Document:

EXHIBIT 10.1

 

[*] = Certain confidential information contained in this document, marked by brackets, has been omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended.

 

SECOND AMENDMENT TO EXCLUSIVE LICENSE AGREEMENT BY AND BETWEEN GERON CORPORATION AND ANGIOCHEM, INC., MADE EFFECTIVE AS OF JULY 9, 2012

 

THIS SECOND AMENDMENT (the “Second Amendment”) to the Exclusive License Agreement by and between GERON CORPORATION, a corporation organized and existing under the laws of Delaware and having its principal place of business at 149 Commonwealth Drive, Menlo Park, CA 94025 (“Geron”) and ANGIOCHEM, INC., a corporation organized and existing under the laws of Canada and having its principal place of business at 201, President-Kennedy Ave., Suite PK-R220, Montreal, Quebec, H2X 3Y7 Canada (“Angiochem”), is made effective July 9, 2012 (the “Second Amendment Effective Date”).  Capitalized terms used in this Second Amendment that are not otherwise defined herein shall have the meanings provided therefor in the Agreement.

 

RECITALS

 

WHEREAS, Geron and Angiochem entered the Exclusive License Agreement (the “Agreement”) effective December 6, 2010 (the “Effective Date”); and

 

WHEREAS, Geron and Angiochem amended the Agreement effective February 22, 2011; and

 

WHEREAS, Geron and Angiochem desire to further amend the Agreement as set forth herein.

 

NOW, THEREFORE, in consideration of the foregoing premises and the mutual covenants herein contained, the Parties, intending to be legally bound, hereby agree to amend the Agreement as follows:

 

AGREEMENT

 

1.             DEFINITIONS.

 

1.1           The following definitions are hereby added to Article 1 of the Agreement:

 

“1.68                 “GRABM-B” means the Phase 2 clinical trial conducted by Geron entitled: “A Phase II, Multi-Center, Open-Label Study Evaluating GRN1005 Alone or in Combination with Trastuzumab in Breast Cancer

 

 

Patients with Brain Metastases,” Protocol No. CP1005B016.

 

1.69                        “GRABM-L” means the Phase 2 clinical trial conducted by Geron entitled: “A Phase II, Multi-Center, Open-Label Study Evaluating the Efficacy and Safety of GRN1005 in Non-Small Cell Lung Cancer Patients with Brain Metastases,” Protocol No. CP1005B017.

 

1.70                        “ORR” means the objective response rate.

 

1.71                        “WBRT” means whole brain radiation therapy.”

 

2.                                       Milestones.  Section 3.2.1(a) of the Agreement is hereby deleted in its entirety and replaced with the following:

 

	
“(a)
    	
(x) Based   upon [*](1) in the [*] (as defined in the [*]) for any   [*]:

 

(a) a [*], or

 

(b) in the event that [*]:

 

1) achievement of [*], and

 

2) in the [*] of that [*]; or

 

(y) the   [*] (whether or not [*]) in any [*](2) of [*]; or

 

(z) such   [*].

 
    	
 
    	
$U.S.   [*]
    

	
 
    	
(1)   The [*].

 

(2)   For the [*]”
    	
 
    	
 
    

 

3.                                       Miscellaneous.

 

3.1           Dispute Resolution.  Should any dispute between Geron and Angiochem arise under or related to this Second Amendment (other than a dispute involving a claim for injunctive or equitable relief), the resolution of such dispute shall be governed by the procedures set forth in Article 11.6 of the Agreement.

 

[*]          Certain confidential information contained in this document, marked by brackets, has been omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended.

 

 

3.2           Confidentiality.  The formation, existence and the terms of this Second Amendment shall be deemed Confidential Information and subject to the provisions of Section 7.3 of the Agreement.

 

3.3           Severability; Waiver.   If any one or more of the provisions contained in this Second Amendment is held invalid, illegal or unenforceable in any respect, the validity, legality and enforceability of the remaining provisions contained herein shall not in any way be affected or impaired thereby, unless the absence of the invalidated provision(s) adversely affects the substantive rights of the Parties. The Parties shall in such an instance use their best efforts to replace the invalid, illegal or unenforceable provision(s) with valid, legal and enforceable provision(s) which, insofar as practical, implement the purposes of this Second Amendment.  . The waiver by either Party hereto of any right hereunder, or of any failure of the other Party to perform, or of any breach by the other Party, shall not be deemed a waiver of any other right hereunder or of any other breach by or failure of such other Party, whether of a similar nature or otherwise.

 

3.4           Assignment.  This Second Amendment shall not be assigned by either Party without the prior written consent of the other Party, except in connection with any permitted assignment of the Agreement (in which case the Parties agree that this Second Amendment shall be assigned along with the Agreement).

 

3.5           Binding Upon Successors and Assigns.  This Second Amendment shall be binding upon the heirs, legal representatives and successors of Geron and AngioChem subject to the limitations on assignment.

 

3.6           Governing Law.  This Second Amendment shall be governed by and construed in accordance with the laws of the State of New York and the patent laws of the United States , without reference to any rules of conflict of laws.

 

3.7           Notices.  Any notice or other communication required or permitted hereunder shall be given in accordance with Article 11.4 of the Agreement.

 

3.8           Counterparts.  This Second Amendment may be fully executed in two (2) original counterparts, each of which shall be deemed an original.

 

3.9           Full Force and Effect.  Except as expressly amended by the First Amendment and this Second Amendment, the Agreement shall remain unchanged and continue in full force and effect as provided therein.

 

3.10         Entire Agreement. The Agreement, including all Exhibits thereto, as amended by the First Amendment and this Second Amendment, contains the entire understanding of the Parties with respect to the subject matter hereof and the licenses granted thereunder.  Any other express or implied agreements and understandings, either oral or written, with respect to the subject matter thereof or the licenses granted thereunder are superseded by the terms of the Agreement, as so amended.  The Agreement may be further amended, or any term hereof modified, only by a written instrument duly executed by authorized representatives of both Parties hereto.

 

 

3.11         Further Assurances.  Each Party agrees to execute, acknowledge and deliver such further instructions, and to do all such other acts, as may be necessary or appropriate in order to carry out the purposes and intent of this Second Amendment.

 

IN WITNESS WHEREOF, the Parties have executed this Second Amendment to the Agreement as of the date first set forth above.

 

	
ANGIOCHEM,   INC.
    	
 
    	
GERON   CORPORATION
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
BY:
    	
/s/   Jean-Paul Castaigne
    	
 
    	
BY:
    	
/s/ John A. Scarlett
    
	
 
    	
JEAN-PAUL CASTAIGNE, M.D.
    	
 
    	
 
    	
JOHN   A. SCARLETT, M.D.
    
	
 
    	
MBA
    	
 
    	
 
    	
TITLE:   PRESIDENT AND
    
	
 
    	
TITLE:   PRESIDENT AND CHIEF
    	
 
    	
 
    	
CHIEF   EXECUTIVE
    
	
 
    	
EXECUTIVE   OFFICER
    	
 
    	
 
    	
OFFICER
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
DATE:
    	
         7/12/2012
    	
 
    	
DATE:
    	
     7/9/2012Exhibit 4.11

 

	
THIS   CERTIFICATE IS 
    	
 
    	
SEE   REVERSE FOR
    
	
TRANSFERABLE
    	
 
    	
IMPORTANT   NOTICE
    
	
IN THE   CITY OF NEW YORK, N.Y.
    	
 
    	
ON   TRANSFER RESTRICTIONS
    
	
 
    	
 
    	
AND   OTHER INFORMATION
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
CUSIP   929042 851
    

 

VORNADO REALTY TRUST

 

a Real Estate Investment Trust
 Formed Under the Laws of the State of Maryland

 

THIS CERTIFIES THAT ****SPECIMEN**** is the owner of ****(ZERO) **** fully paid and nonassessable 5.70% Series K Cumulative Redeemable Preferred Shares of Beneficial Interest, liquidation preference $25.00 per share, of no par value, of

 

VORNADO REALTY TRUST

 

 

(the “Trust”), transferable on the books of the Trust by the holder hereof in person or by duly authorized attorney, upon surrender of this Certificate properly endorsed. This Certificate and the shares represented hereby are issued and shall be held subject to all of the provisions of the Declaration of Trust and Bylaws of the Trust and any amendments thereto. This Certificate is not valid until countersigned and registered by the Transfer Agent and Registrar.

 

WITNESS the facsimile seal and the facsimile signatures of the duly authorized officers of the Trust.

 

	
DATED
    	
****SPECIMEN****
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
Countersigned and Registered:
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
[IMPRESSION   OF TRUST SEAL]
    
	
 
    	
 
    	
 
    
	
AMERICAN STOCK TRANSFER
   & TRUST COMPANY, LLC
   (New York, New York)
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
Transfer Agent and Registrar
    	
 
    	
 
    
	
 
    	
 
    	
Executive   Vice President — Finance and 
    
	
 
    	
 
    	
Administration   and Chief Financial Officer
    
	
 
    	
 
    	
 
    
	
By:
    	
 
    	
 
    	
 
    
	
 
    	
Authorized signature
    	
 
    	
Senior   Vice President, Corporation
   Counsel and Secretary
    
					

 

 

VORNADO REALTY TRUST
 IMPORTANT NOTICE

 

The Trust will furnish to any shareholder, on request and without charge, a full statement of the information required by Section 8-203(d) of the Corporations and Associations Article of the Annotated Code of Maryland with respect to the designations and any preferences, conversion and other rights, voting powers, restrictions, limitations as to dividends and other distributions, qualifications, and terms and conditions of redemption of the shares of each class of beneficial interest which the Trust has authority to issue and, if the Trust is authorized to issue any preferred or special class in series, (i) the differences in the relative rights and preferences between the shares of each series to the extent set, and (ii) the authority of the Board of Trustees to set such rights and preferences of subsequent series. The foregoing summary does not purport to be complete and is subject to and qualified in its entirety by reference to the Declaration of Trust (the “Declaration of Trust”), of the Trust, a copy of which will be sent without charge to each shareholder who so requests. Such request must be made to the Secretary of the Trust at its principal office or to the Transfer Agent.

 

The shares of Preferred Stock represented by this certificate are subject to restrictions on ownership and transfer for the purpose of the Trust’s maintenance of its status as a real estate investment trust under the Internal Revenue Code of 1986, as amended (the “Code”). No Person may Beneficially Own shares of Preferred Stock of any class in excess of 9.9% of the outstanding Preferred Equity Stock of such class and no Person may Constructively Own Preferred Stock of any class in excess of 9.9% of the outstanding Preferred Equity Stock of such class (unless such person is an Existing Constructive Holder). Any Person who attempts to Beneficially Own or Constructively Own Shares in excess of the above limitations must immediately notify the Trust. All capitalized terms used in this legend have the meanings set forth in the Declaration of Trust, a copy of which, including the restrictions on ownership and transfer, will be sent without charge to each stockholder who so requests. Such request must be made to the Secretary of the Trust at its principal office or to the Transfer Agent. If the restrictions on ownership and transfer are violated, the shares of Preferred Stock represented hereby will be automatically exchanged for shares of Excess Stock which will be held in trust by the Trust.

 

 

KEEP THIS CERTIFICATE IN A SAFE PLACE.  IF IT IS LOST, STOLEN
 OR DESTROYED, THE TRUST WILL REQUIRE A BOND OF INDEMNITY
 AS A CONDITION TO THE ISSUANCE OF A REPLACEMENT CERTIFICATE.

 

The following abbreviations, when used in the inscription on the face of this Certificate, shall be construed as though they were written out in full according to applicable laws or regulations:

 

	
TEN COM
    	
–
    	
as   tenants in common
    
	
TEN ENT
    	
–
    	
as   tenants by the entireties
    
	
JT TEN
    	
–
    	
as   joint tenants with right of survivorship and not as tenants in common
    

 

	
UNIF   GIFT MIN ACT
    	
 
    	
Custodian
    	
 
    	
 
    
	
 
    	
(Cust)
    	
 
    	
(Minor)
    	
 
    

 

	
 
    	
Under   Uniform Gifts to Minors Act of
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
(State)
    	
 
    

 

Additional abbreviations may also be used though not in the above list.

 

	
FOR   VALUE RECEIVED,                                                    HEREBY SELLS, ASSIGNS AND TRANSFERS UNTO
    
	
 
    
	
(PLEASE   PRINT OR TYPEWRITE NAME AND ADDRESS, INCLUDING ZIP CODE, OF ASSIGNEE)
    
	
 
    
	
 
    
	
(PLEASE   INSERT SOCIAL SECURITY OR OTHER IDENTIFYING NUMBER OF ASSIGNEE)
    
	
 
    
	
                                                   shares of the shares represented by the within Certificate, and do hereby   irrevocably constitute and appoint                                                              Attorney to transfer the said shares on the books of the within named Trust   with full power of substitution in the premises.
    

 

	
Dated
    	
 
    	
 
    

 

NOTICE: THE SIGNATURE TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME AS WRITTEN UPON THE FACE OF THIS CERTIFICATE IN EVERY PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE WHATEVER.

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