Document:

Amyris2014-Q210-QEx1002DARPAModificationNo112014-05-02

	
			
	CONFIDENTIAL TREATMENT REQUESTED. CERTAIN PORTIONS OF THIS DOCUMENT HAVE BEEN OMITTED PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND, WHERE APPLICABLE, HAVE BEEN MARKED WITH AN ASTERISK TO DENOTE WHERE OMISSIONS HAVE BEEN MADE. THE CONFIDENTIAL MATERIAL HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION.

MODIFICATION

TO

TECHNOLOGY INVESTMENT AGREEMENT

BETWEEN
AMYRIS, INC.,
5885 HOLLIS STREET
SUITE 100
EMERYVILLE, CALIFORNIA 94608

AND

THE DEFENSE ADVANCED RESEARCH PROJECTS AGENCY
675 NORTH RANDOLPH STREET
ARLINGTON, VA 22203-2114

CONCERNING

IMPROVING DNA ASSEMBLY AND INTEGRATION ACROSS PLATFORMS WITH
BETTER SYSTEMS AND TOOLS
(LIVING FOUNDRIES)

Agreement No.: HR0011-12-3-0006
Modification No.: P00011
Purchase Request No.: N/A

Total Amount of the Agreement: $8,504,788
Phase 1: $3,358,334
Phase 2 (Option): $5,146,453
Total Estimated Government Funding: $7,654,309
Phase 1: $3,022,501
Phase 2 (Option): $4,631,808
Contactor Share Contribution: $850,479
Phase 1: $335,834
Phase 2 (Option): $514,645

Funds Obligated By This Modification: $0.00
Total Funds Obligated To Date: $6,300,819

Authority: Article III(C)(1)

HR0011-12-3-0006
P00011
Page  2 of 3

The purpose of this modification is to apply funding to Milestones 13 through 15. Accordingly, the following changes apply: 

		
	1. 
	Article V, “Obligation and Payment,” paragraph C, “Accounting and Appropriation Data,” is revised to reflect the inclusion of the $834,797 (PR No. HR001149922, Control No. 9922, ACRN AD) provided to Milestone 13, $428,693 (PR No. HR001149922, Control No. 9922, ACRN AD @ $76,747, and PR No. HR001149891, Control No. 9891, ACRN AC @ $351,946) to Milestone 14, and $90,000 (PR No. HR001149891, Control No. 9891, ACRN AC) to Milestone 15. The Lines of Accounting are shown in Enclosure 1 and below: 

ACRN AC: 012199 097     0400 000 N 20132014 D 1320 HLTM6         2013.MBT- 
02.CORE.A DARPA 255 

$441,946 
(Milestone 14 and 15) 
(PR No. HR001149891) 

ACRN AD: 012199 097     0400 000 N 20142015 D 1320 BLTM6         2014.MBT- 
02.CORE.A DARPA 255 

$911,544 
(Milestones 13 and 14) 
(PR No. HR001149922) 

		
	2. 
	The “Total Funds Obligated To Date” is hereby increased from $6,300,890 by $1,353,490 to $7,654,309. 

		
	3. 
	The Attachment No. 3, “Schedule of Payments and Payable Milestones” is modified to reflect the funding added to the Agreement via P00011. See Enclosure 1. 

		
	4. 
	The Attachment No. 4, “Funding Schedule” is modified to reflect the current funding profile. See Enclosure 1. 

		
	5. 
	A fully conformed version of Agreement No. HR0011-12-3-0006 through P00011, reflecting the changes summarized above, is provided as Enclosure 1 to this modification. All changes to the Modification No. P00011 conformed Agreement are highlighted in yellow.

HR0011-12-3-0006
P00011
Page  3 of 3

	
			
	FOR AMYRIS INC

	 
	FOR THE DEFENSE ADVANCED
RESEARCH PRODUCTS AGENCY

	 
	 
	 

	(Signature & Date)
	

	(Signature & Date)

	Nicholas Khadder
	 
	Michael D. Blackstone

	Vice President & General Counsel
	 
	Agreements Officer

Agreement HR0011-12-3-0006

TECHNOLOGY INVESTMENT AGREEMENT

BETWEEN

AMYRIS, INC.,
5885 HOLLIS STREET
SUITE 100
EMERYVILLE, CALIFORNIA 94608

AND

THE DEFENSE ADVANCED RESEARCH PROJECTS AGENCY
675 NORTH RANDOLPH STREET
ARLINGTON, VA 22203-2114

CONCERNING

IMPROVING DNA ASSEMBLY AND INTEGRATION ACROSS PLATFORMS WITH BETTER
SYSTEMS AND TOOLS
(LIVING FOUNDRIES)

Agreement No.: HR0011-12-3-0006
ARPA Order No.: S351/00, S351/01, S351/02, HR001133399, HR001146140, HR001147725 
HR001149922, and HR001149891

Total Amount of the Agreement: $8,504,788
Phase 1: $3,358,334
Phase 2 (Option): $5,146,453

Total Estimated Government Funding: $7,654,309
Phase 1: $3,022,501
Phase 2 (Option): $4,631,808
Contactor Share Contribution: $850,479
Phase 1: $335,834
Phase 2 (Option): $514,645
Total Funds Obligated: $7,654,309
Authority: 10 U.S.C. § 2371

Line of Appropriation – See Article V.

This Agreement is entered into between the United States of America, hereinafter called the Government, represented by The Defense Advanced Research Projects Agency (DARPA), and AMYRIS, INC., a corporation organized and existing under the laws of the State of Delaware with its principal place of business at 5885 Hollis Street, Suite 100, Emeryville, California 94608 pursuant to and under U.S. Federal law.

	
			
	Enclosure 1
	Conformed Copy
	P00011

Agreement HR0011-12-3-0006

	
			
	FOR AMYRIS INC

	 
	FOR THE DEFENSE ADVANCED
RESEARCH PRODUCTS AGENCY

	//See Modification No. P00011//

	(Signature & Date)
	

	(Signature & Date)

	 
	 
	 

	 
	 
	Michael D. Blackstone

	 
	 
	Agreements Officer

	(Name, Title)
	 
	(Name, Title)

	
			
	 
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	Enclosure 1
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	P00011

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TABLE OF CONTENTS

	
			
	ARTICLES
	 
	PAGE

	ARTICLE I
	Scope of the Agreement
	4

	ARTICLE II
	Term
	7

	ARTICLE III
	Management of the Project
	8

	ARTICLE IV
	Agreement Administration
	9

	ARTICLE V
	Obligation and Payment
	10

	ARTICLE VI
	Disputes
	13

	ARTICLE VII
	Patent Rights
	14

	ARTICLE VIII
	Data Rights
	17

	ARTICLE IX
	Foreign Access to Technology
	18

	ARTICLE X
	Title to and Disposition of Property
	20

	ARTICLE XI
	Civil Rights Act
	20

	ARTICLE XII
	Security
	20

	ARTICLE XIII
	Subcontractors
	21

	ARTICLE XIV
	Key Personnel
	21

	ARTICLE XV
	Export Control
	21

	ARTICLE XVI
	Order of Precedence
	22

	ARTICLE XVII
	Execution
	22

	ARTICLE XVIII
	Applicable Law
	22

	ARTICLE XIX
	Severability
	22

	ARTICLE XX
	Force Majeure
	23

	 
	 
	 

	 
	 
	 

	 
	 
	 

	 
	 
	 

	 
	 
	 

	ATTACHMENTS

	 
	 

	 
	 
	 

	ATTACHMENT 1
	Statement of Work
	 

	ATTACHMENT 2
	Report Requirements
	 

	ATTACHMENT 3
	Schedule of Payments and Payable Milestones
	 

	ATTACHMENT 4
	Funding Schedule
	 

	ATTACHMENT 5
	List of Intellectual Property Assertions
	 

	
			
	 
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	Conformed Copy
	P00011

Agreement HR0011-12-3-0006

ARTICLE I:    SCOPE OF THE AGREEMENT

A.    Background

Amyris has been a leader in the synthetic biology technologies, using living organisms as “factories” or “manufacturing systems” to produce compounds. Although the synthetic biology movement has been intermittently successful in certain directed endeavors, there has been insufficient effort toward standardizing and optimizing synthetic biology tools, procedures and platforms. By focusing on the same principles that made the United States the leaders in traditional manufacturing, namely consistent engineering and efficiency, Amyris seeks, through funding in this Agreement , to research and develop a state of the art development cycle for an enhanced engineering cycle to realize living foundries. Amyris aims to achieve these innovations by developing tools increasing the speed of engineered DNA and microbes while simultaneously expanding the scope of the living systems that are readily engineered. Engineering living systems is slow, expensive, and unreliable. Even for seemingly straightforward applications such as developing a fermentable microbe capable of turning sugar into higher value chemicals can take many hundreds of person-years of effort. For example, genetic engineering has enabled the microbial production of non-native natural products such as 1,3-propanediol made in engineered E. coli (~575 years of effort) or artemisinic acid made in engineered S. cerevisiae (~130 years of effort).

For microbes to become a routine manufacture paradigm, offering an alternative to traditional chemicals
and petroleum feedstocks, and for living systems eventually to enable novel commercial and military
applications (self-healing or corrosion-resistant materials) the effort and expense associated with
developing new applications must be reduced by an order of magnitude. This entire enterprise is in its
infancy and the work required to reduce the time and effort needed to develop a new microbe is risky and
at odds with the work also needed to bring a product to market in a one-off manner, the chief goal of any
company seeking to capitalize on the technology. This Agreement supports research with a long-term
perspective to support that entire industry by funding efforts that will enable everyone to do more with
less.

B.    Definitions

Agreement: The body of this Agreement and Attachments 1 – 4, which are expressly incorporated in
and made a part of the Agreement.

Collaborators: A third party in a contractual arrangement with the Performer whereby Amyris has agreed to jointly research, develop and/or commercialize and has an active role in such arrangement. For the avoidance of doubt, an “active role” by Amyris is a contractual relationship (1) that involves more than the mere transfer of intellectual property, and (2) where Amyris has a significant participation in decisionmaking and/or funding of the activities. Collaborators include all parties in collaborations with Amyris as of the effective date, even if the collaboration is modified or amended after the effective date.

Data: Recorded information, regardless of form or method of recording, which includes but is not limited to, technical data, software, and trade secrets. The term does not include financial, administrative, cost, pricing or management information and does not include Subject Inventions, included in Article VII.

Foreign Firm or Institution: A firm or institution organized or existing under the laws of a country other than the United States, its territories, or possessions. The term includes, for purposes of this 

	
			
	 
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Agreement, any agency or instrumentality of a foreign government; and firms, institutions or business organizations which are owned or substantially controlled by foreign governments, firms, institutions, or individuals.

Government: The United States of America, as represented by DARPA.

Government Purpose Rights: The rights to use, duplicate, or disclose Data, in whole or in part and in any manner, for Government purposes only, and to have or permit others to do so for Government purposes only.

Government Purpose: Any activity in which the United States Government is a party, including cooperative agreements with international or multi-national defense organizations or sales or transfers by the United States Government to foreign governments or international organizations. Government purposes include competitive procurement, but do not include the rights to use, modify, reproduce, release, perform, display, or disclose Data for commercial purposes or authorize others to do so.

Invention: Any invention or discovery which is or may be patentable or otherwise protectable under Title 35 of the United States Code.

Know-How: All information including, but not limited to discoveries, formulas, materials, Inventions, processes, ideas, approaches, concepts, techniques, methods, software, programs, documentation, procedures, firmware, hardware, technical data, specifications, devices, apparatus and machines.

Limited Rights: The rights to use, modifiy, reproduce, release, perform, display, or disclose Data, in whole or in part, within the Government. The Government may not, without the written permission of the party asserting limited rights, release or disclose the Data outside the Government.

Made: Relates to any Invention means the conception or first actual reduction to practice of such Invention.

Performer: AMYRIS, INC. a corporation organized and existing under the laws of the State of Delaware with its principal place of business at 5885 Hollis Street, Suite 100, Emeryville, California 94608

Practical Application: To manufacture, in the case of a composition of product; to practice, in the case of a process or method, or to operate, in the case of a machine or system; and, in each case, under such conditions as to establish that the Invention is capable of being utilized and that its benefits are, to the extent permitted by law or Government regulations, available to the public on reasonable terms. For the avoidance of doubt, the Parties acknowledge that “practical application” under this Agreement may not include actual commercialization of Subject Inventions hereunder because such Subject Inventions are likely to be research tools and platforms (e.g., it is envisioned that the tools and platforms resulting from the research carried out under this agreement will later – outside of this agreement - be used by the performer to develop commercial products).

Program: Research and development being conducted by the Performer, as set forth in Article I., paragraph C.

Property: Any tangible personal property other than property actually consumed during the execution of work under this agreement.

	
			
	 
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Subject Invention: Any Invention conceived or first actually reduced to practice in the performance of work under this Agreement that is capable of use as a tool for making or altering a genetically modified organism, provided however, any Inventions, regardless when conceived or reduced to practice, covering the genetically modified organism, a strain, or any compound or product made by or from an organism or strain shall not be considered “Subject Inventions” hereunder. For the avoidance of doubt, no work performed prior to the effective date of this Agreement shall be considered performed “under this Agreement.”

Technology: Discoveries, innovations, Know-How and Inventions, whether patentable or not, including computer software, recognized under U.S. law as intellectual creations to which rights of ownership accrue, including, but not limited to, patents, trade secrets, and copyrights developed under this Agreement.

Unlimited Rights: Rights to use, duplicate, release, or disclose, Data in whole or in part, in any manner and for any purposes whatsoever, and to have or permit others to do so.

C.    Scope

1.    Amyris, Inc. (hereafter “the Performer”) shall perform a research and development program (Program) designed to develop improved DNA assembly and integration across platforms. The research shall be carried out in accordance with the Statement of Work incorporated in this Agreement as Attachment 1. The Performer shall submit or otherwise provide all documentation required by Attachment 2, Report Requirements.

2.    The Performer shall be paid for each Payable Milestone accomplished in accordance with the Schedule of Payments and Payable Milestones set forth in Attachment 3 and the procedures of Article V. Both the Schedule of Payments and the Funding Schedule set forth in Attachments 3 and 4 respectively may be revised or updated in accordance with Article III, subject to mutual agreement of the Parties.

3.    The Government and the Performer estimate that the Statement of Work of this Agreement can only be accomplished with a Performer aggregate resource contribution of

	
				
	 
	Phase 1
	Phase 2/ Option 1
(Exercised)
	Total Costs if All
Options Exercised

	Government Share (90%)
	$3,022,501
	$4,631,808
	$7,654,309

	Performer Share (10%)
	$335,834
	$514,645
	$850,479

	Total Amount of the Agreement
	$3,358,334
	$5,146,453
	$8,504,788

from the effective date of this Agreement, subject to the availability of funds. The Performer intends and, by entering into this Agreement, undertakes to cause these funds to be provided. The Performer’s contributions will be provided as detailed in the Funding Schedule set forth in Attachment 4. If either DARPA or the Performer is unable to provide its respective total contribution, the other Party may reduce its project funding by a proportional amount.

	
			
	 
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D.    Goals / Objectives

1.    The goal of this Agreement is for the Government to fund a performance-based effort by the Performer to investigate and create platforms for increasing the speed of engineering DNA and microbes while simultaneously expanding the scope of the living systems that are readily engineered.

2.    The Government will have continuous involvement with the Performer. The Government will also obtain access to research results and certain rights in data and patents pursuant to Articles VII and VIII. DARPA and the Performer are bound to each other by a duty of good faith and best research effort in achieving the goals of the Program.

3.    This Agreement is an "other transaction" pursuant to 10 U.S.C. § 2371. The Parties agree that the principal purpose of this Agreement is for the Government to support and stimulate the Performer to provide their best effort in advanced research and technology development and not for the acquisition of property or services for the direct benefit or use of the Government. This Agreement can best be described as an accumulation of expenses approach with payments tied to Fixed Payable Milestones. The Performer will be paid for each Payable Milestone accomplished in accordance with the Schedule of Payments and Payable Milestones set forth in Attachment 3 and the procedures of Article V. The Schedule of Payments and Payable Milestones may be revised or updated in accordance with Article III. This Agreement is not intended to be, nor shall it be construed as, by implication or otherwise, a partnership, a corporation, or other business organization.

ARTICLE II:    TERM

A.    Term of this Agreement

The Program commences upon the date of the last signature hereon and continues for:

Phase 1 – Twelve (12) months.
Phase 2 (Exercised via P00005) – Twelve (12) months from date of option exercise.

If all funds are expended prior to the duration of any Phase of the Agreement, the Parties have no obligation to continue performance and may elect to cease development at that point.

Provisions of this Agreement, which, by their express terms or by necessary implication, apply for periods of time other than specified herein, shall be given effect, notwithstanding this Article.

B.    Termination Provisions

Subject to a reasonable determination that the program will not produce beneficial results commensurate with the expenditure of resources, either Party may terminate this Agreement by written notice to the other Party, provided that such written notice is preceded by consultation between the Parties. In the event of a termination of the Agreement, it is agreed that disposition of Data developed under this Agreement, shall be in accordance with the provisions set forth in Article VIII, Data Rights. The Government and the Performer will negotiate in good faith a reasonable and timely adjustment of all outstanding issues between the Parties as a result of termination. Failure of the Parties to agree to a reasonable adjustment will be resolved pursuant to Article VI, Disputes. The Government has no obligation to pay the Performer beyond the last completed and paid milestone if the Performer decides to terminate. For the avoidance of doubt, any such termination does not require repayment of milestone amounts already received by Performer.

	
			
	 
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C. Extending the Term (Phase 2)

The Parties may extend by mutual written agreement the term of this Agreement if funding availability and research opportunities reasonably warrant. Any extension shall be formalized through modification of the Agreement by the Agreements Officer and the Performer’s Administrator.

(i) The Government may extend the term of this agreement by written notice to the Performer within 12 months; provided that the Government gives the Performer a preliminary written notice of its intent to extend at least 14 days before the agreement expires. The preliminary notice does not commit the Government to an extension.

(ii) If the Government exercises this option, the extended agreement shall be considered to include this article.

(iii) The total duration of this agreement, including the exercise of any options under this article, shall not exceed 24 months.
(End of clause)

ARTICLE III:    MANAGEMENT OF THE PROJECT

A.    Management and Program Structure

The Performer shall be responsible for the overall technical and program management of the Program, and technical planning and execution shall remain with the Performer. The DARPA Agreements Officer’s Representative shall provide recommendations to Program developments and technical collaboration and be responsible for the review and verification of the Payable Milestones.

B.    Program Management Planning Process

Program planning will consist of an Annual Program Plan with inputs and review from the Performer and DARPA management, containing the detailed schedule of research activities and payable milestones. The Annual Program Plan will consolidate quarterly adjustments in the research schedule, including revisions/modification to payable milestones.

1.    Initial Program Plan: The Performer will follow the initial program plan that is contained in the Statement of Work (Attachment 1), and the Schedule of Payments and Payable Milestones (Attachment 3).

2.    Overall Program Plan Annual Review

(a)    The Performer, with DARPA Agreements Officer’s Representative review, will prepare an overall Annual Program Plan in the first quarter of each Agreement year. (For this purpose, each consecutive twelve (12) month period from (and including) the month of execution of this Agreement during which this Agreement shall remain in effect shall be considered an “Agreement Year”.) The Annual Program Plan will be presented and reviewed at an annual site review which will be attended by the performer’s Key Personnel, the DARPA Agreements Officer’s Representative, Senior DARPA management as appropriate, and other DARPA program managers and personnel as appropriate. The Performer, with DARPA participation and review, will prepare a final Annual Program Plan.

	
			
	 
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(b)    The Annual Program Plan provides a detailed schedule of research activities, commits the Performer to use its best efforts to meet specific performance objectives, includes forecasted expenditures and describes the Payable Milestones. The Annual Program Plan will consolidate all prior adjustments in the research schedule, including revisions/modifications to payable milestones. Recommendations for changes, revisions or modifications to the Agreement which result from the Annual Review shall be made in accordance with the provisions of Article III, Section C.

C.    Modifications

1.    As a result of quarterly meetings (in person or videoconference), annual reviews, or at any time during the term of the Agreement, research progress or results may indicate that a change in the Statement of Work and/or the Payable Milestones, would be beneficial to program objectives. Recommendations for modifications, including justifications to support any changes to the Statement of Work and/or the Payable Milestones, will be documented in a letter and submitted by the Performer to the DARPA Agreements Officer’s Representative with a copy to the DARPA Agreements Officer. This documentation letter will detail the technical, chronological, and financial impact of the proposed modification to the research program. The Performer shall approve any Agreement modification. The Government is not obligated to pay for additional or revised Payable Milestones until the Payable Milestones Schedule (Attachment 3) is formally revised by the DARPA Agreements Officer and made part of this Agreement.

2.    The DARPA Agreements Officer’s Representative shall be responsible for the review and verification of any recommendations to revise or otherwise modify the Agreement Statement of Work, Schedule of Payments or Payable Milestones, or other proposed changes to the terms and conditions of this Agreement.

3.    For minor or administrative Agreement modifications (e.g. changes in the paying office or appropriation data, changes to Government or the Performer’s personnel identified in the Agreement, etc.) no signature is required by the Performer.

ARTICLE IV:    AGREEMENT ADMINISTRATION

Unless otherwise provided in this Agreement, approvals permitted or required to be made by DARPA
may be made only by the DARPA Agreements Officer. Administrative and contractual matters under
this Agreement shall be referred to the following representatives of the parties:

A.    Government Points of Contact:

Agreements Officer:
[*]
[*]

DARPA Program Manager:
[*]
Program Manager
[*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

	
			
	 
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[*]
 
Agreements Officer’s Representative (AOR):
[*]
[*]
[*]

Administrative Agreements Officer (AAO):
[*]
[*]
[*]

B.    Performer Points of Contact

Performer’s Administrative/Contracting:
[*]
General Counsel
[*]
[*]

Performer’s Program Manager:
[*]
Chief Science Officer
[*]
[*]

ARTICLE V:    OBLIGATION AND PAYMENT

A.    Obligation

1. The Government’s liability to make payments to the Performer is limited to only those funds obligated under the Agreement or by modification to the Agreement. DARPA may obligate funds to the Agreement incrementally.

2. If modification becomes necessary in performance of this Agreement, pursuant to Article III, paragraph B, the DARPA Agreements Officer and the Performer’s Administrator shall execute a revised Schedule of Payable Milestones consistent with the then current Program Plan.

B. Payments

1. The Performer has an established and agrees to maintain an established accounting system which complies with Generally Accepted Accounting Principles and the requirements of this Agreement, and shall ensure that appropriate arrangements have been made for receiving, distributing and accounting for all funding. An acceptable accounting system is one in which all cash receipts and disbursements are controlled and documented properly.

2. The Performer shall document the accomplishments of each Payable Milestone by submitting or otherwise providing the Payable Milestones Report required by Attachment 2, Part D.  

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

	
			
	 
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After written verification of the accomplishment of the Payable Milestone by the DARPA Agreements Officer’s Representative, and approval by the Agreements Officer, the associated invoice will be submitted to the payment office via Wide Area Workflow (WAWF), as detailed in paragraph B.6 of this Article. If deemed necessary by the Agreements Officer, payment approval for the final Payable Milestone will be made after reconciliation of DARPA funding with actual Performer contributions. Subject to change only through written Agreement modification, payment shall be made to the address of the Performer’s Administrator set forth below.

3. Address of Payee: AMYRIS, INC., 5885 Hollis Street, Suite 100, Emeryville, California 94608

4. Government funds shall be maintained in an interest-bearing account prior to disbursement. This account shall not be in U. S. Treasury Notes. Any interest earned shall be remitted annually to the DARPA Agreements Officer, or designee. Interest payments shall be made payable to the U. S. Treasury. Interest amounts less than $250 per year may be retained by the Performer for administrative expenses.

5. Payments will be made by the cognizant Defense Agencies Financial Services office, as indicated below, within thirty (30) calendar days of an accepted invoice in Wide Area Workflow (WAWF). Wide Area Workflow (WAWF) is a secure web-based system for electronic invoicing, receipt and acceptance. The WAWF application enables electronic form submission of invoices, government inspection, and acceptance documents in order to support DoD’s goal of moving to a paperless acquisition process. Authorized DoD users are notified of pending actions by e-mail and are presented with a collection of documents required to process the contracting or financial action. It uses Public Key Infrastructure (PKI) to electronically bind the digital signature to provide non-reputable proof that the user (electronically) signed the document with the contents. Benefits include online access and full spectrum view of document status, minimized re-keying and improving data accuracy, eliminating unmatched disbursements and making all documentation required for payment easily accessible.

The Performer is required to utilize the Wide Area Workflow system when processing invoices and receiving reports under this Agreement. The Performer shall (i) ensure an Electronic Business Point of Contact is designated in Central Contractor Registration at http://www.ccr.gov and (ii) register to use WAWF–RA at the https://wawf.eb.mil site, within ten (10) calendar days after award of this Agreement. Step by Step procedures to register are available at the https://wawf.eb.mil site. The Performer is directed to use the “2-in-1” format when processing invoices.

		
	a.
	For the Issue By DoDAAC enter HR0011

		
	b.
	For the Admin DoDAAC and Ship To fields, enter S0507A.

		
	c.
	For the Service Acceptor field, enter HR0011, Extension 01.

		
	d.
	Leave the Inspect by DoDAAC, Ship From Code DoDAAC and LPO DoDAAC fields blank unless otherwise directed by the Agreements Officer or Administrative Agreements Officer.

		
	e.
	The following guidance is provided for invoicing processed under this Agreement through WAWF:

		
	•
	The AOR identified at Article IV "Agreement Administration" shall continue to formally inspect and accept the deliverables/payable milestones. To the maximum extent practicable, the AOR shall review the deliverable(s)/payable milestone report(s) and either: 1) provide a written notice of rejection to the Performer which includes feedback 

	
			
	 
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regarding deficiencies requiring correction or 2) written notice of acceptance to the Administrative Agreements Officer (AAO), DARPA PM and Agreements Officer.
		
	•
	Acceptance within the WAWF system shall be performed by the Agreements Officer upon receipt of a confirmation email, or other form of transmittal, from the AOR. 

		
	•
	The Performer shall send an email notice to the AOR and Agreements Officer upon submission of an invoice in WAWF (this can be done from within WAWF). 

		
	•
	Payments shall be made by DFAS-CO/WEST (HQ0339) 

		
	•
	The Performer agrees, when entering invoices entered in WAWF to utilize the CLINs associated with each payable milestone as delineated at Attachment 3. The description of the CLIN shall include reference to the associated milestone number along with other necessary descriptive information. The Performer agrees that the Government may reject invoices not submitted in accordance with this provision. 

Note for DFAS: The Agreement shall be entered into the DFAS system by CLIN – Milestone association as delineated at Attachment 3. The Agreement is to be paid out by CLIN – Milestone association. Payments shall be made using the CLIN (MS)/ACRN association as delineated at Attachment 3.

6.    Payee Information: As identified at Central Contractor Registration.

		
	•
	Cage Code: 47QN9 

		
	•
	DUNS: 185930182 

		
	•
	TIN: 55-0856151

7.    Limitation of Funds: In no case shall the Government’s financial liability exceed the
amount obligated under this Agreement.

8.    Payments shall be made in the amounts set forth in Attachment No. 3, provided the DARPA Agreements Officer’s Representative has verified the accomplishment of the Payable Milestones. It is recognized that the quarterly accounting of current expenditures reported in the “Quarterly Business Status Report” submitted in accordance with Attachment No. 2 is not necessarily intended or required to match the Payable Milestones until submission of the Final Report; however, payable milestones may be revised during the course of the program to reflect current and revised projected expenditures, subject to the requirements set forth in Article III.

account for all funding under this Agreement and shall maintain adequate records to account for the Performer’s funding provided under this Agreement. Upon completion or termination of this Agreement, whichever occurs earlier, the Performer’s Administrator shall furnish to the Agreements Officer a copy of the Final Report required by Attachment 2, Part E. The Performer’s relevant financial records are subject to examination or audit on behalf of DARPA by the Government for a period not to exceed three (3) years after expiration of the term of this Agreement. The Agreements Officer or designee shall have direct access to sufficient records and information of the Performer, to ensure full accountability for all funding under this Agreement. Such audit, examination, or access shall be performed during business hours on business days upon prior written notice and shall be subject to the security requirements of the audited party.

C.    Accounting and Appropriation Data 

	
			
	 
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AA    9720400 1320 S351 P2D10 2525 DPAC 2 5205 S12136 61101E    $3,022,501

AB    012199 097    0400 000 N 20132014 D 1320 HLIF6    2013.MBT-02.CORE.A 
DARPA 255
$2,632,428

ACRN AC:    012199 097    0400 000 N 20132014 D 1320 HTLM6    2013.MBT-02.CORE.A
DARPA        255
$1,087,836

ACRN AD:     012199 097    0400 000 N 20142015 D 1320 BLTM6    2014.MBT-02.CORE.A 
DARPA 255 
$911,544

ARTICLE VI:    DISPUTES

A.    General

The Parties shall communicate with one another in good faith and in a timely and cooperative manner
when raising issues under this Article.

B.    Dispute Resolution Procedures

1.    Any disagreement, claim or dispute between DARPA and the Performer concerning questions of fact or law arising from or in connection with this Agreement, and, whether or not involving an alleged breach of this Agreement, may be raised only under this Article.

2.    Whenever disputes, disagreements, or misunderstandings arise, the Parties shall attempt to resolve the issue(s) involved by discussion and mutual agreement as soon as practicable. In no event shall a dispute, disagreement or misunderstanding which arose more than three (3) months prior to the notification made under subparagraph B.3 of this article constitute the basis for relief under this article unless the Director of DARPA in the interests of justice waives this requirement.

3.    Failing resolution by mutual agreement, the aggrieved Party shall document the dispute, disagreement, or misunderstanding by notifying the other Party (through the DARPA Agreements Officer or the Performer’s Administrator, as the case may be) in writing of the relevant facts, identify unresolved issues, and specify the clarification or remedy sought. Within five (5) working days after providing notice to the other Party, the aggrieved Party may, in writing, request a joint decision by the DARPA Senior Procurement Executive, and senior executive (no lower than Vice President, Legal) appointed by the Performer. The other Party shall submit a written position on the matter(s) in dispute within thirty (30) calendar days after being notified that a decision has been requested. The DARPA Senior Procurement Executive, and the senior executive shall conduct a review of the matter(s) in dispute and render a decision in writing within thirty (30) calendar days of receipt of such written position. Any such joint decision is final and binding.

4.    In the absence of a joint decision, upon written request to the Director of DARPA, made within thirty (30) calendar days of the expiration of the time for a decision under subparagraph B.3 above, the dispute shall be further reviewed. The Director of DARPA may elect to conduct this review 

	
			
	 
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personally or through a designee or jointly with a senior executive (no lower than (Vice President, Legal) level) appointed by the Performer. Following the review, the Director of DARPA or designee will resolve the issue(s)and notify the Parties in writing. Such resolution is not subject to further administrative review and, to the extent permitted by law, shall be final and binding.

C.    Limitation of Damages

Claims for damages of any nature whatsoever pursued under this Agreement shall be limited to direct damages only up to the aggregate amount of DARPA funding disbursed as of the time the dispute arises. In no event shall DARPA be liable for claims for consequential, punitive, special and incidental damages, claims for lost profits, or other indirect damages.

ARTICLE VII:    PATENT RIGHTS

A.    Allocation of Principal Rights

Unless the Performer shall have notified DARPA (in accordance with subparagraph B.2 below) that the Performer does not intend to retain title, the Performer shall retain the entire right, title, and interest throughout the world to each Subject Invention consistent with the provisions of this Article and 35 U.S.C. § 202. With respect to any Subject Invention in which the Performer retains title, DARPA shall have a nonexclusive, nontransferable, irrevocable, paid-up license to practice or have practiced on behalf of the United States the Subject Invention throughout the world.

B.    Invention Disclosure, Election of Title, and Filing of Patent Application

1.    The Performer shall disclose each Subject Invention to DARPA within four (4) months after the inventor discloses it in writing to his company personnel responsible for patent matters or, in the case of no internal writing from the inventor, within two (2) months after filing a provisional application, provided however that in the event the Performer does not file a provisional application, it shall disclose the Subject Invention to DARPA within two (2) months of determining that a particular set of experiments and or data qualify as a Subject Invention. The disclosure to DARPA shall be in the form of a written report and shall identify the Agreement under which the Subject Invention was made and the identity of the inventor(s). It shall be sufficiently complete in technical detail to convey a clear understanding to the extent known at the time of the disclosure, of the nature, purpose, operation, and the physical, chemical, biological, or electrical characteristics of the invention. The disclosure shall also identify any publication, sale, or public use of the invention and whether a manuscript describing the invention has been submitted for publication and, if so, whether it has been accepted for publication at the time of disclosure. The Performer shall also submit to DARPA an annual listing of Subject Inventions.

2.    If the Performer determines that it does not intend to retain title to any such Subject Invention, the Performer shall notify DARPA, in writing, within eight (8) months of disclosure to DARPA. However, in any case where publication, sale, or public use has initiated the one (1)-year statutory period wherein valid patent protection can still be obtained in the United States, the period for such notice may be shortened by DARPA to a date that is no more than sixty (60) calendar days prior to the end of the statutory period.

3.    The Performer shall file its initial patent application on a Subject Invention to which it elects to retain title within one (1) year after election of title or, if earlier, prior to the end of the statutory 

	
			
	 
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period wherein valid patent protection can be obtained in the United States after a publication, or sale, or public use. The Performer may elect to file patent applications in additional countries (including the European Patent Office and the Patent Cooperation Treaty) within either ten (10) months of the corresponding initial patent application or six (6) months from the date permission is granted by the Commissioner of Patents and Trademarks to file foreign patent applications, where such filing has been prohibited by a Secrecy Order.

4.    Requests for extension of the time for disclosure election, and filing under Article VII, paragraph C, may, at the discretion of DARPA, and after considering the position of the Performer, be granted.

C.    Conditions When the Government May Obtain Title

Upon DARPA’s written request, the Performer shall convey title to any Subject Invention to DARPA under any of the following conditions:

1.    If the Performer fails to disclose or elects not to retain title to the Subject Invention within the times specified in paragraph C of this Article; provided, that DARPA may only request title within sixty (60) calendar days after learning of the failure of the Performer to disclose or elect within the specified times.

2.    In those countries in which the Performer fails to file patent applications within the times specified in paragraph B of this Article; provided, that if the Performer has filed a patent application in a country after the times specified in paragraph B of this Article, but prior to its receipt of the written request by DARPA, the Performer shall continue to retain title in that country; or

3.    In any country in which the Performer decides not to continue the prosecution of any application for, to pay the maintenance fees on, or defend in reexamination or opposition proceedings on, a patent on a Subject Invention.

D.    Minimum Rights to the Performer and Protection of the Performer’s Right to File

1.    The Performer shall retain a nonexclusive, royalty-free license throughout the world in each Subject Invention to which the Government obtains title, except if the Performer fails to disclose the invention within the times specified in paragraph B of this Article. The Performer’s license extends to subsidiaries and affiliates and Collaborators, if any, within the corporate structure of which the Performer is a party and includes the right to grant licenses of the same scope to the extent that the Performer was legally obligated to do so at the time the Agreement was awarded. The license is transferable only with the approval of DARPA, except when transferred to the successor of that part of the business to which the invention pertains. DARPA approval for license transfer shall not be unreasonably withheld.

2.    The Performer’s license may be revoked or modified by DARPA to the extent necessary to achieve expeditious practical application of the Subject Invention pursuant to an application for an exclusive license submitted consistent with appropriate provisions at 37 CFR Part 404. This license shall not be revoked at any time when the Performer continues to practice the general technology developed hereunder in pursuit of commercial goals, including the goal of making the products derived from such platforms reasonably accessible to the public.

3     Before revocation or modification of the license, DARPA shall furnish the Performer a written notice of its intention to revoke or modify the license, and the Performer shall be allowed thirty 

	
			
	 
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(30) calendar days (or such other time as may be authorized for good cause shown) after the notice to show cause why the license should not be revoked or modified.

E.    Action to Protect the Government’s Interest

1.    The Performer agrees to execute or to have executed and promptly deliver to DARPA all instruments necessary to (i) establish or confirm the rights the Government has throughout the world in those Subject Inventions to which the Performer elects to retain title, and (ii) convey title to DARPA when requested under paragraph D of this Article and to enable the Government to obtain patent protection throughout the world in that Subject Invention.

2.    The Performer agrees to require, by written agreement, its employees, other than clerical and non-technical employees, to disclose promptly in writing to personnel identified as responsible for the administration of patent matters and in a format suggested by the Performer each Subject Invention made under this Agreement in order that the Performer can comply with the disclosure provisions of paragraph C of this Article. The Performer shall instruct employees, through employee agreements or other suitable educational programs, on the importance of reporting inventions in sufficient time to permit the filing of patent applications prior to U. S. or foreign statutory bars.

3.    The Performer shall notify DARPA of any decisions not to continue the prosecution of a patent application, pay maintenance fees, or defend in a reexamination or opposition proceedings on a patent, in any country, not less than thirty (30) calendar days before the expiration of the response period required by the relevant patent office.

4.    The Performer shall include, within the specification of any United States patent application and any patent issuing thereon covering a Subject Invention, the following statement: “This invention was made with Government support under Agreement HR0011-12-3-0006, awarded by DARPA. The Government has certain rights in the invention.”

F.    Lower Tier Agreements

The Performer shall include this Article, suitably modified, to identify the Parties, in all subcontracts or lower tier agreements, regardless of tier, for experimental, developmental, or research work.

G.    Reporting on Utilization of Subject Inventions

		
	1.
	The Performer agrees to submit, during the term of the Agreement, an annual report on the general subject matter research at Performer or its Collaborators, licensees or assignees in connection with utilization of a Subject Invention or on efforts at obtaining such utilization that is being made by the Performer or its Collaborators, licensees or assignees. Such reports shall include information regarding the general fields of potential products where such Subject Inventions may ultimately assist in commercial sales. The Performer also agrees to provide additional reports as may be requested by DARPA in connection with any march-in proceedings undertaken by DARPA in accordance with paragraph J of this Article. Consistent with 35 U.S.C. § 202(c)(5), DARPA agrees it shall not disclose such information to persons outside the Government without permission of the Performer.

		
	2
	 All required reporting shall be accomplished, to the extent possible, using the i-Edison reporting website: https://s-edison.info.nih.gov/iEdison/. To the extent any such reporting cannot be 

	
			
	 
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carried out by use of i-Edison, reports and communications shall be submitted to the Agreements Officer and Administrative Agreements Officer.

H.    Preference for American Industry

Notwithstanding any other provision of this clause, the Performer agrees that it shall not grant to any person the exclusive right to use or sell any Subject Invention in the United States or Canada unless such person agrees that any product embodying the Subject Invention or produced through the use of the Subject Invention shall be manufactured substantially in the United States or Canada except when such such rights are in connection with a Collaborator. However, in individual cases, the requirements for such an agreement beyond what is contemplated herein may be waived by DARPA upon a showing by the Performer (1) that reasonable but unsuccessful efforts have been made to grant licenses on similar terms to potential licensees that would be likely to manufacture substantially in the United States or (2) that, under the circumstances, domestic manufacture is not commercially feasible.

I.    March-in Rights

The Performer agrees that, with respect to any Subject Invention in which it has retained title, DARPA has the right to require the Performer, an assignee, or exclusive licensee of a Subject Invention to grant a non-exclusive license to a responsible applicant or applicants, upon terms that are reasonable under the circumstances, and if the Performer, assignee, or exclusive licensee refuses such a request, DARPA has the right to grant such a license itself if DARPA determines that:

1.    Such action is necessary because the Performer or assignee has not taken effective steps, consistent with the intent of this Agreement, to achieve practical application of the Subject Invention;

2.    Such action is necessary to alleviate health or safety needs which are not reasonably satisfied by the Performer, assignee, or their licensees;

3.    Such action is necessary to meet requirements for public use and such requirements are not reasonably satisfied by the Performer, assignee, or licensees; or

4.    Such action is necessary because the agreement required by paragraph (I) of this Article has not been obtained or waived or because a licensee of the exclusive right to use or sell any Subject Invention in the United States is in breach of such Agreement.

ARTICLE VIII: DATA RIGHTS

A.    Allocation of Principal Rights

1.    This Agreement shall be performed with mixed Government and Performer funding. The Parties agree that in consideration for Government funding, the Performer intends to reduce to practical application items, components and processes developed under this Agreement.

2.    The Performer agrees to retain and maintain in good condition until two (2) years after completion or termination of this Agreement, all Data necessary to achieve practical application. In the event of exercise of the Government’s March-in Rights as set forth under Article VII or subparagraph A.3 of this article, the Performer agrees, upon written request from the Government, to deliver at no additional cost to the Government, all Data necessary to achieve practical application within sixty (60) 

	
			
	 
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calendar days from the date of the written request. The Government shall retain Unlimited Rights, as defined in paragraph A above, to this delivered Data.

3.    The Performer agrees that, with respect to Data necessary to achieve practical application, DARPA has the right to require the Performer to deliver all such Data to DARPA in accordance with its reasonable directions if DARPA determines that:

(a)    Such action is necessary because the Performer or assignee has not taken effective steps, consistent with the intent of this Agreement, to achieve practical application of the technology developed during the performance of this Agreement; 

(b)    Such action is necessary to alleviate health or safety needs which are not reasonably satisfied by the Performer, assignee, or their licensees; or

(c)    Such action is necessary to meet requirements for public use and such requirements are not reasonably satisfied by the Performer, assignee, or licensees.

4.    With respect to Data developed, generated or delivered under this Agreement, the Government shall receive Government Purpose Rights, except as noted in subparagraph (5) of this article.

5.    With respect to all Data delivered, in the event of the Government’s exercise of its right under subparagraph B.2 of this article, the Government shall receive Unlimited Rights.

6.    Any pre-existing Data to be utilized and delivered under this Agreement shall be delivered with restrictions as delineated in the Performer Identification and Assertion of Use, Release, or Disclosure Restrictions provided in Attachment 5.

B.    Marking of Data

Pursuant to paragraph B above, any Data delivered under this Agreement shall be marked with the following legend:

Use, duplication, or disclosure is subject to the restrictions as stated in Agreement HR0011-12-3- 0006 between the Government and the Performer.

C. Lower Tier Agreements

The Performer shall include this Article, suitably modified to identify the Parties, in all subcontracts or lower tier agreements, regardless of tier, for experimental, developmental, or research work.

ARTICLE IX: FOREIGN ACCESS TO TECHNOLOGY

This Article shall remain in effect during the term of the Agreement and for two (2) years thereafter.

A.    General

The Parties agree that research findings and technology developments arising under this Agreement may constitute a significant enhancement to the national defense, and to the economic vitality of the United 

	
			
	 
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States. Accordingly, access to important technology developments under this Agreement by Foreign Firms or Institutions must be carefully controlled. The controls contemplated in this Article are in addition to, and are not intended to change or supersede, the provisions of the International Traffic in Arms Regulation (22 CFR pt. 121 et seq.), the DoD Industrial Security Regulation (DoD 5220.22-R) and the Department of Commerce Export Regulation (15 CFR pt. 770 et seq.)

B.    Restrictions on Sale or Transfer of Technology to Foreign Firms or Institutions

1.    In order to promote the national security interests of the United States and to effectuate the policies that underlie the regulations cited above, the procedures stated in subparagraphs C.2, C.3, and C.4 below shall apply to any transfer of Technology. For purposes of this paragraph, a transfer includes a sale of the company, and sales or licensing of Technology. Transfers do not include:

(a) sales of products or components, or

(b) licenses of software or documentation related to sales of products or components, or

(c) transfer to foreign subsidiaries of the Performer for purposes related to this Agreement or to Collaborators, or

(d) transfer which provides access to Technology to a Foreign Firm or Institution which is an approved source of supply or source for the conduct of research under this Agreement provided that such transfer shall be limited to that necessary to allow the firm or institution to perform its approved role under this Agreement.

2.    The Performer shall provide timely notice to DARPA of any proposed transfers which occur after the effective date of this agreement from the Performer of Technology developed under this Agreement to Foreign Firms or Institutions. If DARPA determines that the transfer may have adverse consequences to the national security interests of the United States, the Performer, its vendors, and DARPA shall jointly endeavor to find alternatives to the proposed transfer which obviate or mitigate potential adverse consequences of the transfer but which provide substantially equivalent benefits to the Performer.

3.    In any event, the Performer shall provide written notice to the DARPA Agreements Officer’s Representative and Agreements Officer of any proposed transfer to a foreign firm or institution at least sixty (60) calendar days prior to the proposed date of transfer. Such notice shall cite this Article and shall state specifically what is to be transferred and the general terms of the transfer. Within thirty (30) calendar days of receipt of the Performer’s written notification, the DARPA Agreements Officer shall advise the Performer whether it consents to the proposed transfer. In cases where DARPA does not concur or sixty (60) calendar days after receipt and DARPA provides no decision, the Performer may utilize the procedures under Article VI, Disputes. No transfer shall take place until a decision is rendered.

4. In the event a transfer of Technology to Foreign Firms or Institutions which is NOT approved by DARPA takes place, the Performer shall (a) refund to DARPA funds paid for the development of the Technology and (b) the Government shall have a non-exclusive, nontransferable, irrevocable, paid-up license to practice or have practiced on behalf of the United States the Technology throughout the world for Government and any and all other purposes, particularly to effectuate the intent 

	
			
	 
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of this Agreement. Upon request of the Government, the Performer shall provide written confirmation of such licenses.

C.    Lower Tier Agreements

The Performer shall include this Article, suitably modified, to identify the Parties, in all subcontracts or lower tier agreements, regardless of tier, for experimental, developmental, or research work.

ARTICLE X:    TITLE TO AND DISPOSITION OF PROPERTY

A.    Title to Property

The Performer will acquire property with an acquisition value greater than $5,000 under this Agreement as set forth in Attachment * to this Agreement which is necessary to further the research and development goals of this Program and is not for the direct benefit of the Government. Title to this property shall vest in the Performer upon acquisition. Title to any other items of property acquired under this Agreement with an acquisition value of $5,000 or less shall vest in the Performer upon acquisition with no further obligation of the Parties unless otherwise determined by the Agreements Officer. Should any other item of property with an acquisition value greater than $5,000 be required, the Performer shall obtain prior written approval of the Agreements Officer. Title to this property shall also vest in the Performer upon acquisition. The Performer shall be responsible for the maintenance, repair, protection, and preservation of all property at its own expense.

B.    Disposition of Property

At the completion of the term of this Agreement, items of property set forth in Attachment * or any other items of property with an acquisition value greater than $5,000 shall be disposed of in the following manner:

1.    Purchased by the Performer at an agreed-upon price, the price to represent fair market value, with the proceeds of the sale being returned to DARPA; or

2.    Transferred to a Government research facility with title and ownership being transferred to the Government; or

3.    Donated to a mutually agreed University or technical learning center for research purposes; or

4. Any other DARPA-approved disposition procedure.

ARTICLE XI: CIVIL RIGHTS ACT

This Agreement is subject to the compliance requirements of Title VI of the Civil Rights Act of 1964 as amended (42 U.S.C. 2000-d) relating to nondiscrimination in Federally assisted programs. The Performer has signed an Assurance of Compliance with the nondiscriminatory provisions of the Act.

ARTICLE XII: SECURITY

	
			
	 
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The Government does not anticipate the need for the Performer to develop and/or handle classified information in the performance of this Agreement. No DD254 is currently required for this Agreement.

ARTICLE XIII: SUBCONTRACTORS

The Performer shall make every effort to satisfy the intent of competitive bidding of sub-agreements to the maximum extent practical. The Performer may use foreign entities or nationals as subcontractors, subject to compliance with the requirements of this Agreement and to the extent otherwise permitted by law.

ARTICLE XIV: KEY PERSONNEL

		
	A.
	The Performer shall notify the Agreements Officer in writing prior to making any change in key personnel. The following individuals are designated as key personnel for the purposes of this Agreement:

	
			
	Name
	Role/Title
	% of time

	Jack Newman
	Chief Science Officer
	60%

	Sunil Chandran
	Team Leader
	100%

		
	B.
	When replacing any of the personnel identified above, the Performer must demonstrate that the qualifications of the prospective personnel are acceptable to the Government as reasonably determined by the Program Manager. Substitution of key personnel shall be documented by modification to the Agreement made in accordance with the procedures outlined in Article III, paragraph C.

ARTICLE XV: EXPORT CONTROL

(a) Definition. “Export-controlled items,” as used in this clause, means items subject to the Export Administration Regulations (EAR) (15 CFR Parts 730-774) or the International Traffic in Arms Regulations (ITAR) (22 CFR Parts 120-130). The term includes:

1) “Defense items,” defined in the Arms Export Control Act, 22 U.S.C. 2778(j)(4)(A), as defense articles, defense services, and related technical data, and further defined in the ITAR, 22 CFR Part 120.

 2) “Items,” defined in the EAR as “commodities”, “software”, and “technology,” terms that are also defined in the EAR, 15 CFR 772.1.

(b) The Performer shall comply with all applicable laws and regulations regarding export-controlled items, including, but not limited to, the requirement for contractors to register with the Department of State in accordance with the ITAR. The Performer shall consult with the Department of State regarding 

	
			
	 
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any questions relating to compliance with the ITAR and shall consult with the Department of Commerce regarding any questions relating to compliance with the EAR.

 (c) The Performer's responsibility to comply with all applicable laws and regulations regarding export-controlled items exists independent of, and is not established or limited by, the information provided by this clause.

(d) Nothing in the terms of this contract adds, changes, supersedes, or waives any of the requirements of applicable Federal laws, Executive orders, and regulations,

including but not limited to—

(1) The Export Administration Act of 1979, as amended (50 U.S.C. App. 2401, et seq.);

(2) The Arms Export Control Act (22 U.S.C. 2751, et seq.);

(3) The International Emergency Economic Powers Act (50 U.S.C. 1701, et seq.);

(4) The Export Administration Regulations (15 CFR Parts 730-774);

(5) The International Traffic in Arms Regulations (22 CFR Parts 120-130);

and

(6) Executive Order 13222, as extended;

(e) The Performer shall include the substance of this clause, including this paragraph (e), in all subawards.

ARTICLE XVI: ORDER OF PRECEDENCE

In the event of any inconsistency between the terms of this Agreement and language set forth in the Attachments, the inconsistency shall be resolved by giving precedence in the following order: (1) The Agreement, and (2) all Attachments to the Agreement.

ARTICLE XVII: EXECUTION

This Agreement constitutes the entire agreement of the Parties and supersedes all prior and contemporaneous agreements, understandings, negotiations and discussions among the Parties, whether oral or written, with respect to the subject matter hereof. This Agreement may be revised only by written consent of the Performer and the DARPA Agreements Officer. This Agreement, or modifications thereto, may be executed in counterparts each of which shall be deemed as original, but all of which taken together shall constitute one and the same instrument.

ARTICLE XVIII: APPLICABLE LAW

United States federal law will apply to the construction, interpretation, and resolution of any disputes arising out of or in connection with this Agreement.

	
			
	 
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ARTICLE XIX: SEVERABILITY

In the event that any one or more of the provisions contained herein shall, for any reason, be held to be invalid, illegal or unenforceable in any respect, such invalidity, illegality or unenforceability shall not affect any other provisions of this Agreement, but this Agreement shall be construed as if such invalid, illegal or unenforceable provisions had never been contained herein, unless the deletion of such provision or provisions would result in such a material change so as to cause completion of the transactions contemplated herein to be unreasonable.

ARTICLE XX: FORCE MAJEURE

Performer shall not be liable for delays or non-performance hereunder if such delay or non-performance is from causes beyond the control and without the fault or negligence of the Performer or its subcontractors, and is due, directly, to fire or other casualty; act of God; strike or labor dispute; war or other violence, or to acts of the Government in either its sovereign or contractual capacity.

	
			
	 
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	Agreement No. HR0011-12-3-0006
	 
	Attachment 1

Amyris, Inc.
Statement of Work
For
Living Foundries
Improving DNA Assembly and Integration Across Platforms with Better Systems and Tools
30 May 2012
(Amended through 9 April 2014)

Advanced Tools and Capabilities for Generalizable Platforms (ATCG) Program Background

Current approaches to engineering biology rely on an ad hoc, laborious, trial-and-error process, wherein one successful project often does not translate to enabling subsequent new designs. As a result, the state of the art development cycle for engineering a new biologically manufactured product often takes 7+ years and tens to hundreds of millions of dollars (e.g. microbial production of artemisinic acid for the treatment of malaria and the non-petroleum-based production 1, 3-propanediol). The impact of current approaches is two-fold. First, the number of new entrants and innovators into the biomanufacturing space is immediately limited – few have the expertise, capital and/or time necessary to develop and engineer a new product. Second, combined with the complexity of biological systems, an ad hoc approach results in one-off efforts limited to modifying only a small set of genes and constructing simple, isolated genetic circuits and metabolic pathways. Consequently, while progress has been made, industry is constrained to producing only a tiny fraction of the vast number of possible chemicals, materials, and functional systems that would be enabled by the ability to truly engineer biology. A new approach is needed.

This new approach is Living Foundries: develop and apply an engineering framework to biology that decouples biological design from fabrication, yields design rules and tools, and manages biological complexity through abstraction and standardization. One analogy is that Living Foundries aims to do for biological design what verylarge-scale integration (VLSI) did for integrated circuits. Applying an engineering framework to biology will remove barriers to researchers outside the biological sciences, bringing diverse expertise and new methods to biological design. The best innovations will introduce new architectures and tools that will form the foundational technology for engineering biology.

The vision of Living Foundries is one where new and multiple cellular functions are readily constructed, combined, and controlled by an integrated genetic circuitry. The ultimate effect of which will be to open up the full space of biologically produced materials and systems. To achieve this, new tools, technologies and methodologies that directly address our current limitations and expand our capabilities must be developed. The outcome should be an open technology platform that integrates these tools and capabilities, allowing new designs to rapidly move from conception to execution.

Advanced Tools and Capabilities for Generalizable Platforms, (ATCG) seeks translatable tools that can serve as parts of an “end-to-end platform” to support rapid, specific in its goals: DARPA seeks new technology to enable low-cost and rapid DNA synthesis and assembly, especially to shorten the design-test cycle surrounding the ambitious constructs that characterize the broadest visions in modern synthetic biology.

	
			
	 
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	Agreement No. HR0011-12-3-0006
	 
	Attachment 1

Research Tasks

Task A

[*]

Task A. [*] (Jed Dean, Amyris)

Task Objective: [*]

[*]

Milestone: [*]

Metrics/Completion Criteria: [*]

Deliverables: [*]

Subtask A.1. [*]
[*]

Subtask A.2. [*]
[*]

Subtask A.3. [*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

	
			
	 
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[*]

This subtask completes the Milestone outlined above.
Task C

[*]

Task C. [*] (Sunil Chandran, Amyris)

Task Objective: [*]

[*]

Phase I

Milestone: (12 months) [*]

Metrics/Completion Criteria: [*]

Deliverable: [*]

Subtask C.1[*]
[*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

	
			
	 
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Subtask C.2 [*]

[*]

Subtask C.3 [*]
[*]

Subtask C.4 [*]
[*]

This subtask completes the Milestone outlined above.

Phase II

Milestone (CIIa): [*]

Metrics/Completion Criteria: [*]

Subtask C.5 [*]
[*]

Subtask C.6 [*]
[*]

These subtasks complete the Milestone outlined above.

Milestone (CIIb): [*]

Metrics/Completion Criteria: [*]

Deliverable:[*]

Subtask C.7 [*]
[*]

[*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

	
			
	 
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Milestone (CIIc): [*]

Metrics/Completion Criteria: [*]

Deliverable: [*]

Subtask C.8 [*]
[*]

Task D

[*]

Task D. [*] (Sunil Chandran, Amyris) 

Task D. [*] (Sunil Chandran, Amyris)

Task Objective: [*]
[*]

Phase I

Milestone: [*]

Metrics/Completion Criteria: [*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

	
			
	 
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Deliverable: [*]

Subtask D.1 [*]

Subtask D.2 [*]
[*]

Subtask D.3 [*]
[*]

Subtask D.4 [*]
[*]

Phase II

Milestone (DIIa): [*]

Metrics/Completion Criteria: [*]

Subtask D.5 [*]
[*]

Subtask D.6 [*]
[*]

Milestone (DIIb): [*]

Metrics/Completion Criteria: [*]

Deliverables: [*]

Subtask D.7 [*]
[*]

Subtask D.8 [*]
[*]
This subtask completes the Milestone outlined above.

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

	
			
	 
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Task E

[*]

Task E. [*] (Sunil Chandran, Amyris)

Task Objective: [*]

Phase IA

Milestone: [*]

Metrics/Completion Criteria: [*]

Deliverable: [*]

Subtask E.1. [*]
[*]

This subtask completes the Milestone outlined above.

Phase IB

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

	
			
	 
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Milestone: [*]

Metrics/Completion Criteria: [*]

Deliverable: [*]

Subtask E.3 [*]
[*]

This subtask completes the Milestone outlined above.

Phase II

Milestone (EIIa): [*]

Metrics/Completion Criteria: [*]

Deliverable: [*]

Subtask E.5 [*]
[*]

Milestone (EIIb): [*]

Metrics/Completion Criteria: [*]

Deliverable: [*]

Subtask E.6 [*]
[*]

This subtask completes the Milestone outlined above.

Milestone (EIIc): [*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

	
			
	 
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Metrics/Completion Criteria: [*]

Deliverable: [*]

Subtask E.7 [*]
[*]

Subtask E.8 [*]
[*]
This subtask completes the Milestone outlined above.

Task F

Task F. [*] (Sunil Chandran, Amyris)

Task objective: [*]

Phase II

Milestone: [*]

Metrics/Completion Criteria: [*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

	
			
	 
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[*]

Deliverable: [*]

Subtask F.1. [*]
[*]

Subtask F.2. [*]
[*]

Task G (Bio-safety/Security)

Task Background: The research and engineering depicted in this Statement of Work seeks to make existing capabilities (e.g. genetic modification of microbes to produce commodity chemicals) more efficient with the intended purpose of speeding the development of Living Foundries. The goal of this research is to make better engineering tools, and not to produce microbes that may have Dual-Use potential. As noted in the performer’s technical proposal, a review of the research activities identified within this Statement of Work determined that this project will not enable technologies that are related to human, animal, or plant health. The performer’s choice of potential chassis or hosts will be made from amongst the list of microbes that, prior to genetic modification, are designated safely handled in a Biosafety Level 1 facility. Additionally, the resulting genetically modified organisms have no selective advantage in the environment.
Metrics/Completion Criteria: The performer shall demonstrate throughout the program that all methods and demonstrations of capability comply with national guidance for manipulation of genes and organisms and follow all guidance for biological safety and biosecurity. Demonstrations and testbeds must meet any applicable regulations designed to protect human health and the environment promulgated by the Environmental Protection Agency, National Institutes of Health, or other relevant agencies of the Federal Government. The performer shall use, store, and destroy biological material in accordance with all applicable regulations.
Deliverable: Include as part of the required monthly technical status reports an on-going status of efforts to develop and/or carry out their Advanced Tools and Capabilities for Generalizable Platforms (ATCG) Bio-Safety and Security plan.

Task H (Intellectual Property and Data Sharing)

Task Background: It is the goal of the Defense Advanced Research Projects Agency (DARPA) that its investment in the tools and capabilities developed under the ATCG program to be multiplied many-fold by adoption and improvement by researchers across the United States. In order to achieve this vision, the Living Foundries program aims to facilitate interoperability and open the field to new entrants.

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

	
			
	 
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Metrics/Completion Criteria: To facilitate interoperability, all applicable design tools and databases developed under the ATCG program should be compatible with Synthetic Biology Open Language (SBOL) core data model. The Performer shall make available the technologies developed under the ATCG effort to the broader synthetic biology community by presenting its ATCG research data at public meetings/conferences/workshops and publishing results in peer-reviewed journal articles. At a minimum, the types of information that will be made available to the broader synthetic biology community are as discussed below:

(i) Data and analysis necessary to evaluate the utility of the technologies, as well as standard operating procedures and design specifications enabling others to reconstitute the equipment, set up, and approaches developed.

(ii) The results of Design of Experiment work to arrive at the conditions for the best performance for untested or early stage technologies, describing the correlation between:

		
	•
	DNA ligase cycling parameters and the complexity, size, and success rate of the assembled full length DNA constructs. 

		
	•
	Reaction parameters and the success and cost of performing sequencing QC on DNA assemblies. 

		
	•
	Designer nuclease number, type, and targeting site and the integration efficiency in to the chassis genome. 

(iii) Details required for both technical evaluation and transfer, including: full protocols, technical drawings of equipment built and specifications met, data on accuracy and precision of these systems, and results on procedures performed against large number of samples to investigate the robustness and readiness of the approaches for broader distribution – providing a trained reader with the information needed to recapitulate the methods and results described. In addition, the Principal Investigator shall be available to consult with third parties seeking to replicate the results.

If the work performed under this Statement of Work results in one or more patents, the Performer shall grant licenses on a royalty-free basis to academic and non-profit institutions. Additionally, the Performer shall make licenses available to commercial entities outside its key business areas.

Deliverable/s: The Performer shall include as part of required monthly technical status reports an on-going status of efforts to develop and/or carry out their proposed ATCG Intellectual Property and Data Sharing plan. Reporting shall include a summary of data sharing activities that have taken place during the reporting period and any data sharing activities planned to take place within three months of the reporting period. Reporting shall include a listing of the performers Subject Invention disclosures, Subject Invention patent applications and a brief discussion summarizing plans, if any, to license the resulting technology (e.g., intent and rationale regarding whether the performer intends to seek non-exclusive licensing, exclusive licensing for a particular field of use, or exclusive licensing across the board, etc.).

	
			
	 
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ATTACHMENT 2:

REPORT REQUIREMENTS

A.     TECHNICAL STATUS REPORT

On or before sixty (60) calendar days after the effective date of the Agreement and monthly thereafter throughout the term of the Agreement, the Performer shall submit, via email, a monthly Technical Status Report to the DARPA Program Manager, DARPA Agreements Officer, Agreement Officer’s Representative (AOR), and DARPA/ADPM. The technical status report will detail technical progress to date and report on all problems, technical issues, major developments, and the status of external collaborations during the reporting period. Technical Status Reports shall be marked with Distribution Statement B:

“DISTRIBUTION STATEMENT B. Distribution authorized to U.S. Government agencies only due to the inclusion of proprietary information. Other requests for this document shall be referred to DARPA Public Release Center (PRC) via email at PRC@darpa.mil.”

B.    BUSINESS STATUS REPORT

On or before ninety (90) calendar days after the effective date of the Agreement and quarterly thereafter throughout the term of the Agreement, the Performer shall submit, via email, a quarterly Business Status Report to the DARPA Program Manager, DARPA Agreements Officer, Agreement Officer’s Representative (AOR), and DARPA/ADPM. The business status report shall provide summarized details of the resource status of this Agreement, including the status of the Performer’s contributions. This report will include a quarterly accounting of current expenditures as outlined in the Annual Program Plan. Any major deviations, over plus or minus 10%, shall be explained along with discussions of the adjustment actions proposed. The report will also include an accounting of any interest earned on Government funds. The Performer is reminded that interest in amounts greater than $250 per year is not expected to accrue under this Agreement. In the event that this interest does accrue on Government funds, the Performer is required to provide an explanation for the accrual in the business report. Depending on the circumstances, the Payable Milestones may require adjustment. Business Status Reports shall be marked with Distribution Statement B:

“DISTRIBUTION STATEMENT B. Distribution authorized to U.S. Government agencies only due to the inclusion of proprietary information. Other requests for this

	
			
	 
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document shall be referred to DARPA Public Release Center (PRC) via email at PRC@darpa.mil.
 

C.    ANNUAL PROGRAM PLAN DOCUMENT
The Performer shall submit via email or otherwise provide to the DARPA Agreements Officer’s Representative, DARPA Program Manager and DARPA Agreements Officer one (1) copy each of a report which describes the Annual Program Plan as described in Article III, Section B. This document shall be submitted not later than thirty (30) calendar days following the Annual Site Review as described in Article III, Section B. Annual Program Plans shall be marked with Distribution Statement B:

“DISTRIBUTION STATEMENT B. Distribution authorized to U.S. Government agencies only due to the inclusion of proprietary information. Other requests for this document shall be referred to DARPA Public Release Center (PRC) via email at PRC@darpa.mil.”

D.    SPECIAL TECHNICAL REPORTS
The Performer shall submit via email or otherwise provide to the DARPA Agreements Officer’s Representative, the DARPA Program Manager and DARPA Agreements Officer one (1) copy each of special technical reports on significant events such as significant target accomplishments by the Performer, significant tests, experiments, or symposia, as discussed in the Attachment No. 1 Statement of Work. Special Technical Reports shall be marked with Distribution Statement B:

“DISTRIBUTION STATEMENT B. Distribution authorized to U.S. Government agencies only due to the inclusion of proprietary information. Other requests for this document shall be referred to DARPA Public Release Center (PRC) via email at PRC@darpa.mil.”

E.    SCIENTIFIC PAPERS

The performer shall publish scientific papers in accordance with the Attachment No. Statement of Work. One (1) copy of each published scientific paper shall be submitted via email or otherwise provided to the DARPA Agreements Officer’s Representative, DARPA Program Manager, and DARPA Agreements Officer. Scientific Papers shall be marked with Distribution Statement A:

	
			
	 
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"Approved for public release; distribution is unlimited.”

E.    PAYABLE MILESTONES REPORTS

The Performer shall submit via email or otherwise provide to the DARPA Agreements Officer’s Representative, the DARPA Program Manager and DARPA Agreements Officer documentation describing the extent of accomplishment of Payable Milestones. This information shall be as required by Article V, paragraph B and shall be sufficient for the DARPA Agreements Officer’s Representative to reasonably verify the accomplishment of the milestone in accordance with the Attachment No. 1 Statement of Work and Attachment No. 3 Payable Milestone Plan. Payable Milestone Reports shall be marked with Distribution Statement B:

“DISTRIBUTION STATEMENT B. Distribution authorized to U.S. Government agencies only due to the inclusion of proprietary information. Other requests for this document shall be referred to DARPA Public Release Center (PRC) via email at PRC@darpa.mil.”

F.    FINAL REPORT    (NOTE: The Final Report is included in the last Payable Milestone for the completed Agreement)

1. The Performer shall submit or otherwise provide a Final Report making full disclosure of all major developments by the Performer upon completion of the Agreement or within sixty (60) calendar days of termination of this Agreement. With the approval of the DARPA Agreements Officer’s Representative, reprints of published articles may be attached to the Final Report. The Final Report shall be submitted via email to the DARPA Program Manager, DARPA Agreements Officer, Agreement Officer’s Representative (AOR), DARPA/ADPM, and the Defense Technical Information Center.

2. The Final Report shall be marked with a distribution statement to denote the extent of its availability for distribution, release, and disclosure without additional approvals or authorizations. The Final Report shall be marked on the front page in a conspicuous place with the following marking:

“DISTRIBUTION STATEMENT B. Distribution authorized to U.S. Government agencies only due to the inclusion of proprietary information. Other requests for this document shall be referred to DARPA Public Release Center (PRC) via email at PRC@darpa.mil.”

	
			
	 
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G.    FINAL REPORT MARKINGS

(1) The cover or title page of each of the above reports or publications prepared, will have the following citation:

Sponsored by
Defense Advanced Research Projects Agency
Microsystems Technology Office (MTO)
Program: Living Foundries
Issued by DARPA/CMO under Agreement No. HR0011-12-3-0006

(2) The title page shall include a disclaimer worded substantially as follows:

“The views and conclusions contained in this document are those of the authors and should not be interpreted as representing the official policies, either expressly or implied, of the Defense Advanced Research Projects Agency or the U.S. Government.”

(3) The Final Report shall include a Standard Form 298, August 1998.

(4) All reports shall be marked with the below Distribution Statement and Data Rights statements:

(a) Distribution Statement designations are listed above for each individual type of report.

(b) Government Purpose Rights.

“GOVERNMENT PURPOSE RIGHTS
Agreement Number: HR0011-12-3-0006
Contractor Name: Amyris, Inc.”

In accordance with Article VIII, as applicable, contained in the above identified Agreement, the Government has the right to use, duplicate, or disclose Data, in whole or in part and in any manner, for Government purposes only, and to have or permit others to do so for Government purposes only.”

	
			
	 
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(c) Limited Rights.

“LIMITED RIGHTS
Agreement Number: HR0011-12-3-0006
Contractor Name: Amyris, Inc.”

In accordance with Article VIII, as applicable, contained in the above identified
Agreement, the Government has the right to use, modify, reproduce, release, perform,
display, or disclose Data, in whole or in part, within the Government. The Government
may not, without the written permission of the party asserting limited rights, release or
disclose the Data outside the Government.

H. EXECUTIVE SUMMARY

The Performer shall submit a one to two page executive-level summary of the major
accomplishments of the Agreement and the benefits of using the “other transactions”
authority pursuant to 10 U.S.C. § 2371 upon completion of the Agreement. This
summary shall include a discussion of the actual or planned benefits of the technologies
for both the military and commercial sectors. Two (2) copies shall be submitted to the
DARPA Agreements Officer.

	
			
	 
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	MILESTONE
	Task
	Month
	Payable Milestones
	Exit Criteria
	Performer Payment
	DARPA Payment
	SUBLCIN/
ACRN

	 
	Phase I
	 
	 
	 
	 
	 
	 

	1
	[*]

	[*]

	[*]

	[*]

	[*]

	[*]

	00101/AA

	2
	[*]

	[*]

	[*]

	[*]

	[*]

	[*]

	00201/AA

	3
	[*]

	[*]

	[*]

	[*]

	[*]

	[*]

	00301/AA

	4
	[*]

	[*]

	[*]

	[*]

	[*]

	[*]

	00401/AA

	5
	[*]

	[*]

	[*]

	[*]

	[*]

	[*]

	00501/AA

	Total
	 
	 
	 
	 
	$335,834
	$3,022,501
	 

	 
	Phase 2
	 
	 
	 
	 
	 
	 

	6
	[*]

	[*]

	[*]

	[*]

	[*]

	[*]

	00601/AB

	7
	[*]

	[*]

	[*]

	[*]

	[*]

	[*]

	00701/AB

	8
	[*]

	[*]

	[*]

	[*]

	[*]

	[*]

	00801/AB

	 
	 
	 
	 
	 
	 
	 
	 

	[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

	
			
	 
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9
	[*]

	[*]

	[*]

	[*]

	[*]

	[*]

	00901/AB

	10
	[*]

	[*]

	[*]

	[*]

	[*]

	[*]

	01001/AB

	11
	[*]

	[*]

	[*]

	[*]

	[*]

	[*]

	001101/AC

	12
	[*]

	[*]

	[*]

	[*]

	[*]

	[*]

	001201/AC

	13
	[*]

	[*]

	[*]

	[*]

	[*]

	[*]

	001301/AD

	14
	[*]

	[*]

	[*]

	[*]

	[*]

	[*]

	001401/AD
@ $76,747
001402/AC
@ $351,946

	15
	[*]

	[*]

	[*]

	[*]

	[*]

	[*]

	001501/AC

	Total
	 
	 
	 
	 
	$514,645
	$4,631,808
	 

	 
	Phase 1 & Phase 2
	 
	 
	 
	 
	 
	 

	Total
	 
	 
	 
	 
	$850,479
	$7,654,309
	 

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

	
			
	 
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ATTACHMENT 4:
FUNDING SCHEDULE

A.    PROJECTED PROGRAM FUNDING COMMITMENTS 

	
				
	 
	DARPA
Performer
	 
	Funding
Contribution

	Base (Phase I)
	 
	 
	 

	 
	 
	 
	 

	FY 12 (At time of award)
	$3,595,518
	 
	$399,501

	FY 13 (on or about November 2012)
	$370,411
	 
	$41,158

	Modification P00007 Reduction
	($943,428)
	 
	($104,825)

	 
	 
	 
	 

	Phase 1 Totals
	$3,022,501
	 
	$335,834

	 
	 
	 
	 

	Option (Phase 2)
	 
	 
	 

	 
	 
	 
	 

	FY 13 (At time of Exercise)
	$2,079,497
	 
	$231,055

	FY 13 (Modification P00008)
	$552,931
	 
	$61,437

	FY13 (Modification P00009)
	$645,890
	 
	$71,765

	FY 14 (Modification P00011)
	$1,353.490
	 
	$150,388

	 
	 
	 
	 

	Phase 2 Totals
	$4,631,808
	 
	$514,645

	 
	 
	 
	 

	AGREEMENT TOTALS
	$7,654,309
	 
	$850,479

DARPA funding shall be applied toward the following expenses: Direct labor, to include indirect costs thereof, and direct materials/equipment purchases, to include indirect costs thereof, as included in Amyrsis’s Living Foundries proposal dated 3 May 2012 (as amended).

B.    PERFORMER CONTRIBUTION 

	
				
	 
	Total Contribution
	Cash*
	In-kind**

	 
	 
	 
	 

	Phase 1
	$335,834
	$335,834
	$0

	Phase 2
	$514,645
	$514,645
	$0

	 
	 
	 
	 

	Total
	$850,479
	$850,479
	$0

*Cash contributions consist of: Direct labor, to include indirect costs thereof, and direct materials/equipment purchases, to include indirect costs thereof, as included in Amyrsis’s Living Foundries proposal dated 3 May 2012 (as amended). The aforementioned are considered cash contributions made by Amyris in support of the Living Foundries research program.
**In-kind contributions consist of: N/A

	
			
	 
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	Attachment 5

List of Intellectual Property Assertions

	
				
	Technical Data Computer Software to be Furnished with Restrictions
	Basis for Assertion
	Asserted
Rights
Category
	Name of
Person
Asserting
Restrictions

	Production of Isoprenoids, Application US 11/754,235, Patent No. US 7,659,097
(US 20080274523)
	Developed
exclusively at private
expense
	Restricted
Rights
	Amyris, Inc.

	Production of Isoprenoids, ApplicationUS 12/638,771, Patent No. (US2011/0287476)
	Developed
exclusively at private
expense
	Restricted
Rights
	Amyris, Inc.

	Production of Isoprenoids, Application PCT/US2007/069807, Patent No. (WO2007/140339)
	Developed
exclusively at private
expense
	Restricted
Rights
	Amyris, Inc.

	Nucleic Acids, Compositions and Methods for the Excision of Target Nucleic Acids, Application US 12/978,061, Patent No. US 7,919,605
	Developed
exclusively at private
expense
	Restricted
Rights
	Amyris, Inc.

	Nucleic Acids, Compositions and Methods for the Excision of Target Nucleic Acids, Application US
13/220,553, Patent No. (US 2012/0052582)
	Developed
exclusively at private
expense
	Restricted
Rights
	Amyris, Inc.

	Nucleic Acids, Compositions and Methods for the Excision of Target Nucleic Acids, Application PCT/US2011/049615, Patent No. (WO 2012/030747)
	Developed
exclusively at private
expense
	Restricted
Rights
	Amyris, Inc.

	Compositions and Methods for the Rapid Assembly of Polynucleotides, Developed exclusively at private expense Application US 12/622,401, Patent No. (US 2010/0136633)
	Developed
exclusively at private
expense
	Restricted
Rights
	Amyris, Inc.

	Compositions and Methods for the Rapid Assembly of Polynucleotides, Application US 12/684,874, Patent No. US 8,110,360 (US 2010/0124768)
	Developed
exclusively at private
expense
	Restricted
Rights
	Amyris, Inc.

	[*]
	Developed
exclusively at private
expense
	Restricted
Rights
	Amyris, Inc.

	[*]

	Developed
exclusively at private
expense
	Restricted
Rights
	Amyris, Inc.

	 
	 
	 
	 

	[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

	
			
	 
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	Technical Data Computer Software to be Furnished with Restrictions
	Basis for Assertion
	Asserted
Rights
Category
	Name of
Person
Asserting
Restrictions

	[*]

	 
	 
	 

	[*]

	Developed
exclusively at private
expense
	Restricted
Rights
	Amyris, Inc.

	[*]

	Developed
exclusively at private
expense
	Restricted
Rights
	Amyris, Inc.

	[*]

	Developed
exclusively at private
expense
	Restricted
Rights
	Amyris, Inc.

	[*]

	Developed
exclusively at private
expense
	Restricted
Rights
	Amyris, Inc.

	[*]

	Developed
exclusively at private
expense
	Restricted
Rights
	Amyris, Inc.

	[*]

	Developed
exclusively at private
expense
	Restricted
Rights
	Amyris, Inc.

	[*]

	Software suites were
developed
exclusively with
private funding.
	Limited Rights
	Amyris, Inc.

	[*]

	Software suites were
Developed exclusively with
private funding
	Limited Rights
	Amyris, Inc.

	[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

	
			
	 
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	Technical Data Computer Software to be Furnished with Restrictions
	Basis for Assertion
	Asserted
Rights
Category
	Name of
Person
Asserting
Restrictions

	[*]

	 
	 
	 

	[*]

	Amyris has generated extensive information related to the isoprenoid pathways which will be used as a benchmark to assess performance of this proposal but the underlying comparative data was developed exclusively with private funding.
	Restricted
Rights
	Amyris, Inc.

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

	
			
	 
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	Conformed Copy
	P00011Amyris2014-Q210-QEx1003TotalPilotPlantSubleaseFinalApril72014

	
			
	CONFIDENTIAL TREATMENT REQUESTED. CERTAIN PORTIONS OF THIS DOCUMENT HAVE BEEN OMITTED PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND, WHERE APPLICABLE, HAVE BEEN MARKED WITH AN ASTERISK TO DENOTE WHERE OMISSIONS HAVE BEEN MADE. THE CONFIDENTIAL MATERIAL HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION.

SUBLEASE
THIS SUBLEASE (this “Sublease”), dated as of April 4, 2014 (the “Effective Date”), is entered into by and between AMYRIS, INC., a Delaware corporation (“Amyris”), and TOTAL NEW ENERGIES USA, INC., a Delaware corporation (“TOTAL”).
Amyris is the tenant under the Master Lease (defined below) for the Master Premises (as defined in the Master Lease).  Amyris desires to sublease to TOTAL, and TOTAL desires to sublease from Amyris, certain portions of the Master Premises, on terms and conditions set forth in this Sublease.  
		
	1. 
	DEFINITIONS.

1.1    Sublease Premises:  
(a)  The “Sublease Premises” means the Master Premises, except for the Amyris Dedicated Area (as defined below), as depicted on Exhibit A hereto.  The Sublease Premises is comprised of two areas: (i) an area dedicated to, and accessible only by, TOTAL (the “TOTAL Dedicated Area”) and (ii) a common area that will be shared, as described in this Sublease, by TOTAL and Amyris (the “OCT Facilities”).  The TOTAL Dedicated Area is comprised of approximately 3,671 rentable square feet of space, as outlined in red on Exhibit A hereto.  The OCT Facilities are comprised of approximately 18,350 square feet of space, including a fermentation area, media sterilization, a warehouse (including a “cold room” located therein), restrooms, shower, waste treatment, water treatment, a clean in place system, and a dish room, all as outlined on Exhibit A hereto, and includes all of the equipment and furniture located in those areas that is used to perform such functions.  All of the Sublease Premises are located on the first (1st) floor of the building located at, and commonly known as, 5850 Hollis Street, Emeryville, California 94608 (the “Building”).  The “Amyris Dedicated Area” is the portion(s) of the Master Premises outlined in blue on Exhibit A hereto, which is comprised of approximately 544 rentable square feet of space.  The Amyris Dedicated Area will be entirely dedicated to Amyris Employees with no access by TOTAL without the express prior written consent of the OCT Manager (as defined in the Services Agreement).
(b)  On or prior to the one year anniversary of the Commencement Date (defined below), and provided that this Sublease is then in full force and effect and TOTAL is not then in Default under this Sublease, TOTAL shall have the right to notify Amyris in writing (the “Cold Room Notice”) that TOTAL requires additional cold room space.  Upon receipt of the Cold Room Notice, TOTAL and Amyris shall work together, in good faith, to reconfigure a new cold room space located in the warehouse, including moving shelving, and creating a separate cold room adjacent to the current cold room located in the warehouse, provided any physical construction work to accomplish the foregoing  shall be the responsibility of TOTAL at TOTAL’s sole cost and expense and such physical construction work shall be subject to, and performed in accordance with, the terms of Section 11 below.  The new separate cold room shall be for the sole use of TOTAL and shall constitute part of the TOTAL Dedicated Area under this Sublease.  TOTAL shall pay to Amyris , prior to commencement of any construction in connection with the separate cold room, a one-time payment of $10,000 to defray any cost to Amyris of reconfiguring the existing cold room as contemplated in this paragraph.  The Base Rent payable hereunder shall not be increased in connection with the new cold room.  TOTAL’s failure to timely deliver the Cold Room Notice shall be deemed TOTAL’s determination that it does not require additional cold room space. 
1.2    Master Landlord:  EmeryStation Triangle, LLC, a California limited liability company.
1.3    Master Lease:  Lease dated as of April 25, 2008 (the “Original Lease”), as amended by a letter agreement dated April 25, 2008, a Second Amendment to Lease dated as of February 5, 2010, and a 

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Third Amendment to Lease dated as of May 1, 2013 (the Original Lease, as so amended, is referred to herein as the “Master Lease”).
1.4    Sublease Term:  The term of this Sublease (the “Sublease Term”) shall begin on the Commencement Date and shall end on the Expiration Date, unless terminated earlier in accordance with the terms and conditions of this Sublease. 
1.5    Commencement Date and Delivery Date:   As used in this Sublease, the “Commencement Date” shall be the latest of (i) the Effective Date, and (ii) the date Master Landlord gives its consent to this Sublease and (iii) the date TOTAL has furnished to Amyris all certificates of insurance required under Section 9.1 below; and the “Delivery Date” shall be the date Amyris delivers the Sublease Premises to TOTAL, provided, in no event shall the Delivery Date occur prior to the Commencement Date.  As used in this Sublease, “delivery of the Sublease Premises” shall mean delivery of the TOTAL Dedicated Area and access to the OCT Facilities.  Notwithstanding the foregoing, pursuant to and in accordance with the terms of the Services Agreement (defined below), TOTAL shall have early access to the OCT Facilities upon the later of (i) the Commencement Date and (i) execution of an acceptable SOW (as defined in the Services Agreement) by Amyris and TOTAL, and the parties agree that such early access to the OCT Facilities prior to Amyris delivering the Sublease Premises to TOTAL shall not cause the Delivery Date to have occurred. 
1.6    Expiration Date:  As used in this Sublease, “Expiration Date” means the day immediately preceding the fifth (5th) anniversary of the Effective Date.    
1.7    Base Rent:  The annual base rent (“Base Rent”) payable by TOTAL to Amyris with respect to the Sublease Premises shall be as follows:  

	
				
	ANNUAL BASE RENT

	 
	 

	 
	 

	2014
	$104,673

	2015
	$108,656

	2016
	$112,799

	2017
	$117,419

	2018
	$121,561

	2019
	$
	—
	

1.8    Move Payment. TOTAL will pay to Amyris the Move Payment (as defined in Section 7.1 below), not later than thirty (30) days following receipt of an invoice therefor, together with reasonable supporting documentation. 
1.9    Permitted Use:  As used in this Sublease, “Permitted Use” means general office, warehouse, laboratory and research and development, with associated administration, including but not limited to, operation and administration of a fermentation research and scale-up pilot plant, all of which is subject to the limitations on use set forth in Section 7.1 of the Master Lease. 

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	1.10
	TOTAL’s Address:    The Sublease Premises 
Attn:  Denis Giorno 
Email: [*]

		
	1.11
	Amyris’s Address:    5885 Hollis Street, Suite 100 
Emeryville, CA 94608 
Attn:  Legal Department 
Email:  generalcounsel@amyris.com

1.12    Definitions:  Each of the terms in Section 1 is used in this Sublease as a defined term and has the meaning given in such Section.  Other capitalized words and phrases for which no definition or incorporated reference is given in this Sublease shall have the meanings given them in the Master Lease.  Unless otherwise indicated, all section references are to the sections of this Sublease.  The Sublease includes Exhibits A, B, C, D, E and F, attached hereto and incorporated herein by this reference.
		
	2. 
	DEMISE OF SUBLEASE PREMISES.

2.1    In consideration for Rent (as defined in Section 4.1), Amyris hereby subleases the Sublease Premises to TOTAL, and TOTAL hereby subleases the Sublease Premises from Amyris, subject to the terms and conditions of this Sublease.  TOTAL shall have no right to expand or contract the Sublease Premises and no right of first refusal or offer or other expansion rights as to any other premises, other than as provided in Section 10.2 below.
2.2    TOTAL shall have no right to use or access the Amyris Dedicated Area, without the express prior written consent of Amyris, and, except as otherwise expressly provided in this Sublease, the TOTAL Dedicated Area will be entirely dedicated to use and access by TOTAL employees, contractors and guests, with no access by Amyris or any other party without the express prior written consent of TOTAL.  However, in the event of an emergency, emergency staff from the Building property manager and the Amyris emergency response team, may access the TOTAL Dedicated Area as reasonably required. Amyris shall advise TOTAL in writing, prior to the Effective Date, of the identity of Amyris’s emergency response team, together with current contact information for all persons on that team, and shall advise TOTAL promptly in writing of any changes to the members of the team or their contact information.  Additionally, janitorial and other maintenance personnel may enter the TOTAL Dedicated Area as needed to perform routine janitorial and maintenance functions without additional consent from, or cost to, TOTAL.
2.3    All activities performed in the OCT Facilities by either party shall be subject to the OCT Policies set forth in Pilot Plant Services Agreement executed between the parties as of the Effective Date (including the exhibits thereto, the “Services Agreement”).  Prior to entering the OCT Facilities, TOTAL shall request access from the OCT Manager (as defined in the Services Agreement), which consent may be withheld only during such times as Amyris is entitled to exclusive use of the OCT Facilities pursuant to the Services Agreement.  Amyris shall cause the OCT Manager to be reasonably available during normal business hours to coordinate and provide such access to TOTAL. TOTAL acknowledges that OCT Personnel (as required in the Services Agreement) are required to accompany TOTAL at all times that TOTAL is within the OCT Facilities.  Further, the OCT Manager shall not permit Amyris Employees (defined in the Services Agreement) to have access to the OCT Facilities without appropriate escort by OCT Personnel.  Any dispute between the parties regarding TOTAL’s right to access the OCT Facilities in accordance with the terms of this Sublease, shall be resolved by the Joint Oversight Team (as defined in the Services Agreement) and pursuant to Section 23.12.1 below.  If any such dispute is ultimately submitted to arbitration, as provided in Section 23.12.1, TOTAL’s obligation to pay Base Rent shall be suspended during the period of the arbitration and, if (but only if) it is determined that TOTAL was not 
[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

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entitled to access to the OCT Facilities, TOTAL shall promptly pay to Amyris an amount equal to the suspended Base Rent.  If it is determined that TOTAL was entitled to access to the OCT Facilities, TOTAL shall have no obligation to pay to Amyris any portion of the suspended Base Rent.
2.4    TOTAL acknowledges that the OCT Facilities portion of the Sublease Premises are not separately demised nor subject to exclusive use by TOTAL hereunder and that the OCT Facilities are comprised of common areas and shared lab and other space that Amyris retains the right to use, jointly with TOTAL during the Sublease Term, in accordance with the terms of this Sublease.  TOTAL and Amyris shall cooperate in good faith and take commercially reasonable actions to mitigate interference with the business operations of the other party arising from the lack of demising walls and use of shared space.  At least thirty (30) days prior to each anniversary of the effective date of the Services Agreement, TOTAL and Amyris will agree on the projected workload and utilization of the OCT Facilities by Amyris and TOTAL for the following year.  Scheduling of OCT Facilities and utilization of the OCT Facilities will be coordinated by the OCT Manager in collaboration with a single point of contact designated by TOTAL (“TOTAL BPP Coordinator”).  Notwithstanding the preceding sentence, for the first year of the Services Agreement, the parties will agree on such projected workload within thirty (30) days after the Effective Date.  Scheduling of Campaigns (as defined in the Services Agreement) will be mutually agreed upon by the OCT Manager and the TOTAL BPP Coordinator at least thirty (30) days prior to the beginning of each calendar quarter.  
2.5    Amyris hereby grants TOTAL a non-exclusive license (the “License”) to use, together with Amyris, Amyris’s furniture, trade fixtures and equipment located in the OCT Facilities (collectively, the “Furniture and Equipment”).  Amyris shall not revoke the License during the Sublease Term. Amyris covenants to keep the Furniture and Equipment in reasonably good and working condition.  A list of all of the material Furniture and Equipment is set forth in Exhibit C to this Sublease; provided, the parties acknowledge that Exhibit C does not contain an exhaustive list of the Furniture and Equipment.  If additional equipment is required in order to execute the Services in the OCT Facilities, the parties will jointly determine whether such new equipment is to be purchased and owned by TOTAL or Amyris (or jointly owned), as well as any use rights and limitations.  If such equipment is to be owned by TOTAL, it shall be labeled as owned by TOTAL, and Amyris shall take all actions and execute those instruments reasonably requested by TOTAL to evidence such ownership. The OCT Manager and the TOTAL BPP Coordinator shall review Exhibit C during their regular quarterly meeting and shall update Exhibit C, if necessary, to reflect any new or replaced material Furniture and Equipment.  Shared use of the Furniture and Equipment is considered by the parties to be an integrated right under this Sublease and shall be considered appurtenant to the Sublease Premises for all purposes, including without limitation, as contemplated in Section 365(h) of the Bankruptcy Code.  There shall be no additional charge for use of the Furniture and Equipment, except that TOTAL shall be responsible for any costs and expenses to repair or replace any Furniture and Equipment damaged by TOTAL or TOTAL’s agents, employees, contractors, or invitees (not including normal wear and tear).  Amyris shall have the right to grant liens on or security interests in the Furniture and Equipment, in connection with a financing and the License shall be subordinate to any such liens; provided, with respect to the Furniture and Equipment listed under the “Utilities” heading on Exhibit C (the “Utilities Equipment”), and any replacements thereof, (i) Amyris shall give TOTAL prior written notice before granting any lien on the Utilities Equipment (or any replacements thereof), which notice shall include the name and contact information of the prospective lienholder (the “Lienholder”), and TOTAL shall have the right to contact any such prospective Lienholder, (ii) the Lienholder must agree to give TOTAL notice and the right (but TOTAL shall not have any obligation) to cure any default by Amyris that would entitle the Lienholder to exercise remedies and take title to any of the Utilities Equipment, and (iii) if TOTAL does cure any such default(s) by Amyris, or replaces any Utilities Equipment that is removed by a Lienholder, or purchases any of the Utilities Equipment from a Lienholder (i.e., in lieu of, or in connection with, a foreclosure of the Lienholder’s lien on the Utilities Equipment), all costs incurred by TOTAL in so doing, may be offset by TOTAL against 

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the Base Rent Installment Payment next coming due under this Sublease, and any subsequent Base Rent Installment Payments until satisfied; and further provided, with respect to the balance of the Furniture and Equipment listed on Exhibit C hereto, and any replacements thereof, Amyris shall give TOTAL prior written notice before granting any lien on such Furniture and Equipment (or any replacements thereof).  Subject to the rights of Amyris to encumber the Furniture and Equipment as provided above, Amyris shall not remove the Furniture and Equipment identified on Exhibit C (or any replacements thereof) from the OCT Facility during the Sublease Term, except with advance written notice to TOTAL and unless it is promptly replaced by other Furniture and Equipment of equal or better quality and utility.  If Amyris removes any Furniture and Equipment identified on Exhibit C in violation of the covenant in the immediately preceding sentence, TOTAL shall have the right to replace such removed Furniture and Equipment and all costs incurred by TOTAL in so doing may be offset by TOTAL against the Base Rent Installment Payment next coming due under this Sublease.
2.6     The OCT Facilities equipment will be accessible by each party’s respective IT network, but it will only be accessible by one party’s network at a time, which sharing requires OCT Personnel to disconnect certain OCT Facilities equipment from one party’s network and attach it to the other party’s network when, for example shifting from executing a Campaign on behalf of TOTAL to Amyris conducting work for Amyris (and vice versa).  The OCT Personnel shall take all actions necessary to ensure that all data is deleted from any OCT Facilities equipment prior to attaching such equipment to the other party’s network.  In the event that a party inadvertently acquires or is given access to the other party’s data residing on OCT Facilities equipment, such party shall promptly notify the other party in writing by contacting the relevant OCT Manager or TOTAL BPP Coordinator, shall not use and shall promptly destroy such data.
2.7    All SOPs (as described in the Services Agreement) applicable to the OCT Facilities equipment shall be fully and accurately documented in writing by OCT Personnel and copies will be provided to TOTAL upon request.
2.8    Amyris is responsible for (i) training OCT Personnel and TOTAL employees to applicable health safety and environmental (“HSE”) standards for the Sublease Premises, (ii) reporting any safety incidence in the Sublease Premises, (iii) maintenance of OCT Facilities’ equipment and utilities, and (iv) organizing the workload of project operation and doing a hazard and operability study, if necessary.  A copy of the HSE standards are set forth in Schedule 4 to the Services Agreement.  However, for purposes of confirming HSE compliance in the TOTAL Dedicated Area, or as requested by TOTAL, the parties shall employ a mutually agreed upon third party who shall determine whether TOTAL has complied with all applicable HSE standards, and shall report to Amyris such compliance (or failure) but shall not disclose any details relating to the operation or use of such area or equipment.
2.9    In the scope of operations needed for the bioprocess development, some operations conducted by TOTAL might be subcontracted to specialists having specific pieces of equipment not available in the OCT Facilities.  The use of such subcontractors who access the OCT Facilities must be reviewed and approved by the OCT Manager before any subcontractor may enter the OCT Facilities.  In addition, TOTAL will ensure that any such subcontractors that enter the OCT Facilities will abide by the confidentiality provisions of the Services Agreement.
		
	3. 
	SUBLEASE TERM AND TERMINATION.

3.1    As noted in Section 1.4, the Sublease Term shall commence on the Commencement Date and Amyris shall deliver the Sublease Premises to TOTAL on the Delivery Date.  If for any reason Amyris is delayed in delivery of the Sublease Premises to TOTAL after the occurrence of the Commencement Date, Amyris shall not be liable therefor, nor shall such failure affect the validity of this Sublease or the 

24

obligations of TOTAL hereunder, provided, however, that TOTAL’s obligation to pay Base Rent shall be subject to daily abatement, as provided in Section 4.2 below.
3.2    Unless sooner terminated pursuant to the terms of this Sublease, including without limitation pursuant to Sections 3.4, 12 or 14, the Sublease shall end on the Expiration Date.  
3.3    The Sublease may be terminated prior to the Expiration Date if the Master Lease, either with respect to the entire Master Premises or with respect to any portion of the Master Premises which includes the Sublease Premises, is terminated for any cause whatsoever (and Master Landlord does not require TOTAL to attorn).
3.4    TOTAL may terminate this Sublease at any time upon ninety (90) days’ prior written notice, provided that as a condition precedent to TOTAL’s effective exercise of this early termination right, it will pay Amyris on or prior to the effective date of termination (i) all Rent accruing hereunder for the period up to and including the effective date of such early termination and (ii) an amount equal to one additional year of Base Rent for the twelve-month period following the date of early termination (with an appropriate proration for any month at the beginning or end of such twelve-month period that falls within a Base Rent Installment Payment period).
3.5    Amyris may terminate this Sublease for a Total Default, as set forth herein.
3.6    This Sublease may be terminated per the terms of Section 12.1. 
3.7    Neither TOTAL nor Amyris shall have any further rights or obligations under this Sublease upon the Expiration Date or the effective date of any earlier termination of this Sublease, except for those that expressly survive termination of this Sublease.
		
	4. 
	RENT.

4.1    The rent (“Rent”) payable by TOTAL for the Sublease Premises shall consist of (i) the Base Rent and (ii) the Excess Utility Charges (defined below).  Unless otherwise agreed in writing by Amyris, TOTAL shall make all payments due to Amyris pursuant to this Sublease by wire transfer or ACH of immediately available funds to:
Bank: Bank of the West
Bank address: 180 Montgomery Street, San Francisco, CA 94104
Checking Account No: [*]
ABA: [*]
Swift Code: [*]

or to such other bank account as is designated in writing by Amyris from time to time.  Except as encompassed within Rent, TOTAL shall have no obligation to pay rent or other charges for services, utilities, equipment usage, security or other items to Amyris, including, without limitation, any Operating Expenses or Taxes (as such terms are defined in the Master Lease).
4.2    TOTAL shall pay to Amyris in advance, and without notice, demand, deduction or offset, the applicable Base Rent each calendar year during the Sublease Term through three (3) equal installments as set forth below (each such installment payment, a “Base Rent Installment Payment”):

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

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March 1        July 1            November 1

		
	2014
	US$34,891**        US$34,891        US$34,891

		
	2015
	US$36,219        US$36,219        US$36,219

		
	2016
	US$37,600        US$37,600        US$37,600

		
	2017
	US$39,140        US$39,140        US$39,140

		
	2018
	US$40,520        US$40,520        US$40,520

2019        US$0            N/A            N/A

**The parties agree that first Base Rent Installment Payment for 2014 will be due and payable within fifteen (15) days after the Effective Date, rather than on March 1, 2014.

The third Base Rent Installment Payment (and, if necessary to utilize the entire reduction, subsequent Base Rent Installment Payments) will be reduced by $282 for each day after the later of (i) the Commencement Date, and (ii) August 1, 2014, until the Delivery Date.

4.2.1    In the event of an early termination of this Sublease for any reason other than at TOTAL’s election pursuant to Section 3.4 above or pursuant to Section 12 below, any Rent amounts paid in advance by TOTAL for a period occurring after the effective date of the termination shall be reimbursed by Amyris promptly following such termination date.
4.3    The Base Rent for each calendar year in the Sublease Team was set by the parties assuming that the charges paid by Amyris (either directly or to the Master Landlord) for electricity, natural gas and treatment of effluents (including waste water and plant steam condensate, etc.) for the Master Premises for any 12-month calendar year during the Sublease Term (the “Actual Charges”) would not be greater than the sum of US$50,000 plus the charges paid by Amyris (either directly or to the Master Landlord) for electricity, natural gas and treatment of effluents for the Master Premises for 2013 (such sum, the “Baseline Utility Charges”) due to TOTAL’s operations in the TOTAL Dedicated Area.  Consequently, if, in any calendar year during the Sublease Term, the Actual Charges are greater than the Baseline Utility Charges due to TOTAL’s operations in the TOTAL Dedicated Area, then, in addition to the applicable Base Rent, TOTAL shall pay to Amyris, the amount by which the Actual Charges for that calendar year exceeded the Baseline Utility Charges (the “Excess Utility Charges”).  Payment for the Excess Utility Charges shall be made once annually by TOTAL within thirty (30) days following receipt by TOTAL of an invoice therefor, which shall include such back-up information as is necessary for TOTAL to verify that the Excess Utility Charges being invoiced are accurate.  Except for the Excess Utility Charges that TOTAL is required to pay pursuant to this subsection, Base Rent shall include all of the Building services and utilities provided to Amyris under the Master Lease with respect to both the TOTAL Dedicated Area and the OCT Facilities.  Amyris shall, at its sole cost, be responsible for providing TOTAL with treatment of all effluents (including waste water and plant steam condensate, etc.). 
With Master Landlord’s prior written consent, TOTAL shall be entitled, at any time during the Sublease Term and at its expense, to have separate meters installed for the electricity, natural gas and treatment of effluents that is provided by Amyris to the TOTAL Dedicated Area, and, to the extent the separately metered charges show that TOTAL’s operations in the TOTAL Dedicated Area resulted in the Actual Charges for any calendar year exceeding the Baseline Utility Charges, then the Excess Utility Charges shall be that excess for such calendar year.   

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Except for the Excess Utility Charges that TOTAL is required to pay pursuant to this Section, TOTAL shall have no obligation to pay utility or other charges (other than as included in the Base Rent provided for in this Sublease) for its use of the OCT Facilities under this Sublease.
4.4    If any Rent is not paid within ten (10) business days of when due, TOTAL acknowledges that Amyris will incur additional administrative expenses and costs which are difficult or economically impractical to ascertain.  In addition to any late charges and interest payable under the Master Lease, TOTAL shall pay an administrative charge to Amyris equal to two percent (2%) of the delinquent amount.  Neither demand for nor receipt of any late charge called for under this Sublease shall (i) operate to waive any default by TOTAL or provide a substitute for TOTAL’s full and timely performance of the obligation to pay Rent, or (ii) limit the exercise of any other right or remedy Amyris may have under this Sublease in case of TOTAL’s default
4.5    If, during the Sublease Term, Amyris shall actually receive an abatement of rent under the Master Lease as to the Sublease Premises, then TOTAL shall be entitled to receive from Amyris a proportionate share of such abatement, calculated based on the ratio that the square footage of the TOTAL Dedicated Area bears to the portion of the Master Premises to which the abatement applies, multiplied by the total amount of the abatement, and shall be applied to reduce the next Base Rent Installment Payment(s) coming due. 
5.     REPRESENTATIONS AND WARRANTIES.
5.1    TOTAL represents and warrants to Amyris that:  (i) TOTAL is familiar with the provisions of the Master Lease insofar as it pertains to the Sublease Premises and TOTAL’s use and occupation thereof under this Sublease; (ii) TOTAL has the right and power to execute and deliver this Sublease and to perform its obligations hereunder; (iii) the person or persons executing this Sublease for TOTAL are fully authorized to so act and no other action, other than the parties obtaining Master Landlord’s consent to this Sublease, is required to bind TOTAL to this Sublease; and (iv) TOTAL is duly organized and in good standing in its state of formation and is authorized to conduct business in the state where the Sublease Premises are located.  
5.2    Amyris represents and warrants to TOTAL that, as of the Effective Date: (i) a true and complete copy of the Master Lease is attached hereto as Exhibit F; (ii) the Master Lease is in full force and effect and Amyris has not received written notice that it is in default thereunder, and Amyris is not aware of any condition or event that could ripen into a default by Amyris thereunder; (iii) to Amyris’s knowledge, the Master Landlord is not in default under the Master Lease; (iv) Amyris has the right and power to execute and deliver this Sublease and to perform its obligations hereunder; (v) the person or persons executing this Sublease for Amyris are fully authorized to so act and no other action, other than the parties obtaining Master Landlord’s consent to this Sublease, is required to bind Amyris to this Sublease; (vi) attached Exhibit C is a true and correct description of all material Furniture and Equipment that is currently located in the OCT Facilities (and as such, is not an exhaustive list); (vii) Amyris owns the Furniture and Equipment listed on Exhibit C; (viii) Amyris is duly organized and in good standing in its state of formation and is authorized to conduct business in the state where the Sublease Premises are located; (ix) Amyris has not encumbered any portion of the Master Premises leasehold, and there is no leasehold deed of trust recorded with respect to such premises; (x) and Amyris has and is in compliance in all material respects with all governmental permits, licenses, authorizations, approvals, and entitlements with respect to its use and occupancy of the Master Premises (copies of all such governmental permits, licenses, authorizations, approvals, and entitlements are attached hereto as Exhibit D).
6.     PARKING.  There are no parking spaces or rights provided to TOTAL under this Sublease.  

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	7. 
	POSSESSION AND USE; SIGNAGE.

7.1    As soon as reasonably practical following the Effective Date, and in any event not later than August 1, 2014, Amyris will have moved all of its personnel, furniture, equipment and personal property out of the TOTAL Dedicated Area and will deliver the TOTAL Dedicated Area to TOTAL broom clean and with all utilities which are the obligation of Amyris to maintain under the Master Lease in good working condition.  Commencing on the Delivery Date (but subject to any early access rights that may be granted to TOTAL pursuant to Section 1.5 above, Amyris shall provide TOTAL with continuing access to the OCT Facilities. Time is of the essence with respect to the timing of Amyris’s move and delivery of the TOTAL Dedicated Area to TOTAL and, if the TOTAL Dedicated Area is not delivered at the time and in the condition described above in this Section 7.1, Base Rent shall be subject to daily abatement during the period of delay, as provided in Section 4.2 above.  Other than as set forth in this Section, Amyris has no obligation to prepare, modify or alter the Sublease Premises, and Amyris subleases the Sublease Premises to TOTAL, and TOTAL accepts the Sublease Premises, strictly in their present “as-is” and “with all faults” condition.  As provided in Section 1.8 above, TOTAL will pay to Amyris, no later than thirty (30) days following receipt of an invoice and reasonable supporting documentation evidencing such costs, an amount not to exceed $150,000, for one-half of the out-of-pocket expenses incurred by Amyris in connection with the move described above (the “Move Payment”). 
7.2    The Sublease Premises shall be used and occupied by TOTAL solely for the Permitted Use.  TOTAL’s use of the Sublease Premises shall comply with the relevant provisions of the Master Lease and all laws, rules, regulations, restrictions, statutes, codes, ordinances and permits of, or issued by, any municipal or governmental entity (“Laws”) applicable to its use of the Sublease Premises.
7.3    TOTAL shall have the right, during the Sublease Term, to have its logo on the door of the TOTAL Dedicated Area. Amyris, at no cost to Amyris, will cooperate with TOTAL to have such logo installed in compliance with the Master Lease.  
		
	8. 
	SERVICES, MAINTENANCE AND REPAIR OBLIGATIONS.

8.1     Amyris grants to TOTAL the right to receive, during the Sublease Term, all of the services and benefits with respect to the Sublease Premises that are to be provided by Master Landlord under the Master Lease.  If any services pertaining to the Sublease Premises are contracted for directly by Amyris, TOTAL shall also have the right to receive the benefit of those services through Amyris at no additional charge, except as otherwise expressly provided in this Sublease.  Amyris shall not be required to provide any services or to perform any maintenance or repairs or work or obtain any insurance which Master Landlord is or may be required to provide or perform under the Master Lease.  Amyris shall have no responsibility for or be liable to TOTAL for any default, failure or delay on the part of Master Landlord in the performance or observance by Master Landlord of any of its obligations under the Master Lease, nor shall such default by Master Landlord affect this Sublease or waive or defer the performance of any of TOTAL’s obligations under this Sublease, including without limitation the obligation to pay Rent, except to the extent a default by Master Landlord that affects the Sublease Premises results in a waiver or deferral of Amyris’s obligations under the Master Lease that are to be performed by TOTAL under this Sublease or to the extent Amyris receives an abatement of rent under the Master Lease as set forth in Section 4.5 above.  TOTAL hereby expressly waives (i) the provisions of any statute, ordinance or judicial decision, now or hereafter in effect, which would give TOTAL the right to make repairs at the expense of Amyris or Master Landlord, or (ii) to claim any actual or constructive eviction by virtue of any interruption in access, services or utilities to, or any failure to make repairs in or to, the Sublease Premises or the Building, including without limitation, any rights under California Civil Code Section 1932(1) and 1931(2), 1933 (4), 1941 or 1942.   Notwithstanding the foregoing, the parties do contemplate that Master Landlord will, in fact, perform its obligations under the Master Lease and in the event of any default or failure of such 

24

performance by Master Landlord, Amyris agrees that it will, upon notice from TOTAL, take all commercially reasonable actions necessary to cause Master Landlord to perform its obligations under the Master Lease.  Amyris, however, shall have no obligation to sue Master Landlord on TOTAL’s behalf or to terminate the Master Lease as a result of any such default or failure by Master Landlord.  Notwithstanding the foregoing, if Master Landlord’s default or failure to perform its obligations under the Master Lease interferes with or adversely affects TOTAL’s use of the Sublease Premises and Amyris’ efforts to enforce the Master Lease do not result in Master Landlord curing the default or failure within the time period provided to Master Landlord under the Master Lease to cure such default or failure, Amyris shall not be deemed to be in default of its obligations hereunder, but in such event TOTAL, at TOTAL’s expense, shall have the right to institute legal proceedings in Amyris’ name (i.e., by naming Amyris as the plaintiff) and Amyris shall reasonably cooperate with TOTAL, without expense to Amyris, as necessary or desirable in connection with such proceedings.  TOTAL shall provide Amyris with copies of any pleadings or other documents TOTAL proposes to file in any such legal proceedings prior to filing thereof.  TOTAL shall protect, indemnify, defend and hold Amyris harmless from and against all Losses (as defined in Section 9.3) arising from any legal proceeding brought by TOTAL pursuant to this Section 8.1, except to the extent caused by the gross negligence or willful misconduct of Amyris.
8.2    TOTAL shall maintain the TOTAL Dedicated Area in a clean and orderly manner and condition, and Amyris shall maintain the OCT Facilities in a clean and orderly manner and condition, in each case, to the extent that Amyris is required to maintain the Sublease Premises under the Master Lease.  In addition, Amyris shall maintain the Furniture and Equipment such that it is maintained in accordance with all SOPs.
8.3    Notwithstanding anything herein or in the Master Lease to the contrary, in no event shall TOTAL be responsible for making or paying for improvements to bring the Sublease Premises into compliance with Laws, including, without limitation, disability access laws, unless (A) (i) the applicable Laws become effective after the Commencement Date, and (ii) the improvements are necessitated solely by reason of TOTAL’s unique and specific use of the TOTAL Dedicated Area (i.e., other than for the uses contemplated by Section 1.9 above); or (B) the improvements are necessitated solely by the improvements constructed by or for TOTAL, pursuant to Section 11 below; provided, however, TOTAL shall be responsible for compliance with all Laws (including disability access laws) related to TOTAL’s employees and the arrangement of any furniture, equipment or personal property in the TOTAL Dedicated Area. 
8.4    TOTAL shall comply with all Hazardous Materials Laws and terms and conditions of the Master Lease (including without limitation, Section 7.1(d) thereof) with respect to any Hazardous Materials (including any Permitted Hazardous Materials) handled by TOTAL in and about the TOTAL Dedicated Area.  Amyris consents to TOTAL’s Handling of the Hazardous Materials listed on Exhibit B attached hereto, subject to Master Landlord’s approval of such list.  Upon Master Landlord’s approval of the items listed on Exhibit B, such items shall be deemed Permitted Hazardous Materials (as defined in the Master Lease).   Notwithstanding Section 7.1(d)(5) of the Master Lease, the proviso in the third sentence of that section that imposes the burden of proof on TOTAL (i) shall only apply to the TOTAL Dedicated Area and (ii) shall not apply if the Hazardous Materials that are the subject of a Release (as defined in the Master Lease) are used by both TOTAL and Amyris.  Further, the obligation to complete an environmental study, as required by Section 7.1(d)(10) of the Master Lease, shall not apply to TOTAL.
		
	9. 
	TOTAL’S INSURANCE AND INDEMNITY.

9.1    Throughout the Sublease Term, TOTAL shall procure and maintain, at its own cost and expense, such workers’ compensation, commercial general liability insurance and any other coverages as are required to be carried by the tenant under the Master Lease, and such property insurance as is required to be carried by the tenant under the Master Lease to the extent such property insurance pertains to the 

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TOTAL Dedicated Area, all naming Amyris (and any of its designees), as well as Master Landlord any other party designated by Master Landlord, pursuant to the Master Lease, from time to time, as additional insureds and loss payees in the manner required in the Master Lease.  If the Master Lease requires the tenant under the Master Lease to insure leasehold improvements or alterations, then Amyris shall continue to insure such leasehold improvements that are located in the Sublease Premises as of the Effective Date during the Sublease Term.  TOTAL shall be responsible for insuring any alterations in the Sublease Premises made by TOTAL.  TOTAL's and Amyris’s general liability policies shall provide cross-liability coverage for both TOTAL and Amyris (and their designees), and the coverage afforded to one must be as broad as that afforded to the party carrying such insurance.  TOTAL shall furnish to Amyris certificates, in form and substance reasonably satisfactory to Amyris and Master Landlord, of TOTAL’s insurance required under this Section 9.1 on or before the Commencement Date.  Within five (5) business days after any renewal (or such earlier date as may be requested pursuant to the Master Lease), TOTAL shall furnish Amyris certificates of insurance evidencing maintenance and renewal of the required coverage on form reasonably acceptable to Amyris, and a copy of the endorsement to TOTAL’s liability policy showing the additional insureds and loss payees.
9.2    Each of TOTAL and Amyris hereby waives, on behalf of itself and on behalf of its insurers, any and all rights of recovery against the other, against Master Landlord, and their respective officers, employees, agents and representatives on account of loss or damage occasioned by the waiving party or its property or the properties of others under its control caused by fire or any of the extended coverage risks described hereunder, to the extent that such loss or damage is insured under any insurance policy in force at the time of such loss or damage or required to be carried hereunder.  If necessary for its effectiveness, each party shall give notice to its insurance carrier of the foregoing waiver of subrogation.  
9.3    To the fullest extent permitted by Law, Amyris waives all claims against TOTAL for economic damages, damage to any property or injury or death of any person in, on or about the Amyris Dedicated Area and the OCT Facilities arising at any time or from any cause other than to the extent resulting directly from the gross negligence or willful misconduct of TOTAL.  Amyris agrees to protect, defend, indemnify and hold TOTAL harmless from all liabilities, claims, losses, obligations, damages, penalties, actions, costs, liens, charges and expenses, including, without limitation, reasonable attorneys’ fees and other professional fees (if and to the extent permitted by Law) (collectively, “Losses”) which TOTAL may incur, or for which TOTAL may be liable to Master Landlord arising from (a) the use, modification or occupancy of the Amyris Dedicated Area and the OCT Facilities or anything contained therein, (b) the acts or omissions of Amyris, its employees, agents, contractors, invitees or licensees (other than TOTAL), and (c) any acts or events occurring in or about the Amyris Dedicated Area and the OCT Facilities during the Sublease Term.  Amyris’s obligations to protect, defend, indemnify and hold harmless TOTAL under this subsection are in no way conditioned upon either (i) Amyris’s acts or omissions being a cause of any underlying claim, demand, action, liability, expense, loss or damage, or (ii) TOTAL being free of negligence or wrongful conduct in connection therewith; provided, however, that Amyris shall not be required to indemnify or hold TOTAL harmless to the extent it is established that TOTAL’s gross negligence or willful misconduct is the cause of any Losses.  Amyris’s indemnity obligations set forth in this subsection shall survive the expiration or earlier termination of this Sublease. 
9.4    To the fullest extent permitted by Law, TOTAL waives all claims against Amyris for economic damages, damage to any property or injury or death of any person in, on or about the TOTAL Dedicated Area arising at any time or from any cause other than to the extent resulting directly from the gross negligence or willful misconduct of Amyris.  TOTAL agrees to protect, defend, indemnify and hold Amyris harmless from all Losses which Amyris may incur, or for which Amyris may be liable to Master Landlord, arising from (a) the use, modification or occupancy of the TOTAL Dedicated Area or anything contained therein, (b) the acts or omissions of TOTAL, its employees, agents or contractors, invitees or licensees, and (c) any acts or events occurring in or about the TOTAL Dedicated Area during the Sublease 

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Term.  TOTAL’s obligations to protect, defend, indemnify and hold harmless Amyris under this subsection are in no way conditioned upon either (i) TOTAL’s acts or omissions being a cause of any underlying claim, demand, action, liability, expense, loss or damage, or (ii) Amyris being free of negligence or wrongful conduct in connection therewith; provided, however, that TOTAL shall not be required to indemnify or hold Amyris harmless to the extent it is established that Amyris’s gross negligence or willful misconduct is the cause of any Losses.  TOTAL’s indemnity obligations set forth in this subsection shall survive the expiration or earlier termination of this Sublease. 
		
	10.
	ASSIGNMENT AND SUBLETTING.

10.1    TOTAL shall have the right to assign its entire interest in this Sublease or to sublet its entire interest in the Sublease Premises in each case to an entity that controls, is controlled by or is under common control with TOTAL (a “TOTAL Affiliate”), without the consent of Amyris, provided that (i) TOTAL shall give Amyris written notice at least five (5) business days prior to the effective date of the proposed transfer and the TOTAL Affiliate shall expressly assume TOTAL’s obligations hereunder, (ii) Master Landlord has given its written consent to such transfer, and (iii), TOTAL shall not be released from its obligations under this Sublease by reason of any such assignment or subletting to a TOTAL Affiliate. The foregoing right is personal to TOTAL and to any TOTAL Affiliate that takes an assignment of TOTAL’s entire interest in this Sublease or subleases TOTAL’s entire interest in this Sublease.  Except as provided above, TOTAL shall not voluntarily, involuntarily or by operation of law:  (a) assign, convey or mortgage this Sublease or any interest under it; (b) allow any transfer thereof or any lien upon TOTAL’s interest by operation of law; (c) sublet the Sublease Premises or any part thereof; or (d) permit the occupancy of the Sublease Premises or any part thereof by anyone other than TOTAL.  
10.2    In the event that Amyris seeks to assign its entire interest in the Master Lease during the Sublease Term to anyone other than Master Landlord or any assignee pursuant to an assignment for which Master Landlord’s consent is not required under the Master Lease, including without limitation in connection with any sale or assignment in bankruptcy, such assignment shall be expressly subject to the terms and conditions of this Sublease, and provided TOTAL is not then in Default under this Sublease, before Amyris may consummate such assignment, it shall give TOTAL written notice (the “ROFO Notice”) setting forth the material terms of such assignment, including the rent and other consideration to be paid by the assignee, and TOTAL shall have fifteen (15) business days after receipt of that notice to elect, by giving written notice to Amyris, to acquire Amyris’s interest in the Master Lease on the terms set forth in the ROFO Notice, provided in all events any such assignment to TOTAL shall be subject to Master Landlord’s consent to such assignment pursuant to and in accordance with the terms and conditions of the Master Lease.  If such election by TOTAL shall not be timely made, then Amyris may conclude such assignment on terms that are not materially more favorable to the prospective assignee than those set forth in the ROFO Notice.  If the terms upon which the assignment will be made change from those set forth in the ROFO Notice, in a manner that is materially more favorable to the prospective assignee, then Amyris shall give TOTAL another ROFO Notice and the provisions of this section shall again apply.  The foregoing right is personal to TOTAL and any TOTAL Affiliate to which TOTAL’s entire interest in this Sublease has been assigned in accordance with Section 10.1 above.
		
	11.
	ALTERATIONS.

11.1    Other than as set forth below, TOTAL shall not make any alterations in or additions to the Sublease Premises (“Alterations”) without Amyris’s prior written consent, which shall not be unreasonably withheld.  If Amyris consents thereto, Amyris shall use reasonable efforts, at no material cost to Amyris, to obtain the consent of Master Landlord if such consent is required under the Master Lease.  If Alterations by TOTAL are permitted or consented to, TOTAL shall comply with all of the covenants of Amyris, as Tenant, contained in the Master Lease pertaining to the installation and removal of such 

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Alterations.  TOTAL shall indemnify, defend and hold Amyris harmless against any and all Losses imposed on Amyris arising out of the installation and/or removal of Alterations by TOTAL.  At the time consent is given, Amyris shall advise TOTAL, in writing, if removal of the Alterations will be required by Amyris at the end of the Sublease Term.  Amyris shall advise TOTAL at the time of its approval of any Alterations, whether Master Landlord has notified Amyris that such Alterations constitute Required Removables under the terms of the Master Lease.  Provided any such Alterations would not otherwise be Required Removables under the terms of the Master Lease, TOTAL will not be required to remove such approved Alterations at the end of the Sublease Term unless Amyris advised TOTAL at the time of giving consent that removal will be required. Amyris shall not require TOTAL to remove the Initial Alterations (defined below) at the end of the Sublease Term.
11.2    Notwithstanding Section 11.1 above, (i) TOTAL intends to construct certain improvements in the TOTAL Dedicated Area (the “Initial Alterations”), as generally described on Exhibit E hereto, and Amyris hereby approves such general description and the Initial Alterations, subject to Master Landlord’s approval of same pursuant to the terms and conditions of the Master Lease, (ii) Amyris acknowledges that there may be reasonable interference with utilities and Amyris’s ability to use the OCT Facilities and the Amyris Dedicated Area during construction of the Initial Alterations, and confirms that the indemnity in Section 11.1 shall not apply to that reasonable interference, and (iii)  TOTAL agrees to use reasonable efforts to minimize interference with operations in the OCT Facilities and the Amyris Dedicated Area in connection with the construction of the Initial Alterations.  Amyris acknowledges that the description of the Initial Alterations may change, and Amyris shall have reasonable rights to approve all such changes, in addition to Master Landlord’s approval of the same, to the extent required by the Master Lease. The Initial Alterations shall be constructed in accordance with Article 9 of the Master Lease.  Subject to Sections 1.5 and 2.3 above, TOTAL shall have full access to, and shared use of, the OCT Facilities during the period that the Initial Alterations are being constructed. 
11.3    If TOTAL performs any Alterations (including the Initial Alterations), TOTAL shall be obligated to insure all such Alterations during the Sublease Term for their full replacement cost value. 
		
	12.
	CASUALTY OR EMINENT DOMAIN.

12.1    In the event of a fire or other casualty affecting the Building or the Sublease Premises, or of a taking of all or a part of the Building or the Sublease Premises under the power of eminent domain, Amyris shall be entitled to exercise any right it may have to terminate the Master Lease without first obtaining the consent or approval of TOTAL, except as provided in Section 18.4 below.  If the Master Lease imposes on Amyris the obligation to repair or restore the Sublease Premises, the Building, or any leasehold improvements or alterations, (i) TOTAL shall be responsible for repair or restoration of the TOTAL Dedicated Area, and any leasehold improvements or alterations within the TOTAL Dedicated Area, to the extent Amyris, as tenant under the Master Lease, is obligated under the Master Lease, and (ii) Amyris shall be responsible for repair or restoration of the OCT Facilities and the Amyris Dedicated Area, and any leasehold improvements or alterations within the OCT Facilities and the Amyris Dedicated Area.  If the Master Lease is terminated by reason of a casualty or a taking, this Sublease shall terminate on the date the Master Lease terminates. 
12.2     As between TOTAL and Amyris, to the extent permitted by the Master Lease, each party shall be entitled to seek an award or compensation in any condemnation proceeding, whether for a total or partial taking, for damage to its respective business, loss of goodwill, relocation costs, and the cost of any Alterations paid for by it. 

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12.3    Amyris and TOTAL hereby waive and release each and all of their respective common law and statutory rights inconsistent herewith, whether now or hereafter in effect, including without limitation, Section 1265.130 of the California Code of Civil Procedure, as amended from time to time.  
		
	13.
	SURRENDER.

13.1    On the Expiration Date or any earlier termination of the Sublease or of TOTAL’s right to possession of the Sublease Premises, TOTAL will at once surrender and deliver up the Sublease Premises, together with all improvements thereon (other than those which TOTAL is required to remove pursuant to Section 11 above), to Amyris in substantially the same condition as when delivered to TOTAL, reasonable wear and tear, casualty, and damage by Amyris to the OCT Facilities excepted. Conditions existing because of TOTAL’s failure to perform maintenance, repairs or replacements as required of TOTAL under this Sublease shall not be deemed “reasonable wear and tear.”   TOTAL shall surrender to Amyris all keys and electronic access cards to the Sublease Premises.
13.2    All Alterations in or upon the Sublease Premises made by TOTAL and not removed or required to be removed hereunder shall become a part of and shall remain upon the Sublease Premises upon such termination.  If removal of any Alterations is required pursuant to Section 11 above, TOTAL shall restore the Sublease Premises to their condition prior to the making of any Alterations and repair any damage caused by such removal or restoration.  If TOTAL is permitted or required to remove any Alteration or a portion thereof, and TOTAL does not complete such removal in accordance with this Section, Amyris may remove the same (and repair any damage occasioned thereby), and dispose thereof, or at its election, warehouse the same.  TOTAL shall pay the costs of such removal, repair and warehousing, plus an administrative fee equal to five percent (5%) of such costs, on demand.
13.3    On or prior to the Expiration Date or any earlier termination of the Sublease or of TOTAL’s right to possession of the Sublease Premises, TOTAL shall remove TOTAL’s personal property that is not affixed to the Sublease Premises and TOTAL’s trade fixtures, and TOTAL shall repair any damage to the Sublease Premises which may result from such removal.  If TOTAL does not remove TOTAL’s trade fixtures or personal property from the Sublease Premises on or before the Expiration Date or the earlier termination of the Sublease or of TOTAL’s right to possession, Amyris may, at its option, remove the same (and repair any damage occasioned thereby and restore the Sublease Premises as aforesaid) and dispose thereof or warehouse the same, and TOTAL shall pay the cost of such removal, repair, restoration or warehousing, plus as administrative fee equal to five percent (5%) of such costs, to Amyris on demand.
		
	14.
	TOTAL’S DEFAULT.

14.1    Any one or more of following events shall be considered a “Default” by TOTAL:  
14.1.1    TOTAL shall be adjudged an involuntary bankrupt, or a decree or order approving, as properly filed, a petition or answer filed against TOTAL asking reorganization of TOTAL under the federal bankruptcy laws as now or hereafter amended, or under the laws of any state, shall be entered, and any such decree or judgment or order shall not have been vacated or stayed or set aside within thirty (30) days from the date of the entry or granting thereof; or 
14.1.2    TOTAL shall file, or admit the jurisdiction of the court and the material allegations contained in, any petition in bankruptcy, or any petition pursuant or purporting to be pursuant to the federal Bankruptcy laws now or hereafter amended, or TOTAL shall institute any proceedings for relief of TOTAL under any bankruptcy or insolvency laws or any laws relating to the relief of debtors, readjustment of indebtedness, re-organization, arrangements, composition or extension; or 

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14.1.3    TOTAL fails to make any payment of Rent required to be made by TOTAL within ten (10) days of the date it is due; or 
14.1.4    The occurrence of any of the following:  (i) TOTAL shall make a general assignment for the benefit of creditors; (ii) TOTAL shall admit in writing to its creditors its inability to generally pay its debts as they come due; (iii) TOTAL’s interest in the Sublease Premises are levied on by any revenue officer or similar officer and such levy shall not have been removed within thirty (30) days from the date levied; or (iv) a decree or order appointing a receiver of the property of TOTAL shall be made and such decree or order shall not have been vacated, stayed or set aside within thirty (30) days from the date of entry or granting thereof; or 
14.1.5    TOTAL fails to perform and comply with any of its other covenants, agreements, obligations and use restrictions contained in this Sublease (including the incorporated Master Lease provisions which are to be compiled with by TOTAL hereunder), and such failure continues for more than five (5) business days after notice thereof in writing to TOTAL; or
14.1.6    TOTAL violates the provisions of Section 10 of this Sublease; or
14.1.7    Any of the representations and warranties provided herein by TOTAL shall prove to be false or misleading in any material respect; or
14.1.8    TOTAL shall be in monetary default beyond any applicable cure period under the terms of the Services Agreement.
14.2    Upon the occurrence of any one or more Defaults by TOTAL, Amyris may exercise any remedy against, and recover such amounts from, TOTAL as Master Landlord may exercise or be entitled to for default by Tenant under the Master Lease, (including without limitation, the right to terminate this Sublease), which provisions of the Master Lease are hereby incorporated herein by reference.  Without limiting the generality of the foregoing, Amyris may exercise the damage remedies available under California Civil Code Sections 1951.2 and 1951.4 or any similar or successor statute which provides that a lessor may continue a lease in effect and recover damages as they become due.
		
	15.
	AMYRIS’S DEFAULT.

15.1    Any one or more of the following events shall be considered a “Default” by Amyris under this Sublease:
15.1.1    Amyris shall be adjudged an involuntary bankrupt, or a decree or order approving, as properly filed, a petition or answer filed against Amyris asking reorganization of Amyris under the federal bankruptcy laws as now or hereafter amended, or under the laws of any state, shall be entered, and any such decree or judgment or order shall not have been vacated or stayed or set aside within thirty (30) days from the date of the entry or granting thereof; or 
15.1.2    Amyris shall file, or admit the jurisdiction of the court and the material allegations contained in, any petition in bankruptcy, or any petition pursuant or purporting to be pursuant to the federal Bankruptcy laws now or hereafter amended, or Amyris shall institute any proceedings for relief of Amyris under any bankruptcy or insolvency laws or any laws relating to the relief of debtors, readjustment of indebtedness, re-organization, arrangements, composition or extension; or 
15.1.3    Amyris shall fail to perform and comply with any of its covenants, agreements, obligations and use restrictions contained in this Sublease (including the incorporated Master Lease provisions which are to be complied with by Amyris hereunder), and such failure continues for more than 

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fifteen (15) days after notice thereof in writing to Amyris; provided the cure period in this section shall not apply to any dispute between the parties regarding TOTAL’s right to access the OCT Facilities in accordance with the terms of this Sublease, which shall be resolved as provided in Sections 2.3 and 23.12 hereof; or
15.1.4    The occurrence of any of the following:  (i) Amyris shall make any assignment for the benefit of creditors; (ii) Amyris shall admit in writing to its creditors its inability to generally pay its debts as they come due; (iii) Amyris’s interest in the Master Premises are levied on by any revenue officer or similar officer and such levy shall not have been removed within thirty (30) days from the date levied; or (iv) a decree or order appointing a receiver of the property of Amyris shall be made and such decree or order shall not have been vacated, stayed or set aside within thirty (30) days from the date of entry or granting thereof; or 
15.1.5    Subject to Amyris’ termination rights under this Sublease, Amyris shall fail to preserve its leasehold estate and interests in and to the Master Lease; or
15.1.6    Any of the representations and warranties provided herein by Amyris shall prove to be false or misleading in any material respect; or
15.1.7    Amyris shall fail to obtain, maintain and preserve and take all necessary action to timely renew all permits, licenses, authorizations, approvals and entitlements necessary or appropriate for it to use and occupy the Master Premises; or
15.1.8     Amyris shall be in default beyond any applicable cure period under the terms of the Services Agreement.
15.2    Upon and during the continuance of any Default by Amyris hereunder, in addition to any other rights or remedies provided for hereunder, TOTAL shall have the right to withhold Base Rent until such Default is cured, and to the extent such Default is incapable of being cured, or is not cured within fifteen (15) days of notice of such Default to Amyris, to offset the value of any damages caused by such Default against the Base Rent reserved for the balance of the Sublease Term.
		
	16.
	HOLDING OVER.

16.1    TOTAL has no right to occupy the Sublease Premises or any portion thereof after the Expiration Date or after the termination of this Sublease or of TOTAL’s right to possession hereunder.  In the event TOTAL or any party claiming by, through or under TOTAL holds over, Amyris may exercise any and all remedies available to it at law or in equity to recover possession of the Sublease Premises, and to recover the damages specified in Section 16.2 below by reason of such holdover.  For clarity, the License terminates on the earliest of (i) the Expiration Date, or (ii) early termination of the Sublease.
16.2    Without limiting Amyris’s rights under Section 16.1, for each and every month that TOTAL or any party claiming by, through or under TOTAL remains in occupancy of all or any portion of the Sublease Premises after the Expiration Date or after the earlier termination of this Sublease or of TOTAL’s right to possession, TOTAL shall pay, in addition to the Excess Utility Charges payable hereunder, monthly rental at a rate equal to 125% of the rate of Base Rent payable by TOTAL hereunder immediately prior to the Expiration Date or earlier termination of this Sublease or of TOTAL’s right to possession; provided, however, if the Expiration Date or the date of any earlier termination of this Sublease or of TOTAL’s right to possession occurs during 2019, the rate of Base Rent payable by TOTAL hereunder immediately prior to the Expiration Date or earlier termination of this Sublease or of TOTAL’s right to possession shall be deemed to mean the rate of Base Rent payable hereunder during 2018.  The

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acceptance by Amyris of any lesser sum shall be construed as payment on account and not in satisfaction of damages for such holding over.  In addition to the payment of the amounts provided herein, in the event TOTAL or any party claiming by, through or under TOTAL holds over, TOTAL shall also be (i) liable to Amyris for actual damages payable by Amyris to Master Landlord by reason of such holdover, and (ii) liable to Amyris for its actual damages , including,  those incurred by Amyris or payable by Amyris to Amyris’s proposed assignee or subtenant, in the event Amyris has entered into a binding agreement for the assignment of the Master Lease (including any assignment which is not subject to Section 10.2 above) or for the sublease of either the entire Master Premises or any portion of the Master Premises which includes any portion of the Sublease Premises), if TOTAL’s holdover prevents or delays Amyris from delivering the Master Premises or applicable portion thereof as required.
		
	17.
	ENCUMBERING TITLE.  

17.1    TOTAL shall not do any act which in any way encumbers the title of Master Landlord in and to the Building nor shall the interest or estate of Master Landlord or Amyris be in any way subject to any claim by way of lien or encumbrance, whether by operation of law or by virtue of any express or implied contract by TOTAL, or by reason of any other act or omission of TOTAL.  Any claim to, or lien upon, the Sublease Premises or the Building arising from any act or omission of TOTAL shall accrue only against the estate of TOTAL and shall be subject and subordinate to the paramount title and rights of Master Landlord and Amyris. 
17.2    Without limiting the generality of Section 16.1, TOTAL shall not permit the Sublease Premises or the Building to become subject to any mechanics’, laborers’ or materialmen’s lien on account of labor or material furnished to or at the request of TOTAL in connection with work of any character performed on the Sublease Premises by, or at the direction or sufferance of, TOTAL.  If TOTAL fails to do so within fifteen (15) days following written notice from Amyris, Amyris may cause such liens to be released by any means it deems proper, including payment, at TOTAL’s expense and without affecting Amyris’s rights.
		
	18.
	PROVISIONS REGARDING MASTER LEASE.

18.1    This Sublease and all rights of the parties hereunder are subject and subordinate to the Master Lease.  The parties hereby acknowledge that it is not practical in this Sublease to enumerate all of the rights and obligations of the various parties under the Master Lease and specifically to allocate those rights and obligations in this Sublease.  Accordingly, in order to afford to TOTAL the benefits of this Sublease and of those provisions of the Master Lease which by their nature are intended to benefit the party in possession of the Sublease Premises, and in order to protect Amyris against a Default by TOTAL which might cause a default by Amyris under the Master Lease, Amyris and TOTAL covenant and agree as set forth in this Section 18.
18.2    Except as herein otherwise expressly provided, and except those that by their nature or purpose are inapplicable to the subleasing of the Sublease Premises pursuant to this Sublease or are inconsistent with or modified by any of the terms, covenants or conditions of this Sublease, and except for tenant’s obligations to pay rent and all other amounts due under the Master Lease, and except to the extent applicable solely to the Amyris Dedicated Area, all of the terms and conditions contained in the Master Lease are incorporated herein by reference as terms and conditions of this Sublease.  Amyris and TOTAL agree to each refrain from any act or omission that would result in a Default (as defined in the Master Lease) on the part of the tenant under the Master Lease.  Except as set forth in this Section above or otherwise excluded herein, the provisions of the Master Lease are hereby expressly incorporated into this Sublease with the term “Amyris” substituted for Landlord, the term “TOTAL” substituted for Tenant, the term “Sublease” substituted for Lease and, without limiting any of Amyris’s obligations hereunder 

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(including pursuant to the incorporated terms of the Master Lease) with respect to the OCT Facilities, including the maintenance thereof, the term “Sublease Premises” substituted for “Premises,” as the context requires.
18.3    Except as otherwise expressly provided in this Sublease, TOTAL shall perform all affirmative covenants and shall refrain from performing any act that is prohibited by the negative covenants of the Master Lease, where the obligation to perform or refrain from performing is by its nature imposed upon the party in possession of the TOTAL Dedicated Area.  Other than covenants regarding use and restrictions on use, and other than the obligation to refrain from performing any act that is prohibited by the negative covenants of the Master Lease (all which shall be performed and observed by both Amyris and TOTAL with respect to the OCT Facilities), Amyris shall be responsible for performing all affirmative covenants of the Master Lease, where the obligation to perform is by its nature imposed upon the party in possession of the OCT Facilities.  If Amyris should Default (as defined in the Master Lease) under the Master Lease, and provided such Default was not caused by TOTAL, TOTAL shall have the right, but not the obligation, to cure such Default(s) on behalf of Amyris and all costs incurred by TOTAL in so doing may be offset by TOTAL against the Base Rent Installment Payment next coming due under this Sublease, and any subsequent Base Rent Installment Payment until satisfied.
18.4    It is expressly agreed that:  (a) if the Master Lease should terminate prior to the Expiration Date, Amyris shall have no liability to TOTAL except in respect of a breach of Amyris’ covenants contained herein; and (b) to the extent the Master Lease grants Amyris any discretionary right to terminate the Master Lease (either as to the entire Master Premises or as to any portion of the Master Premises which includes the Sublease Premises), whether due to casualty, condemnation, by election by Amyris or otherwise, Amyris shall be entitled to exercise or not exercise such right in its sole and absolute discretion, without liability to TOTAL; provided, however, so long as TOTAL is not then in Default under this Sublease, Amyris shall not elect to terminate the Master Lease as to the Sublease Premises under any discretionary right to terminate the Master Lease without the prior written consent of TOTAL, which consent shall not be unreasonably withheld, conditioned or delayed.
18.5    Any non-liability, release, indemnity or hold harmless provision in the Master Lease for the benefit of Master Landlord shall be deemed to apply under this Sublease and inure to the benefit of both Amyris and Master Landlord. Any non-liability, release, indemnity or hold harmless provision in the Master Lease for the benefit of Amyris, as Tenant, shall be deemed to apply under this Sublease and inure to the benefit of TOTAL.  Amyris shall cooperate and use commercially reasonable efforts to ensure that TOTAL receives such benefit.
18.6    If TOTAL desires to take any action that requires the consent of Master Landlord under the terms of the Master Lease, then, notwithstanding anything to the contrary herein:  (i) Amyris, independently, shall have a reasonable right of approval or disapproval; (ii) TOTAL shall not take any such action until it obtains the consent of both Amyris and Master Landlord; and (iii) TOTAL shall request that Amyris obtain Master Landlord’s consent on TOTAL’s behalf and Amyris shall use commercially reasonable efforts to obtain such consent.  TOTAL shall pay all costs reasonably incurred by Amyris in seeking or procuring Master Landlord’s consent. Any approval or consent required of Amyris conclusively shall be deemed reasonably withheld if approval or consent also is required of Master Landlord, and Master Landlord fails to give Master Landlord’s approval or consent.   
18.7    Amyris agrees to forward to TOTAL, (a) a copy of any notices relating to the Sublease Premises that Amyris delivers to the Master Landlord, and (b) upon receipt thereof by Amyris, (i) a copy of each notice of default received by Amyris in its capacity as tenant under the Master Lease, and (ii) a copy of each notice of default or non-payment received by Amyris from any utility or other service providers to the Master Premises.   Upon the full execution of this Sublease, Amyris shall request that 

24

Master Landlord simultaneously forward to TOTAL, at TOTAL’s notice address provided in this Sublease, a copy of any default notices from Master Landlord to Amyris.  TOTAL agrees to forward to Amyris, upon receipt thereof, copies of any notices received by TOTAL with respect to the Sublease Premises from the Master Landlord.  
18.8    As between Amyris and TOTAL, in the event of a conflict between the provisions of the Master Lease and the provisions of this Sublease, the provisions of this Sublease shall control.
18.9    Amyris will perform all of the obligations of the tenant pursuant to the Master Lease, except those expressly undertaken by TOTAL pursuant to this Sublease, to the extent failure to perform the same could adversely affect the rights of TOTAL hereunder.  So long as TOTAL is not in Default under this Sublease, Amyris will not consent to any amendment of the Master Lease that could adversely affects the rights of TOTAL hereunder, without the prior written consent of TOTAL, which may be given or withheld in TOTAL’s sole discretion (provided that the foregoing shall not be construed to limit or otherwise restrict Master Landlord from exercising any rights it has under the Master Lease or, except as provided in Section 18.4 above, Amyris from exercising any termination right it has under the Master Lease, including in the event of casualty, condemnation or as a result of any default by Master Landlord, without the need for consent of TOTAL). 
18.10    Notwithstanding anything to the contrary contained herein, the following provisions of the Master Lease shall not apply to the benefit of TOTAL and are not, and shall not be deemed to be, incorporated by reference into this Sublease:  (a) the following provisions of the Master Lease:  Sections 1.1, 1.3 (but only to the extent the defined terms are used only in provisions that are otherwise not applicable to this Sublease), 2.1(b), 2.2, 2.3, 2.4, 2.5, 2.6, 2.7, 2.8, 3.1, 4.1, 4.2, 4.3, 6.6, 9.1(a)(1) (but only pertaining to Tenant’s right to undertake Decoration Work), 9.3, 11.4, 12,1, 16.3, 20.1(b) (except to the extent Amyris is required to provide to Master Landlord financial statements of TOTAL pursuant to Section 20.1(b) of the Master Lease), 25.1, 25.8, 25.10; Articles 5, 13, 14, 15, 21 and 22; Exhibits A and B; Riders 1 and 2, and Schedule 1 to Exhibit B; and all of the Lease Amendments (other than solely for the purpose of establishing the Master Premises leased under the Master Lease to the extent such Master Premises comprise part of the Sublease Premises and establishing the Expiration Date of the Master Lease).  With respect to Section 8.1 of the Original Lease, all references to “Landlord” shall, for purposes of incorporation herein, mean Master Landlord and not Amyris.  Notwithstanding that Section 16.3 of the Master Lease is stated not to be incorporated into this Sublease, Amyris and TOTAL agree that:
a.    to the extent any proceeds of Master Landlord’s insurance are paid to Amyris during the Sublease Term for restoration of any portion of the TOTAL Dedicated Area or the OCT Facilities, then (i) any such proceeds paid to Amyris with respect to any damage to the OCT Facilities shall be utilized for the repair and maintenance of the OCT Facilities, to the extent Amyris has the obligation to repair and maintain the OCT Facilities under this Sublease, and (ii) any such proceeds paid to Amyris with respect to any damage to the TOTAL Dedicated Area shall be paid to and utilized by TOTAL for the repair and maintenance of the TOTAL Dedicated Area in accordance with TOTAL’s obligations under this Sublease with respect to the TOTAL Dedicated Area; and 
b.    to the extent any proceeds of Master Landlord’s insurance are paid for Landlord’s liability relating to matters or events occurring in the Sublease Premises during the Sublease Term, then any such proceeds shall be paid to the appropriate claimant(s) or, if the claimant(s) has already been compensated, then the proceeds shall be divided between Amyris and TOTAL in the percentages reflecting their respective liability to the claimant(s).

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19.    MASTER LANDLORD’S CONSENT.   This Sublease and the obligations of the parties hereunder are expressly conditioned upon the written consent hereto by Master Landlord in a form reasonably acceptable to TOTAL and Amyris, and receipt by TOTAL of a separate agreement between Master Landlord and TOTAL, in a form acceptable to TOTAL.  Amyris and TOTAL hereby agree, for the benefit of Master Landlord, that this Sublease and Master Landlord’s consent hereto shall not:  (a) create privity of contract between Master Landlord and TOTAL; (b) be deemed to have amended the Master Lease in any regard (unless Master Landlord shall have expressly agreed in writing to such amendment); or (c) be construed as a waiver of Master Landlord’s right to consent to any assignment of the Master Lease by Amyris or any further subletting of the Sublease Premises, or as a waiver of Master Landlord’s right to consent to any assignment by TOTAL of this Sublease or any subletting of the Sublease Premises or any part thereof.
		
	20.
	PRESERVATION OF THE LEASEHOLD ESTATE.

20.1    Amyris acknowledges that pursuant to Section 365 of the Bankruptcy Code, it is possible that a trustee in bankruptcy of the Master Landlord, its successors and assigns, or as debtor-in possession, could reject the Master Lease, in which case Amyris, as lessee, would have the election described in Bankruptcy Code Section 365(h) (the “Election”) to treat the Master Lease as terminated by such rejection, or, in the alternative, to remain in possession for the balance of the term of the Master Lease and any renewal or extension thereof that is enforceable by Amyris under applicable non-bankruptcy law.  Provided TOTAL is not then in Default under this Sublease, Amyris covenants that Amyris will not suffer or permit the termination of the Master Lease by exercise of the Election or otherwise without the prior written consent of TOTAL.  Amyris acknowledges that given the potential negative effect to its rights under this Sublease, TOTAL does not anticipate that it would consent to the termination of the Master Lease under such circumstances and shall not be obligated to give such consent.  In order to secure the covenant made in this subsection, Amyris hereby assigns the Election to TOTAL.  Amyris acknowledges and agrees that the Election is in the nature of a remedy, and to the extent made in favor of retaining Amyris’s rights under the Master Lease, Amyris shall bear all responsibility for complying with any of its obligations thereunder.
		
	21.
	RIGHTS IN BANKRUPTCY.

21.1    Amyris acknowledges and agrees that this Sublease is a lease of real property as contemplated by Bankruptcy Code Section 365(h).  Upon the filing of a case by or against Amyris under the Bankruptcy Code, Amyris shall continue to perform all of its obligations under this Sublease, including without limitation, by providing TOTAL with use and access (including, without limitation, access codes and keys) of the (a) OCT Facilities, and (b) Furniture and Equipment, subject to the rights of Lienholders, consistent with the provisions of this Sublease, and, in each case, without the need for any further request from TOTAL, or notice and hearing.  To the extent Amyris rejects this Agreement under the Bankruptcy Code and TOTAL elects to retain its rights, (x) TOTAL shall have the full rights provided to it under Bankruptcy Code Section 365(h)(1)(A)(ii), (y) the value of any damage caused by such rejection shall include, in addition to those caused by the non-performance hereunder, the value of any damages resulting from Amyris’s rejection of the Services Agreement in such bankruptcy (including any loss to use of the Furniture and Equipment), should such agreement also be rejected, given the parties’ agreement that the services thereunder relate to Amyris’s obligations hereunder, and (z) TOTAL shall have full and complete use of and access to the OCT Facilities and the right to use the Furniture and Equipment that is then located in the OCT Facilities, without any requirement of Amyris, OCT Manager or OCT Personnel permission, cooperation or supervision (with TOTAL hereby acknowledging that some or all of the Furniture and Equipment listed on Exhibit C may not then be located in the OCT Facilities, by reason of the foreclosure of liens that Amyris is permitted to grant on the Furniture and Equipment). TOTAL will indemnify, defend and hold harmless Amyris from any Losses arising from TOTAL’s use of the OCT 

24

Facilities, or any Furniture and Equipment during the Sublease Term, pursuant to subsection (z) above. The foregoing indemnity will survive the expiration or earlier termination of the Sublease Term. 
21.2    Upon the filing of a case by or against Amyris under the Bankruptcy Code, TOTAL is entitled to relief from the automatic stay imposed by Bankruptcy Code Section 362, or otherwise, to allow TOTAL to exercise its rights and remedies under this Sublease, and as otherwise provided by law.  Amyris unconditionally and irrevocably waives the benefit of such automatic stay and shall not, in any manner, oppose or otherwise delay any motion filed by TOTAL for relief from the automatic stay.
		
	22.
	NOTICES.

22.1    All notices that may or are required to be given by either party to the other shall be in writing and shall be deemed given when received or refused if personally delivered, or if sent by United States registered or certified mail, postage prepaid, return receipt requested, or if sent by a nationally recognized overnight commercial courier service providing receipted delivery, in any such case (a) if to TOTAL, addressed to TOTAL at the address specified in Section 1.10 or at such other place as TOTAL may from time to time designate by notice in writing to Amyris or (b) if to Amyris, addressed to Amyris at the address specified in Section 1.11 or at such other place as Amyris may from time to time designate by notice in writing to TOTAL.  Notices may also be given by email (and shall be deemed received if made by 5:00 p.m. Pacific time on the business day transmitted, and if after such time, then on the next business day), provided they are also given by one of the other methods permitted above.  Each party agrees promptly to deliver to the other party a copy of any notice, demand, request, consent or approval received from Master Landlord.
		
	23.
	MISCELLANEOUS.

23.1    Each party warrants to the other that it has had no dealings with any broker or agent in connection with this Sublease. Each party covenants to protect, defend, indemnify and hold harmless the other party from and against any and all costs (including reasonable attorneys’ fees), expense or liability for any compensation, commission and charges claimed by any broker or other agent with respect to this Sublease or the negotiation thereof on behalf of the indemnifying party.  
23.2    In the event that any action or proceeding is brought by either party to enforce the terms of this Sublease, the prevailing party shall be entitled to reasonable attorneys' fees and costs.
23.3    This Sublease, including Exhibits A, B, C,  D, E and F hereto, is the entire agreement between the parties regarding its subject matter and supersedes any prior oral or written agreements among them regarding the subject matter contained herein.
23.4    No waiver of any provision of this Sublease or consent to any action shall constitute a waiver of any other provision of this Sublease or consent to any other action.  No waiver or consent shall constitute a continuing waiver or consent, or commit a party to provide a future waiver, unless such provision is expressly set forth in writing.  Any waiver given by a party shall be void if the party requesting such waiver has not provided a full and complete disclosure of all material facts relevant to the waiver requested.
23.5    The terms of this Sublease have been negotiated by the parties hereto and the language used in this Sublease shall be deemed to be the language chosen by the parties hereto to express their mutual intent.  The parties acknowledge and agree that each party and its counsel have reviewed and revised this Sublease and that no rule of construction to the effect that any ambiguities are to be resolved against the drafting party shall be employed in the interpretation of this Sublease.

24

23.6    This Sublease is subject to amendment only by a writing that makes reference to this Sublease and is signed by all parties hereto.
23.7    This Sublease may be executed in counterparts, each of which shall constitute an original, but all of which together shall constitute one and the same instrument.    
23.8    In case of any default by Amyris of its obligations to TOTAL under this Sublease, TOTAL shall have no right or recourse to property or assets of any officer, member, director, employee, shareholder, or agent of Amyris to recover such loss or damage.  In no event shall Amyris be liable under any legal or equitable theory of liability for any indirect, special, incidental, consequential or punitive damages, however caused and on any theory of liability, arising out of this Sublease or any other subject matter of this Sublease.  In case of any default by TOTAL of its obligations under this Sublease, Amyris shall have no right or recourse to property or assets of any officer, member, director, employee, shareholder, or agent of TOTAL to recover such loss or damage.  In no event shall TOTAL be liable under any legal or equitable theory of liability for any indirect, special, incidental, consequential or punitive damages, however caused and on any theory of liability, arising out of this Sublease or any other subject matter of this Sublease. Without limiting the foregoing, Amyris and TOTAL agree that, in no event, shall either party have liability to the other for any matter arising out of this Sublease, whether in the context of litigation or otherwise, in excess of one million dollars ($1,000,000) in the aggregate, other than for matters caused by the gross negligence or willful misconduct of such party.
23.9    All provisions of this Sublease that require the payment of money, performance of obligations or the delivery of property after the termination of this Sublease, or require any party to indemnify, defend or hold the other party harmless, shall survive the expiration or earlier termination of this Sublease.
23.10        Neither Amyris nor TOTAL shall record this Sublease nor any memorandum hereof without the written consent of the other and any attempt by TOTAL to do the same shall constitute an immediate and uncurable Default by TOTAL under this Sublease.  All provisions of the Master Lease which require Amyris, as tenant, to submit, exhibit to, supply or provide Master Landlord with evidence, certificates, or any other matter or thing shall be deemed to require TOTAL to submit, exhibit to, supply or provide, the same to both Master Landlord and Amyris.
23.11    This Sublease shall be governed by the laws of the State of California as such laws are applied to contracts entered into and to be performed with such state, without regard to any conflict of laws provisions.
23.12      Dispute Resolution.
23.12.1     Excluding (i) actions by Amyris for unlawful detainer following a Default by TOTAL under Sections 14.1.1, 14.1.2, 14.1.3, 14.1.4 or 14.1.8, and/or actions to recover Rent due under this Sublease, whether following the termination of this Sublease, an action pursuant to Civil Code Section 1951.4 or otherwise, (ii) the rights granted to TOTAL in Section 2.5 above to offset against Base Rent the cost of replacing Furniture and Equipment or of curing defaults of Amyris under any financing arrangement with a Lienholder regarding any of the Utilities Equipment), (iii) the rights granted to TOTAL in Section 15.2 above to offset against Base Rent the value of any damages to TOTAL caused by Amyris’s Default under this Sublease, (iv) the rights granted to TOTAL in Section 18.3 above to offset against Base Rent the costs incurred by TOTAL of curing a Default (as defined in the Master Lease) by Amyris under the Master Lease, (v) the rights granted to TOTAL in Sections 4.2 and 7.1 above to daily Base Rent abatement in the event of delay in the Delivery Date, and (vi) the rights of TOTAL to receive its proportionate share of, or the benefit of, any abatement pursuant to Section 4.5 above, if there is a 

24

dispute between the Amyris and TOTAL arising out of this Sublease, the Joint Oversight Team shall, upon written request by either party, review and attempt to informally resolve, as provided in Section 7(a) of the Services Agreement.  If the Joint Oversight Team does not resolve such dispute to the satisfaction of both parties within five (5) business days from the date of the initial notice of a dispute to the Joint Oversight Team, the parties shall each escalate such dispute to their respective officers, who shall meet (by phone or in person within ten (10) business days from the date of the initial notice to the Joint Oversight Team and endeavor to resolve such dispute.  If such Officers are unable to resolve such dispute within thirty (30) business days from the date of the initial notice to the Joint Oversight Team, the parties shall submit the problem or dispute to arbitration in accordance with Sections 7(b) and 7(c) of the Services Agreement (for purposes of Section 7(b) of the Services Agreement, the last day of such thirty (30) business day period shall be the “Arbitration Date”).  If any right of TOTAL to offset or abate Base Rent under this Sublease is required to be submitted to the process described in this Section 23.12.1 and the right of TOTAL to so offset or abate Base Rent is ultimately submitted to arbitration pursuant to this Section 23.12.1, then TOTAL’s obligation to pay Base Rent shall be suspended during the period of the arbitration and, if (but only if) it is determined that TOTAL was not entitled to abate or offset against its obligation to pay Base Rent, TOTAL shall promptly pay to Amyris an amount equal to the suspended Base Rent.  If it is determined that TOTAL was entitled to abate or offset against its obligation to pay Base Rent, TOTAL shall have no obligation to pay to Amyris any portion of the suspended Base Rent.
23.12.2    Any dispute referred to arbitration as provided above, shall be referred to and be finally settled in accordance with the Arbitration Rules and Procedures of JAMS then in effect,  (the “Rules”), without recourse to the ordinary courts of law, by three arbitrators with substantial experience in resolving complex commercial contract disputes.  Each of the parties shall nominate an arbitrator, and the two so nominated shall, once their appointment is confirmed by JAMS, nominate the third arbitrator, who shall act as Chairperson of the arbitral tribunal. If, however, the two arbitrators nominated by TOTAL and Amyris cannot agree upon a third arbitrator within thirty (30) days of their confirmation, the third arbitrator shall be chosen by JAMS in accordance with the Rules.  The seat or legal place of arbitration shall be New York City (United States). The language shall to be used in the arbitral proceedings shall be English.  Notwithstanding anything to the contrary, either party may seek injunctive or other forms of equitable relief at any time from any court of competent jurisdiction.
23.13    Pursuant to California Civil Code Section 1938, Amyris hereby notifies TOTAL that as of the Effective Date, Amyris has not obtained an inspection of the Sublease Premises by a "Certified Access Specialist" to determine whether the Sublease Premises meet all applicable construction-related accessibility standards under California Civil Code Section 55.53.

[SIGNATURES ON FOLLOWING PAGE]

	
					
	 
	 
	 
	 
	 

24

IN WITNESS WHEREOF, Amyris and TOTAL have executed this Sublease, as of the Effective Date.

	
					
	AMYRIS:

	 
	TOTAL:

	 
	 
	 
	 
	 

	AMYRIS, INC., a Delaware corporation
	 
	TOTAL NEW ENGERGIES USA, INC., a Delaware corporation

	 
	 
	 
	 
	 

	 
	 
	 
	 
	 

	By:
	/s/ John Melo
	 
	By:
	 

	 
	 
	 
	 
	 

	Name:

	John Melo
	 
	Name:

	 

	 
	 
	 
	 
	 

	Its:
	C.E.O.
	 
	Its:
	 

24

IN WITNESS WHEREOF, Amyris and TOTAL have executed this Sublease, as of the Effective Date.

	
					
	AMYRIS:

	 
	TOTAL:

	 
	 
	 
	 
	 

	AMYRIS, INC., a Delaware corporation
	 
	TOTAL NEW ENGERGIES USA, INC., a Delaware corporation

	 
	 
	 
	 
	 

	 
	 
	 
	 
	 

	By:
	 
	 
	By:
	/s/ Denis Giorno

	 
	 
	 
	 
	 

	Name:

	 
	 
	Name:

	Denis Giorno

	 
	 
	 
	 
	 

	Its:
	 
	 
	Its:
	President & CEO

EXHIBIT A

DEPICTION OF SUBLEASE PREMISES

 

24

EXHIBIT B

LIST OF HAZARDOUS MATERIALS
	
					
	Material
	Health
	Fire
	Reactivity
	 

	[*]
	X
	 
	 
	 

	[*]

	X
	 
	 
	 

	[*]

	X
	 
	X
	 

	[*]

	X
	 
	 
	 

	[*]

	X
	 
	 
	 

	[*]

	X
	X
	 
	 

	[*]

	X
	X
	 
	 

	[*]

	X
	 
	X
	 

	[*]

	X
	 
	 
	 

	[*]

	X
	 
	 
	 

	[*]

	X
	 
	 
	 

	[*]

	X
	X
	 
	 

	[*]

	X
	 
	 
	 

	[*]

	X
	 
	 
	 

	[*]

	X
	X
	 
	 

	[*]

	X
	X
	 
	 

	[*]

	X
	X
	 
	 

	[*]

	X
	X
	X
	 

	[*]

	X
	X
	 
	 

	[*]

	X
	X
	 
	 

	[*]

	X
	X
	 
	 

	[*]

	X
	X
	 
	 

	[*]

	X
	X
	 
	 

	[*]

	X
	X
	 
	 

	[*]

	X
	 
	 
	 

	[*]

	X
	 
	 
	 

	[*]

	X
	X
	 
	 

	[*]

	X
	 
	 
	 

	 
	 
	 
	 

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

B-1

 

EXHIBIT C
LIST OF MATERIAL FURNITURE AND EQUIPMENT

		
	-  
	Ferrmentation:

[*]

		
	-  
	Centrifugation:

[*]

		
	-  
	General:

[*]

		
	-  
	Analytical:

[*]

		
	-  
	Utilities :

[*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

C-1

[*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

EXHIBIT D

PERMITS, APPROVALS AND AUTHORIZATIONS

SEE FOLLOWING PAGES

D-1

EXHIBIT E

GENERAL DESCRIPTION OF INITIAL IMPROVEMENTS

 

This exhibit aims at defining the needs for adaptation of the TOTAL Dedicated Area to comply with TOTAL’s needs, and will be used for the Architectual design package. It is based in a conceptual study realized in 2013 with the help of TOTAL’s engineering firm Clark, Richardson & Biskup Consulting Engineers, Inc..
The requirements have been defined across the following functional areas (FA’s):
		
	-  
	Strain handling and storage (FA1)

		
	-  
	Fermentation laboratory (FA2)

		
	-  
	Recovery laboratory (FA3)

		
	-  
	Fermentation pilot (FA4)

		
	-  
	Recovery pilot (FA5)

		
	-  
	Physico-Chemical Analytics (FA6)

		
	-  
	Offices and general areas (FA7)

		
	-  
	Utilities, storage and Waste treatment (FA8)

For each Functional area, the following section will specify:
		
	-  
	Narrative summary of the activities to be led within the functional area

		
	-  
	Envisioned floor space 

		
	-  
	List of main equipment

		
	-  
	list of bench / hoods

		
	-  
	Utilities requirements

		
	-  
	Specific details (modularity, access restriction, co-location with others activities, air control, security access...)

Different scenarios for TOTAL Dedicated Area configuration/implantation have been studied during the conceptual study, and Scenario 4 (as represented on figure A) has been jointly selected with Amyris. In this scenario, all the functional areas are located in place of the current following existing areas : Office area (PP-101), Conference room (PP-104), Copy area (PP-105), Break Area (PP-106), Kitchen (PP-107), Toilets and Shower (PP108 & PP-109). In addition, the toilets are relocated next to the entrance.
To accommodate this new area, Amyris will have to relocate its offices area in the warehouse, this will be handle independently by Amyris.

A proposed conceptual layout of the TOTAL Dedicated Area is given in Figure A, and a general view of the pilot is given in Figure C.  The TOTAL Dedicated Area represent a total area of 3671 sf; both represented in green in the layouts. A layout of the existing condition of the premises is given in figure B, where the area to be demolished is represented in red.
This conceptual layout may evolve during the design phase realized to be done by a contracted Architectural company.

Strain handling and storage (FA1)
		
	1.1
	Narrative summary of activities

[*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

E-1    

[*]

		
	1.2
	Itemized Description of FA1

		
	v  
	Stand-alone/larger items

[*]

		
	v  
	Bench-top items

[*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

E-2

[*]

		
	v  
	Benches & Storage

[*]

		
	1.3
	Specifics

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

E-3

[*]

Fermentation laboratory (FA2)
		
	2.1
	Narrative summary of activities

[*] 

		
	2.2
	Itemized Description of FA2

		
	v  
	Stand-alone/larger items

[*]

E-4

		
	v  
	Bench-top items

[*]

		
	v  
	Benches & Storage

[*]
[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

E-5

		
	2.3
	Specifics

[*]

Recovery laboratory (FA3) and Physical-Chemical Analytics (FA6)

Narrative summary of activities
[*]

FA3:
[*]

FA6:
[*]

Itemized description of FA3 & FA6

		
	v  
	Bench-top items

[*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

E-6

[*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

E-7

[*]

		
	v  
	Benches, Hood & Storage

[*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

E-8

[*]

Specifics

[*]

Fermentation pilot (FA4)
Narrative summary of activities
[*
 
Itemized description of FA4

[*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

E-9

[*]

Specifics
[*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

E-10

-
		
	  
	[*]

Recovery pilot (FA5)
Narrative summary of activities
[*]

Itemized description of FA5

[*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

E-11

[*] 

Specifics
[*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

E-12

[*}

Offices and general areas (FA7)

		
	7.1
	Narrative summary of FA7 

[*]

		
	7.2
	Itemized description of FA7

[*]

7.3 Specifics

[*]

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

E-13

		
	8. 
	Utilities, storage and Waste treatment (FA8)

[*]

  

Figure A

[*] Certain portions denoted with an asterisk have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

E-14

Figure B

Figure C

E-15

EXHIBIT F

MASTER LEASE
(See following pages)

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