Document:

exv4w1

Exhibit 4.1

July 7, 2011

Myriant Corporation

1 Pinehill Drive

Batterymarch Park II

Suite 301

Quincy, Massachusetts 02169-1801

UBS Securities LLC

J.P. Morgan Securities Inc.

Citigroup Global Markets Inc.

Piper Jaffray & Co.

Morgan Joseph TriArtisan LLC

c/o UBS Securities LLC

299 Park Avenue

New York, New York 10171-0026

Gentlemen:

     Reference is made to (i) the Investors’ Rights Agreement (the “IRA”) dated as of
January 13, 2011, by and among Myriant Technologies, Inc. (the “Company”) and each of the
“Investors” (herein so called) referred to therein, and (ii) the Right of First Refusal and
Co-Sale Agreement (the “ROFR”) also dated as of January 13, 2011, by and among the Company,
the Investors and certain holders of the Company’s common stock. Terms defined in the IRA and the
ROFR, and not otherwise defined herein, are used herein with their meanings so defined.

     WHEREAS, Plainfield Finance II LLC and Plainfield Direct LLC (collectively,
“Plainfield”) are involved in initial discussions with third parties that may lead to a
disposition of Capital Stock of the Company held by Plainfield; and

     WHEREAS, the Company has advised Plainfield that it has filed a registration statement and
intends to enter into an underwriting agreement with the several underwriters (the
“Underwriters”) named in Schedule A thereto, each relating to an IPO; and

     WHEREAS, Plainfield is a party to each of the IRA and ROFR, and has, pursuant to Section 2.11
of the IRA and Section 5.1 of the ROFR (the “IRA/ROFR Lock-Up Provisions”), agreed (i) not
to dispose of any of its Capital Stock in the Company during and for a certain period following the
IPO and (ii) to further execute such lock-up agreements as may be reasonably requested by the
Underwriters in connection with the IPO; and

     WHEREAS, the Company and the Underwriters have requested that Plainfield, in accordance with
the IRA/ROFR Lock-Up Provisions, refrain from, and delay its plans and

 

 

July 7, 2011 Page 2

opportunity to enter into, any disposition of its Capital Stock in the Company, in order to
afford the Company an opportunity to conduct an IPO;

     NOW, THEREFORE, the parties hereto hereby agree as follows:

          1. Lock-Up Agreement by Plainfield. In consideration of the agreements of the Company
and the Underwriters set forth in Section 2 below, Plainfield hereby agrees to be bound by the
terms of the lock-up agreement in the form attached as Exhibit A hereto (the “Lock-Up
Agreement”) and is herewith delivering to the Underwriters an executed copy of the Lock-Up
Agreement, intending to be contractually bound thereby. The Lock-Up Agreement permits the transfer
contemplated by paragraph 2.b of this letter agreement and terminates as provided therein.

          2. Agreements by the Company and the Underwriters. In consideration of Plainfield’s
agreement to delay its disposition of Capital Stock as set forth in Section 1 above, the Company
and the Underwriters agree with Plainfield as follows:

	 	a.	 	The Company, after consultation with the Underwriters, and subject
to market conditions and the rights of other holders under the IRA/ROFR, will use
its commercially reasonable efforts to include Plainfield as a selling
shareholder in the Company’s contemplated IPO and register for sale as part of
the IPO such portion of Plainfield’s Capital Stock (if any) as the Underwriters,
in their sole discretion, believe is commercially feasible in light of market
conditions and such other factors as they deem relevant; provided, however, that
the Underwriters shall first be reasonably satisfied that the contemplated IPO
shall result in gross proceeds to the Company in excess of $150 million.
	 
	 	b.	 	Notwithstanding the provisions of Section 2.11 of the IRA and
Section 5.1 of the ROFR, the Company and the Underwriters hereby consent and
agree that Plainfield may, following the earlier of (a) completion, abandonment
or termination of the IPO, notice of which shall be provided to Plainfield by the
Company in accordance with romanette (i) of the last paragraph of the Lock-Up
Agreement , or (ii) November 15, 2011, sell or otherwise dispose of, in a single
transaction to a single purchaser or group of purchasers, in a private
transaction, all (and not less than all) of its shares of Capital Stock of the
Company, so long as each such purchaser (i) agrees in writing with the
Underwriters to be bound by the terms of a lock-up agreement in the form set
forth as Exhibit B hereto, (ii) agrees to be bound by the IRA and (iii)
is not a competitor to the Company as determined in the reasonable opinion of the
Board of the Company. Plainfield acknowledges and agrees that the Company is
under no obligation to assist Plainfield in effecting any such sale of the
Capital Stock it holds in the Company.
	 
	 	c.	 	The Underwriters shall consider, after discussion with the Company
and Plainfield and subject to the rights of other holders under the IRA/ROFR,
including all or a portion of Plainfield’s Capital Stock in the Company in the

 

 

July 7, 2011 Page 3

	 	 	 	contemplated IPO. The Underwriters may include or exclude such Capital Stock at
their sole discretion. This letter agreement does not constitute a commitment by
any Underwriter to underwrite (or to enter into an underwriting agreement with
respect to), purchase, place or arrange the IPO or any other financing. Any such
commitment by the Underwriters shall be made in their discretion, shall be subject
to, among other things, completion of due diligence satisfactory to the
Underwriters, market conditions satisfactory to the Underwriters, and approval of
the Underwriters’ respective commitment committees and shall be set forth in a
separate underwriting agreement containing provisions (including indemnification)
customarily used by the Underwriters.

[Remainder of Page Intentionally Left Blank; Signature Page Follows Immediately]

 

 

IN WITNESS WHEREOF, the parties have executed this agreement as of the date first written
above.

	 	 	 	 	 

	 	 	PLAINFIELD DIRECT LLC
	 
	 	 	 	 
	 

	 	By:
	 	/s/ Thomas X. Fritsch
	 

	 	 	 	 
	 

	 	Name:
	 	Thomas X. Fritsch
	 

	 	Title:
	 	Co-General Counsel
	 
	 	 	 	 
	 	 	PLAINFIELD FINANCE II LLC
	 
	 	 	 	 
	 

	 	By:
	 	/s/ Thomas X. Fritsch
	 

	 	 	 	 
	 

	 	Name:
	 	Thomas X. Fritsch
	 

	 	Title:
	 	Co-General Counsel

 

 

	 	 	 	 	 

	 	 	MYRIANT CORPORATION
	 
	 	 	 	 
	 

	 	By:
	 	/s/ Stephen J. Gatto
	 

	 	 	 	 
	 

	 	Name:
	 	Stephen J. Gatto
	 

	 	Title:
	 	Chairman and CEO
	 
	 	 	 	 
	 	 	Address:
	 	 	1 Pinehill Drive
	 	 	Batterymarch Park II, Suite 301
	 	 	Quincy, MA 02169-4801

 

 

	 	 	 	 	 	 	 

	 	 	UBS Securities LLC
	 	 	J.P. Morgan Securities Inc.
	 	 	Citigroup Global Markets Inc.
	 	 	Piper Jaffray & Co.
	 	 	Morgan Joseph TriArtisan LLC
	 
	 	 	 	 	 	 
	 	 	By:	 	/s/ James Schaefer
	 	 	 	 	 
	 
	 	 	 	 	 	 
	 	 	 	 	UBS Securities LLC
	 
	 	 	 	 	 	 
	 

	 	 	 	By:	 	 
	 
	 	 	 	 	 	 
	 

	 	 	 	Name:
	 	James Schaefer
	 

	 	 	 	Title:
	 	Managing Director
	 
	 	 	 	 	 	 
	 

	 	 	 	By:
	 	/s/ Jamey Escaler
	 

	 	 	 	 	 	 
	 
	 	 	 	 	 	 
	 

	 	 	 	Name:
	 	Jamey Escaler
	 

	 	 	 	Title:
	 	Executive Director

 

 

EXHIBIT A

Form of Plainfield Lock-Up Agreement

UBS Securities LLC

     together with the other Underwriters named

     in Schedule A to the Underwriting Agreement

     referred to herein

c/o UBS Securities LLC

299 Park Avenue

New York, New York 10171-0026

Ladies and Gentlemen:

     This Lock-Up Agreement is being delivered to you in connection with the proposed Underwriting
Agreement (the “Underwriting Agreement”) to be entered into by Myriant Corporation, a
Delaware corporation (the “Company”), and you and the other underwriters named in Schedule
A to the Underwriting Agreement (the “Underwriters”), with respect to a public offering
before the end of the Lock-Up Period referred to below (the “Offering”) of common stock,
par value $0.0001 per share, of the Company (the “Common Stock”).

     In order to induce you to enter into the Underwriting Agreement, the undersigned agrees that,
for a period (the “Lock-Up Period”) beginning on the date hereof and ending on, and
including, the date that is 180 days after the date of the final prospectus relating to the
Offering, the undersigned will not, without the prior written consent of UBS Securities LLC, (i)
sell, offer to sell, contract or agree to sell, hypothecate, pledge, grant any option to purchase
or otherwise dispose of or agree to dispose of, directly or indirectly, or file (or participate in
the filing of) a registration statement with the Securities and Exchange Commission (the
“Commission”) in respect of, or establish or increase a put equivalent position or
liquidate or decrease a call equivalent position within the meaning of Section 16 of the Securities
Exchange Act of 1934, as amended, and the rules and regulations of the Commission promulgated
thereunder (the Exchange Act”) with respect to, any Common Stock or any other securities of
the Company that are substantially similar to Common Stock, or any securities convertible into or
exchangeable or exercisable for, or any warrants or other rights to purchase, the foregoing (the
“Lock-Up Securities”), (ii) enter into any swap or other arrangement that transfers to
another, in whole or in part, any of the economic consequences of ownership of the Lock-Up
Securities, whether any such transaction is to be settled by delivery of Common Stock or such other
securities, in cash or otherwise or (iii) publicly announce an intention to effect any transaction
specified in clause (i) or (ii).

 

 

     The foregoing sentence shall not apply to the following transfers:

     (a) the registration of the offer and sale of Common Stock as contemplated by the Underwriting
Agreement and the sale of the Common Stock to the Underwriters (as defined in the Underwriting
Agreement) in the Offering;

     (b) transfers to a wholly-owned subsidiary of the undersigned or to the direct or indirect
stockholders, members or partners or other affiliates of the undersigned, provided that (1) such
transfer does not involve a disposition for value, (2) the transferee agrees in writing with the
Underwriters to be bound by the terms of this Lock-Up Agreement, modified to delete the provisions
of clause (d) below, and (3) no filing pursuant to Section 16 of the Exchange Act is required nor
will such a filing be voluntarily made as a result of such transfer;

     (c) the disposition of shares of Common Stock acquired in open market transactions after the
Offering; provided that no filing pursuant to Section 16 of the Exchange Act is required nor will
such a filing be voluntarily made as a result of such disposition, and

     (d) following the earlier of (i) completion, abandonment or termination of the Offering,
notice of which shall be provided to Plainfield by the Company in accordance with romanette (i) of
the last paragraph of this Lock-Up Agreement, or (ii) November 15, 2011, a single sale or
disposition of all, and not less than all, of the undersigned’s shares of Common Stock to a single
entity or group of thereof (as described in Rule 13d-5(b) of the Exchange Act) formed prior to such
sale or disposition, made pursuant to Section 4(1) of the Securities Act (or other exemption from
the registration requirements thereof) and the applicable rules and regulations thereunder,
provided that such entity or each member of any such group agrees in writing with the Underwriters
to be bound by the terms of this Lock-Up Agreement, modified to delete the provisions of this
clause (d).

     Notwithstanding anything to the contrary contained herein, this Lock-Up Agreement shall not
restrict the exercise of any option or warrant to purchase shares of Common Stock described in the
final prospectus relating to the Offering, provided that (a) the undersigned shall
not be permitted to engage in any of the activity described in clauses (i) through (iii) of the
second paragraph of this letter with respect to the shares of Common Stock issuable upon such
exercise (unless permitted by any of paragraphs (a) through (d) above); (b) neither the exercise
nor the change in the undersigned’s beneficial ownership of Company securities resulting from such
exercise, if any, is required to be reported in any public report or filing with the Commission, or
otherwise, and (c) neither the undersigned nor the Company otherwise voluntarily effects any public
filing or reports regarding such exercise or the change in the undersigned’s beneficial ownership
of Company securities resulting from such exercise, if any.

     Except as provided in that certain letter agreement, dated of even date herewith, by and among
the undersigned, the Company and the Underwriters, the undersigned hereby (i) waives any rights the
undersigned may have to require registration of Common Stock in connection with the filing of a
registration statement relating to the Offering and (ii) agrees that, for the Lock-Up Period, the
undersigned will not, without the prior written consent of UBS

 

 

Securities LLC, make any demand for, or exercise any right with respect to, the registration
of the Lock-Up Securities.

     Notwithstanding the above, if (a) during the period that begins on the date that is fifteen
(15) calendar days plus three (3) business days before the last day of the Lock-Up Period and ends
on the last day of the Lock-Up Period, the Company issues an earnings release or material news or a
material event relating to the Company occurs; or (b) prior to the expiration of the Lock-Up
Period, the Company announces that it will release earnings results during the sixteen (16) day
period beginning on the last day of the Lock-Up Period, then the restrictions imposed by this
Lock-Up Agreement shall continue to apply until the expiration of the date that is fifteen (15)
calendar days plus three (3) business days after the date on which the issuance of the earnings
release or the material news or material event occurs.

     In addition, the undersigned hereby waives any and all preemptive rights, participation
rights, resale rights, rights of first refusal and similar rights that the undersigned may have in
connection with the Offering or with any issuance or sale by the Company of any equity or other
securities before the offering, except for any such rights as have been heretofore duly exercised.

     The undersigned hereby confirms that the undersigned has not, directly or indirectly, taken,
and hereby covenants that the undersigned will not, directly or indirectly, take, any action
designed, or which has constituted or will constitute or might reasonably be expected to cause or
result in the stabilization or manipulation of the price of any security of the Company to
facilitate the sale or resale of shares of Common Stock.

     The undersigned hereby authorizes the Company and its transfer agent, during the Lock-Up
Period, to decline the transfer of or to note stop transfer restrictions on the stock register and
other records relating to shares of Common Stock or other securities subject to this Lock-Up
Agreement of which the undersigned is the record holder, and, with respect to shares of Common
Stock or other securities subject to this Lock-Up Agreement of which the undersigned is the
beneficial owner but not the record holder, the undersigned hereby agrees to cause such record
holder to authorize the Company and its transfer agent, during the Lock-Up Period, to decline the
transfer of or to note stop transfer restrictions on the stock register and other records relating
to such shares or other securities, except, in each case, if the proposed transfer would be
permitted pursuant to any of the provisions above.

*     *     *

     If (i) the Company notifies you in writing that it does not intend to proceed with the
Offering, (ii) the registration statement filed with the Commission with respect to the Offering is
withdrawn, (iii) the Underwriting Agreement has not been executed prior to November 15, 2011 or
(iv) for any reason the Underwriting Agreement shall be terminated prior to the “time of purchase”
(as defined in the Underwriting Agreement), this Lock-Up Agreement shall be terminated and the
undersigned shall be released from its obligations hereunder.

	 	 	 

	 

	 	Yours very truly,
	 
	 	 
	 

	 	 
	 

	 	Name:

 

 

EXHIBIT B

Form of Purchaser Lock-Up Agreement

Lock-Up Agreement

___________ ___, 2011

UBS Securities LLC

     together with the other Underwriters named

     in Schedule A to the Underwriting Agreement

     referred to herein

c/o UBS Securities LLC

299 Park Avenue

New York, New York 10171-0026

Ladies and Gentlemen:

     This Lock-Up Agreement is being delivered to you in connection with the proposed Underwriting
Agreement (the “Underwriting Agreement”) to be entered into by Myriant Technologies, Inc.,
a Delaware corporation, to be renamed Myriant Corporation (the “Company”), and you and the
other underwriters named in Schedule A to the Underwriting Agreement, with respect to the public
offering (the “Offering”) of common stock, par value $0.0001 per share, of the Company (the
“Common Stock”).

     In order to induce you to enter into the Underwriting Agreement, the undersigned agrees that,
for a period (the “Lock-Up Period”) beginning on the date of the Company’s initial filing
with the Securities and Exchange Commission (the “Commission”) of a registration statement
on Form S-1 registering the Offering and ending on, and including, the date that is 180 days after
the date of the final prospectus relating to the Offering, the undersigned will not, without the
prior written consent of UBS Securities LLC, (i) sell, offer to sell, contract or agree to sell,
hypothecate, pledge, grant any option to purchase or otherwise dispose of or agree to dispose of,
directly or indirectly, or file (or participate in the filing of) a registration statement with the
Commission in respect of, or establish or increase a put equivalent position or liquidate or
decrease a call equivalent position within the meaning of Section 16 of the Securities Exchange Act
of 1934, as amended, and the rules and regulations of the Commission promulgated thereunder (the
“Exchange Act”) with respect to, any Common Stock or any other securities of the Company
that are substantially similar to Common Stock, or any securities convertible into or exchangeable
or exercisable for, or any warrants or other rights to purchase, the foregoing (the “Lock-Up
Securities”), (ii) enter into any swap or other arrangement that transfers to another, in whole
or in part, any of the economic consequences of ownership of the Lock-Up Securities, whether any
such transaction is to be settled by delivery of Common Stock or such other securities, in cash or
otherwise or (iii) publicly announce an intention to effect any transaction specified in clause (i)
or (ii).

 

 

     The foregoing sentence shall not apply to the following transfers:

     (a) the registration of the offer and sale of Common Stock as contemplated by the Underwriting
Agreement and the sale of the Common Stock to the Underwriters (as defined in the Underwriting
Agreement) in the Offering;

     (b) (i) a bona fide gift or gifts or (ii) transfers made to a former spouse pursuant to a
qualified domestic relations order, provided the recipient thereof agrees in writing with the
Underwriters to be bound by the terms of this Lock-Up Agreement;

     c) dispositions to any trust for the direct or indirect benefit of the undersigned and/or the
“immediate family” (defined as the spouse, any lineal descendent, father, mother, brother or
sister) of the undersigned, provided that (1) such disposition does not involve a disposition for
value, and (2) such trust agrees in writing with the Underwriters to be bound by the terms of this
Lock-Up Agreement;

     (d) if the undersigned is a corporation, limited liability company or partnership, transfers
to a wholly-owned subsidiary of the undersigned or to the direct or indirect stockholders, members
or partners or other affiliates of the undersigned, provided that (1) such transfer does not
involve a disposition for value, (2) the transferee agrees in writing with the Underwriters to be
bound by the terms of this Lock-Up Agreement, and (3) no filing pursuant to Section 16 of the
Exchange Act is required nor will such a filing be voluntarily made as a result of such transfer;

     (e) transfers that occur by will or other testamentary document or by the rules of intestate
succession upon the death of the undersigned, provided that (1) no filing pursuant to Section 16 of
the Exchange Act is required nor will such a filing be voluntarily made as a result of such
transfer, and (2) such transferee agrees in writing with the Underwriters to be bound by the terms
of this Lock-Up Agreement; and

     (f) the disposition of shares of Common Stock acquired in open market transactions after the
Offering; provided that no filing pursuant to Section 16 of the Exchange Act is required nor will
such a filing be voluntarily made as a result of such disposition.

     Notwithstanding anything to the contrary contained herein, this Lock-Up Agreement shall not
restrict (i) the exercise of any option or warrant to purchase shares of Common Stock described in
the final prospectus relating to the Offering, provided that (a) the undersigned
shall not be permitted to engage in any of the activity described in clauses (i) through (iii) of
the second paragraph of this letter with respect to the shares of Common Stock issuable upon such
exercise, except in each case if any proposed transfer would be permitted pursuant to any of the
provisions above; (b) neither the exercise nor the change in the undersigned’s beneficial ownership
of Company securities resulting from such exercise, if any, is required to be reported in any
public report or filing with the Commission, or otherwise, and (c) neither the undersigned nor the
Company otherwise voluntarily effects any public filing or reports regarding such exercise or the
change in the undersigned’s beneficial ownership of

 

 

Company securities resulting from such exercise, if any; or (ii) the undersigned, at any time, from
entering into a written plan that complies with the requirements of Rule 10b5-1 under the Exchange
Act relating to the sale of securities of the Company, if then permitted by the Company,
provided that any Lock-Up Securities subject to such plan may not be sold or otherwise
transferred in any manner prohibited herein until the term of this Lock-Up Agreement, as such may
be extended, ends and, provided further, that (a) the establishment of such plan is
not required to be reported in any public report or filing with the Commission, or otherwise, and
(b) neither the undersigned nor the Company otherwise voluntarily effects any public filing or
reports regarding the establishment of such plan.

     The undersigned hereby waives any rights the undersigned may have to require registration of
Common Stock in connection with the filing of a registration statement relating to the Offering.
The undersigned further agrees that, for the Lock-Up Period, the undersigned will not, without the
prior written consent of UBS Securities LLC, make any demand for, or exercise any right with
respect to, the registration of the Lock-Up Securities.

     Notwithstanding the above, if (a) during the period that begins on the date that is fifteen
(15) calendar days plus three (3) business days before the last day of the Lock-Up Period and ends
on the last day of the Lock-Up Period, the Company issues an earnings release or material news or a
material event relating to the Company occurs; or (b) prior to the expiration of the Lock-Up
Period, the Company announces that it will release earnings results during the sixteen (16) day
period beginning on the last day of the Lock-Up Period, then the restrictions imposed by this
Lock-Up Agreement shall continue to apply until the expiration of the date that is fifteen (15)
calendar days plus three (3) business days after the date on which the issuance of the earnings
release or the material news or material event occurs.

     In addition, the undersigned hereby waives any and all preemptive rights, participation
rights, resale rights, rights of first refusal and similar rights that the undersigned may have in
connection with the Offering or with any issuance or sale by the Company of any equity or other
securities before the Offering, except for any such rights as have been heretofore duly exercised.

     The undersigned hereby confirms that the undersigned has not, directly or indirectly, taken,
and hereby covenants that the undersigned will not, directly or indirectly, take, any action
designed, or which has constituted or will constitute or might reasonably be expected to cause or
result in the stabilization or manipulation of the price of any security of the Company to
facilitate the sale or resale of shares of Common Stock.

     The undersigned hereby authorizes the Company and its transfer agent, during the Lock-Up
Period, to decline the transfer of or to note stop transfer restrictions on the stock register and
other records relating to shares of Common Stock or other securities subject to this Lock-Up
Agreement of which the undersigned is the record holder, and, with respect to shares of Common
Stock or other securities subject to this Lock-Up Agreement of which the undersigned is the
beneficial owner but not the record holder, the undersigned hereby agrees to cause such record
holder to authorize the Company and its transfer agent, during the Lock-Up Period, to decline the
transfer of or to note stop transfer restrictions on the stock register and other records

 

 

relating to such shares or other securities, except, in each case, if the proposed transfer would
be permitted pursuant to any of the provisions above.

*     *     *

     If (i) the Company notifies you in writing that it does not intend to proceed with the
Offering, (ii) the registration statement filed with the Commission with respect to the Offering is
withdrawn or (iii) for any reason the Underwriting Agreement shall be terminated prior to the “time
of purchase” (as defined in the Underwriting Agreement), this Lock-Up Agreement shall be terminated
and the undersigned shall be released from its obligations hereunder.

	 	 	 

	 

	 	Yours very truly,
	 
	 	 
	 

	 	 
	 

	 	Name:exv10w2

Exhibit 10.2

*** Text Omitted and Filed Separately

Confidential Treatment Requested

Under 17 C.F.R. §§ 200.80(b)(4)

and 203.406

Alliance Agreement

by and between

Uhde Corporation of America

and

Myriant Technologies LLC

 

			
	***	 	Confidential Treatment Requested

 

 

TABLE OF CONTENTS

	 	 	 	 	 

	Alliance Agreement
	 	 	1	 
	 
	 	 	 	 
	Recitals
	 	 	1	 
	 
	 	 	 	 
	A. Alliance Structure
	 	 	2	 
	 
	 	 	 	 
	A.1 General Structure and Purposes of the Alliance
	 	 	2	 
	 
	 	 	 	 
	A.1.1 Exclusive Alliance Arrangements
	 	 	2	 
	 
	 	 	 	 
	A.2 Conduct and Governance of the Alliance
	 	 	3	 
	 
	 	 	 	 
	A.3 Costs
	 	 	4	 
	 
	 	 	 	 
	A.4 Exchange of Information
	 	 	4	 
	 
	 	 	 	 
	B Joint Research and Development and Intellectual Property
	 	 	4	 
	 
	 	 	 	 
	B.1 Rights to the Uhde Process
	 	 	4	 
	 
	 	 	 	 
	B.2 Intellectual Property Ownership
	 	 	4	 
	 
	 	 	 	 
	B.2.1 Myriant Rights
	 	 	4	 
	 
	 	 	 	 
	B.2.2 UCA Rights
	 	 	4	 
	 
	 	 	 	 
	B.3 Improvements and Working Results
	 	 	5	 
	 
	 	 	 	 
	B.3.1. Myriant Improvements
	 	 	5	 
	 
	 	 	 	 
	B.3.2 Uhde Improvements
	 	 	5	 
	 
	 	 	 	 
	B.3.3 Joint Working Results
	 	 	5	 
	 
	 	 	 	 
	B.4 Use and License Rights
	 	 	6	 
	 
	 	 	 	 
	B.4.1 Myriant Grant of Use Rights to UCA
	 	 	6	 
	 
	 	 	 	 
	B.4.2 UCA Grant of Use Rights To Myriant
	 	 	6	 
	 
	 	 	 	 
	B.4.3 UCA Grant of Uhde Process Plant Licenses
	 	 	7	 
	 
	 	 	 	 
	B.4.4 Uhde Process License Fee
	 	 	7	 
	 
	 	 	 	 
	B.4.5 Myriant Grant of Sublicense Rights
	 	 	7	 

 

			
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	B.4.6 UCA Grant of Sublicense Rights
	 	 	7	 
	 
	 	 	 	 
	B.5 Application of Intellectual Property Rights and Maintenance
of Intellectual Property Rights
	 	 	8	 
	 
	 	 	 	 
	B.5.1. Application for Intellectual Property Rights
	 	 	8	 
	 
	 	 	 	 
	B.5.2. Costs
	 	 	8	 
	 
	 	 	 	 
	B.5.3. Notice Rights
	 	 	8	 
	 
	 	 	 	 
	B.5.4. Joint Filing of Application
	 	 	8	 
	 
	 	 	 	 
	B.5.5. Separate Application of Either Party
	 	 	9	 
	 
	 	 	 	 
	B.5.6 Maintenance of IP Rights
	 	 	9	 
	 
	 	 	 	 
	B.5.7 Laws on Employees’ Invention
	 	 	9	 
	 
	 	 	 	 
	B.5.8 Claiming of Employees’ Inventions
	 	 	9	 
	 
	 	 	 	 
	B.6. Infringement of Intellectual Property Rights
	 	 	10	 
	 
	 	 	 	 
	B.6.1 Information about Possible Infringements
	 	 	10	 
	 
	 	 	 	 
	B.6.2 Defense
	 	 	10	 
	 
	 	 	 	 
	B.6.3 Information about Charges and Mutual Support
	 	 	10	 
	 
	 	 	 	 
	B.6.4 Charges by other Party
	 	 	10	 
	 
	 	 	 	 
	B.7 Termination of the Agreement
	 	 	11	 
	 
	 	 	 	 
	B.7.1 Ownership
	 	 	11	 
	 
	 	 	 	 
	B.7.2 Continuing Rights to Working Results upon Termination
	 	 	11	 
	 
	 	 	 	 
	B.7.3 Licensing of Joint Working Results
	 	 	11	 
	 
	 	 	 	 
	B.7.4 Licensing of Separate IP Rights
	 	 	11	 
	 
	 	 	 	 
	B.7.5 Maintenance of IP Rights
	 	 	11	 
	 
	 	 	 	 
	B.7.6 Sale of IP Rights
	 	 	12	 
	 
	 	 	 	 
	B.8 Compensation
	 	 	12	 

 

			
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	C. Project Marketing
	 	 	12	 
	 
	 	 	 	 
	C.1 Activities
	 	 	12	 
	 
	 	 	 	 
	C.2 Business Development Projects
	 	 	12	 
	 
	 	 	 	 
	C.3 Proposal Development
	 	 	13	 
	 
	 	 	 	 
	C.4 Proposal Costs
	 	 	15	 
	 
	 	 	 	 
	C.5 [...***...]
	 	 	15	 
	 
	 	 	 	 
	C.6 Process and Performance Guarantees
	 	 	15	 
	 
	 	 	 	 
	D. Miscellaneous
	 	 	15	 
	 
	 	 	 	 
	D.1 Effective Date
	 	 	15	 
	 
	 	 	 	 
	D.2 Representation
	 	 	16	 
	 
	 	 	 	 
	D.3 Confidentiality Agreement
	 	 	16	 
	 
	 	 	 	 
	D.4 Term
	 	 	16	 
	 
	 	 	 	 
	D.4.1 Termination of Agreement
	 	 	16	 
	 
	 	 	 	 
	D.4.2 Termination with Immediate Effect
	 	 	16	 
	 
	 	 	 	 
	D.5 Cooperation in the Light of Antitrust Laws
	 	 	17	 
	 
	 	 	 	 
	D.6 Waiver of Terms
	 	 	17	 
	 
	 	 	 	 
	D.7 Entire Agreement, Execution Costs, No Assignment
	 	 	17	 
	 
	 	 	 	 
	D.8 Liability/Indemnity
	 	 	18	 
	 
	 	 	 	 
	D.9 Governing Law/Mediation/Arbitration
	 	 	18	 
	 
	 	 	 	 
	D.10 Amendments
	 	 	19	 
	 
	 	 	 	 
	D.11 Severability
	 	 	20	 
	 
	 	 	 	 
	D.12 Force Majeure
	 	 	20	 
	 
	 	 	 	 
	D.13 Further Assurances
	 	 	20	 
	 
	 	 	 	 
	Annex 1-Definitions
	 	 	21	 

 

			
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	Exhibit A — Uhde Process License Fee Structure
	 	 	24	 
	Exhibit B — Engineering and Plant Proposal Fees
	 	 	25	 
	Exhibit C — [...***...]
	 	 	26	 

 

			
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Alliance Agreement

This Alliance Agreement (the “Agreement”) by and between Uhde Corporation of America, a
Delaware corporation, with its principal offices located at 1370 Washington Pike Bridgeville, PA
15017, USA (hereinafter referred to as “UCA”) and Myriant Technologies LLC, a Delaware
limited liability company, with its principal offices located at 1 Pinehill Drive, Batterymarch
Park II, Suite 301, Quincy, MA 02169 USA (hereinafter referred to as “Myriant”); each of
UCA and Myriant are singularly also referred to herein as “Party” and jointly as “Parties”
(certain capitalized terms shall have the meaning ascribed to them as set forth in Annex 1 attached
hereto and made a part hereof).

Recitals

WHEREAS, UCA is an internationally recognized engineering and procurement company active in the
field of chemical, refining, petrochemical and other industrial plants, has exclusive access to
different proprietary technologies and has extensive know-how and experience in the engineering and
construction of such technology related plants;

WHEREAS, Myriant is a science and technology company active in the development and
commercialization of next generation biorefineries for the production of bio-based chemicals and
fuels from renewable feedstocks, possesses the know-how to produce such fuels and chemicals, and is
developing a proprietary fermentation process for the production of Succinic Acid (herein referred
and hereinafter defined as the “Myriant Process”);

WHEREAS, UCA and Myriant intend to exclusively cooperate in their research and development efforts
(the “Joint R&D”) hereunder to jointly develop and optimize their respective Processes (as
defined herein) for the production of Succinic Acid in the “Pilot Plant” (as defined herein) and
the “Demonstration Plant” (as defined herein), and the Parties shall license their respective
Processes to each other on a royalty-free basis solely in furtherance of this objective;

WHEREAS, UCA and Myriant intend to exclusively cooperate in their business development efforts (the
“Project Marketing”) to market, jointly develop, bid and execute “Projects” (as defined
herein) for the design, engineering, and procurement of commercial scale Succinic Acid Plants in
the United States incorporating their respective Processes;

WHEREAS, Myriant intends to use UCA exclusively for engineering and as its procurement contractor
for commercial-scale Succinic Acid Plants in the United States incorporating their respective
Processes;

WHEREAS, Uhde GmbH, an “Affiliate” (as defined herein) of UCA, has the know-how to isolate organic
acids, and has developed separation technology for the isolation of Organic Acids, including
Succinic Acid (herein referred to and hereinafter defined as the “Uhde Process”);

WHEREAS, UCA has obtained from Uhde the full and exclusive rights to commercialize the Uhde Process
in the United States and intends to license it to

 

			
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Myriant for use in (i) the Pilot Plant and Demonstration Plant hereunder on a royalty-free basis;
and (ii) any “Plants” for which UCA shall also be providing a “Process and Performance Guaranty” in
accordance with the license fees payable hereunder for such use; (iii) those limited exceptions in
which UCA will not be acting as the E&P contractor, on mutually acceptable terms and conditions to
be agreed upon by UCA and Myriant; and

WHEREAS, Uhde and Myriant are concurrently entering into a parallel agreement with similar terms
and conditions for all regions of the world outside of the United States.

Now, therefore, in consideration of the foregoing and for good and other valuable consideration,
the mutual receipt and sufficiency of which is hereby acknowledged. the Parties hereto agree to the
following, which shall govern their cooperation:

	A.	 	ALLIANCE STRUCTURE
	 
	A.1	 	General Structure and Purposes of the Alliance
	 
		 	a) The Alliance shall be based upon the Parties’ joint research and development efforts to
collaborate exclusively with each other to integrate and deploy the “Processes” (as
defined herein) in the Demonstration Plant, the Pilot Plant and future Plants during the
“Term” (as defined herein) hereof. The Parties envision that they shall first deploy the
Processes in the proposed Pilot Plant, which shall be operated by Myriant or its agents.
	 
		 	b) During the later stages of the Term, and subject to the conditions provided herein, the
Parties shall cooperate in “Project Marketing,” which shall include, without limitation,
the development of Projects and construction of Plants that Myriant or its Affiliates may
(i) own, lease, operate or manage, (ii) supply products to the end customer(s) and/or
(iii) have the contractual relationship for such supply of the Plant’s products to the end
customer(s) and in which UCA shall act as its exclusive engineering and procurement
contractor.
	 
		 	c) Myriant and UCA will each assign experienced personnel to the Alliance for the purpose
of advancing the purposes of the Alliance, including the Joint R&D and Project Marketing
as detailed herein. Myriant shall perform Project Marketing with regard to the end customer(s) with reasonable technical assistance provided
by UCA and/or its Affiliates.
	 
	A.1.1	 	Exclusive Alliance Arrangements
	 
		 	a) Except as otherwise provided in Item C.2.e, UCA or one of its Affiliates shall perform
its services as Myriant’s exclusive engineering and procurement contractor (“EP”)
for any Plants located in the United States during the Term hereof, provided,
however, that Myriant may, subject to the Item C.2.e, individually pursue Projects
only where (i) UCA has affirmatively elected and advised Myriant in writing of its
decision not to pursue jointly with Myriant a Project; or (ii) UCA is unable to proceed on
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	 	 	provide Project process and performance guarantees acceptable to the particular Project
lender; further, provided, however, that Myriant shall only
proceed to use the Uhde Process for such Projects in accordance with Item B.4.3 hereof and
further, provided, however, that the provision of [...***...].
UCA, on the other hand, shall not in any case during the Term hereof, pursue any Project
without Myriant.
	 
		 	b) Myriant and its Affiliates, subject to the exceptions provided herein, will not enter
into discussions or negotiations with, solicit a proposal from, or consider any
unsolicited proposal from any other EP contractors for Projects. UCA and its Affiliates,
subject to the exceptions provided herein, will not enter into discussions or negotiations
with, solicit a proposal from, or consider any unsolicited proposal from any other third
party for the realization of Projects; provided, however, that it is
expressly agreed between the Parties that UCA remains free to provide and to actively
market the Uhde Process and, within the restrictions of Item B.4.5, Myriant Intellectual
Property Rights to any third party for plants in the United States that are not intended
to produce Succinic Acid.
	 
	A.2	 	Conduct and Governance of the Alliance

	 	a)	 	The Parties will establish an Alliance steering committee with four (4) members with
equal representation by Myriant and UCA (the “Steering Committee”).
	 
	 	b)	 	The Steering Committee shall convene in person, by videoconference or telephonically
on no less than a quarterly basis, and on shorter notice if circumstances dictate, to
review the performance of the Alliance, address any issues or disputes and take such other
actions as may advance the purposes of the Alliance. The Steering Committee shall have
such other responsibilities as set forth herein and shall also review and recommend
specific Projects for bid to the Parties, decide whether or not to bid for a specific
Project, and decide on further research and development work in connection with the
Processes.
	 
	 	c)	 	The Parties will establish a project team (the “Project Team”), with equal
representation by Myriant and UCA, The Project Team’s basic functions shall be:

	 	i	 	development of the upstream and downstream Processes, including the
harmonization of the economics on both parties’ sides,
	 
	 	ii	 	selection of technologies to be used for future Plants,
	 
	 	iii	 	ensuring the scale up and continuous run of Pilot Plant,
	 
	 	iv	 	selection and design of Uhde Process for the Demonstration Plant,
	 
	 	v	 	oversight and coordination of engineering, construction, start-up and
operation of the Demonstration Plant, and
	 
	 	vi	 	oversight and coordination of design, construction and start-up of new
Plants.

 

			
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	A.3	 	Costs
	 
	 	 	Except with respect to UCA’s Project Proposal preparation costs as provided in Item C.4,
each Party shall bear its respective fees, costs, and expenses for all of the activities
of the Alliance, including for Joint R&D and Project Marketing. The Parties shall not
share any additional expense or cost in connection with efforts (e.g., for joint
developments, employment of external third parties etc.), unless specifically agreed to in
writing in advance by duly authorized representatives of the Parties.
	 
	A.4	 	Exchange of Information
	 
	 	 	Each Party shall promptly inform and update each other of its progress in the research and
development of its respective Processes, unless rights of third parties prevent such
disclosure of information. Further, the Parties shall collaborate with each other and
share their respective expertise to solve any problems or questions that may arise in the
course of the joint research and development work.

	B	 	JOINT RESEARCH AND DEVELOPMENT AND INTELLECTUAL PROPERTY
	 
	B.1	 	Rights to the Uhde Process
	 
	 	 	UCA represents and warrants that it has the full authority and
capability to execute and perform this Agreement and that such
execution and performance will not violate any restriction obtained
in any law or regulation, or in any agreement between UCA and Uhde
or any third party. Uhde further represents and warrants that it
has licensed to UCA all right, title and interest in and to the Uhde
Process for exclusive use in the United States and that UCA, as
licensee, has the full right to sublicense rights to the Uhde
Process and any Uhde Improvements to Myriant solely for use in
connection with Succinic Acid for the purposes of this Agreement.
	 
	B.2	 	Intellectual Property Ownership
	 
	 	 	B.2.1 Myriant Rights
	 
	 	 	Myriant owns or is the licensee of all right, title and interest in
and to any pre-existing Intellectual Property Rights to the Myriant
Process, including any Prior IP Record. As between the Parties,
Myriant has the exclusive right, at its sole discretion and expense,
to apply for, register, maintain and enforce Patents and other
Intellectual Property Rights as it deems appropriate with respect to
any of the pre-existing Intellectual Property Rights it has to the
Myriant Process.
	 
	B.2.2	 	UCA Rights
	 
	 	 	UCA is the sole and exclusive licensee in the United States and
possesses all right, title and interest in and to any pre-existing
Intellectual Property Rights to the Uhde Process, including any
Prior IP Record. As between the Parties, UCA

 

			
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	 	 	has the exclusive right, at its sole discretion and expense, to apply for, register,
maintain and enforce Patents and other Intellectual Property Rights in the United States as
it deems appropriate with respect to any of the pre-existing Intellectual Property Rights it
has to the Uhde Process. UCA shall provide to Myriant a copy of the Uhde Process license
from Uhde to UCA and any amendments thereto.
	 
	B.3	 	Improvements and Working Results
	 
	B.3.1.	 	Myriant Improvements
	 
	 	 	Myriant Improvements, as such Improvements are described herein and
in any Prior IP Record, shall be the sole property of Myriant, and
all rights, including Intellectual Property Rights, shall vest
solely in Myriant. Accordingly, Myriant hereby licenses to UCA any
and all right, title and interest in and to any Myriant
Improvements pursuant to this Item B.3.1 to the extent necessary
for UCA to complete any of the tasks contemplated herein for the
Term of this Agreement. UCA agrees to execute documents, render
such reasonable assistance, and take such other reasonable action
at Myriant’s expense as Myriant may reasonably request to apply
for, registered, perfect, confirm and protect any Myriant
Improvements it conceives under this Item B.3.1.
	 
	B.3.2	 	Uhde Improvements
	 
	 	 	Uhde Improvements, as such Improvements are described herein and in
any Prior IP Record, shall be the sole property of UCA, and all
rights, including Intellectual Property Rights, shall vest solely
in UCA. Accordingly, UCA hereby licenses to Myriant any and all
right, title and interest in and to any Uhde Improvements pursuant
to this Item B.3.2 to the extent necessary for Myriant to complete
any of the tasks contemplated herein for the Term of this
Agreement. Myriant agrees to execute documents, render such
reasonable assistance, and take such other reasonable action at
UCA’s expense as UCA may reasonably request to apply for,
registered, perfect, confirm and protect any Working Results it
conceives under this Item B.3.2.
	 
	B.3.3	 	Joint Working Results
	 
	 	 	Joint Working Results shall be the joint property of both Parties,
and the rights for such Working Results shall vest jointly in both
Parties as provided herein (as defined hereinafter in Annex 1, the
“Joint Working Results”). Each Party agrees to grant, and hereby
does grant, usage rights to the other Party for any Joint Working
Results for any purposes contemplated under this Agreement.
Further, each Party shall not impair the other Party’s right to use
the Joint Working Results for any such purposes.
	 
	 	 	Notwithstanding the foregoing, the Steering Committee of the
Parties shall consider [...***...], including the [...***...]
between the Parties, when determining [...***...]. [...***...]

 

			
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	 	 	Any allocation of license fees by the Steering Committee shall be
distributed between the Parties in proportion to each Party’s
contribution and in only one of the following three proportions:

	 	a)	 	[...***...]% to the Party judged by the
Steering Committee to have made the primary contribution to the Joint
Working Results (the “Primary Developer”) and [...***...]% to
the Party judged by the Steering Committee to have made a lesser
contribution (the “Secondary Developer”);
	 
	 	b)	 	[...***...]% to each Party in the event that
both Parties are judged by the Steering Committee to have made equal
contributions or in the event that the Steering Committee cannot
determine within a reasonable time the respective contributions of the
Parties, or
	 
	 	c)	 	[...***...]% to the Primary Developer in the
event that the Steering Committee determines (1) that the Primary
Developer made an overwhelming contribution to the Joint Working
Results and/or (2) that the contribution consists solely of an Uhde
Improvement or a Myriant Improvement.

	 	 	The Steering Committee shall also consider the respective efforts that the Parties take in
the commercialization of the Joint Working Results when making any adjustments to the
foregoing allocation of the license fees. The Steering Committee shall also determine
whether to make [...***...].
	 
	 	 	In the event of a dispute in which one party claims to have made 100% of the contribution
and the other party claims to have made more than a de minimis contribution to the Joint
Working Results, the Parties shall refer the matter to the intellectual property rights
mediator as provided for in Item D.9.
	 
	B.4	 	Use and License Rights
	 
	B.4.1	 	Myriant Grant of Use Rights to UCA
	 
	 	 	Subject to any existing third party licensing restrictions, Myriant
hereby grants to UCA a non-exclusive, royalty-free right and license
to use within the United States Myriant’s pre-existing Intellectual
Property Rights, the Myriant Process, any Myriant Improvement, and
any Joint Working Results during the Term solely for the Project’s
purposes.
	 
	B.4.2	 	UCA Grant of Use Rights To Myriant
	 
	 	 	Subject to any existing third party licensing restrictions, UCA
hereby grants to Myriant a non-exclusive, royalty-free right and
license to use within the United States UCA’s pre-existing
Intellectual Property Rights, the Uhde Process, any Uhde
Improvement, and any Joint Working Results during the Term, solely
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	B.4.3	 	UCA Grant of Uhde Process Plant Licenses
	 
	 	 	UCA hereby grants to Myriant (i) an exclusive, royalty-free right
and license to use the Uhde Process, any Uhde Improvement and any
Joint Working Result for use in the Pilot Plant and the
Demonstration Plant, (ii) an exclusive right and license to use the
Uhde Process and any Uhde Improvement for any Plants in the United
States where UCA is providing a “Process and Performance Guaranty”
in accordance with Item C.6, subject to the license fee payable to
UCA in accordance with Item B.4.4, and (iii) [...***...] the Uhde
Process and any Uhde Improvement for Plants in the United States
where UCA will [...***...] as the [...***...] because of either of
the conditions provided in Item A.1.1 (i) or (ii) hereinabove,
subject to terms and conditions to be agreed upon by and mutually
acceptable to Myriant and UCA.
	 
	B.4.4	 	Uhde Process License Fee
	 
	 	 	For the right to use the Uhde Process and any Uhde Improvement in accordance with Item
B.4.3(ii) above, Myriant shall pay to UCA per Project in accordance with the license fee
structure described on Exhibit A attached hereto and made a part hereof. The license fee
shall be subject to adjustment in accordance with Item B.3 hereof.
	 
	B.4.5	 	Myriant Grant of Sublicense Rights
	 
	 	 	Myriant hereby grants UCA a perpetual, non-exclusive right and
license within the United States, including the right to grant and
authorize sublicenses, under Myriant Intellectual Property Rights
other than to its Joint Working Results, including rights in and to
the Myriant Process and any Myriant Improvement; provided that UCA
obtains prior written approval from Myriant, such approval which may
be granted at Myriant’s sole discretion, and provided further that
for each particular sublicense, the Steering Committee shall agree
on the principal terms and conditions of any such sublicense,
including the terms and conditions and the royalty rate. With
respect to Joint Working Results, Myriant hereby grants UCA a
perpetual, non-exclusive right and license within the United States,
including the right to grant and authorize [...***...], under
Myriant Intellectual Property Rights to such Joint Working Results;
provided that for each particular [...***...], the Steering
Committee shall agree on the principal terms and conditions of each
such [...***...], including the term and the royalty rate.
	 
	B.4.6	 	UCA Grant of Sublicense Rights
	 
	 	 	UCA hereby grants Myriant a perpetual, non-exclusive right and
license within the United States, including the right to grant and
authorize sublicenses, under Uhde Intellectual Property Rights,
including rights in and to the Uhde Process and any Uhde
Improvement, provided that Myriant obtains prior written approval
from UCA for any sublicenses (which shall not be unreasonably
withheld or delayed where where UCA is not acting as the E&P
contractor in accordance with Item A.1.1(i) and (ii)), and further
provided that for each particular sublicense, the Steering Committee
shall agree on the

 

			
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	 	 	principal terms and conditions of each such sublicense, including the term and the royalty
rate. In the case where UCA is not acting as the E&P contractor in accordance with Item
A.1.1(i) and (ii), if the Parties are unable to agree on such terms and conditions, then
the matter may be referred to the intellectual rights mediator for resolution as provided
for in Item D.9. With respect to Joint Working Results, UCA hereby grants Myriant a
perpetual, non-exclusive right and license within the United States, including the right
to grant and authorize [...***...], under UCA Intellectual Property Rights to such Joint
Working Results; provided that for each particular [...***...], the Steering Committee
shall agree on the principal terms and conditions of each such [...***...], including the
term and the royalty rate.
	 
	B.5	 	Application of Intellectual Property Rights and Maintenance of
Intellectual Property Rights
	 
	B.5.1 	 	Application for Intellectual Property Rights
	 
	 	 	In the case that any development or a part of it which is entered
into the project by either Party, and which this Party developed
without reference to information of the other Party, can be
protected by Intellectual Property Rights, either Party shall
promptly enter such application to the respective authorities.
Either Party shall refrain from applying for any Intellectual
Property Rights for such development or information or parts of such
development or information which is provided by the other Party,
unless agreed to by both Parties and filed jointly under provisions
of Item B.5.4.
	 
	B.5.2	 	Costs
	 
	 	 	The costs for the application, receipt and maintenance of such
Intellectual Property Rights shall be borne by that Party that
applies for such rights.
	 
	B.5.3	 	Notice Rights
	 
	 	 	The Party applying for any Intellectual Property Rights (the
“Applying Party”) shall inform the other Party (the “Non-Applying
Party”) immediately after applying, filing or registration of such
rights so as to give the other Party the opportunity to have its
business interests addressed by having the Applying Party add any
issues to the application that the Non-Applying Party may request to
have its business interests sufficiently covered. An Applying Party
shall also notify the Non-Applying Party if it intends to disregard,
diminish or otherwise restrict the scope of any claims to
Intellectual Property Rights in an application, filing or
registration process for any Intellectual Property Rights. The
Applying Party shall notify the Non-Applying Party for any such
action in the course of a grant, appeal or complaint process, if the
interests of the other Non-Applying Party may be, or are affected
by, such action.
	 
	B.5.4	 	Joint Filing of Application
	 
	 	 	In the case of filing for Intellectual Property Rights according to
Item B.5.1 above the Parties shall jointly file the application for
having their Intellectual

 

			
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	 	 	Property Rights registered. The costs for such joint application, filing and/or
registration shall be borne by both Parties jointly and equally. With respect to any such
filing, the Parties shall mutually decide on the territorial/regional extent of their
application. If either Party is explicitly not interested in applying for Intellectual
Property Rights in any country or region, the other Party shall be free to apply for
Intellectual Property Rights in that country/region without the participation of the Party
forgoing the opportunity to apply for such Rights. In such a case and for such
countries/regions, the Applying Party shall be the sole possessor of the Intellectual
Property Rights it applies for and shall bear all additional costs arising out of any such
applications. The Non-Applying Party shall nevertheless have a non-exclusive right to use
such Intellectual Property Rights.
	 
	B.5.5	 	Separate Application of Either Party
	 
	 	 	If a Party is not interested in applying for Intellectual Property
Rights, it shall give the other Party sufficient time to apply for
and obtain such Intellectual Property Rights at any place the
Applying Party contemplates making a filing related to its
Intellectual Property Rights. Upon receipt of such notice, the
Applying Party shall have the right, at its own cost, to assume the
prosecution and maintenance with respect to such Intellectual
Property Right, as applicable, and the Non-Applying Party shall
assign all of its right, title and interest in and to such
Intellectual Property Right, or claim thereof, as applicable, to the
Applying Party. The Applying Party shall bear all costs and
obligations for any separate applications that it may elect to make
pursuant to this Item B.5.5.
	 
	B.5.6	 	Maintenance of IP Rights
	 
	 	 	If a Party is not interested in maintaining an Intellectual Property
Right that it possesses, it shall give the other Party sufficient
time to analyze and consider whether it wishes to have the
Intellectual Property Right assigned or otherwise transferred to it
so that it may maintain the Intellectual Property Right. In the
event that the other Party decides to maintain such an Intellectual
Property Right, the Party in possession of such Intellectual
Property Right shall transfer it to the other Party.
	 
	B.5.7	 	Laws on Employees’ Invention
	 
	 	 	The Parties shall claim inventions of their employees conceived in
the course of the collaboration contemplated by this Agreement
according to the national laws applicable to employees’ invention as
defined in Item D.9 hereunder, unless both Parties declare that they
do not have any interest in the invention.
	 
	B.5.8	 	Claiming of Employees’ Inventions
	 
	 	 	Either Party shall arrange to obtain all rights, title and interest
in and to any inventions made by its own employees on its own. The
respective Party shall, however, coordinate with the other Party, if
such invention falls under the provisions of Items B.3.1, B.3.2, or
B.3.3. In the case of Working Results, the

 

			
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	 	 	Party whose employees did not contribute any inventions shall compensate the other Party
for making use of inventions made by the other Party’s employees according to the
applicable national laws governing rights with respect to employees’ inventions.
	 
	B.6	 	Infringement of Intellectual Property Rights
	 
	B.6.1	 	Information about Possible Infringements
	 
	 	 	The Parties shall inform each other without undue delay about any
suspected infringement of Intellectual Property Rights that may be
subject to or in connection with anything provided for under this
Agreement.
	 
	B.6.2	 	Defense
	 
	 	 	The owner or licensor of the Intellectual Property Right that a
third party allegedly infringes shall defend its Intellectual
Property Right against such third party infringement. The Parties
shall coordinate their proceedings in such matters.
	 
	 	 	In the case that legal proceedings are taken against it, the Party
defending itself shall bear all costs related to its defense. The
costs incurred by a Party joining as a third-party defendant to such
a proceeding shall be borne by the Party thus joining.
	 
	B.6.3	 	Information about Charges and Mutual Support
	 
	 	 	In the event a Party is alleged to have breached an Intellectual Property Right that is
related to or based on this Agreement, the allegedly infringing Party shall immediately
inform the other Party thereof. The other Party shall be entitled to join any legal
proceedings in the defense of such claims by third parties. The Party not addressed by
such claim shall be obliged to reasonably cooperate with the other Party.
	 
	B.6.4	 	Charges by other Party
	 
	 	 	If (i) either Party, or its Affiliates, make or file a claim against the other Party for a
breach of Intellectual Property Rights that are subject to or arise in connection with
this Agreement, or (ii) a Party, or its Affiliates, support a third party in making a
claim for breach of Intellectual Property Rights, the other Party may terminate this
Agreement with immediate effect.
	 
	 	 	Upon effectiveness of the termination under this Item the Parties lose the right to use
the Intellectual Property Rights of the other Party as well as the Working Results of the
other Party. The terminating Party has to return to the other Party all information, such
as but not limited to documents, data, specimen etc. referring to the said Intellectual
Property Rights and for those Working Results which are the sole property of the other
Party, as far and if the terminating Party has received any of these from the other Party.

 

			
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	 	 	The Joint Working Results shall be dealt with according to Item B.7.3 below.
	 
	B.7	 	Termination of the Agreement
	 
	B.7.1	 	Ownership
	 
	 	 	Upon effectiveness of termination of this Agreement, each Party shall remain owner of its
pre-existing Intellectual Property Rights, including any Prior IP Record, as provided for
in Items B.2.1 and B.2.2.
	 
	B.7.2	 	Continuing Rights to Joint Working Results upon Termination
	 
	 	 	In the event of the election by both Parties to mutually terminate this Agreement prior to
the expiration of the Term, the Steering Committee shall meet to determine in good faith
the equitable treatment and disposition of the continuing rights of the Parties to any
Joint Working Results. The Steering Committee shall consider all relevant factors in
making any allocations of the of the Joint Working Results, current research and
development program of each Party incorporating the Joint Working Results, existing and
future potential royalty streams, pending and prospective patent applications. In the
event that the Steering Committee is unable to reach a determination of the Parties’
respective rights, the Parties may refer the issue to the intellectual property mediator
for resolution pursuant to the mechanism provided for in Item D.9. In the event of a
termination of this Agreement arising out of a material breach by one of the Parties
hereto, the Party who commits the material breach shall forfeit all rights it may have to
any Joint Working Results. If the Parties dispute the existence of a material breach, the
Parties shall refer the matter to arbitration as provided for in Item D.9.
	 
	B.7.3	 	Licensing of Joint Working Results
	 
	 	 	In the event that this Agreement is terminated for any reason other
than a material breach, each Party shall grant to the other Party a
non-exclusive and sub-licensable right to use any Joint Working
Results so as to allow for either Party to continue the research,
development and marketing of any Joint Working Results; provided,
however, that for each particular sublicense, the Steering Committee
shall agree on the principal terms and conditions of each such
sublicense, including the term and the royalty rate. If the Parties
are unable to agree on such terms and conditions, then the matter
may be referred to the intellectual rights mediator for resolution
as provided for in Item D.9.
	 
	B.7.4	 	Licensing of Separate IP Rights
	 
	 	 	The Steering Committee shall negotiate and agree on reasonable
license fees and other terms and conditions for those Intellectual
Property Rights that are the sole property of either Party and to
which the other Party requires access to continue its research and
marketing activities.
	 
	B.7.5	 	Maintenance of IP Rights

 

			
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	 	 	Upon effectiveness of the termination, neither Party shall be
obliged to maintain its patents or patent applications, irrespective
of these being joint or own patents or patent applications.
	 
	B.7.6	 	Sale of IP Rights
	 
	 	 	If either Party decides to sell any of its Intellectual Property Rights, the other Party
shall have a pre-emptive right to buy this Intellectual Property Right from that Party at
a reasonable price to be negotiated between the Parties in good faith. The other Party may
consider such pre-emptive right for at least twenty-eight (28) days upon receipt of an
offer before losing its right of decision on the offer. Any times of negotiation between
the Parties shall toll this time limit.
	 
	B.8	 	Compensation
	 
	 	 	Neither Party shall receive from the other Party compensation for
cooperating in the tasks contemplated by this Agreement. License fees
or any other forms of payment provided for separately under this
Agreement shall not be covered by this provision.

	C.	 	PROJECT MARKETING
	 
	C.1	 	Activities

	a)	 	Upon the commencement of first commercial production of Succinic Acid from any Plant
constructed hereunder, or at such earlier time as determined by the Steering Committee,
the Steering Committee will assume the oversight and coordination of proposal development
and Project marketing activities for the Alliance (herein “Project Marketing”).
The marketing activities shall include, without limitation, the following:

	 	(i)	 	determination as to which Projects it should market the Processes and to
whom it should do so; and
	 
	 	(ii)	 	facilitation of the exchange of Project and Plant opportunity lists between
the Parties;

	b)	 	The Parties will agree on forms of contract with mutually acceptable terms and
conditions for the provision of EP services. Furthermore, prior to start of engineering
the Demonstration Plant, the Parties will agree on a structure for pricing of such EP and
services that will induce both Parties to execute the Project in the most cost-effective
manner.

	c)	 	The Parties shall work together in good faith to explore all related areas of
potential synergy that may enhance the ability of the Parties to win bids for and execute
Projects.

	C.2	 	Business Development Projects

 

			
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	a)	 	The Parties shall collaborate on the development of Projects and provide each other
with necessary sales and business development support, including, without limitation,
joint communication with investor(s) for Projects, Plants, process case analysis,
budgetary and/or firm proposals and, to the extent required, any Intellectual Property
Rights necessary for the preparation of any Project proposal.

	b)	 	The Parties shall share their respective lists of opportunities related to Projects
and Plants with each other.

	c)	 	The Parties shall convene on a regular monthly basis (or other frequency as mutually
agreed to by the Parties) in person, by videoconference or telephonically to review the
new business opportunities, prioritize such opportunities, inform each other about the
current status of potential or existing Projects and other new Project opportunities that
have come to the knowledge of a Party, and to develop strategies for jointly developing
and acquiring such targeted opportunities.

	d)	 	If either Party has identified a prospective Project, such Party shall refer the
prospective Project to the other Party for mutual consideration regarding the submission
of a proposal for such Project. The Parties shall jointly determine whether to pursue the
Project or not. A decision to pursue a Project must be by mutual agreement and jointly
confirmed in writing.

	e)	 	In those cases where UCA will [...***...] as the [...***...] for the reasons
specified in Item [...***...], Myriant [...***...] such a Project with a [...***...]
without restriction in the United States, subject to Item B.4.3 hereof, provided, however,
that Myriant shall first confer with UCA as to the [...***...] to assure that there are no
confidentiality or technology transfer concerns in connection with licensing the Uhde
Process for use in such Project. Myriant shall respect UCA’s concern in making the
[...***...].

	f)	 	UCA shall offer and perform services to Myriant based on United States Dollars.
However, should UCA have parts of its services performed are based on Euro, to enable both
Parties to take advantage of fluctuating rates of exchange or to avoid their exposure
during the validity period of any proposal, UCA shall fix the rate of exchange for the
calculation of the respective Euro portion at the rate valid as of the date of the
proposal. Should there be an increase or decrease of the exchange rate at the date of
effectiveness of a contract based on such proposal, the USD-Price shall be fixed in the
contract by calculating this price according to the new exchange rate quoted by the
European Central Bank as official rate of exchange valid at the date of such
effectiveness.

	g)	 	If an identified Project requires the Parties to enter into a joint venture with any
third party due to national or other legal restrictions, the Parties shall discuss and
agree on the appropriate structure on a case by case basis.

	C.3	 	Proposal Development

 

			
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	 	 	 	The Parties recognize that during the Plant Proposal development process, Myriant may
require budgetary cost and performance information for its own evaluation of the
development of budgetary proposals for Myriant’s own investment purposes, an end customer
or a third party investor or lender for a Plant, and/or for screening of process and/or
supply concepts. UCA agrees to provide at its own cost the necessary sales and business
development support for such budgetary estimates as outlined below. Myriant will provide a
functional specification for each opportunity, which will include, at a minimum: product
requirements, feed information, utility availability, economic evaluation criteria, and
preliminary site information. UCA shall provide the following deliverables for each
budgetary proposal opportunity:

	 	•	 	Preliminary Process Flow Diagram (PFD) with its associated material balance;
	 
	 	•	 	Consumption/utility estimates; and
	 
	 	•	 	Budgetary cost estimates (+/-30%).

	 	 	 	If Myriant asks for a firm proposal by UCA, or if the Parties agree to jointly develop a
Project proposal for an end customer or investor or lender, they will agree on the scope
of work, the design basis of the Project, and the process concept as well as the
time-schedule for the proposal deliverables. The UCA project scope of work will typically
be an engineering/procurement approach (EP). In case of an EP approach, if required for
financing purposes, UCA is willing to act as a subcontractor to the construction or prime
contractor.
	 
	 	 	 	Myriant will provide a detailed specification for each Project proposal. This
specification will include, at a minimum:

	 	•	 	a process functional definition —including product requirements, feed
information, utility availability, emission limitations, and economic evaluation
criteria;
	 
	 	•	 	a technical specification — including equipment design criteria, instrumentation
requirements, and applicable codes and standards; and
	 
	 	•	 	an execution specification — including scope of work matrix, communication
requirements, schedule requirements, and site information.

	 	 	 	The schedule for the UCA deliverables shall be agreed on by and between the Parties for
each Project proposal. The following UCA deliverables are typical and depend on UCA
Scope:

	 	a)	 	Technical Deliverables:

	 	•	 	Process flow diagram (PFD) with process description;
	 
	 	•	 	Heat and material balance;
	 
	 	•	 	Preliminary utility consumption (amounts and requirements); and
	 
	 	•	 	Preliminary time schedule.

 

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	 	b)	 	Commercial Deliverables:

	 	•	 	Cost estimate (for UCA scope only):

	 	o	 	Engineering services;
	 
	 	o	 	Equipment incl. transportation;
	 
	 	o	 	Bulk materials;
	 
	 	o	 	Site advisory services; and

	 	•	 	Terms and conditions in accordance with market norms for EP contracts,
including standard indemnification, insurance, and market-based liquidated
damages (which Myriant believes may range of up to [...***...] of the Plant EP
contract price), in all cases, subject to the approval of the Board of Directors
of UCA.

	C.4  	 	Proposal Costs
	 
	 	 	Notwithstanding anything contained herein to the contrary, UCA will be reimbursed by
Myriant for the reasonable costs incurred in the preparation of any proposals requested by
Myriant for any Project or Plant in accordance with Exhibit B attached hereto and made a
part hereof.
	 
	C.5	 	[...***...]
	 
	 	 	UCA shall either quote a lump sum price for its services and supplies for a firm proposal to
Myriant, or, if requested by Myriant, provide such lump sum price on basis of [...***...],
the principles of which are set forth on Exhibit C attached hereto and made a part hereof.
	 
	C.6  	 	Process and Performance Guarantees
	 
	 	 	If an identified Project requires the provision of process and performance guarantees for
the Processes by UCA, the Parties shall discuss and negotiate in good faith upon the
structure, conditions and form of such guarantees in consideration of the reliability of the
Processes at the time of such requirement. The Parties acknowledge and have discussed in
detail the provision that any process and/or performance guarantees by UCA is explicitly
subject to the approval of UCA’s Board of Directors. The Parties understand that, for
design-build projects, Myriant envisions using a traditional project finance structure
requiring process and performance guarantees with corresponding liquidated damage provisions
as noted in Item C.3 hereinabove.
	 
	D.	 	Miscellaneous
	 
	D.1  	 	Effective Date
	 
	 	 	This Agreement shall become effective upon execution by the last Party needing to sign
this Agreement.

 

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	D.2  	 	Representation
	 
	 	 	No Party shall have the right or obligation to represent the other
Party or to enter into any obligation of whatever kind for the other
Party. The Parties are independent contractors and nothing in this
Agreement shall be deemed to constitute, create, give effect to or
otherwise recognize a joint venture, partnership, or formal business
entity of any kind and the rights and obligations of the Parties shall
be limited to those expressly set forth herein.
	 
	D.3  	 	Confidentiality Agreement
	 
	 	 	The Parties shall treat all information exchanged under this Agreement as confidential
information in accordance with the Confidentiality Agreement signed between the Parties on
11 September 2009.
	 
	 	 	Neither Party shall publicly announce or disclose the existence of this Agreement or its
terms and conditions, or advertise or release any publicity regarding this association or
the Project without the prior consent of the other Party, such consent which shall not be
unreasonably withheld or delayed.
	 
	D.4  	 	Term
	 
	 	 	The Agreement shall be valid for a period of seven (7) years from the time stated in Item
D.1 of this Agreement (the “Term”) and shall, in consideration of any necessary
amendments according to Item C.6, continue thereafter if mutually extended by the Parties.
	 
	D.4.1  	 	Termination of Agreement
	 
	 	 	The Parties may elect at any time to mutually terminate this
Agreement at any time prior to the Term hereof. A Party that does
not elect to renew this Agreement shall notify the other of its
intent not to renew this Agreement before the expiry of the Term by
providing the other Party 180 days prior written notice to the other
Party of its intention not to renew.
	 
	D.4.2  	 	Termination with Immediate Effect
	 
	 	 	Either Party may terminate this Agreement — unless otherwise agreed upon between the
Parties — with immediate effect, if

	 	a)	 	insolvency, bankruptcy, liquidation, receivership or dissolution of the
other Party occurs; or
	 
	 	b)	 	the Parties do not (i) sign and make effective an EP contract for a Plant
with either Myriant or a third party and have said Plant under constructing
and (ii) have [...***...] under construction within [...***...] after signing this
Agreement and at least [...***...] every [...***...] thereafter; for sake of

 

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	 	 	 	clarity, the construction of a [...***...] shall be considered sufficient to fulfil such
minimum requirements, or
	 
	 	c)	 	the other Party commits a material breach of any of its obligations under
the Agreement, which is not cured after notice, and a reasonable opportunity to cure
such breach.

	 	 	Except in the case of material breach, if one or more Projects have been identified, or
joint proposals have been submitted, by Myriant with UCA as EP contractor and/or are under
consideration of an end customer, at the end of the Term, this Agreement shall continue in
force with respect to such Project(s) or proposal(s) until terminated pursuant to mutual
agreement.
	 
	D.5  	 	Cooperation in the light of Antitrust Laws
	 
	 	 	Unless the Agreement is terminated in accordance with D.4.1 or D.4.2, the Parties shall
examine the Term and exclusivity provisions of Part A.1.1 and C.5 of this Agreement no
later than the sixth anniversary of the Effective Date in light of the then applicable
antitrust legislation. If required, the Parties shall make necessary revisions to the Term
and/or exclusivity provisions provided for in this Agreement.
	 
	D.6  	 	Waiver of Terms
	 
	 	 	This Agreement will not be modified except by an instrument in writing signed by or on
behalf of each Party. The failure of either Party to insist, in any one or more instances,
upon the performance of any of the terms, covenants or conditions of this Agreement or to
exercise any right hereunder, will not be construed as a waiver or relinquishment of the
future performance of any such terms, covenants or conditions or the future exercise of
such right, but the obligation of the other Party with respect to such future performance
will continue to be in full force and effect.
	 
	D.7  	 	Entire Agreement, Execution Costs, No Assignment
	 
	 	 	This Agreement and the Confidentiality Agreement referred to hereinafter in Item D.3
contains the entire agreement between the Parties with respect to the subject matter of
this Agreement and the transactions contemplated herein and it supersedes all prior
collateral communications, reports and understandings between the Parties with respect
thereto, including the Cooperation Agreement referred to hereinabove. It is understood
that this Agreement does not affect any other agreements between the Parties except those
specified herein. The Parties recognize and acknowledge that Uhde and Myriant are
concurrently entering into a parallel agreement with similar terms and conditions for all
regions of the world outside of the United States.
	 
	 	 	Each of the Parties shall bear its respective fees, costs, and expenses in connection with
the execution of this Agreement. Neither Party may assign
this Agreement, in whole or in part, or any rights hereunder without the prior

 

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	 	 	written
consent of the other Party, such consent which will not be unreasonably withheld or
delayed.
	 
	D.8  	 	Liability/Indemnity
	 
	 	 	DURING THE EXECUTION OF THE RESEARCH AND DEVELOPMENT PROCESS; EACH PARTY SHALL USE ITS
CUSTOMARY CARE AND DILIGENCE IN ACCORDANCE WITH THE ACKNOWLEDGED SCIENTIFIC STANDARDS AND
TECHNOLOGY.
	 
	 	 	NEITHER PARTY SHALL BE LIABLE TO THE OTHER PARTY FOR THE SUITABILITY, CORRECTNESS,
COMPLETENESS OR OTHER QUALITIES OF ANY OF THEIR RESEARCH AND DEVELOPMENT RESULTS AND
INFORMATION PROVIDED TO EACH OTHER UNDER THIS AGREEMENT. THE PARTIES SHALL EXPLICITLY NOT
BE LIABLE TO EACH OTHER FOR THE FAILURE TO ACHIEVE OF ANY OF THE GOALS OF THE ALLIANCE.
	 
	 	 	NEITHER PARTY SHALL BE LIABLE TO THE OTHER PARTY BY WAY OF INDEMNITY OR BY REASONS OF TORT
(INCLUDING BUT NOT LIMITED TO NEGLIGENCE) OR OTHERWISE FOR ANY LOSS OF PROFIT, LOSS OF
USE, LOSS OF PRODUCTION, LOSS OF CONTRACT OR ANY FINANCIAL OR ECONOMIC LOSS OR FOR ANY
INDIRECT OR CONSEQUENTIAL DAMAGE OF WHATEVER CAUSE.
	 
	 	 	THE PARTIES’ RIGHTS AND REMEDIES AS STATED HEREIN ARE EXCLUSIVE AND IN LIEU OF ALL OTHER
REMEDIES WHETHER STATUTORY, EXPRESS OR IMPLIED AND ARE THE SOLE REMEDIES OF A PARTY FOR
THE FAILURE BY THE OTHER PARTY TO COMPLY WITH ITS OBLIGATIONS.
	 
	D.9  	 	Governing Law/Mediation/Arbitration
	 
	 	 	This Agreement shall be governed by and construed in accordance with the State of
Delaware, without giving effect to conflicts of law principles.
	 
	 	 	For any disputes between the Parties relating to Intellectual Property matters as provided
herein or that may otherwise arise between the Parties under this Agreement or in the
Alliance, the Parties shall have the option to first resort to mediation in accordance
with the Commercial Mediation Procedures of the American Arbitration Association
(“AAA”). The Parties shall jointly appoint a sole mediator who is a nationally
recognized expert in intellectual property matters to adjudicate such disputes. Failing
the joint appointment, the mediator shall be chosen by the AAA. Each Party may be
represented by counsel at the mediation, but each Party must attend through an officer
having authority to agree to a settlement at the mediation. The mediation session shall
occur in New York City, New York, and shall extend no longer than a single day. Statements
or offers made at the mediation session shall not be admissible in any later arbitration
hearing. Each Party shall bear its own expenses and an equal share of the expenses of the
mediator and the

 

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	 	 	fees of the AAA. The Parties, their representatives, other participants and the mediator
shall hold the existence, content and result of the mediation in confidence.
	 
	 	 	Any disputes arising out of or in connection with this Agreement shall exclusively and
finally be settled under the International Chamber of Commerce Rules of Arbitration (the
“ICC Rules”) of the International Chamber of Commerce (the “ICC”). The
arbitral tribunal determining any dispute shall be comprised of three arbitrators. Each
Party to a dispute shall designate one arbitrator. If a Party fails to designate an
arbitrator within a reasonable period, the ICC shall designate an arbitrator for such
Party. The two arbitrators designated by the Parties to a dispute (or, if applicable, the
ICC) shall designate a third arbitrator. In the event that the two arbitrators designated
by the Parties to a dispute (or, if applicable, the ICC) are unable to agree upon a third
arbitrator within a reasonable period, the third arbitrator shall be selected in
accordance with the ICC Rules by the ICC. The language of the arbitration shall be in
English, and the place of the arbitration of any dispute shall be Wilmington, Delaware or
any other venue as agreed upon by the Parties to such a dispute. If neither the Parties
nor the arbitral tribunal can agree upon procedures, the arbitration shall be conducted in
accordance with the ICC’s procedures. The hearings and taking of evidence of any dispute
may be conducted at any locations that will, in the judgment of the arbitral tribunal,
result in a speedy, efficient and just resolution of such dispute. The Parties to any
dispute shall use their reasonable best efforts to cooperate with each other and the
arbitral tribunal in order to obtain a resolution as quickly as possible, including by
adopting the ICC’s “fast-track” procedure (as provided for in Article 32(1) of the ICC
Rules) if appropriate. Notwithstanding any provision of this Agreement to the contrary,
this Item D.9 shall be construed to the maximum extent possible to comply with the laws of
the State of Delaware, including the Uniform Arbitration Act (10 Del. C. § 5701
et seq.) (the “Delaware Arbitration Act”). If, nevertheless, it shall be
determined by a court of competent jurisdiction that any provision or wording of this Item
D.9, including the ICC Rules, shall be invalid or unenforceable under the Delaware
Arbitration Act or other applicable law, such invalidity shall not invalidate all of this
Item D.9. In that case, this Item D.9 shall be construed so as to limit any term or
provision so as to make it valid or enforceable within the requirements of the Delaware
Arbitration Act or other applicable law, and, in the event such term or provision cannot
be so limited, this Item D.9 shall be construed to omit such invalid or unenforceable
provision.
	 
	 	 	Notwithstanding the above, each Party acknowledges that its breach of the Agreement may
cause irreparable damage to the other Party and hereby agrees that without prejudice to
the before mentioned the other Party shall be entitled to seek injunctive relief under
this Agreement for such breach.
	 
	D.10  	 	Amendments
	 
	 	 	This Agreement may not be changed or amended orally, but only in writing signed by the
Parties hereto. The writing must refer to this Agreement and must expressly state that it
is an amendment hereof.

 

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	D.11  	 	Severability
	 
	 	 	The circumstance that any provision or part of it of this Agreement is
held to be void, illegal, unenforceable or contrary to law or public
policy shall not affect the validity of the remaining provision(s) of
this Agreement. The invalid, illegal or unenforceable provision or part
of it will be replaced by an admissible one, aiming at the same economic
and legal results.
	 
	D.12  	 	Force Majeure
	 
	 	 	No Party shall be liable, in respect to any delay in completion of work
hereunder or of the non-performance of any term or condition of this
Alliance directly or indirectly resulting from delays by Acts of God;
acts of the public enemy; strikes; lockouts; epidemic and riots; power
failure; water shortage or adverse weather conditions; or other causes
beyond the control of the Parties. In the event of any of the foregoing,
the time for performance shall be equitably and immediately adjusted, and
in no event shall any Party be liable for any consequential or incidental
damages from its performance or non-performance of any term or condition
of this Alliance. The Parties shall resume the completion of work under
this Alliance as soon as possible subsequent to any delay due to force
majeure.
	 
	D.13  	 	Further Assurances.
	 
	 	 	The Parties agree and acknowledge that this Agreement grants certain
rights and responsibilities to each other and that it also provides
certain “framework” arrangements of a prospective nature between the
Parties. In that regard, the Parties may elect to enter into such other
agreements as may be necessary to reflect the intent of the Parties on a
going—forward basis.

	 	 	 
	Myriant Technologies LLC	 	Uhde Corporation of America
	Quincy, MA, September 10, 2009

	 	Bridgeville, PA, September 11, 2009
	 
	 	 
	Signature: /s/ Samuel G. McConnell

	 	Signature: /s/ Dennis G. Lippmann
	Name:        Samuel G. McConnell

	 	Name:        Dennis G. Lippmann
	Position:   Senior Vice President

	 	Position:    President

 

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Annex 1-Definitions

	 	 	 

	Affiliate(s)

	 	An Affiliate of a Party is a person or entity that directly, or indirectly through
one or more intermediaries, controls, or is controlled by, or is under common control
with, such Party.
	 
	 	 
	Agreement

	 	means this Alliance Agreement in its version as signed by both Parties and of which
each Party shall hold one original copy.
	 
	 	 
	Alliance

	 	means the relationship between the Parties contemplated by this Agreement.
	 
	 	 
	Demonstration Plant

	 	means the contemplated Succinic Acid production facility with an annual
output of 30 million pounds to be located in the United States.
	 
	 	 
	EP

	 	means the engineering and procurement functions for the Plants.
	 
	 	 
	Field

	 	means the field of Succinic Acid.
	 
	 	 
	Intellectual Property Rights

	 	means any and all Intellectual Property Rights in, to, or
arising out of any (i) Patents; (ii) trade secrets; (iii) know-how (iv) copyrights,
copyright registrations, or any national or regional application therefor, in any
territory, or any other right corresponding thereto throughout the world; or (v) any other
intellectual property or proprietary right anywhere in the world.
	 
	 	 
	Joint Working Results

	 	means (i) improvements to the Myriant Process made by Uhde or
jointly by UCA and Myriant, (ii) improvements to the Uhde Process made by Myriant or
jointly by Uhde and Myriant, (iii) new processes jointly developed by the two Parties, or
(iv) new processes developed solely or substantially by one of the Parties with reference
to the other Party’s intellectual property, as such improvements or new processes are
developed within the scope of the collaboration as defined herein, together and/or
singularly, as the context may indicate.
	 
	 	 
	Myriant

	 	means Myriant Technologies LLC, a limited liability company duly organised under the
laws of Delaware with its principal office at 1 Pinehill Drive, Batterymarch Park II,
Suite 301, Quincy, MA 02169, USA.

 

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	Myriant Improvement

	 	means any improvement to the Myriant Process solely developed by Myriant
without reference to any UCA or Uhde intellectual property.
	 
	 	 
	Myriant Process

	 	means a proprietary fermentation technology developed by Myriant [...***...].
	 
	 	 
	Patent

	 	means any and all rights under any of the following, whether existing now or in the
future: (i) all national, regional and international patents and patent applications,
including provisional patent applications, utility model, design registration, certificate
of invention, patent of addition or substitution, or other governmental grant for the
protection of inventions or industrial designs anywhere in the world, including any
reissue, renewal, re-examination or extension thereof; and (ii) any application for any of
the foregoing, including any international, provisional, divisional, continuation,
continuation-in-part, or continued prosecution application.
	 
	 	 
	Pilot Plant

	 	means the Fermic Sa de CV’s tolling facility in Mexico City, Mexico configured
and contracted by Myriant for the production of Succinic Acid at a semi-industrial scale.
	 
	 	 
	Plant(s)

	 	means commercial scale Succinic Acid production facility(ies) located in the United
States utilizing the Processes.
	 
	 	 
	Prior IP Record

	 	means any Patent application; document substantiating the existence of a
trade secret, proprietary technology or know-how; copyrighted work; copyright
registration; engineering lab book, record or drawing, or any national or regional
application therefor.
	 
	 	 
	Project

	 	means that series of activities and tasks in support of the financing, siting, design,
engineering, construction procurement and/or operation of commercial scale Plants
utilizing the Processes.
	 
	 	 
	Processes

	 	means the Myriant Process together with the Uhde Process when the context so
indicates.
	 
	 	 
	Steering Committee

	 	means the Alliance steering committee comprised of four (4) members with
equal representation by Myriant and UCA.
	 
	 	 
	UCA

	 	means Uhde Corporation of America, a company duly organised under the laws of
Delaware with its principal office at 1370 Washington Pike, Bridgeville, PA 15017, USA.

 

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	Uhde

	 	means Uhde GmbH, a company duly organised under the laws of the Federal Republic of
Germany with its principal office at Friedrich-Uhde-Str. 15, 44141 Dortmund.
	 
	 	 
	Uhde Improvement

	 	means any improvement to the Uhde Process solely developed by Uhde or UCA
without reference to any Myriant intellectual property.
	 
	 	 
	Uhde Process

	 	means a proprietary separation technology developed by Uhde [...***...]
	 
	 	 
	Joint Working Results

	 	means (i) improvements to the Myriant Process made by Uhde or by
Myriant and Uhde jointly, (ii) improvements to the Uhde Process made by Myriant or by
Myriant and Uhde jointly, (iii) new processes jointly developed by the two Parties, or
(iv) new processes developed solely or substantially by one of the Parties but with
reference to the other Party’s intellectual property, as such improvements or new
processes are developed within the scope of the collaboration as defined herein, together
and/or singularly, as the context may indicate.

 

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	 	 	EXHIBIT A — Uhde Process License Fee Structure

	 	 	License Fee in EUR:

	 	 	 	 	 

	•

	 	 	 	for capacities below [...***...] MT/year: [...***...]
	•

	 	 	 	for capacities between [...***...] and [...***...] MT/year:
	 
	 

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

	 	o
	 	[...***...]
	 
	•

	 	 	 	for capacities above [...***...] MT/year: to be discussed.

 

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EXHIBIT B — Engineering and Plant Proposal Fees

For Engineering Services including Plant Proposal services provided by UCA under this
Agreement, Myriant shall pay to UCA the following hourly rates:

	a)	 	for home office engineering performed in UCA’s home office in Bridgeville,
PA: USD (to be indicated, if applicable);
	 
	b)	 	for home office engineering performed by UCA through Uhde: [...***...];
	 
	c)	 	for home office engineering performed by UCA through Uhde Engineering de
Mexico S.A. de C.V.: [...***...]; and
	 
	d)	 	for assignment of personnel out of home office, the Parties shall agree on
daily rates including incidental cost in due course.

The rates indicated under a) through c) above are based on 40 working hours/week (Mon-Fri)
and shall be valid until 30.09.2010. Thereafter, the rates shall be escalated on the first
date of each subsequent year in accordance with the increase of salaries and incidental
salary expenses as substantiated by UCA.

The above rates may differentiate between different categories and different UCA offices.

The Parties shall mutually agree at agreed intervals on which rates shall be applied to
which work packages.

Additional cost, e.g. travel and accommodation cost in case of business trips, etc., shall
be reimbursed in addition to the above rates.

The above mentioned rates shall be invoiced by UCA on a monthly basis and shall be payable
within 30 days after receipt of invoice.

Compensation for Supplies

[...***...], shall be mutually agreed prior to start engineering of Demonstration Plant.

 

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EXHIBIT C — [...***...]

[...***...]

 

*** Confidential Treatment Requested

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Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00193-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00193-of-00352.parquet"}]]