Document:

AMENDMENT #1 TO EXCLUSIVE LICENSE AGREEMENT

 EXHIBIT 10.34 

 

							
		  	 	*	  	  	 Confidential Treatment has been
 requested for the marked portions of
 this exhibit pursuant to Rule 24B-2

of the Securities Exchange Act of
 1934, as
amended.

 AMENDMENT #1 
 TO 
 EXCLUSIVE LICENSE AGREEMENT 

This Amendment #1 (this “Amendment”), is entered into this 19th day of February 2007 (“Amendment Date”), by and
between California Institute of Technology, an educational institutional located at 1200 East California Boulevard, Pasadena, California 91125 (“Caltech”), and Allozyne Inc., a corporation located at 1616 Eastlake Ave., E. Seattle,
Washington 98102. 
 WHEREAS, Caltech and Licensee entered into that certain Exclusive License Agreement (as amended herein, the
“Agreement”) dated as of October 14, 2005 (“Agreement Date”) pursuant to which Licensee obtained an exclusive license under certain Licensed Patent Rights and Technology (as defined in the Agreement); 

WHEREAS, Caltech and the Licensee desire to make certain amendments to the Agreement as set forth herein. 

NOW THEREFORE, for and in consideration of the covenants, conditions, and undertakings hereinafter set forth, it is agreed by and between
the Parties as follows: 
 1. General 
 This Amendment shall be effective as of the Amendment date. 
 2.
Definitions 
 2.1 Articles I, paragraph 1.6, Improvement Patent Rights shall be redefined as follows: 

“Improvement Patent Rights” means Caltech’s rights under: (a) all patents and patent applications to Improvements
which have elected in writing by Licensee after timely disclosure by Caltech of such Improvements; (b) any patents issuing from the applications described in Section 1.6(a); and (c) any patents or patent applications claiming a right
of priority thereto (including reissues, reexaminations, renewals 
 2.2 Article I, paragraph 1.7 Improvements shall be
redefined as follows: 
 “Improvements” means any future invention in the Field conceived and reduced to
practice or otherwise developed solely in the laboratory of Prof. [*] at Caltech, solely in the laboratory of Prof. [*], or jointly between the laboratories of Profs. [*] and [*], for a period of four years from the Effective Date. 

  

*Confidential Treatment Requested. 

 3. Consideration 

a. In consideration for extending the term for Improvements an additional one (1) year and for other valuable
considerations, Allozyne grants to Caltech 110,000 shares of Allozyne common stock in accordance with the following schedule: 

Allozyne shall issue to Caltech 80,000 shares upon completion of the [*] project; and, 30,000 shares at the point that Allozyne acts on
the results [*]. 
 b. Allozyne shall make a gift payable to Caltech in three equal installments of [*] US
dollars. The first payment having an Effective date of [*] and payable upon execution of this Amendment; a second payment [*] months thereafter, unless earlier terminated; and a final payment [*] months thereafter unless earlier terminated. Payment
to Caltech should be sent to Corporate Relations, Attention: Director, 1200 E. California Blvd., MC 5-32, Pasadena, CA 91125 [for use by the [*] lab]. 
 4. Agreement Otherwise in Effect. Except as set forth in this Amendment, all other provisions of the original Agreement remain unchanged. In the event of any conflict between the terms of this
Amendment and the Agreement, the terms of this Amendment shall prevail. 
 5. Counterparts. This Amendment may be executed
in counterparts, each of which shall be deemed an original, but both of which together shall constitute one and the same instrument. 
 IN
WITNESS WHEREOF, the Parties have caused this Amendment #1 to be duly executed and delivered in duplicate originals as of the Amendment Date. 
  

					
	CALIFORNIA INSTITUTE OF TECHNOLOGY (“CALTECH”)	 		 	ALLOZYNE INC.
			
	/s/ [*]	 		 	/s/ KENNETH GRABSTEIN

 *Confidential Treatment Requested. 

  
 2AMENDMENT #2 TO EXCLUSIVE LICENSE AGREEMENT

 EXHIBIT 10.35 

 

							
		  	 	*	  	  	 Confidential Treatment has been
 requested for the marked portions of
 this exhibit pursuant to Rule 24B-2

of the Securities Exchange Act of
 1934, as
amended.

 AMENDMENT #2 
 TO 
 EXCLUSIVE LICENSE AGREEMENT 

This Amendment No. 2 to the Exclusive License Agreement (the “Amendment”), is made as of June 30, 2008, by and between California
Institute of Technology, an educational institution located at 1200 East California Boulevard, Pasadena, California 91125 (“Caltech”), and Allozyne, Inc., a corporation located at 1600 Fairview Ave E., Suite 300 Seattle, WA 98102
(“Company”). 
 RECITALS 
 A. WHEREAS, Company and Caltech are parties to that certain Exclusive License Agreement with an effective date of October 14, 2005, which has been amended by
Amendment # 1 entered into February 19, 2007; collectively, the original Exclusive License Agreement as amended by Amendment # 1 are referred to herein as the “License Agreement”; and 

B. WHEREAS, Company and Caltech wish to amend the License Agreement in the manner set forth below in
this Amendment #2 and effect certain other changes with respect to the intellectual property prosecution contemplated by the License Agreement; 
 AGREEMENT 
 NOW, THEREFORE, in
consideration of the mutual agreements and covenants set forth herein, and for other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, Company and Caltech hereby agree as follows: 

1. General. This Amendment shall be effective as of the Amendment date. 

2. Amendment of License Agreement. Section 4.1 of the License Agreement is amended and restated to read in its entirety as
follows: 
 4.1 Prosecution by Caltech. Caltech shall use reasonable efforts, consistent with its normal practices, to:
(a) prepare, file and prosecute any and all patent application(s) in connection with the Exclusively Licensed Patent Rights; and (b) prepare, file and prosecute any and all patent application(s) in connection with the Improvement Patent
Rights licensed hereunder for which Caltech or Licensee deems it beneficial to obtain additional coverage. Licensee may recommend patent counsel for this purpose. At Licensee’s request, Caltech shall allow Licensee’s patent counsel to:
(a) prepare, file and prosecute any and all patent application(s) in connection with the Exclusively Licensed Patent Rights; and (b) prepare, file and prosecute any and all patent application(s) in connection with the Improvement Patent
Rights licensed hereunder for which Caltech or 

  
 1 

 
Licensee deems it beneficial to obtain additional coverage. Further, Caltech shall agree to execute a conflict of interest waiver so that such patent counsel may prepare, prosecute and file
patent applications for the Licensee in addition to those covered by this Agreement. Such request for conflict waiver can be withheld by Caltech if’, an actual conflict exists. Depending on whether Caltech or the Licensee is prosecuting the
Exclusively Licensed Patent Rights and/or the Improvement Patent Rights, the party prosecuting the Exclusively Licensed Patent Rights and/or the Improvement Patent Rights (“Prosecuting Party”) shall provide the other with copies of all
relevant documents from and correspondence with the U.S. Patent and Trademark Office and corresponding foreign jurisdictions so that each party will be informed of the continuing prosecution and other administrative proceedings involving the
Exclusively Licensed Patent Rights and the Improvement Patent Rights. Each party may comment upon such documents and correspondence sufficiently in advance of the filing deadline for a response, and each party shall reasonably consider the comments
of the other party in preparing such response. Each party shall permit the other to review all patent applications and claims made therein, and Prosecuting Party shall make reasonable efforts to implement modifications thereto as may be requested by
the other party prior to filing and during prosecution. The Prosecuting Party shall consult with the other party in a timely manner before electing countries for national stage prosecution. Licensee shall be responsible for costs only for those
foreign jurisdictions in which it has elected to proceed with prosecution. 
 With respect to filings pursuant to clause
(b) of this Section 4.1, Caltech shall promptly disclose Improvements to Licensee and Licensee shall elect within thirty (30) days whether such Improvements shall be included within the Improvement Patent Rights, at its expense.
Caltech will have no obligation to prosecute patent applications that may constitute Improvements that are not elected by Licensee. Upon written election by Licensee, Exhibit A shall be automatically amended and deemed to include, without any
further action by the Parties, inventions within the Exclusively Licensed Patent Rights or Improvement Patent rights, as applicable.” 
 3. Effect of this Amendment. Except as specifically amended as set forth herein, each term and condition of the License Agreement shall continue in full force and effect. 

4. Counterparts; Facsimile Signatures. This Amendment may be executed in any number of counterparts, each of which shall be deemed
to be an original, but all of which together shall constitute one and the same instrument. This Amendment may be executed and delivered by facsimile and, upon such delivery, the facsimile will be deemed to have the same effect as if the original
signature had been delivered to the other party. 
 [Signature Pages Follow] 

  
 2 

 IN WITNESS WHEREOF, the parties have executed or otherwise consented to this Amendment as of
the date first above written. 
  

			
	ALLOZYNE, INC.
		
	By:	 	/s/ KEN GRABSTEIN
	Name:	 	Ken Grabstein
	Title:	 	CSO
	
	CALIFORNIA INSTITUTE OF TECHNOLOGY
		
	By:	 	/s/ [*]
	Name:	 	[*]
	Title:	 	[*]

 *Confidential Treatment Requested. 

  
 [SIGNATURE
PAGE TO AMENDMENT NO. 2 TO LICENSE AGREEMENT]

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