed, at Customer’s facilities listed on Exhibit 2 attached hereto and incorporated herein, which Customer owns (the “Facilities”). Comfort Levels (if applicable) for Phase 4 shall be determined during the
Design/Review Phase. In accordance with the terms and conditions of the Master ESA, Onsite hereby assigns to Customer all manufacturers’ warranties for all ECMs installed under this Amendment. The scope of the Work set forth in Exhibit 1
may be modified by Onsite and Customer in connection with the design reviews of the Work by Onsite and Customer consistent with the financial parameters of the Phase, all as set forth in Section II of the Master ESA. The financial parameters of
Phase 4 are set forth in the proforma attached hereto as Exhibit 8; provided, however, that the Parties understand and agree that, notwithstanding anything to the contrary in Section II of the Master ESA, the proforma attached hereto as
Exhibit 8 is for the scope of the Work set forth in Exhibit 1 and thus the proforma may be modified by the Parties as they modify and finalize the scope of the Work for Phase 4. Additionally, the Total Capital Cost set forth in Section
4 below is for the scope of the Work set forth in Exhibit 1, and the Total Capital Cost of Phase 4 will be modified and finalized by the Parties in connection with the design reviews so long as the Total Capital Cost shall not exceed the
not-to-exceed amount of the Total Capital Cost set forth in Section 4 (unless otherwise agreed by the Parties).

		
	City of San Diego – Phase 4	 
	Fourth Amendment to Master ESA	Page 1 of 8

       2.     PHASE 4 - OPERATION AND ADMINISTRATIVE SERVICES:      For Phase 4 only, Onsite will
provide the services as set forth in Schedule F of the Master ESA under the headings Operation and Administration.
      3.     PHASE 4 - OPERATION AND MAINTENANCE, MEASUREMENT AND VERIFICATION:      For Phase 4 only, see subsection c. of Section
7 below. 
      4.     PHASE 4 - CAPITAL COSTS:

							
	 	 	Energy efficiency retrofit includes:	 	 	 
	 	 	•	Audit for Phase 4	 	•	Project Management
	 	 	•	Applications/Design Engineering	 	•	Utility Rebate/SPC/Incentive Payment Coordination (as applicable)
	 	 	•	Subcontract costs (including labor and material)	 	 	 

             TOTAL CAPITAL COST
(not-to-exceed)     $3,633,820
 As described in Section 1 above, the scope of the Work to be performed on Phase 4 will be finalized by the Parties during the design reviews.
Accordingly, the Total Capital Cost set forth above is based on the current scope of the Work set forth on Exhibit 1, and the Parties understand and agree that the actual amount of the Total Capital Cost of Phase 4 will be finalized and
agreed to by the Parties during the design reviews; provided, however, that the Total Capital Cost for Phase 4 shall not exceed the not-to-exceed amount of the Total Capital Cost set forth above, unless otherwise agreed by the parties. 

The Phase Term of Phase 4 is 144 months after the Phase Commencement Date for Phase 4.
      5.     PHASE 4 - ESTIMATED
ENERGY SAVINGS:     $690,654/year
           Estimated Energy Savings numbers are based upon the stipulated facility usage
set forth on Exhibit 4 and utility rates set forth below:
           Energy Rate Schedules

					
	 	 	Police Department Headquarters	 	$0.1318 per kWh for combined heat and power (cogeneration) and energy efficiency measures *
	 	 	 	 	$0.13 per kWh for solar photovoltaic *
	 	 	 	 	$0.60705 per therm for natural gas *

	 	 	 
			
	* 	The above energy rates are stipulated to increase at the rate of 3% annually beginning in the fourth Phase Period (that is, three years after Substantial Completion) and continuing through
the end of the Phase Term.
	 	 	 
	 	Guaranteed Energy Savings factor per the Master ESA:	$690,654 X 90%

	 	 
		
	City of San Diego – Phase 4	 
	Fourth Amendment to Master ESA	Page 2 of 8

       6.     PHASE 4 - GUARANTEED ENERGY SAVINGS:
          The Guaranteed Energy Savings is $621,589 per year for the first three years (Phase Periods) of the Phase Term, and escalates at a rate of 3% per year for the
remaining term of the Phase Term.
      7.     PHASE 4 - FIXED PAYMENT (INCLUDING O&M FEE AND M&V FEE) AND LUMP SUM PAYMENT:

		
	 Year (Phase Periods)
 	 Amount of Fixed Payment or Lump Sum Payment
 
	1	$442,488.87/year (unless otherwise provided in 
subsections a. and/or c. below) *
	2	$474,550.87/year (unless otherwise provided in 
subsections a. and/or c. below) *
	3	$438,026.87/year (unless otherwise provided in 
subsections a. and/or c. below) *
	4	$454,190.87/year (unless otherwise provided in 
subsections a. and/or c. below) *
	5	$465,942.87/year (unless otherwise provided in 
subsections a. and/or c. below) *
	6	$467,826.87/year (unless otherwise provided in 
subsections a. and/or c. below) *
	7 through 12	$463,571.87/year (unless otherwise provided in 
subsections a. and/or c. below) *
	90 days after 
Substantial Completion	$684,533 lump sum payment (as set forth in 
subsection b. below)

	 	 
		
	*	 The O&M Fee, which is defined in subsection c. below and is included in each Fixed Payment, is stipulated to increase at the rate of 3% annually beginning in the second Phase Period (that is, one
year after Substantial Completion) and continuing through the end of the Phase Term. The Fixed Payments set forth above do not reflect this stipulated increase in the O&M Fee.

  
      a.     Payment of Fixed Payment.      Notwithstanding anything to the contrary in the Master ESA (including but not limited to in
Schedule C to the Master ESA), the Fixed Payment shall be payable in annual installments during each Phase Period. For Phase 4 only, as set forth on Exhibit 5 attached hereto and incorporated herein, Customer shall pay to Onsite the
Fixed Payment for a period of 12 years via 12 annual payments of the amount set forth above. Unless otherwise provided in subsection c. below, of each annual payment of the Fixed Payment (i) $43,540 is the M&V Fee and compensation for the Energy
Savings guarantee; (ii) $74,898 is the O&M Fee, as defined and described in subsection c. below; and (iii) the balance is attributable to the Total Capi- 

		
	City of San Diego – Phase 4	 
	Fourth Amendment to Master ESA	Page 3 of 8

  tal Cost of the Phase. The first annual installment of the Fixed Payment is due within 30 days of the Phase Commencement Date (unless otherwise agreed by the Parties), and each annual
payment thereafter is due and payable by Customer on the same day of the same month of each following year.
 The amount of the Fixed Payment set forth above is based on the Total Capital Cost set forth in
Section 4 above and an interest rate of 5.4%. The Parties understand and agree that the Fixed Payment may change depending on the interest rate, calculated based on the BMA municipal swap market indicator average between the bid and the ask for the
eight year term plus 155 basis points, on the day after the date of execution of this Amendment (or as otherwise required by the financing source). As of November 25, 2002, the interest rate calculated on this formula was 5%, and the Parties agree
the interest rate shall not be less than 5%.
      b.     Lump Sum Payment.      In addition to the Fixed Payment, Customer
shall pay to Onsite a lump sum payment of $684,533 within 90 days of Substantial Completion. Customer may make this payment by endorsing the applicable check for the Self-Generation Incentive Payment (as defined in Section 9 below) to Onsite, by
directing SDG&E to pay the Self-Generation Incentive Payment directly to Onsite on Customer’s behalf, or by issuing a check to Onsite. 
      c.     O&M Fee and M&V Fee.      In exchange for the O&M Fee and the M&V Fee set forth herein, Onsite will provide the (i)
operation and maintenance (“O&M”) services set forth in Section B. of Exhibit 1; and (ii) the measurement and verification (“M&V”) services as set forth on Exhibit 3 attached hereto and incorporated herein,
in accordance with the plan set forth in Exhibit 3, and, if applicable, shall prepare and submit the Energy Savings reports pursuant to Section IX of the Master ESA. 

			
	 O&M Fee
 	 	$74,898/year for first Phase Period and escalating thereafter for the Phase Term *
	 	 	 
	 M&V Fee
 	 	$43,540/year for the Phase Term

 

			
	* 	 	The O&M Fee is stipulated to increase at the rate of 3% annually beginning in the second Phase Period (that is, one year after Substantial Completion) and continuing through the end of the Phase
Term.

 Notwithstanding anything to the contrary in the Master ESA or this Amendment, the Parties acknowledge and agree that Customer has the option, upon notice to Onsite prior to or upon
Substantial Completion, to elect (i) to not pay the O&M Fee and M&V Fee (both of which otherwise would be due with each Fixed Payment), in which case the Fixed Payment shall be reduced accordingly, Onsite shall not perform any of the O&M
Services or the M&V Services, and Onsite shall have no obligation or liability to Customer for any Energy Savings guarantee; or (ii) to pay the O&M Fee and the M&V Fee (both of which are due with each Fixed Payment) for anywhere between
one and the entire 12 Phase Periods (on a consecutive basis only) during the Phase Term, in which case the Fixed Payment shall be reduced accordingly for any Phase Periods for which Customer has elected to not pay the O&M Fee and M&V Fee,
Onsite shall perform the O&M Services and the M&V Services for those Phase Periods that Customer has elected to pay the O&M Fee and the M&V Fee, and Onsite shall have the obligation to Customer for the Energy Savings guarantee set
forth in this Amendment for those Phase Periods that Customer has elected to pay the O&M Fee and the M&V 

		
	City of San Diego – Phase 4	 
	Fourth Amendment to Master ESA	Page 4 of 8

  Fee. Customer must elect to pay both the O&M Fee and the M&V Fee, or to not pay either. Customer may not elect to pay only one or the other. If Customer does not provide notice
to Onsite as set forth herein either of Customer’s election to not pay the O&M Fee and the M&V Fee or of Customer’s election to pay the O&M Fee and the M&V Fee for less than the entire 12 Phase Periods of the Phase Term,
Customer shall be deemed to have elected to pay the same during the entire Phase Term.
 On an annual basis, within 90 days after the end of each Phase Period, Onsite will reconcile its actual costs of
performing the M&V services attributable to the Energy Savings guarantee and related items pursuant to this Amendment, including but not limited to all direct third party costs and Onsite labor at Onsite’s billing rates. If, on a cumulative
basis throughout the term of this Amendment (the Phase Term) the M&V Fee paid by Customer is in excess of Onsite’s reconciled costs, Onsite will promptly pay to Customer the difference.
      8.      PHASE 4 - DISBURSEMENT AUTHORIZATIONS; PAYMENT OF SELF-GENERATION INCENTIVE PAYMENT:      For Phase 4 only, upon each
request of Onsite in accordance with the Construction Draw Schedule attached hereto as Exhibit 6 (as the same may be adjusted by the Parties as performance of the Work on Phase 4 progresses), Customer agrees to execute a Disbursement
Authorization (substantially in the form attached hereto as Exhibit 7 and incorporated herein or as attached to the Escrow Agreement attached hereto as Exhibit 9, as the financing source may require) (each an
“Authorization”), thereby authorizing the advance of funds by the financing source on Phase 4 to Onsite for the benefit of Customer. Customer acknowledges that all of the funds to be advanced by such financing source under this Amendment
will be deposited in an escrow account. Because the financing source has advised both Onsite and Customer that Customer must be a party to any escrow agreement required to establish the escrow account, upon Onsite’s request Customer agrees to
execute and deliver to the financing source an Escrow Agreement substantially similar to the form attached hereto as Exhibit 9. Additionally, Customer shall pay to Onsite the Self-Generation Incentive Payment (as defined in Section 9 below)
either promptly upon receipt of the same by Customer by endorsing the applicable check therefor to Onsite, or by directing SDG&E to make the payment directly to Onsite on Customer’s behalf.
      9.     PHASE 4 - CUSTOMER INCENTIVE PAYMENT:      See Exhibit 5 attached hereto and incorporated herein. As of the
date of this Amendment, the Customer Incentive Payment is estimated to be as set forth on Exhibit 5 attached hereto and incorporated herein. As set forth in the Master ESA, the Customer Incentive Payment shall be 100% of the Incentive
Payments, calculated and payable as set forth in Section VII of the Master ESA and this Amendment. Notwithstanding anything to the contrary in the Master ESA, (i) the Parties agree that SPC Program shall be defined to include any utility incentive
program, including the SPC Program as defined in the Master ESA, and any program applicable to self-generation; (ii) Incentive Payments shall be defined as and include payments under the SPC Program and the Self-Generation Incentive Payment (as
defined below); and (iii) the Incentive Payments under the SPC Program that may be applicable to a portion of the ECMs to be installed under Phase 4 are payable approximately upon completion of Phase 4 and submittal to and, if required, approval by
SDG&E of the required SPC Documentation. 
 Additionally, SDG&E has agreed to pay to Customer the sum of $684,533 in incentive payments for the self-generation (cogeneration) unit, photovoltaics and
other ECMs to be installed under Phase 4 (collectively, the “Self-Generation Incentive Payment”), all of which is to be paid by Customer to Onsite in accordance with Section 8 above. 

		
	City of San Diego – Phase 4	 
	Fourth Amendment to Master ESA	Page 5 of 8

  Onsite hereby guarantees to Customer that the total amount of the Self-Generation Incentive Payment and the Incentive Payments will be no less than $718,842. This Incentive Payment
guarantee is subject to and conditioned upon (i) execution of this Amendment by Customer on or before January 31, 2003; (ii) implementation of the current scope of the Work set forth in Exhibit 1 (including at current anticipated costs); and
(iii) Customer’s operation of the Facilities in accordance with the Agreement, including but not limited to in the same manner as the Facilities typically were operated in the past, and this guarantee will be adjusted accordingly in the event
Customer does not operate the Facilities in a substantially comparable manner (and as set forth in the Agreement). This Incentive Payment guarantee also is subject to final approval of filed savings by SDG&E or other applicable administrator,
and the administration of the SPC Program, the self-generation incentive program and other applicable utility incentive programs by SDG&E or other applicable administrator as anticipated and/or in accordance with the current SPC Program,
self-generation program and other applicable utility incentive programs, and making payments as required by and/or in accordance with the current incentive program guidelines.
 The Parties understand and
agree that because the scope of the Work is subject to modification during the Design/Review Phase set forth in Exhibit 1, and thus the Total Capital Cost of the Phase also is subject to modification and finalization during the Design/Review
Phase, the Parties will cooperate with each other to modify any provisions of or Exhibits to this Amendment that may require modification or revision in connection with or as a result of the finalization of the scope of the Work and Total Capital
Cost.
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	City of San Diego – Phase 4	 
	Fourth Amendment to Master ESA	Page 6 of 8

  IN WITNESS WHEREOF, the Parties have caused their duly authorized officers and agents to execute this Amendment as of the date first set forth above.

			
	 	Onsite:
	 	 
	 	ONSITE ENERGY CORPORATION
	 	 	 
	 	 	 
	Date: ________ day of ________, 2003	By:	 
	 	 	

	 	 	Audrey Nelson Stubenberg, Secretary

	 	 	 
	 	Customer:
	 	 
	 	CITY OF SAN DIEGO, CALIFORNIA
	 	 	 
	 	 	 
	Date: ________ day of ________,2003	By:	 
	 	 	

	 	 	Richard L Hays, Director
	 	 	Environmental Services Department

 

	 	 	 
	 	CASEY GWINN, City Attorney:
	 	 	 
	 	CITY OF SAN DIEGO, CALIFORNIA
	 	 	 
	 	 	 
	Approved as to form and legality this ________ day of ________ , 2003	By:	 
	 	 	

	 	 	Deputy City Attorney

	 	 
		
	City of San Diego – Phase 4	 
	Fourth Amendment to Master ESA	Page 7 of 8

  Attachments:

			
	Exhibit 1	–	ECMs to be Installed (Scope of Work)/O&M Services
	 	 	 
	Exhibit 2	–	List of Facilities
	 	 	 
	Exhibit 3	–	Measurement and Verification Plan
	 	 	 
	Exhibit 4	–	 Stipulated Facility and Equipment Usage
	 	 	 
	Exhibit 5	–	Fixed Payment and Customer Incentive Payment
	 	 	 
	Exhibit 6	–	Construction Draw Schedule
	 	 	 
	Exhibit 7	–	 Form of Disbursement Authorization
	 	 	 
	Exhibit 8	–	Proforma for Phase 4
	 	 	 
	Exhibit 9	–	Form of Escrow Agreement

 

		
	City of San Diego – Phase 4	 
	Fourth Amendment to Master ESA	Page 8 of 8

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