Document:

Exhibit 10.13

 

[Department of Health & Human Services Letterhead]

 

National Institutes of Health

Bethesda, Maryland 20892

 

October 1st, 2010

 

BY CERTIFIED MAIL

 

F. Nicholas Franano, M.D.

1010 W. 69th Terrace

Kansas City, MO 64113

 

Invention Title: Local, transcatheter delivery of proteases to reopen obstructed biological conduits 

Inventor(s):  F. Nicholas Franano

NIH Grant #: HL007712

NIH EIR #: 9999207-99-0001

Patents: 7,361,335; 7,632,494; 7,063,838; 7,153,505.

Patent publications: 12/229,372; 11/454,554, 12/229,428.

Reference: Third Party Waiver Request — F. Nicholas Franano to Proteon Therapeutics, Inc.

 

Dear Dr. Franano,

 

In reference to your request for approval to make an assignment of rights from F. Nicholas Franano to Proteon Therapeutics, Inc., the NIH has approved your request. Please note however, that the provisions of 37 CFR 401 continue to apply to any assignee(s) herein and its/their successor(s) once you have executed the transfer. In addition, terms applicable to the original funding agreement, including, but not limited to, rights in data and sharing of unique research resources, also flow down to the assignee(s), if applicable to the original recipient. In this case, the Invention ownership has already been assigned from Johns Hopkins University to you personally, and this letter gives approval for the title of the intellectual property to go now to Proteon Therapeutics, Inc. These terms need to be incorporated, at least by reference, in the assignment document.

 

It is your responsibility to notify the assignee(s)/recipient(s) of this transfer of the decision of our office for this Third Party Waiver to permit assignment to Proteon Therapeutics, Inc. Also, both parties involved are required to sign and send a copy of this letter back to our office at the address or fax number listed below.

 

Annual Utilization Reports detailing utilization-related activities related to the Subject Invention continue to be required. In addition the filing and maintenance of any Patents and/or Patent Applications claiming the Subject Invention is required, unless waived with proper notice and lead time so that the Government may Elect Title if it chooses to do so. These terms also need to be incorporated, at least by reference, in the assignment document.

 

Finally, the authorized representative of the Assignee, in this case Proteon Therapeutics, Inc., should go to the iEdison Invention and Patent Reporting web site, located at http://iEdison.gov, and register within 90 days from the date of this notification. This iEdison web site permits the Assignee to make the required reports on the assigned inventions. Once the Assignee registers at the iEdison web site, our office needs to be contacted at (301) 435-1986 to transfer the technology appropriately to the new iEdison account of the Assignee.

 

 

[3rd Party Waiver Request for F. Nicholas Franano to Proteon Therapeutics, Inc. Page 2 of 2]

 

This determination is effective upon the signature & return from the Authorized Personal Representative of F.  Nicholas Franano and the Authorized Organizational Representative of Proteon Therapeutics, Inc., within 90 days from the correspondence date of this letter.

 

If you have any additional questions, please contact the Waiver Coordinator at (301) 435-1986.

 

	
Sincerely,
    	
 
    
	
 
    	
 
    
	
 
    	
 
    
	
/s/John   Salzman
    	
 
    
	
John   Salzman
    	
 
    
	
Assistant   Extramural Invention Policy Officer
    	
 
    
	
Division of Extramural Inventions and Technology   Resource (DEITR)
    
	
Office of Policy for Extramural Research   Administration (OPERA), OER, OD
    

 

2

 

[3rd Party Waiver Request for F. Nicholas Franano to Proteon Therapeutics, Inc. Page 3 of 2]

 

Please direct all correspondence to:

 

	
Waiver Coordinator
    	
 
    	
 
    
	
6705 Rockledge Drive
    	
 
    	
Phone: (301) 435-1986
    
	
Suite 310, MSC 7980
    	
 
    	
Fax: (301) 480-0272
    
	
Bethesda, MD 20892-1910
    	
 
    	
Email: waiver@nih.gov
    

 

 

	
Accepted:
    	
/s/ F. Nicholas   Franano M.D.
    	
 
    	
 
    
	
 
    	
Authorized Official’s   Signature for F. Nicholas Franano
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
F. Nicholas   Franano M.D.
    	
 
    	
Date:
    	
11/26/2010
    
	
 
    	
Print Name and Title
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
Accepted:
    	
 
    	
 
    	
 
    
	
 
    	
Authorized Official’s   Signature for Proteon Therapeutics, Inc.
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
Date:
    	
 
    
	
 
    	
Print Name and Title
    	
 
    

 

 

Invention Title: Local, transcatheter delivery of proteases to reopen obstructed biological conduits

NIH Grant #: HL007712

EIR #: 9999207-99-0001

Patents: 7,361,335; 7,632,494; 7,063,838; 7,153,505.

Patent publications: 12/229,372; 11/454,554, 12/229,428.

Individual’s name requesting waiver: F. Nicholas Franano

Institution to which the technology is to be transferred: Proteon Therapeutics, Inc.

Current Date: October 1st, 2010

 

3Exhibit 10.14

 

[Proteon Therapeutics Letterhead]

 

January 12, 2009

 

F. Nicholas Franano, M.D.

1010 W. 69th Terr.

Kansas City, Missouri 64113

 

Re:                 U.S. Provisional Patent Application No. 60/155,938

U.S. Patent Application No. 09/669,051

International Patent Application No. PCT/US00/26237

 

Dear Nick:

 

This letter confirms that by accepting your December 30, 2002 assignment of rights to the inventions disclosed in the above-referenced patent applications (the “Invention”), Proteon Therapeutics, LLC (i) agreed to comply with the terms of the Assignment of Rights/License Agreement between Nicholas Franano and the Johns Hopkins University dated March 25, 2002 (the “JHU Agreement”) and (ii) assumed your obligations arising from the JHU Agreement (the “Franano Obligations”), including the obligation to honor the provisions imposed by the federal government sponsor of the research underlying the Invention (the “Bayh-Dole Obligations”).

 

This letter further confirms that upon merger of Proteon Therapeutics, LLC into Proteon Therapeutics, Inc. on March 27, 2006, Proteon Therapeutics Inc. acquiesced to the terms of the JHU Agreement and assumed the Franano Obligations, including the Bayh-Dole Obligations.

 

	
Sincerely,
    	
 
    
	
 
    	
 
    
	
 
    	
 
    
	
/s/Timothy P.   Noyes
    	
 
    
	
Timothy P. Noyes
    	
 
    
	
President and   Chief Executive OfficerExhibit 10.15

 

QUITCLAIM DEED

 

WHEREAS F. Nicholas Franano, an individual residing at 1010 W. 69th Terrace, Kansas City, Missouri 64113 is the inventor of the invention described in an application for a Patent of the United States which was filed on September 24, 2000, Application No. 09/669,051; and

 

WHEREAS, by an instrument dated September 19, 2003, the said F. Nicholas Franano assigned and transferred the said invention and application to Proteon Therapeutics LLC, an entity established under Missouri law that was subsequently merged into Proteon Therapeutics, Inc., a Delaware corporation presently having a principal place of business at 200 West Street, Waltham, MA 02451; and

 

WHEREAS, by letter dated October 1, 2010, the applicable terms of which are hereby incorporated by reference herein, the National Institutes of Health formally approved the assignment of the said invention and application from the said F. Nicholas Franano to Proteon Therapeutics, Inc.; and

 

WHEREAS the said F. Nicholas Franano (hereinafter referred to as “ASSIGNOR”) and Proteon Therapeutics, Inc. (hereinafter referred to as “ASSIGNEE”) desire to re-confirm that the said ASSIGNEE owns all right, title and interest in, to, and under the said invention and application:

 

NOW, THEREFORE, in consideration of good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the said ASSIGNOR by these presents does hereby assign, transfer and set over, unto the said ASSIGNEE, its successors, legal representatives and assigns, any right, title and interest the said ASSIGNOR may have in, to and under the said invention, and the said United States application and all divisions, renewals and continuations thereof, and all Patents of the United States which may be granted or have been granted thereon and all reissues and extensions thereof; and all applications for industrial property protection, including, without limitation, all applications for patents, utility models, and designs which may be or have been pending or may hereafter be filed for said invention in any country or countries foreign to the United States, together with the right to file such applications and the right to claim for the same the priority rights derived from said United States application under the Patent Laws of the United States, the International Convention for the Protection of Industrial Property, or any other international agreement or the domestic laws of the country in which any such application is or has been filed, as may be applicable; and all forms of industrial property protection, including, without limitation, patents, utility models, inventors’ certificates and designs which may be granted of have been granted for said invention in any country or countries foreign to the United States and all extensions, renewals and reissues thereof, and all right to recover for past, present or future infringement thereof;

 

AND THE SAID ASSIGNOR DOES HEREBY authorize and request the Director of the United States Patent and Trademark Office, and any Official of any country or countries foreign to the United States, whose duty it is to issue patents or other evidence or forms of industrial property protection on applications as aforesaid, to issue the same to the said ASSIGNEE, its successors, legal representatives and assigns, in accordance with the terms of this instrument;

 

AND THE SAID ASSIGNOR DOES HEREBY further covenant and agree that he will communicate to the said ASSIGNEE, its successors, legal representatives and assigns, any facts known to him respecting said invention, and testify in any legal proceeding, sign all lawful papers, execute all divisional, continuing, reissue and foreign applications, make all rightful oaths, and generally do everything possible to aid the said ASSIGNEE, its successors, legal representatives and assigns, to obtain and enforce proper protection for said invention in all countries;

 

AND THE SAID ASSIGNOR DOES HEREBY and irrevocably appoint the said ASSIGNEE his agent and attorney-in-fact for the purpose of executing any lawful papers that ASSIGNEE may file in support of intellectual property protection for said invention, which power shall survive any death or incapacity of ASSIGNOR and be appurtenant to the said invention and application.

 

IN TESTIMONY WHEREOF, I hereunto set my hand and seal this 17 day of January, 2011.

 

	
 
    	
/s/ F. Nicholas Franano
    	
L.S.
    
	
 
    	
F. Nicholas Franano
    	
 
    
	
State of Kansas
    	
)
    	
 
    
	
 
    	
)ss.:
    	
 
    
	
County of Johnson
    	
)
    	
 
    

 

On January 17, 2011, before me, Sarah Hemann, Notary Public, personally appeared Nicholas Franano, personally known to me on the basis of satisfactory evidence to be the person whose name is subscribed to the within instrument and acknowledged to me that he/she executed the same in his/her authorized capacity, and that by his/her signature on the instrument the person, or the entity upon behalf of which the person acted, executed the instrument.

 

WITNESS my hand and official seal

 

	
/s/ Sarah Hemann
    	
 
    	
[Notary Public - State of Kansas - SARAH HEMANN - Appt. Expires 11/18/2013 Stamp]

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