Document:

exv10w5

 

Exhibit 10.5

PATENT LICENSE AGREEMENT

     This Agreement is entered into as of November 9, 2007 (the “Effective Date”), by and between
Applera Corporation, a corporation of the State of Delaware, through its Applied Biosystems Group,
having an office at 850 Lincoln Centre Drive, Foster City, California 94404 (“AB”) on the one hand,
and Biotrove, Inc., having a place of business at 12 Gill Street, Woburn, MA 01801 (“Licensee”),
each of AB and BT hereafter referred to as a “Party” and, collectively, as “Parties”.

     WHEREAS, AB owns or controls certain patents, as described herein, that pertain to real-time
thermal cyclers, through-hole arrays, assay loading devices and sample loading devices;

     WHEREAS, the Parties have, contemporaneously with this Agreement, entered into that certain
Collaboration and Supply Agreement (the “Collaboration Agreement”) directed at the collaborative
development and commercialization of arrays loaded with certain assays, as well as assay loading
and sample loading devices for such arrays.

     WHEREAS, Licensee desires and AB is willing to grant a license under such patents on the teens
and conditions set forth in this Agreement.

     NOW, THEREFORE, in consideration of the recitals set forth above and the terms and conditions
set forth below, the Parties agree as follows:

     1. Definitions

     For the purpose of this Agreement the terms set forth hereinafter shall be defined as follows:

     1.1 “Affiliate” shall mean a business entity directly or indirectly controlled by, controlling
or under common control with a Party to this Agreement. For purposes of this Section 1.1, the word
and root “control” means, in the case of a corporation, either: (a) the direct or beneficial
ownership of at least fifty percent (50%) of the shares of stock entitled to vote for Directors to
the Board of Directors of such corporation, or, (b) where the laws of a particular jurisdiction
limit the percentage ownership of domestic corporations by foreign corporations to less than fifty
percent (50%) of the shares of stock entitled to vote for Directors to the Board of Directors, the
maximum percentage ownership permitted by such jurisdiction, and provided that (in the case of both
(a) and (b)) the Party nevertheless has the ability to direct the activities of such entity related
to this Agreement.

     1.2 “Array” shall mean, individually and collectively, Genotyping Arrays, Gene Expression
Arrays and any other BT Open Array, the manufacture, use, offer for sale, sale or importation of
which would, but for the license granted under this Agreement, infringe at least one Valid Claim of
any of the Licensed Patent Rights.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

 

 

     1.3 “ABC Patent Rights” shall mean, individually and collectively, the Group A Patent Rights,
the Group B Patent Rights and the Group C Patent Rights.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

 

 

     1.4 “Assay Loader” shall mean an apparatus or device for filling, depositing or transferring
reagents or assays onto BT Open Arrays the manufacture, use, offer for sale, sale or importation of
which would, but for the license granted under this Agreement, infringe at least one Valid Claim of
any of the ABC Patent Rights.

     1.5 “Group A Patent Rights” shall mean U.S. Pat. Nos. 7,211,148, 6,849,127, and 6,579,367 and
any patents and patent application claiming priority thereto and any foreign counterparts thereof.

     1.6 “BT Open Arrays” shall mean through-hole array products (such as were, as of the Effective
Date, being commercialized by BT under the “BT Open ArrayTM” mark, as further described
on Exhibit I attached hereto, the manufacture, use, offer for sale, sale or importation of which
would, but for the license granted under this Agreement, infringe at least one Valid Claim of any
of the ABC Patent Rights.

     1.7 “Early Access Period” shall mean the period that commences on the Effective Date and ends
upon the last day of the later to end of the Genotyping Early Access Period and the Gene Expression
Early Access Period.

     1.8 “Field” shall mean all fields excluding Human In Vitro Diagnostics Field. Notwithstanding
the foregoing, the term “Field” shall include the Human In Vitro Diagnostics Field solely as to the
ABC Patent Rights but solely to the extent set forth in Section 2.10.

     1.9 “Gene Expression” shall mean all analysis of ribonucleic acid (RNA) or other products of
transcription of DNA or translation of mRNA including, without limitation proteins.

     1.10 “Gene Expression Arrays” means BT Open Arrays loaded with (a) AB TaqMan® gene expression
assays and related reagents and consumables; or (b) SYBR Green gene expression assays and related
reagents and consumables. However, to the extent any such TaqMan® or SYBR assays, reagents and
consumables are covered by patents owned or in-licensed by AB with the right to grant sublicenses,
the foregoing TaqMan® or SYBR Green assays, reagents and consumables that are covered by such
patents must either be manufactured and sold under a license agreement with AB (encompassing
applicable reagent, chemistry or method patents or patent applications) or purchased from a
supplier that is either licensed by AB or otherwise has valid rights under such patents (and is
therefore not infringing such patents) to sell the same to kit manufacturers or suppliers within
the Field.

     1.11 “Gene Expression Commercialization Phase” shall have the meaning set forth in the
Collaboration Agreement.

     1.12 “Gene Expression Early Access Period” shall mean the period that commences on the
Effective Date and ends upon AB’s decision, made in its sole discretion, that it is ready to
commence direct or indirect distribution or sales of Gene Expression Arrays.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

3

 

     1.13 “Genotyping” shall mean all analysis of genomic deoxyribonucleic acid (DNA),
modifications or derivatives thereof.

     1.14 “Genotyping Arrays” shall mean BT Open Arrays loaded with AB TaqMan® SNP genotyping
assays and related reagents and consumables. However, to the extent any such TaqMan® assays,
reagents and consumables are covered by patents owned or in-licensed by AB with the right to grant
sublicenses, the foregoing TaqMan® assays, reagents and consumables that are covered by such
patents must either be manufactured and sold under a license agreement with AB (encompassing
applicable reagent, chemistry or method patents or patent applications) or purchased from AB or a
supplier that is either licensed by AB or otherwise has valid rights under such patents (and is
therefore not infringing such patents) to sell the same to kit manufacturers or suppliers within
the Field.

     1.15 “Genotyping Commercialization Phase” shall have the meaning set forth in the
Collaboration Agreement.

     1.16 “Genotyping Early Access Period” shall mean the period that commences on the Effective
Date and ends upon AB’s decision, made in its sole discretion, that it is ready to commence direct
or indirect distribution or sales of Genotyping Arrays.

     1.17 “Human In Vitro Diagnostic Field” shall mean the in vitro measurement, observation,
and/or determination of attributes, characteristics, diseases, traits or other conditions of a
human being for the medical management of such human being. The Human In Vitro Diagnostic Field
includes, but is not limited to, the use, sale or promotion of a real-time thermal cycler, such as
a Licensed Real-Time Thermal Cycler, or a through-hole array such as an Array, in connection with
analyte specific reagents in the United States or with any registered in vitro diagnostic product
worldwide. Without limiting the foregoing, any real-time thermal cycler, such as a Licensed
Real-Time Thermal Cycler, that is registered with any regulatory authority for use as a diagnostic
instrument or that bears a diagnostic use label (e.g. CE-IVD mark) shall be deemed within the Human
In Vitro Diagnostic Field.

     1.18 “Licensed Patent Rights” shall mean, individually and collectively, the Real-Time
Apparatus Patent Rights, the Group A Patent Rights, the Group B Patent Rights and the Group C
Patent Rights.

     1.19 “Licensed Real-Time Thermal Cycler” shall mean a thermal cycler instrument, specifically
adapted for use with a BT Open Array, whether such instrument is sold as an integrated product or
as one or more components or modules, the manufacture, importation, offer for sale, sale or use of
which such instrument would, but for the rights granted under this Agreement, infringe at least one
Valid Claim of the Real-Time Apparatus Patent Rights.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

4

 

     1.20 “Licensed Product” shall mean, individually and collectively, any Licensed Real-Time
Thermal Cycler, Array, Assay Loader and Sample Loader.

     1.21 “Net Sales shall mean

	 	(a)	 	in the case of an arm’s-length transaction to unrelated
Third-Party end users not enjoying any special course of dealing with
Licensee, its Affiliates or distributors, wherein the end user is not
providing any nonmonetary consideration and the gross invoice price for a
product or service that is subject to royalty obligation under Article 3
herein is not affected by any other purchase of goods or services or any
license of intellectual property (other than the end user rights conveyed
pursuant to Article 2 of this Agreement): the gross invoice price for such
sale of such product (together with any associated warranty coverage sold) or
service to an end user by Licensee, its Affiliates or distributors of such
product, minus the following deductions where applicable: (i) discount allowed
and taken, in amounts customary in the trade, and (ii) sales and/or use taxes
and/or duties for particular sales. No allowance or deduction shall be made
for commissions or collections, by whatever name known; and
	 
	 	(b)	 	in the case of a sale, loan, lease, consignment, distribution
or transfer of products or services subject to royalty obligations under
Article 3 herein that is not within the scope of Section 1.21(a): the Average
Net Sales Price (as such term is defined below) for sales to end users for
such product or services calculated under Section 1.21(a). The Net Sales Price
for Licensed Real-Time Thermal Cyclers or components thereof that are used by
Licensee in providing services to third parties shall, as per Section 3.1,
equal the corresponding Average Net Sales Price (as defined below) that would
apply for the sale of such Licensed Real-Time Thermal Cyclers or components.
Without limiting the foregoing, Net Sales Price shall be calculated as set
forth in this Section 1.21(b) in the event of any sale, loan, lease,
consignment, gift, distribution, other transfer or use (including use of a
Licensed Real-Time Thermal Cycler by Licensee as a service provider for third
parties) (i) by or to an end user that is Licensee itself, an Affiliate or a
distributor, (ii) to an end user that enjoys a special course of dealing with
one or more of the Licensee, an Affiliate or distributor, or (iii) under a
reagent rental agreement. As used herein the term “Average Net Sales Price”
shall mean (x) the average Net Sales (as calculated for

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

5

 

transfers under
Section 1.21(a)) over the two calendar quarter period, spanning the quarter in
which such transfer that is within this Section 1.21(b) occurred and the preceding quarter, of the same type
and model of product (as the case may be) and in the same country as such
transferee; (y) if such average Net Sales data is unavailable, then the
Licensee’s, Affiliate’s or distributor’s published list price of such
product for end users in such country as the transferee; or (z) or if data
is unavailable under part (x) or (y), then the fair market value (with
reference to the sales price of comparable products).

     For any sales under which [***] shall be entitled to [***].

     In the event Licensee is unable to account for end user sales by any distributor, the Net
Sales shall be calculated as [***].

     1.22 “Real-Time Apparatus Patent Rights” shall mean (a) Applera’s United States Patent No.
6,814,934; (b) other United States patents and patent applications owned by Applera, directed to an
instrument, which patents and patent applications claim priority to United States patent
application Serial No. 07/695,201; (c) EP 872562 and all patent applications and patents claiming
priority thereto; and (d) and any Canadian counterparts of any of the foregoing that claim an
instrument (the patents and patent applications in part (a) through (d) above of this Section 1.22,
collectively, “Category I Real-Time Rights”). Without limiting the foregoing, the term “Real-Time
Apparatus Patent Rights” shall include claims 12 through 28 of U.S. Pat. Nos. 5,928,907 (covering
real-time methods for instrumentation using a passive reference), 7,188,030 and 7,228,237 and
7,272,506 and all patent applications and patents claiming priority thereto. Notwithstanding
anything herein to the contrary, the term “Real-Time Apparatus Patent Rights” expressly excludes:
(i) any patents and patent applications that cover real-time chemistry, reagents,
reagent-containing kits, reagent-containing systems, and methods employing particular real-time
chemistry, reagents, reagent-containing kits, reagent-containing systems, that instrument users,
including Licensee, may wish or need for the performance of amplification and detection methods,
including without limitation real-time detection methods, utilizing Licensed Real-Time Thermal
Cyclers; and (ii) any patents and patent applications licensed under the TCSA. The Real-Time
Apparatus Patent Rights other than the Category I Real-Time Rights are referred to collectively as
the “Added Real-Time Rights”.

     1.23 “Sample Loader” shall mean an apparatus or device for loading samples to be run on
(assayed on) Arrays, the manufacture, use, offer for sale, sale or importation of which apparatus
or device would, but for the license granted under this Agreement, infringe at least one Valid
Claim of any of the ABC Patent Rights.

     1.24 “Group B Patent Rights” shall mean U.S. Pub. No. 2005/0220675 (pending) and any patents
and patent application claiming priority thereto and any foreign counterparts thereof.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

6

 

     1.25 “Group C Patent Rights” shall mean U.S. Pat. Nos. 6,090,251, 6,086,825, and 6,451,188 and any patents and patent application claiming priority thereto and
any foreign counterparts thereof.

     1.26 “TCSA” shall mean that certain “Thermal Cycler Supplier Agreement” entered into between
the Parties effective as of December 22, 2004.

     1.27 “Territory” shall mean the world.

     1.28 “Valid Claim” shall mean a claim of an unexpired patent or pending application which has
not been held invalid or unenforceable by a decision of a court, Patent Office, or administrative
tribunal from which no appeal is available.

     2. Grant

     2.1 Licensed Real-Time Thermal Cyclers. AB hereby grants to Licensee a personal,
non-transferable, royalty-bearing, non-exclusive license under the Real-Time Apparatus Patent
Rights in the Field and in the Territory to make, but not have made, to use in providing services
to third parties, Licensed Real-Time Thermal Cyclers (and components, modules and software for such
Licensed Real-Time Thermal Cyclers), and to sell (directly or through distributors) the same solely
to end users, and solely in connection with the sale to such end-users of Genotyping Arrays and
Gene Expression Arrays. Upon commencement of the Genotyping Commercialization Phase, the foregoing
license shall exclude the Genotyping field and the foregoing right to sell Licensed Real-Time
Thermal Cycler’s shall be limited to sales to end users in connection with the sale of Gene
Expression Arrays. Upon commencement of the Gene Expression Commercialization Phase, the foregoing
license shall exclude the Gene Expression field (and if both the Genotyping Commercialization Phase
and the Gene Expression Commercialization Phase have commenced, the foregoing license shall be
suspended). Unless this Agreement has expired or been terminated, upon termination of the
Collaboration Agreement, the foregoing license shall resume in the Field (both as to Genotyping and
Gene Expression).

     2.2 Genotyping Arrays. AB hereby grants to Licensee a personal, non-transferable,
royalty-bearing, non-exclusive license under the ABC Patent Rights in the Genotyping field and in
the Territory to make, but not have made, to use in providing services to third parties and sell
(directly or through distributors) Genotyping Arrays to end-users. Upon commencement of the
Genotyping Commercialization Phase, the foregoing license shall be suspended. Unless this Agreement
has expired or been terminated, upon termination of the Collaboration Agreement, the foregoing
license in this Section 2.2 shall resume.

     2.3 Gene Expression Arrays. AB hereby grants to Licensee a personal,
non-

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

7

 

transferable, royalty-bearing, non-exclusive license under the ABC Patent Rights in the Gene
Expression field and in the Territory to make, but not have made, to use in providing services to
third parties and sell (directly or through distributors) Gene Expression Arrays to end-users. Upon
commencement of the Gene Expression Commercialization Phase, the foregoing license shall be suspended. Unless this Agreement has
expired or been terminated, upon termination of the Collaboration Agreement, the foregoing license
in this Section 2.3 shall resume.

     2.4 Other Arrays. AB hereby grants to Licensee a personal, non-transferable,
royalty-bearing, non-exclusive license under the ABC Patent Rights, within that portion of the
Field that is outside of both the Genotyping field and Gene Expression field, and in the Territory
to make, but not have made, to use in providing services to third parties and sell (directly or
through distributors) Arrays to end-users.

     2.5 Assay Loaders. AB hereby grants to Licensee a personal, non-transferable,
royalty-bearing, non-exclusive license under the ABC Patent Rights in the Field and in the
Territory to make, have made and to use in providing services to third parties (but not sell) Assay
Loaders, solely for the purpose of making Arrays subject to Sections 2.2-2.4 above. Upon
commencement of the Genotyping Commercialization Phase, the foregoing license shall exclude the
Genotyping field and any use of Assay Loaders for the purpose of making Genotyping Arrays. Upon
commencement of the Gene Expression Commercialization Phase, the foregoing license shall exclude
the Gene Expression field and any use of the Assay Loader for the purpose of making Gene Expression
Arrays (and if both the Genotyping Commercialization Phase and the Gene Expression
Commercialization Phase have commenced, the foregoing license shall exclude both the Genotyping
field and the Gene Expression field). Unless this Agreement has expired or been terminated, upon
termination of the Collaboration Agreement, the foregoing license in this Section 2.5 shall resume
in its entirety in the Field (both as to Genotyping and Gene Expression).

     2.6 Sample Loader. AB hereby grants to Licensee a personal, non-transferable,
royalty-bearing, non-exclusive license under the ABC Patent Rights in the Field and in the
Territory to make, have made, use in providing services to third parties and to sell (directly or
through distributors) Sample Loaders solely to end users, and solely in connection with the sale of
Arrays to such end-users and solely for such end-users’ use of such Sample Loaders to load samples
to be run on (and assayed using) such Arrays. Upon commencement of the Genotyping Commercialization
Phase, the foregoing license shall exclude the Genotyping field and the foregoing right to sell
Sample Loaders shall be limited to sales to end users in connection with the sales of Arrays that
are not sold in the Genotyping field. Upon commencement of the Gene Expression Commercialization
Phase, the foregoing license shall exclude the Gene Expression field (and if both the Genotyping
Commercialization Phase and the Gene Expression Commercialization Phase have commenced, the
foregoing license shall exclude both Genotyping and Gene Expression). Unless this Agreement has
expired or been terminated, upon termination of the Collaboration Agreement, the foregoing license
in this Section 2.6 shall resume in its entirety the Field (both as to Genotyping and Gene
Expression).

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

8

 

     2.7 Sales Distributor Rights. Licensee’s rights, to the extent expressly permitted in
Sections 2.1 through 2.4 and Section 2.6 above, to sell through distributors shall be contingent upon Licensee continuing to perform its obligations hereunder (including,
royalty reporting and payment obligations) as well as such distributors not exceeding the scope of
the license granted hereunder to Licensee (e.g., by selling or promoting Licensed Products outside
the Field or in a manner that does not comport with the labeling and notice requirements applicable
under this Agreement to such Licensed Products). The licenses granted under Sections 2.1 through
2.4 and Section 2.6 to sell Licensed Products through distributors shall not include the use of
distributors who infringe the Licensed Patent Rights.

     2.8 No Implied Rights. Except as expressly set forth in this Agreement, the licenses
granted under this Agreement include no right, immunity or license, either expressly or by
implication, under any patent or patent application that is not included in the definition of
Licensed Patent Rights. Nothing in this Agreement shall be construed to grant to Licensee, its
Affiliates, distributors or respective customers any right, immunity from suit or license under any
patent claim or patent application claim directed to an assay, reagent, chemistry, real-time
process or method (including, without limitation any TaqMan® or SYBR assay, reagent, chemistry,
process or method rights).

     2.9 Personal, Non-Transferable License. The rights granted to Licensee under this
Agreement are personal to Licensee alone. Licensee shall have no right to sublicense, assign or
otherwise transfer or share its rights hereunder. Without limiting other acts or omissions
constituting material breach hereof or AB’s remedies or causes of action for the same: (i) subject
to Section 2.10, any use, sale or promotion by Licensee of Licensed Products (including, without
limitation, using or promoting the use of Licensed Real-Time Thermal Cyclers with assays or
reagents in the Human In Vitro Diagnostic Field) in the Human In Vitro Diagnostic Field shall be
deemed a material breach of this agreement; and (ii) any breach by the Licensee of Article 2
(including, without limitation, by Licensee exceeding the scope of the license herein) shall be
deemed a material breach by Licensee of this Agreement.

     2.10 ABC Patent Rights for Human In Vitro Diagnostic Field. In the event that
Licensee shall during the term of this Agreement obtain rights from Applera Corporation or its
assignee under the Real-Time Apparatus Patent Rights to make, use and sell Licensed Real-Time
Thermal Cycler instruments for use in the Human In Vitro Diagnostic Field, AB shall expand the
Field of the licenses granted under the ABC Patent Rights in Sections 2.2 through 2.6, to the
extent that the Applied Biosystems group of Applera Corporation is able to grant such rights
[***], to include
the rights of the Applied Biosystems group of Applera Corporation under such ABC Patent Rights in
the Human In Vitro Diagnostic Field. AB agrees that it [***] and that provisions of Article 2 that

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

9

 

suspend the licenses granted hereunder or that exclude the Genotyping field or Gene Expression
field upon commencement of the Genotyping Commercialization Phase or Gene Expression
Commercialization Phase, respectively, shall not be apply with respect to Licensed Products that
are sold in the Human In Vitro Diagnostics Field if and to the extent Applera Corporation or its
assignee expands the Field hereunder to encompass the Human In Vitro Diagnostics Field. Without
limiting the foregoing, to the extent the Applied Biosystems group of AB has the right to convey such rights [***], solely as to Arrays,
Assay Loaders and Sample fillers that are not used, promoted for use with or intended for use with
a thermal cycler (whether such thermal cycler is a Licensed Real-Time Thermal Cycler or an
end-point PCR thermal cycler that is not covered by the Real-Time Apparatus Patent Rights), the
Field of the licenses granted under the ABC Patent Rights in Sections 2.2 through 2.6 shall include
the rights of the Applied Biosystems group of Applera Corporation under such ABC Patent Rights in
the Human In Vitro Diagnostic Field. Notwithstanding anything herein to the contrary, all other
terms and conditions of the license granted herein under the ABC Patent Rights, including without
limitation the royalties to be paid pursuant to Section 3.1 (b) and other restrictions placed on
Licensee with respect to activities in the Field, shall continue to apply to the such activities in
the Field (whether or subject to this Section 2.10 such activities are in the Human In Vitro
Diagnostic Field).

     3. Fees, Royalties, Records and Reports

     3.1 Licensee shall make the following payments to AB in consideration of the licenses granted
under Article 2 of this Agreement:

	 	(a)	 	Issuance Fees. Licensee shall pay to AB the
following non-refundable license issuance fees (that shall not be creditable
against royalties). Such issuance fees shall be payable in six (6)
installments as described
below:

	 	(i)	 	[***] in consideration of issuance of the
license herein [***] due and payable in six (6) quarterly
installments of [***], with the
first quarterly installment due and payable within ten (10) business
days after the Effective Date and each subsequent payment due and payable by the
first day of each subsequent calendar quarter (by the following
January 1, April 1, July 1 and October 1
respectively); and
	 
	 	(ii)	 	[***] (the “[***]”) in consideration of
issuance of the licenses herein [***]. Licensee shall receive a
credit, not to exceed five hundred thousand dollars ($500,000), against such [***] payment obligation which credit shall equal the
following sum: [***].[***] of the foregoing [***] shall be due and
payable in [***] of [***], with the first such payment due and
payable within ten (10) business days after the Effective Date and each subsequent payment due and payable by the
first day of each subsequent calendar quarter (by the following
January 1, April 1, July 1 and October 1
respectively). To the extent that the foregoing in-kind consideration
provided by Licensee [***] of this Agreement is such that [***] is
[***] the following sum shall be due [***].

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

10

 

     In the event this Agreement is terminated pursuant to Article 6, the foregoing payment
obligations in this Section 3.1(a) shall accelerate and become due immediately upon the effective
date of any termination of this Agreement.

	 	(b)	 	Licensed Real-Time Cyclers Royalties. Licensee shall
pay to AB the following non-refundable royalties on Net Sales of Licensed Real-Time
Thermal Cyclers (including without limitation, all associated modules,
components, software and computers):

	 	(i)	 	a royalty for each Licensed Real-Time
Thermal Cycler, including, without limitation, all modules,
components, software and computers therein (whether sold as a
complete system or sold separately for assembly of or for adding onto
or installation on such Licensed Real-Time Thermal Cyclers) and
associated warranty sold, delivered, invoiced or otherwise provided
(or used in providing services to third parties) by any of Licensee,
its Affiliates or distributors after the Effective Date, [***]; and
	 
	 	(ii)	 	a royalty for each repair or replacement
component of a Licensed Real-Time Thermal Cycler, including any
replacement modules and components, including software and computers,
sold, delivered, invoiced or otherwise transferred (or used in
providing services to third parties) by any of Licensee, its
Affiliates or distributors after the Effective Date, [***], except
that parts supplied free of charge under warranty, or repair, not
amounting to reconstruction, of a Licensed Real-Time Thermal Cycler
for which a royalty already has been paid under this Agreement,
including replacement of components by identical components shall not
be subject to royalty hereunder unless the component itself would
directly or contributorily infringe the Real-Time Apparatus Patent
Rights.

     However, so long as Licensee remains a licensee [***], inter alia, [***] will be fully
[***] solely from [***], under [***] of this Agreement for the [***].

	 	(c)	 	Array Royalties. Licensee shall pay to AB a royalty
of [***] of Net Sales of each Array sold, delivered, invoiced or otherwise
provided by any of Licensee, its Affiliates or distributors after the
Effective Date;

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

11

 

	 	(d)	 	Assay Loader. Licensee shall pay to AB a royalty of
[***] of Net Sales of each Array sold, delivered, invoiced or otherwise
provided by any of Licensee, its Affiliates or distributors after the
Effective Date that is loaded, filled or reformatted with reagents or assays
using an Assay Loader. The royalties paid under Section 3.1(c) for a given
Array shall be credited against royalty obligations under this Section 3.1(d)
for such Array such that the cumulative royalties under this Agreement for
such Array shall not exceed [***] of Net Sales of such Array;
	 
	 	(e)	 	Sample Loader. Licensee shall pay to AB a royalty of
[***] of Net Sales of each Sample Loader sold, delivered, invoiced
or otherwise provided by any of Licensee, its Affiliates or distributors after
the Effective Date; and
	 
	 	(f)	 	Services. Licensee shall pay to AB a royalty of [***]
of Net Sales of services using Arrays, Assay Loader or Sample Loaders. In
addition, Licensee shall pay to AB a royalty of [***] of the Average Net Sales
Price (calculated in the same manner per Section 1.21(Net Sales) as a non-arms
length sale of such products occurring on the date such services are rendered)
of any Licensed Real-Time Thermal Cyclers, and repair or replacement
components thereof, that are used by Licensee in providing services. For the
avoidance of doubt, royalties on a given Licensed Real-Time Thermal Cycler,
and repair or replacement component thereof, that are used by Licensee in
rendering services shall only be due and payable once even if such Licensed
Real-Time Thermal Cycler, and repair or replacement component thereof, are
used subsequently in rendering additional services.

     3.2 Currency. All amounts payable hereunder shall be payable in United States
dollars. Any payments due hereunder on Net Sales outside of the United States will be paid to AB in
U.S. Dollars using the New York rate of exchange as quoted in the Wall street Journal for the
market close on the last business Thursday of the month preceding the month in which the Licensed
Product is sold or otherwise disposed of. If such rate of exchange is not so published, the Parties
may agree in writing on a substitute publication. In the event there is no comparable publication,
the applicable exchange rate for such date by the appropriate governmental agency in such country
(outside of the United States) shall apply.

     3.3 Records. Licensee shall keep, and shall require its Affiliates and distributors,
as applicable, to keep, full, true and accurate records containing all particulars necessary to
show the amount payable to AB under this Agreement and to demonstrate Licensee’s (and its
Affiliates and distributors’) compliance with its obligations under this Agreement. Licensee shall
keep records sufficient to show

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

12

 

shipments (model, shipping date, quantity) to each Third-Party
licensee under the second paragraph of Section 2.1, which records shall be supplied to AB as part
of the quarterly royalty report to be delivered in accordance with Section 3.5 herein. Such records
and the supporting data shall be open at all reasonable times, for [***] (and access shall not be
denied thereafter, if reasonably available), to the inspection of an independent certified public
accounting firm retained by AB. Such accounting firm will hold such records and supporting data in
strict confidence, except as necessary to consult with and report to AB and Licensee on Licensee’s
compliance with this Agreement. If in dispute, such records shall be kept until the later of [***]
or the date the dispute is settled. Inspection shall be at AB’s expense, unless the inspector concludes that the amount payable that is stated in a
report is understated by [***] or more, in which case expenses shall be paid by Licensee.

     3.4 Reporting. Licensee shall within [***] after the first of January, April, July
and October deliver (by U.S. mail or nationally recognized courier service with a text copy in
excel format (or other reasonable format requested in writing by AB) of such report transmitted by
email to [***]) to AB a true and accurate royalty accounting report. This report shall be on a
country-by-country basis and shall give such particulars of the business conducted by Licensee in
each country during the preceding three (3) calendar months as are pertinent to accounting under
this Agreement, and shall be in accordance with, and include all information specified in, the
royalty report form attached hereto as Exhibit II, as may be amended by AB in writing from time to
time.

     The correctness and completeness of each report shall be attested to in writing by the
responsible financial officer of Licensee or by Licensee’s external auditor.

     3.5 Payment & Reporting Address. Simultaneously with the delivery of each royalty
account report (as per the schedule set forth in Section 3.4), Licensee shall pay to AB the monies
then due under this Agreement for the period covered by the report. Each report and payment shall
be sent by the due date to the following address:

Applied Biosystems

850 Lincoln Centre Drive

Foster City, California, 94404 U.S.A.

Attention: Director of Licensing

or to any address that AB may advise in writing four (4) days prior to its becoming effective.

     3.6 Interest. If Licensee shall fail to pay any amount owing under this Agreement by
the due date, the amount owed shall bear interest at [***] from the due date until paid, provided,
however, that if this interest rate is held to be unenforceable for any reason, the interest rate
shall be the maximum rate allowed by law at the time the payment is due.

     3.7 Payment Default. Failure of Licensee to pay any amount specified under
this Agreement within thirty (30) days after the due date will allow AB to automatically terminate this
Agreement under Section 6.5.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

13

 

     3.8 [***] acknowledges and agrees that [***]. In particular, [***], and also [***].

     3.9 Acknowledgment. Licensee acknowledges that, until the date of last of the Valid
Claims of the Category I Real-Time Rights (or other applicable Real-Time Apparatus Patent Rights to
the extent such other Real-Time Apparatus Patent Rights also cover such apparatus), an apparatus
for conducting nucleic acid amplification reactions which apparatus is capable of alternately
heating and/or cooling samples contained in one or more reaction vessels and which apparatus is further capable of detecting reaction products
during the amplification reactions without opening the one or more reaction vessels (irrespective
of any hardware or software control or operational functionalities used in connection with the
apparatus for enabling or disabling selected functionalities of the apparatus) is covered by the
Real-Time Apparatus Patent Rights and is within the definition of Licensed Real-Time Thermal
Cycler. The foregoing shall not limit the definition of Licensed Real-Time Thermal Cycler.

     Without limiting the foregoing, the following products have the hardware capability of
conducting real-time PCR analysis (irrespective of any instrument control or operational hardware
or software used in connection with the instrument is installed on such instrument or whether such
software is enabled or disabled) and are therefore within the scope of the Valid Claims of the
Real-Time Apparatus Patents and subject to the royalty obligations hereunder, subject to Section
3.8, as a Licensed Real-Time Thermal Cycler: (a) Licensee’s Open ArrayTM Genotyping
System (regardless of whatever other names under such instrument is now or in future sold and
whether sold or promoted solely for one or for both Genotyping or Gene Expression applications);
and (b) any other Licensee instrument (regardless of whether such instrument is sold assembled or
sold in separate components, such as a Reader and a separate thermal cycler that can be coupled to
such Reader, that are promoted for assembly or use together) that runs reactions on the Open
ArrayTM platform that provides or is adapted to provide functionality for substantially
contemporaneous sample amplification and detection of such amplification products. Without limiting
the foregoing, if after the Effective Date, Licensee sells, transfers, licenses or leases
instrument component or module (whether hardware or software) that confers the capability to
perform real-time amplification and detection (as described above) to a customer that had purchased
an instrument without such capability before the Effective Date which instrument (with such added
capability), if sold after the Effective Date, would be deemed a Licensed Real-Time Thermal Cycler
then such transaction with respect to such component or module shall, as of the date of such
transaction, be treated in the same manner as a sale or transfer that is not at arm’s-length (as
per Section 1.21 (Net Sales) of a Real-Time Thermal Cycler and shall be subject to royalties (at
the rate in Section 3.1(b)(i) herein) calculated on the Average Net Sales Price of a complete
Real-Time Thermal Cycler system (including, without limitation, all modules, components, software and computers therein).

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

14

 

     3.10 Challenges. Without limiting Section 6.7 herein, if Licensee, directly or
indirectly, challenges or aids a third party in challenging the validity, enforceability or
priority (whether by or through a declaratory judgment action, interference, reexamination,
opposition, nullity or other action or proceeding) of any of the Licensed Patent Rights (in whole
or in part) or participates in, or supports in any way, any such action or proceeding with respect
thereto (each of the foregoing a “Challenge”), [***]. For the purposes of this Section 3.10, [***].
This Section 3.10 shall not apply with respect to [***].

     4. [***]

     4.1 [***]. Within thirty (30) days after the Effective Date
Licensee shall submit to AB a [***] that conforms with [***] herein that shall detail
(and that Licensee represents and warrants is accurate in all
respects) all of the [***] that, [***] (such [***]). Subject to the following,
[***]. Although such [***] shall be
[***], Licensee shall have the right to [***] for
so long as Licensee remains in good-standing under this Agreement and
does not materially breach this Agreement or otherwise engage in
conduct that would trigger AB’s right to terminate this Agreement. Such
[***] shall be waived upon
expiration of this Agreement (provided that for the term of the
Agreement Licensee remained in good-standing under neither materially
breached this Agreement nor otherwise engage in conduct that would
trigger AB’s right to terminate this Agreement. The [***] shall be
[***]. The foregoing will not limit Licensee’s obligations [***].

     4.2 Notices to Past Customers. Licensee at its cost shall use reasonable efforts to
send to the original end-user customers of the Licensed Real-Time Thermal Cyclers that are the
subject of Section 4.1, license notices in accord with Section 5.1 with a means reasonably
satisfactory to AB to relate each such notice to the appropriate Licensed Real-Time Thermal Cycler.
Such notices shall limit the end-user’s rights to use within the Fields in a manner consistent with
this Agreement. Any such Licensed Real-Time Thermal Cycler not having such a license notice within
one hundred and eighty (180) days after the Effective Date of this Agreement shall cease to be a
Licensed Real-Time Thermal Cycler. Any of Licensee’s costs of enforcing such field limitations
shall be borne by Licensee.

     5. License Notice

     5.1 Notice. Licensee agrees to include prominently in the front of the user’s manual,
and affix a corresponding label statement to the corresponding product, for each Licensed Real-Time
Thermal Cycler sold worldwide, and for no other Thermal Cycler or Temperature Cycling Instrument, a
Notice as specified from time to time by Applera.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

15

 

Unless and until Applera reasonably instructs differently, the Notice shall be:

	 	(a)	 	For a Licensed Real-Time Thermal Cycler sold as an integrated
system containing at least a real time detector and a Thermal Cycler:

NOTICE TO PURCHASER

This real-time thermal cycler is licensed under U.S. Patent No. 6,814,934 and corresponding claims
in any foreign counterpart patent thereof owned by Applera Corporation, and data analysis software
for analyzing data generated from such real-time thermal cycler is licensed under U.S. Patent Nos.
7,188,030, 7,272,506, and 7,228,237 and corresponding claims in any foreign counterpart patent
thereof owned by Applera Corporation, in all cases solely for research and development and all
other applied fields except human in vitro diagnostics and in all cases solely for use with Open
ArrayTM through-hole array products that are licensed under U.S. Patent No. 6,086,825, 6,090,251, and
6,451,188 and corresponding claims in any foreign counterpart patent thereof owned by Applera
Corporation. No rights are conveyed expressly, by implication or estoppel to any patents on
real-time methods, including but not limited to 5’ nuclease assays, or to any patent claiming a
reagent or kit with the exception of U.S. Patent No. 5,928,907, claims 12-28, covering real-time
methods for instrumentation using a passive reference. This real-time thermal cycler may be covered
by at least one of U.S. Patent No. 6,105,674, 5,333,675, 5,656,493, 5,038,852, 5,475,610 (claims
160-163 and 167), 5,602,756, 6,703,236 (claims 1-6), and 7,238,517. For further information on
purchasing additional rights, contact the Director of Licensing at Applied Biosystems, 850 Lincoln
Centre Drive, Foster City, California, 94404, USA.

	 	(b)	 	For Arrays:

NOTICE
TO PURCHASER

This Open ArrayTM through-hole array product is licensed under U.S. Patent No.
6,086,825, 6,090,251, and 6,451,188 and corresponding claims in any foreign counterpart patent
thereof owned by Applera Corporation solely for research and development and all other applied
fields except human in vitro diagnostics and where interrogation of such array product requires
thermal cycling of the samples such array product contains then this array product is licensed
solely for use with thermal cyclers (whether real-time or basis thermal cyclers) that are either
not be covered by patents owned by Applera Corporation or, if covered by such patents, then such
thermal cyclers must be purchased from a licensed supplier of such thermal cyclers. No rights are
conveyed expressly, by implication or estoppel to any other patent claim (such as apparatus or
system claims of U.S. Patent No. 6,814,934). No rights are conveyed expressly, by implication or
estoppel to any patents on real-time methods, including but not limited to 5’ nuclease assays, or
to any patent claiming a reagent or kit with the exception of U.S. Patent No. 5,928,907, claims
12-28, covering real-time methods for instrumentation using a passive reference.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

16

 

For further
information on purchasing additional rights, contact the Director of Licensing at Applied
Biosystems, 850 Lincoln Centre Drive, Foster City, California, 94404, USA.

	 	(c)	 	For Sample Loaders:

NOTICE TO PURCHASER

This sample loader and methods of loading is licensed under apparatus and method claims of U.S.
Patent 7,211,148, 6,849,127, and 6,579,367 and method claims of U.S. Patent Application No.
2005/022675 and 2005/0226782 and corresponding claims in any foreign counterpart patent thereof
owned by Applera Corporation solely for research and development and all other applied fields
except human in vitro diagnostics and in all cases solely for use with Open ArrayTM
through-hole array products that are licensed under U.S. Patent No. 6,086,825, 6,090,251, and
6,451,188 and corresponding claims in any foreign counterpart patent thereof owned by Applera
Corporation. No rights are conveyed expressly, by implication or estoppel to any other patent claim
(such as apparatus or system claims of U.S. Patent No. 6,814,934). For further information on purchasing
additional rights, contact the Director of Licensing at Applied Biosystems, 850 Lincoln Centre
Drive, Foster City, California, 94404, USA.

     6. Term and Termination

     6.1 Termination; Expiration. This Agreement (and the licenses and royalty obligations
hereunder), unless sooner terminated pursuant to Article 6 herein, shall continue until the date of
expiration of the last-to-expire of the patents under which rights are granted in this Agreement.

     6.2 Termination by Licensee At Will. Licensee may terminate this Agreement for any
reason by giving written notice to AB and ceasing to label, advertise or promote any instruments as
Licensed Real-Time Thermal Cyclers. Such termination shall be effective thirty (30) days after said
notice or cessation, whichever is later.

     6.3 Insolvency. This Agreement shall terminate upon (i) an adjudication of Licensee as
bankrupt or insolvent, or Licensee’s admission in writing of its inability to pay its obligations
as they mature; (ii) an assignment by Licensee for the benefit of creditors; (iii) the appointment
of, or Licensee’s applying for or consenting to the appointment of, a receiver, trustee or similar
officer for a substantial part of its property; or (iv) the institution of or any act of Licensee
instituting any bankruptcy, insolvency arrangement, or similar proceeding. This Agreement shall
terminate immediately and automatically without any requirement of notice or any other action by AB
upon the occurrence of any of the following unless cured by Licensee within a reasonable period
following such process: the issuance or levy of any judgment, writ, warrant or attachment or
execution or similar process against a substantial part of the property of Licensee. A termination
pursuant to this Section 6.3 shall be deemed to have occurred immediately prior to the events set forth in this Section triggering such termination.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

17

 

     6.4 Change of Control. AB may terminate this Agreement immediately on notice upon any
change in the ownership or control of Licensee. For such purposes, a “change in ownership or
control” shall mean that, [***] of the voting stock of Licensee becomes subject to the ownership or
control of a person or entity or any related group of persons or entities acting in concert, which
persons or entities did not own or control such portion of voting stock on the Effective Date
hereof. AB shall have the same right to terminate upon any transfer of [***] of the assets of
Licensee. Notwithstanding the foregoing, a change in ownership or control shall not be deemed to
have occurred as a result of the acquisition of [***] of the voting stock of Licensee by purely
financial investors (who are not operating business entities) in an initial public offering of
Licensee’s voting stock on a national stock exchange.

     6.5 Breach and Cure. In the event Licensee materially breaches this Agreement, then
without limiting AB’s legal or equitable remedies, this Agreement shall terminate automatically
[***] after AB provides notice thereof to Licensee provided that Licensee fails to cure such
material breach within such [***] period. Any failure by Licensee to perform any payment obligation as and when due under this Agreement shall be
deemed a material breach of this Agreement.

     6.6 Survival of Certain Rights. Subject to Section 6.7, termination or expiration of
this Agreement for any reason shall be without prejudice to any rights that shall have accrued to
the benefit of a Party prior to or on account of such termination or expiration. All remedies
provided hereunder or elsewhere are cumulative. Licensee’s obligations to report and pay royalties
as to activities under this Agreement, and AB’s right to audit under Section 3.4, shall survive
termination or expiration. Without limiting the survival of other Sections herein that expressly
survive termination or expiration, Articles 1, 6, 7, 8, 10 and 11 shall survive any termination or
expiration of this Agreement. Notwithstanding anything herein to the contrary, upon expiration or
termination of this Agreement, all licenses and rights granted to Licensee herein shall terminate.

     6.7 [***]. AB shall have the right to terminate this Agreement in all countries in the
Territory where such termination is legally permissible and enforceable under applicable law,
effective immediately upon [***] in the event that [***]. Without limiting the foregoing or
Licensee’s royalty obligations hereunder, [***]. This Section 6.7 shall not apply with respect to
[***] to the extent Licensee is [***] provided that Licensee [***].

     6.8 Court Decision. Should a court or administrative body find AB liable or culpable
due to Licensee’s manufacture of any Licensed Products or components thereof, covered by this
Agreement or due to the sale or distribution of such products by Licensee, its or its distributors,
ABI shall have the right to terminate this Agreement immediately upon written notice without Licensee having a right to cure.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

18

 

     7. Confidentiality — Publicity

     7.1 Advertising. Unless and until AB reasonably instructs differently, in
advertisements, catalogs, brochures, sales literature and promotional literature for Licensed
Real-Time Thermal Cyclers, Licensee, Affiliates and distributors shall bear licensing statements
prominently displayed that are consistent with the notice requirements set forth in Article 5
herein.

     7.2 Changes to Certain References. With respect to Licensee’s distribution of any
written information to Third Parties, including but not limited to advertising, brochures,
catalogs, promotional and sales material, and public relations material, AB shall have the right to
require changes regarding references to, or descriptions of: Applera, Applied Biosystems, the
patents under which rights are granted in this Agreement or this Agreement. Licensee agrees to
comply with AB’s reasonable requirements.

     7.3 Confidentiality. Except as provided in Sections 7.1 and 7.2, Licensee shall
maintain the confidentiality of the provisions of this Agreement and shall refrain from disclosing the terms of this Agreement without the prior written consent of AB, except to
the extent such disclosure is required under applicable law or regulation provided that (i) such
disclosure is limited to the information that must be so disclosed under applicable law or
regulation; and (ii) Licensee notifies AB of such requirement and the text of the proposed
disclosure at least (30) days before such proposed disclosure is required or in any event as far in
advance of the date of disclosure as is reasonably possible and allows ABG a reasonable opportunity
to comment upon, object or seek a protective order or other injunctive relief to prevent or limit
such disclosure. Licensee shall be permitted to issue a press release, reasonably acceptable to AB,
that announces the grant of the license hereunder.

     8. Compliance and Quality

     8.1 Compliance With Applicable Laws. In the exercise of any and all rights and in
performance hereunder, it shall be the duty of Licensee, not AB, to comply fully with all
applicable laws, regulations and ordinances and to obtain and keep in effect licenses, permits and
other governmental approvals (federal, state or local) necessary or appropriate to carry on
activities hereunder.

     8.2 Non-Endorsement. AB does not approve or endorse any Licensed Product of Licensee
in any way or for any purpose, including for real-time PCR. Quality and quality control with
respect to suitability for real-time PCR, according to standards and requirements that may exist in
the marketplace from time to time, are the sole responsibility of Licensee.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

19

 

     9. Assignment

     9.1 Non-Assignability by Licensee. This Agreement (and the licenses granted hereunder)
is personal in nature. This Agreement and the rights hereunder are non-delegable and non-assignable
by the Licensee. Without limiting the foregoing, this Agreement cannot be assumed or assumed and
assigned by a trustee or debtor-in-possession in bankruptcy as set forth in Section 365(c)(1) of
the United States Bankruptcy Code or any similar provisions of state or federal law. This Agreement
shall not be assigned or transferred by Licensee (including without limitation by any attempted
assignment or transfer that would arise from a sale or transfer of Licensee’s business or assets or
acquisition of all of the equity or any change of control of Licensee) except as permitted under
this Section 9.1. Any such assignment or transfer or attempted assignment or transfer (except as
permitted under this Section 9.1) shall be void ab initio and result in the immediate and automatic
termination of this Agreement without any requirement of notice or other action by AB.

     9.2 Assignability by ABI. Notwithstanding the foregoing, AB may assign or transfer
all or any part of its rights and obligations under this Agreement at any time without the consent
of Licensee. Licensee agrees to execute such further acknowledgements or other instruments as AB
may reasonably request in connection with such assignment.

     10. Negation of Warranties and Indemnity

     10.1 Disclaimer of Certain Representations, Warranties and Covenants. Nothing in this
Agreement shall be construed as: a) a warranty or representation by AB as to the validity,
enforceability or scope of any patent; b) a warranty or representation that anything made, used,
sold, or otherwise disposed of pursuant to this Agreement is or will be free from infringement of
patents or other intangible rights of third parties; or a warranty or representation that the
practice (or making, using, selling, offering, importing or transferring products licensed under
the Real-Time Apparatus Patent Rights) under the Real-Time Apparatus Patent Rights is or will be
free from infringement of patents of Third Parties; c) an obligation by AB to file any patent
application, secure any patent, or maintain any patent in force; d) any obligations of AB to
prosecute, enforce or sublicense its patent rights to (or against) third party infringers; e)
except as expressly set forth herein, conferring upon Licensee the right to use in advertising,
publicity or otherwise, in any form, the name of, or any trademark or trade name of, AB or any of
its affiliates; f) granting by implication, estoppel, or otherwise, any license, immunity or rights
under patents, trade secrets, know-how, copyrights, or other intangible rights of AB other than the
express licenses granted under the Real-Time Apparatus Patent Rights pursuant to Article 2
regardless of whether such patent is dominant or subordinate to the patents under which rights are
granted in this Agreement; g) an obligation to furnish any know-how; or h) creating any agency,
partnership, joint venture or similar relationship between AB and Licensee. Without limiting the
foregoing, nothing herein shall be construed to convey to Licensee any rights, licenses or
immunities from suit under any of the Licensed Patent Rights outside of the Field.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

20

 

     10.2 Disclaimer of Express or Implied Warranties; Consequential Damages. EXCEPT AS
EXPRESSLY STATED HEREIN, AB MAKES NO EXPRESS OR IMPLIED WARRANTIES OF ANY KIND (INCLUDING, WITHOUT
LIMITATION, ANY WARRANTY OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE OR NONINFRINGEMENT)
WITH RESPECT TO THE REAL-TIME APPARATUS PATENT RIGHTS, THE PRACTICE OF THE LICENSE HEREUNDER OR THE
MAKING, USING OR SELLING OF PRODUCTS LICENSED HEREUNDER. IN NO EVENT SHALL AB BE LIABLE FOR ANY
SPECIAL, PUNITIVE, INCIDENTAL OR CONSEQUENTIAL DAMAGES (INCLUDING, WITHOUT LIMITATION LOST
PROFITS).

     10.3 Indemnity. Licensee shall assume full responsibility for its operation under the
patents under which rights are granted in this Agreement, the manufacture of Licensed Real-Time
Thermal Cyclers and the use thereof and shall defend, indemnify and hold AB harmless from and
against all liability, demands, damages, expenses (including attorneys’ fees) and losses arising or
resulting from any and all third party claims (including, without limitation, any claims for
infringement or misappropriation of third party intellectual property rights, death, personal
injury, illness, property damage or any other injury or damage, including any damages or expenses
arising in connection with state or federal regulatory action) resulting from or arising in connection with
Licensee’s exercise of the licenses hereunder or Licensee’s, its agents, Affiliates or distributors
commercialization or promotion of any product licensed hereunder.

     10.4 Representation of Ownership. AB represents and warrants to Licensee that AB is
the sole and exclusive owner of all right, title and interest in the Licensed Patent Rights, and
such Licensed Patent Rights are not subject to any encumbrance, lien or claim of ownership by any
third party that would encumber the rights granted to Licensee in this Agreement

     11. General

     11.1 Entire Agreement. This Agreement together with the Collaboration Agreement
constitutes the entire agreement between the Parties as to the subject matter hereof, and all prior
negotiations, representations, agreements and understandings are merged into, extinguished by and
completely expressed by it. The TCSA shall remain in effect in accordance with the terms and
conditions therein. This Agreement may be modified or amended only by a writing executed by
authorized officers of each of the Parties.

     11.2 Notices. Any notice required or permitted to be given by this Agreement shall be
given by postpaid, first class, registered or certified mail, or by overnight courier or facsimile,
properly addressed to the other Party at the respective address as shown

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

21

 

below:

If to AB:

Applied Biosystems

850 Lincoln Centre Drive

Foster City, California, U.S.A. 94404

Attention: Director of Licensing

Fax No.: (650) 638-6071

If to Licensee:

Biotrove, Inc.

12 Gill Street,

Woburn, MA 01801

Attn: President & CEO

Fax No: (781) 721 3601

     Either Party may change its address by providing notice to the other. A notice shall be deemed
given four (4) full business days after the day of mailing, or one full day after the date of
delivery to the courier, or the date of facsimile transmission, as the case may be.

     11.3 Governing Law and Venue. This Agreement shall be deemed made in the
State of California, and it shall be construed and enforced in accordance with the law of the
State of California. The Parties agree that the exclusive jurisdiction and venue for any dispute or
controversy arising from this Agreement shall be in the state or federal courts in California.

     11.4 Severability. If any provision hereof should be held invalid, illegal or
unenforceable in any respect, then, to the fullest extent permitted by applicable law: (a) all
other provisions hereof shall remain in full force and effect and shall be liberally construed in
order to carry out the intent of the Parties as nearly as may be possible, and (b) the Parties
agree to negotiate in good faith a provision, in replacement of the provision held invalid, illegal
or unenforceable, that is consistent with applicable law and accomplishes, as nearly as possible,
the original intention of the Parties with respect thereto. To the fullest extent permitted by
applicable law, each Party hereby waives any provision of law that would render any provision
hereof prohibited or unenforceable in any respect.

     11.5 Construction. Except where the context otherwise requires, wherever used, the
singular shall include the plural and the word “or” is used in the inclusive sense. The captions
and headings of this Agreement are for convenience of reference only and in no way define,
describe, extend or limit the scope or intent of this Agreement or the intent of any provision
contained in this Agreement. Each Party hereto and its counsel

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

22

 

have participated fully in the
review and negotiation of this Agreement. Both parties have participated equally in the formation
of this Agreement; the language of this Agreement shall not be presumptively construed against
either Party.

     11.6 Independent Contractors. It is expressly agreed that the Parties, shall be
independent contractors and that the relationship between the Parties shall not constitute a
partnership, joint venture or agency.

     11.7 Waiver. The waiver by either Party hereto of any right hereunder or the failure
to perform or a breach by the other Party shall not be deemed a waiver of any other right hereunder
or of any other breach or failure by said other Party whether of a similar nature or otherwise.

     11.8 Execution in Counterparts. This Agreement may be executed (including via
facsimile or other reliable electronic means of transmitting signed copies such as via e-mail of
signed copies that are scanned as .pdf file attachments) in two (2) or more counterparts, each of
which shall be deemed an original, but all of which together shall constitute one and the same
instrument.

     11.9 No Third Party Beneficiary. The representations, warranties, covenants, rights
and obligations set forth in this Agreement are for the sole benefit of the Parties and their
successors and permitted assigns, and they shall not be construed as conferring any rights on any
third parties.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

23

 

     IN WITNESS WHEREOF, the Parties hereto have duly executed this AGREEMENT as of the Effective
Date.

	 	 	 	 	 	 	 	 	 	 	 
	By

	 	/s/ Mark P. Stevenson
 

	 	 	 	By
	 	/s/ Albert A Luderer
 

	 	 
	Name:

	 	Mark P. Stevenson
	 	 	 	Name:
	 	Albert A. Luderer	 	 
	Title:

	 	Executive Vice President

Applied Biosystems
	 	 	 	Title:
	 	President & Chief Executive

Officer	 	 

	 	 	 	 	 
	Approve for Signature	 	 
	By:

	 	/s/ Andrew T. Karnakis	 	 
	 

	 	 	 	 
	Name:

	 	Andrew T. Karnakis	 	 
	Date:

	 	11/9/07	 	 
	Applied Biosystems Legal Department	 	 

	 	 	 	 	 
	Approve for Signature	 	 
	By:

	 	/s/ Todd Lee	 	 
	 

	 	 	 	 
	Name:

	 	Todd Lee	 	 
	Date:

	 	11/9/07	 	 
	Applied Biosystems Finance Department	 	 

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

24

 

EXHIBIT I

BT Open Array products commercialized and subject to this Agreement are each formed as a generally
planar substrate having opposing surfaces into which a multiplicity of through-holes are patterned
and extend through the substrate surfaces. Through-holes are sized so as to retain desired fluid
volumes introduced and retained therein. Fluid retention within each through-hole results at least
in part from one of: surface tension, capillary force, or use of selected coating chemistries such
as hydrophilic and hydrophobic coatings. Each through-hole may serve as a discrete low-volume
reaction chamber when filled with an appropriate sample and reaction chemistries. BT Open Arrays
may be adapted for use in genetic, genomic, proteomic, biochemical, or cellular sample analysis.
BT Open Array products may also serve as a carrier or holder for discrete sample localization and
distribution whereby through-holes are filled with selected samples, processed as desired, and such
samples later withdrawn for use in other processes or analysis protocols.

Exemplary OpenArrayTM Product

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

25

 

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

26

 

EXHIBIT II

Summary Royalty/Fee Report

REAL-TIME INSTRUMENT PATENT LICENSE AGREEMENT

for the Period:                     to                      for Sales in the country of                     

Licensee:                                          Effective Date:                      Royalty/Fee Rate                    

	o	 	Check here if there were no sales for this period.

	 	 	 	 	 
	 	 	 	 	 
	 	 	 	 	 
	 	 	 	 	 
	 	 	 	 	 
	 	 	 	 	 
	 	 	 	 	 
	 	 	 	 	 
	 	 	 	 	 

I hereby certify the information set forth above is correct and complete with respect to the
amounts due under this License Agreement.

By                                                 Title                            
                     Date                                                

Name (please print)                                                                  

Applera Corporation Send report to: Director of Licensing, Applied Biosystems, 850 Lincoln Centre
Drive, Foster City, CA 94404 USA with an Excel-compatible copy sent via email to [***]

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

27exv10w6

 

Exhibit 10.6

THERMAL CYCLER SUPPLIER

AGREEMENT

     This Agreement, is entered into as of December 22, 2004, (the “Effective Date”) by and between
Applera Corporation, a corporation of the State of Delaware, through its Applied Biosystems Group,
having an office at 850 Lincoln Centre Drive, Foster City, California 94404 (collectively, “ABI”),
and BioTrove, Inc., having an office at 12 Gill Street, Suite 4000, Woburn, Massachusetts 01801
(“Thermal Cycler Supplier”) hereafter each a
“Party,” collectively referred to as “the Parties.”

     WHEREAS, ABI has the power to convey certain limited rights for research and in certain other
fields under U.S. Patents Nos. 4,683,195, 4,683,202 and 4,965,188, describing and claiming gene
amplification processes including, among others, a process known as the polymerase chain reaction
(“PCR”) process, which are owned by Roche Molecular Systems, Inc., and amplification process claims
in corresponding counterpart patents and patent applications in other countries, owned by F.
Hoffmann-La Roche Ltd (both of which are referred to collectively herein as “Roche”).

     WHEREAS, ABI offers to PCR users certain commercial and non-commercial license rights under
these patents and patent applications for the automated performance of the PCR process for research
and certain other fields that include, inter alia, an up-front fee component based
on the capacity of thermal cyclers used to perform the process.

     WHEREAS, ABI offers to thermal cycler suppliers license rights under those patents, namely, an
authorization to distribute their instruments with a label conveying to their customers rights
under the up-front fee component of the PCR licenses described above, and the right to promote
their instruments as “Authorized Thermal Cyclers” (as defined below) for PCR.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406
of the Securities Act.

 

 

     WHEREAS, ABI owns U.S. Patents Nos. 5,038,852 and 5,333,675, describing and claiming automated
apparatus suitable for performing the PCR process, and apparatus claims in corresponding
counterpart patents and patent applications in other countries.

     WHEREAS, ABI owns U.S. Patent Nos. 5,475,610 and 6,703,236 B2, describing and claiming
improvements in thermal cycling apparatus for PCR, including a pressing heated cover, and
corresponding counterpart patents and patent applications in other countries.

     WHEREAS, ABI owns U.S. Patent No. 5,656,493, describing and claiming an amplification system
comprising PCR reagents and a thermal cycler programmed to carry out a PCR protocol.

     WHEREAS, ABI owns patents and applications outside the U.S. that claim priority of U.S.
application Serial No. 899,061 (filed in 1986) and that claim automated performance of the PCR
process using certain programmed thermal cyclers.

     WHEREAS, ABI offers to PCR users license rights for research and certain other fields under
its U.S. Patent No. 5,656,493 amplification system claims and under the automated method claims of
its foreign patents and applications claiming priority of U.S. application Serial No. 899,061
respectively, and offers to thermal cycler suppliers the right to pass such rights to their thermal
cycler customers.

     WHEREAS, ABI has offered to Thermal Cycler Supplier the above Roche process rights claimed by
U.S. Patents Nos. 4,683,195; 4,683,202 and 4,965,188 and corresponding amplification process claims
in patents and patent applications in other countries claiming
priority of any of them, and the ABI systems, apparatus, automated method and pressing heated
cover rights under the other patents and patent applications enumerated above separately or in
combinations, and

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406
of the Securities Act.

2

 

     WHEREAS, Thermal Cycler Supplier has requested all the foregoing license rights in
combination. No other license rights (including, without limitation, any rights under patents and
applications of Applera Corporation or Roche that cover apparatus, methods, or reagents useful for
real-time detection or for homogeneous assay) are requested by Thermal Cycler Supplier or are
granted by ABI to Thermal Cycler Supplier.

     NOW, THEREFORE, the Parties agree as follows:

     1. Definitions

     For the purpose of this Agreement the terms set forth hereinafter shall be defined as follows:

          1.1 “Affiliate” shall mean, with respect to a Party, any Person that, directly or indirectly
through one or more intermediaries, controls, is controlled by, or is under common control with,
such Person; where “control” refers to the ownership, directly or indirectly, of at least fifty
percent (50%) (or maximum amount permitted by applicable law) of the voting securities or other
ownership interests of such a Person or Party. As used herein, the term “Person” shall mean an
individual, corporation, trust, partnership, limited liability company, joint venture,
unincorporated organization, government agency or any agency or political subdivision thereof, or
other entity.

          1.2 “Amplification Patent Rights” shall mean the nucleic acid amplification processes,
including particularly the PCR process, covered by Valid Claims of United States Patents Nos.
4,683,195, 4,683,202 and 4,965,188; and any corresponding amplification process

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406
of the Securities Act.

3

 

Valid Claim in
patents and patent applications in other countries claiming priority of any of them. Amplification
Patent Rights include rights only under the foregoing identified Roche
patents and applications. They do not include rights, expressly or by implication, under any
other Roche or ABI patent or application, or to any claim to reagents, apparatus, or a system of
reagents and apparatus.

          1.3 “Amplification System Patent Rights” shall mean Valid Claims of U.S. Patent No. 5,656,493,
which describes and claims an amplification system comprising PCR reagents and a thermal cycler
programmed to carry out a PCR protocol. Amplification System Patent Rights include rights only
under the identified ABI patent. They do not include rights, expressly or by implication, under
any other Roche or ABI patent or application, or to any claim to reagents, apparatus, or an
amplification process, even if that process is a result of the natural and intended operation of
the system.

          1.4 “Authorized Reagent” shall mean a DNA polymerase whose use in performance of the PCR
process is covered by the running-royalty component of a PCR process license under the
Amplification Patent Rights for internal research and development. The running-royalty component of
that license may be obtained through the purchase of reagents bearing a valid label conveying the
running-royalty component; alternatively, it may be purchased from ABI. Other PCR process licenses
in the Fields also require use of Authorized Reagents.

          1.5 “Authorized Thermal Cycler” shall mean a Thermal Cycler or Temperature Cycling Instrument
whose use in automated performance of the PCR process is covered by the automated-capacity,
up-front fee component of a PCR process license under the Amplification Patent Rights for internal
research and development. The up-front fee component

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406
of the Securities Act.

4

 

of that license may be obtained through the
purchase of a Thermal Cycler or Temperature Cycling Instrument bearing a valid label conveying the
up-front component; alternatively, it may
be purchased from ABI. Other PCR process licenses in the Fields also require use of an
instrument whose use is similarly covered, i.e., an “Authorized Thermal Cycler.”

          1.6 “Automated Method Patent Rights” shall mean automated method Valid Claims in ABI’s patents
and applications outside the U.S. that claim priority of U.S. application Serial No. 899,061.
Automated Method Patent Rights include rights only under the identified ABI patents and
applications. They do not include rights, expressly or by implication, under any other Roche or
ABI patent or application, or to any claim to reagents, apparatus or system of reagents and
apparatus.

          1.7 “Fields” shall mean research and development, quality assurance or control, environmental
testing, plant diagnostics, identity testing (other than parentage testing for humans) and
forensics. The term Fields specifically excludes human and veterinary diagnostics.

          1.8 “Net Sales Price” shall mean

	 	(a)	 	the gross invoice price for an arm’s-length
sale of royalty-bearing (pursuant to Article 3 herein) product to an
unrelated, third-party end user by Thermal Cycler Supplier, its
Affiliates or distributors, minus the following deductions where
applicable: (i) discounts allowed and taken, in amounts customary in
the trade, and (ii) sales and/or use taxes and/or duties for particular
sales. No allowance or deduction shall be made for commissions or
collections, by whatever name known.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406
of the Securities Act.

5

 

     For the purposes of this definition, an arms-length sale to an unrelated third-party end-user
is one in which (i) such end-user does not enjoy any special course of dealing with Thermal Cycler
Supplier, its Affiliates or distributors, (ii) such end-user does not provide any
nonmonetary consideration for a royalty bearing product (under Article 3 herein), and (iii)
the gross invoice price in such sale of product is not affected by any other purchase of goods or
services or any license of intellectual property (other than the end-user rights conveyed in
Article 2 herein).

	 	(b)	 	Net Sales Price shall be calculated as set
forth in this Section 1.8(b) in the case of a transfer (e.g., sale,
loan, lease, consignment, gift or distribution) of royalty-bearing
products (under Article 3 herein) not within the scope of Section
1.8(a), including, without limiting the foregoing, in the event of any
transfer (i) to an end user that is Thermal Cycler Supplier itself, an
Affiliate or a distributor, (ii) to an end user that enjoys a special
course of dealing with one or more of the Thermal Cycler Supplier, an
Affiliate or distributor, or (iii) under a reagent rental agreement.
Net Sales Price for transfer of royalty-bearing products that are
subject to this Section 1.8(b) shall equal the Average Net Sales Price
(as such term is defined below). As used herein the term “Average Net
Sales Price” shall mean

	 	(A)	 	the average Net Sales Price
calculated for sales under Section 1.8(a) over the one-year
period preceding the date of such transfer that is within this
Section 1.8(b) of the same type and model of product and in the
same country as such transferee;

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406
of the Securities Act.

6

 

	 	(B)	 	if such one-year average Net
Sales Price data is unavailable, then the Thermal Cycler
Supplier’s, Affiliate’s or distributor’s published list price of
such product for end-users in the same country as the
transferee, or
	 
	 	(C)	 	if data is unavailable under part
(A) or (B), then the fair market value (with reference to the
sales price of comparable products).

               In the event [***].

          1.9 “Pressing Heated Cover Patent Rights” shall mean Valid Claims within claims 160-163 and
167 of U.S. Patent No. 5, 475,610 and Valid Claims within claims 1-6 of U.S. Patent No. 6,703,236
B2, and foreign equivalent Valid Claims of any said claims in other countries. Pressing Heated
Cover Patent Rights include rights only under the identified ABI patents and applications. They do
not include rights under any other claims of said patents and applications. They do not include
rights, expressly or by implication, under any other patent or application of Roche or ABI or
rights to any process, reagents, thermal cycler or system of reagents and a thermal cycler.

          1.10 “Pressing Heated Cover” shall mean a product that but for the licenses granted hereunder
would infringe the Pressing Heated Cover Patent Rights.

          1.11 “Temperature Cycling Instrument” as used in this Agreement, shall mean an instrument,
whether in single or multiple modules, that includes a Thermal Cycler and additional structure for
performing one or more other functions.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406
of the Securities Act.

7

 

          1.12 “Territory” shall mean worldwide.

          1.13 “Thermal Cycler,” as used in this Agreement, shall mean an instrument, whether in single
or multiple modules, that is capable in itself of automatically thermally cycling samples in the
PCR process.

          1.14 “Thermal Cycling Instrument Patent Rights” shall mean Valid Claims of U.S. Patent Nos.
5,038,852 and 5,333,675; and foreign equivalent Valid Claims of any such apparatus claims in other
countries. Thermal Cycling Instrument Patent Rights include rights only under the identified ABI
patents and applications. They do not include rights, expressly or by implication, under any other
ABI or Roche patent claim to reagents, an amplification process or a system of reagents and
apparatus.

          1.15 “Third Party” shall mean a party other than the Parties.

          1.16 “Valid Claim” shall mean a claim of a patent or pending patent application that has not
been held unpatentable, invalid or unenforceable pursuant to a final and unappealable decision of a
court or other applicable administrative agency with appropriate jurisdiction.

     2. Grant

          2.1 Thermal Cycling Instrument Patent Rights and Pressing Heated Cover Patent Rights.
Upon the terms and subject to the exceptions and conditions of this Agreement, ABI grants to
Thermal Cycler Supplier under the Thermal Cycling Instrument Patent Rights and the Pressing Heated
Cover Patent Rights a personal, non-transferable, royalty-bearing, non-exclusive license in the
Fields and in the Territory to make but not have made, to use and to sell Thermal Cyclers,
Temperature Cycling Instruments and add-on and substitute sample blocks to end users solely under
Thermal Cycler Supplier’s name and trademarks but not otherwise to manufacture for, or to sell or
distribute to, thermal cycler suppliers.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406
of the Securities Act.

8

 

     The grant of this Section 2.1 conveys no right or immunity, express or implied, under the
Amplification Patent Rights, the Automated Method Patent Rights or the Amplification System Patent
Rights.

          2.2 Amplification Patent Rights. Upon the terms and subject to the exceptions and
conditions of this Agreement, ABI grants to Thermal Cycler Supplier the following personal,
non-transferable, royalty-bearing, non-exclusive rights in the Territory under the Amplification
Patent Rights:

	 	(a)	 	Thermal Cycler Supplier is hereby authorized to
sell and distribute to end users solely under Thermal Cycler Supplier’s
name and trademarks Thermal Cyclers and Temperature Cycling Instruments
manufactured by Thermal Cycler Supplier, but not otherwise to sell or
distribute to thermal cycler suppliers, with a label conveying to end
users (including Thermal Cycler Supplier itself) in the Fields the
up-front rights of PCR process licenses under the Amplification Patent
Rights as specified in the label set forth in Section 5.1 below, that
is, with an Authorized Thermal Cycler label;
	 
	 	(b)	 	Thermal Cycler Supplier may advertise and
promote Thermal Cyclers and Temperature Cycling Instruments so labeled
as “Authorized Thermal Cyclers for PCR.”

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406
of the Securities Act.

9

 

     The grant of this Section 2.2 conveys no right or immunity, express or implied, under the
Thermal Cycling Instrument Patent Rights, the Amplification System Patent Rights, the Automated
Method Patent Rights or the Pressing Heated Cover Patent Rights.

          2.3 Amplification System Patent Rights and Automated Method Patent Rights. Upon the
terms and subject to the exceptions and conditions of this Agreement, ABI grants to Thermal Cycler
Supplier a personal, non-transferable, royalty-bearing, non-exclusive right under the Amplification
System Patent Rights and the Automated Method Patent Rights to convey to end-user customers
(including Thermal Cycler Supplier itself) of Thermal Cycler Supplier’s Thermal Cyclers and
Temperature Cycling Instruments sold or distributed solely under Thermal Cycler Supplier’s name and
trademarks a non-exclusive license to use the same in the Fields in the Territory. The grant of
this Section 2.3 includes no right or immunity, express or implied, under the Amplification Patent
Rights, Thermal Cycling Instrument Patent Rights or the Pressing Heated Cover Patent Rights.

          2.4 No Implied Rights. Except as expressly provided under Sections 2.1 through 2.3,
no right, immunity, authorization or license is granted, expressly by implication or by estoppel,
for any other purpose, or in any other field. Without limiting the foregoing, no right, immunity,
authorization or license is granted to make, have made, use or sell any polymerase (such as Taq),
amplification reagent or kit; or to perform PCR or nucleic acid amplification that is not fully
licensed under the Amplification Patent Rights. No right,

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406
of the Securities Act.

10

 

immunity, authorization or license is
granted, expressly, by implication, or by estoppel, under any patent or patent application that is
not expressly included in the Amplification Patent Rights, the Amplification System Patent Rights,
the Pressing Heated Cover Patent Rights, the Automated Method Patent Rights or the Thermal Cycling
Instrument Patent Rights. No right, immunity, authorization or license is granted, expressly, by
implication or by estoppel, under patents and applications of Applera Corporation or Roche that
cover apparatus, methods, or reagents for real-time detection (including, without limitation, U.S.
Patents Nos. 5,928,907 and
6,814,934 B1 or Applera’s Japanese Patent No. JP 3136129, European Patent No. EP 0 872 562 Bl,
and claims in Applera’s patents and applications that claim priority of United States patent
application Serial No. 08/968,208 or EP 0 512 334 B1) or for homogeneous assay (including, without
limitation, U.S. Patents Nos. 5,210,015; 5,487,972; 5,538,848, all related to the 5’ nuclease
assay).

          2.5 Exceeding Scope of License. Rights granted to Thermal Cycler Supplier by this
Agreement are personal to Thermal Cycler Supplier alone. Thermal Cycler Supplier shall have no
right to sublicense, assign or otherwise transfer or share its rights hereunder except as set forth
in Section 2.3 of this Agreement. Without limiting other acts or omissions constituting material
breach hereof, any breach of Article 2 (including without limitation, any act, omission or sale by
Thermal Cycler Supplier that infringes or induces infringement of one or more of the patents
licensed hereunder, which act, omission, or sale exceeds the scope of the license set forth in
Section 2.1, including without limitation the field limitations or the prohibition on selling
instruments that bear the trademarks of a party other than those of Thermal Cycler Supplier) by
Thermal Cycler Supplier shall (without limiting any other causes of action ABI or Roche may have)
be deemed a material breach of this Agreement.

          2.6 Sales by Affiliates or Distributors. Notwithstanding the prohibition of Section
2.5, Thermal Cycler Supplier’s rights to sell to end users under the grants of Sections 2.1 through
2.3 include the right to sell through Affiliates (so long as Thermal Cycler Supplier reports and
pays under this Agreement on their behalf) and through distributors of Thermal Cycler Supplier and
such Affiliates, as well as directly.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406
of the Securities Act.

11

 

          2.7 Thermal Cycler Supplier Obligations. The Parties understand and agree that
Thermal Cycler Supplier shall have no obligation to monitor or police its customers’ use of
Authorized Reagents in the performance of PCR. Thermal Cycler Supplier’s obligations under
this Agreement in regard to Authorized Reagents shall be limited to providing the notice as
specified in Sections 5.1 and 5.2. However, Thermal Cycler Supplier agrees not to knowingly
promote, directly or through its distributors or Affiliates, the unlicensed performance of PCR
through the use of reagents which are not Authorized Reagents or, in the Fields, by means of
Thermal Cyclers for which the up-front license fee has not been paid (i.e. a thermal cycler that is
not an Authorized Thermal Cycler). Further, Thermal Cycler Supplier shall not sell thermal cyclers
or thermal cycling instruments of a Third Party that infringe the Thermal Cycling Instrument Patent
Rights or the Pressing Heated Cover Patent Rights.

     3. Fees, Royalties, Records and Reports

          3.1 Fees; Royalties. For the licenses and rights granted under Article 2, Thermal
Cycler Supplier shall pay to ABI:

	 	(a)	 	[***];
	 
	 	(b)	 	for each Thermal Cycler (including all modules
and components) or Temperature Cycling Instrument delivered, invoiced
or otherwise transferred by Thermal Cycler Supplier or an Affiliate
after the Effective Date, [***];

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406
of the Securities Act.

12

 

	 	(c)	 	for each add-on or substitute block delivered,
invoiced or otherwise transferred by Thermal Cycler Supplier or an
Affiliate after the Effective Date, [***];
	 
	 	(d)	 	[***] for each Pressing Heated Cover delivered,
invoiced or otherwise transferred by Thermal Cycler Supplier or an
Affiliate after the Effective Date, irrespective of whether said
Pressing
Heated Cover is transferred separately or included in a larger module
or in a Thermal Cycler or Temperature Cycling Instrument.

     ABI agrees that there shall be only one payment under each of subsections 3.1(b), 3.1(c) and
3.1(d), for each Thermal Cycler or Temperature Cycling Instrument placed as a no-charge “loaner” or
demonstration instrument. Thermal Cycler Supplier shall pay for such an instrument based on the
Average Net Sales Price when it is first put into use as a loaner or demonstration instrument.
However, if any module, or component is subsequently added or substituted, payment under
subsections 3.1(c) and 3.1(d) shall be made for such module or component.

     Payments specified in this Section 3.1(b)-(d) shall be paid as specified in Section 3.4 and
3.5. Each Thermal Cycler and Temperature Cycling Instrument for which those payments are paid shall
be an Authorized Thermal Cycler and shall be so designated pursuant to Article 5 hereof.

          3.2 Currency. All amounts payable hereunder shall be payable in United States
Dollars. Royalties invoiced or received by Thermal Cycler Supplier in currencies other than U.S.
Dollars shall be converted to U.S. Dollars based on the New York rate of exchange as quoted in the
Wall Street Journal for the last business day of the applicable quarter (as per

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406
of the Securities Act.

13

 

Section 3.4 herein)
in which the sale or transfer occurred. If not so published, the Parties may agree on a substitute
publication. In the event there is no comparable publication, the applicable rate for such date by
the appropriate governmental agency in such country shall apply.

          3.3 Maintenance of Records; Audit. Thermal Cycler Supplier shall keep and maintain
(and shall require its Affiliates to keep and maintain) complete and accurate records and in
sufficient detail to enable an independent certified public accountant or auditor retained by
ABI to validate Thermal Cyclers Supplier’s compliance with this Agreement and verify amounts
payable by Thermal Cycler Supplier. To the extent such records are financial in nature or relate
to royalty obligations, such records shall be compiled and maintained in accordance with Generally
Accepted Accounting Principles (“GAAP”). Thermal Cycler Supplier shall keep and maintain such
records and supporting data during the term of this Agreement hereof and for a period of [***]
thereafter. Such records and the supporting data shall be available for inspection and copying,
for a period of [***] (and access shall not be denied thereafter, if reasonably available), during
regular business hours by an independent certified public accountant or auditor retained by ABI.
ABI shall enter into a confidentiality agreement with such accountant or auditor that will require
such accountant or auditor to use such data and records solely for the purposes of verifying
Thermal Cycler Supplier’s compliance with its royalty obligations. Such confidentiality agreement
shall require that such accountant or auditor agrees not to disclose such records or data to any
party other than ABI or Thermal Cycler Supplier. If in dispute, such records shall be kept at
least until the dispute is settled. Inspection and auditing shall be at ABI’s expense, unless the
audit demonstrates that the amount payable that is stated in a report is understated by [***], in
which case Thermal Cycler Supplier shall reimburse ABI for the expense of such audit.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406
of the Securities Act.

14

 

          3.4 Mode of Royalty Payments; Royalty Reports. Thermal Cycler Supplier shall within
thirty (30) days after the first of January, April, July and October

	 	(a)	 	pay ABI royalties due under this Agreement for
each preceding three (3) month period, and
	 
	 	(b)	 	provide ABI with a true and accurate written
royalty report detailing the amount of royalties due for each such
three (3) month
period. Such royalty report shall be on a country-by-country basis
and shall detail for such period

	 	 	 	i            the quantity and
type of Thermal Cycler, Temperature Cycling Instrument
or other products subject to royalty obligations
pursuant to Article 3 herein sold or transferred;
	 
	 	 	 	ii            for sales within
Section 1.8(a) the gross amounts invoiced by Thermal
Cycler Supplier, its Affiliates and distributors on
account of such sales of such Thermal Cycler,
Temperature Cycling Instrument or other royalty-bearing
products, and all deductions (that are permitted
pursuant to the Net Sales Price definition) applied to
such gross receipts, and the Net Sales Price for all
such sales;
	 
	 	 	 	iii            for sales or
transfers within Section 1.8(b) such reports shall
indicate how the royalty obligation was determined, with
sufficient detail to allow ABI to verify the method and
accuracy of such determination.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406
of the Securities Act.

15

 

     Without limiting the foregoing, such royalty reports shall he in accordance with, and include
all information specified in, the royalty report form attached hereto as Appendix A.

     The correctness and completeness of each royalty report shall be attested to in writing by the
responsible financial officer of Thermal Cycler Supplier or by Thermal Cycler Supplier’s external
auditor.

     Each royalty report and payment shall be sent by the due date to the following address:

Applied Biosystems

850 Lincoln Centre Drive

Foster City, California, 94404 U.S.A.

Attention: Director of Licensing

or to any address that ABI may advise in writing.

          3.5 Interest. If Thermal Cycler Supplier shall fail to pay any amount owing under
this Agreement by the due date, the amount owed shall bear interest at [***] from the due date
until paid, provided, however, that if this interest rate is held to be unenforceable for any
reason, the interest rate shall be the maximum rate allowed by law at the time the payment is due.

          3.6 Termination. Failure of Thermal Cycler Supplier to pay any amount specified under
this Agreement within thirty (30) days after the due date will automatically terminate this
Agreement.

          3.7 Expiration of Patent Rights. For the purpose of this Agreement, upon expiration
of [***], at which point [***].

     After expiration [***].

     Royalties [***] shall be due only so long as [***].

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406
of the Securities Act.

16

 

     4. Past Sales and Activities

          4.1 Covenant Not to Assert; Retroactive License. Subject to Section 4.2 herein, in
consideration of the payments as set forth in parts (a) and (b) of this Section 4.1, Prior Sales
shall be deemed to have been licensed pursuant to this Agreement. As used herein, the term “Prior
Sales” shall mean products that were delivered, invoiced, sold or otherwise
transferred, prior to the Effective Date, by Thermal Cycler Supplier solely under Thermal
Cycler Supplier’s own name and trademarks to end-user customers, directly or through its Affiliates
or distributors, which products would be within the scope of the licenses granted pursuant to
Article 2 herein had such products been invoiced, sold or otherwise transferred by Thermal Cycler
Supplier after the Effective Date. Thermal Cycler Supplier shall pay ABI the royalties and other
fees set forth in Section 3.1(b) through 3.1 (d) with respect to Prior Sales according to the
following schedule:

	 	(a)	 	for such products so delivered, invoiced or
otherwise transferred by Thermal Cycler Supplier up to thirty (30) days
before the Effective Date of this Agreement, such sums shall be paid on
the Effective Date, and
	 
	 	(b)	 	for such products so delivered, invoiced or
otherwise transferred by Thermal Cycler Supplier after such thirty (30)
day period but prior to the Effective Date, the royalties and other
fees due under Section 3.1(b)-3.1(d) of this Agreement shall be paid
within fifteen (15) days following the Effective Date.

     In consideration of all such payments Thermal Cyclers and Temperature Cycling Instruments
covered by this section shall be considered Authorized Thermal Cyclers subject to

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the
Commission pursuant to the Company’s application requesting confidential treatment under Rule 406
of the Securities Act.

17

 

the conditions of Section 4.2 and 5.4; and all earlier use of such Thermal Cyclers or
Temperature Cycling Instruments by customers, direct or indirect, of Thermal Cycler Supplier shall
be deemed to have been use of a Thermal Cycler or Temperature Cycling Instrument within the grant
of this Agreement. The payments and obligations of this section do not apply to Thermal Cyclers or
Temperature Cycling Instruments already authorized by PCR users.

          4.2 Notification to End Users. Thermal Cycler Supplier shall send to the original
end-user customers of the Thermal Cyclers or Temperature Cycling Instruments that are the subject
of Section 4.1, Authorized Thermal Cycler notices in accord with Sections 5.1, and 5.2 with a means
reasonably satisfactory to ABI to relate each such notice to the appropriate Thermal Cycler or
Temperature Cycling Instrument. Any such Thermal Cycler or Temperature Cycling Instrument not
having an authorization notice within one-hundred and twenty (120) days after the Effective Date of
this Agreement shall cease to be an Authorized Thermal Cycler unless Thermal Cycler Supplier
establishes to the reasonable satisfaction of ABI that (a) the Thermal Cycler or Temperature
Cycling Instrument falls within Section 4.1 and (b) the Authorized Thermal Cycler notice for the
Thermal Cycler or Temperature Cycling Instrument has not been applied to another instrument.

     5. Authorization Notice

          5.1 Patent Notice. Thermal Cycler Supplier agrees to include prominently in the front
of the user’s manual for each Authorized Thermal Cycler, and for no other Thermal Cycler or
Temperature Cycling Instrument, a notice (“Notice”) as specified from time to time by ABI. Unless
and until ABI reasonably instructs differently, the Notice shall be:

Authorized Thermal Cycler

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

18

 

This instrument, Serial No.                     , is an Authorized Thermal Cycler. Its
purchase price includes the up-front fee component of a license under United
States Patent Nos. 4,683,195, 4,683,202 and 4,965,188, owned by Roche
Molecular Systems, Inc., and under corresponding claims in patents outside
the United States, owned by F. Hoffmann-La Roche Ltd, covering the
Polymerase Chain Reaction (“PCR”) process, to practice the PCR process for
internal research and development using this instrument. The running
royalty component of that license may be purchased from Applied Biosystems
or obtained by purchasing Authorized Reagents. This instrument is also an
Authorized Thermal Cycler for use with applications licenses available from
Applied Biosystems. Its use with Authorized Reagents also provides a
limited PCR license in accordance with the label rights accompanying such
reagents. Purchase of this product does not itself convey to the purchaser
a complete license or right to perform the PCR process. Further information
on purchasing licenses to practice the PCR process may be obtained by
contacting the Director of Licensing at Applied Biosystems, 850 Lincoln
Centre Drive, Foster City, California 94404, USA.

No rights are conveyed expressly, by implication or estoppel to any patents
on real-time methods, including but not limited to 5’ nuclease assays, or to
any patent claiming a reagent or kit.

Applied Biosystems does not guarantee the performance of this instrument.

          5.2 Sample Block User Manuals. If Thermal Cycler Supplier sells add-on or substitute
sample blocks with separate user manuals, the Notice specified in this Section 5.2 shall be in the
user manual for each base unit. Unless and until ABI reasonably instructs differently, the Notice
shall be:

Authorized Thermal Cycler

This base unit, Serial No.                     , in combination with its immediately
attached sample block modules, comprise an Authorized Thermal Cycler. The
purchase price of this base unit includes the up-front fee component of a
license under United States Patent Nos. 4,683,195, 4,683,202 and 4,965,188,
owned by Roche Molecular Systems, Inc., and under corresponding claims in
patents outside the United States, owned by F. Hoffmann-La Roche Ltd,
covering the Polymerase Chain Reaction (“PCR”) process, to practice the PCR
process for internal

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

19

 

research and development using this instrument. The running royalty
component of that license may be purchased from Applied Biosystems or
obtained by purchasing Authorized Reagents. This instrument is also an
Authorized Thermal Cycler for use with applications licenses available from
Applied Biosystems. Its use with Authorized Reagents also provides a
limited PCR license in accordance with the label rights accompanying such
reagents. Purchase of this product does not itself convey to the purchaser
a complete license or right to perform the PCR process. Further information
on purchasing licenses to practice the PCR process may be obtained by
contacting the Director of Licensing at Applied Biosystems, 850 Lincoln
Centre Drive, Foster City, California 94404, USA.

No rights are conveyed expressly, by implication or estoppel to any patents
on real-time methods, including but not limited to 5’ nuclease assays, or to
any patent claiming a reagent or kit.

Applied Biosystems does not guarantee the performance of this instrument.

5.3 Labeling. Thermal Cycler Supplier agrees to affix permanently and prominently to
each complete Thermal Cycler that is an Authorized Thermal Cycler the designation “Authorized
Thermal Cycler”, its Serial Number and a direction to consult the user’s manual for license
information.

5.4 Transfer without Authorization Notice. Thermal Cycler Supplier further agrees to
instruct the ultimate purchaser that transfer of the Thermal Cycler or Temperature Cycling
Instrument without the Serial Number or the Notice shall automatically terminate the authorization
granted by this Agreement and the authorization granted hereunder for or in connection with such
product shall expire.

5.5 Designation as “Licensed.” To avoid confusion among thermal cycler users, Thermal
Cycler Supplier agrees not to designate or refer to Thermal Cyclers or Temperature Cycling
Instruments covered by this Agreement as “licensed” unless it fully and simultaneously explains
that the Thermal Cyclers or Temperature Cycling Instruments or other such products do not convey with their purchase a complete license under the Amplification
Patent Rights.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

20

 

          5.6 No Authorization Notice. No Authorization Notice shall be supplied with any
instrument, module or component other than a complete Thermal Cycler or Temperature Cycling
Instrument.

     6. Term and Termination

          6.1 Term. This Agreement, unless sooner terminated, shall continue until the
expiration of the last-to-expire of the patents under which rights are granted in this Agreement.

          6.2 Patent Invalidation. This Agreement shall terminate upon a holding of invalidity
or unenforceability of all patent claims licensed hereunder by a final court decision from which no
appeal is or can be taken.

          6.3 Termination by Thermal Cycler Supplier. Thermal Cycler Supplier may terminate
this Agreement for any reason by giving written notice to ABI and ceasing to label, advertise or
promote its Thermal Cyclers or Temperature Cycling Instruments as Authorized Thermal Cyclers. Such
termination shall be effective ninety (90) days after said notice or cessation, whichever is later.

          6.4 Termination by ABI. Without limiting its other contractual, legal or equitable
rights or remedies, ABI shall have the right to terminate this Agreement immediately upon notice to
Thermal Cycler Supplier in the event that a court finds ABI liable for any damages or causes of
action resulting from Thermal Cycler Supplier’s Manufacture of Thermal Cyclers or Temperature
Cycling Instruments or associated modules or components thereof covered by this Agreement or due to
the sale or distribution of those Thermal Cyclers or Temperature Cycling Instruments by Thermal
Cycler Supplier, an Affiliate or a distributor.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

21

 

          6.5 Insolvency. This Agreement shall terminate immediately and automatically without
any requirement of notice or any other action by ABI upon (i) an adjudication of Thermal Cycler
Supplier as bankrupt or insolvent, or Thermal Cycler Supplier’s admission in writing of its
inability to pay its obligations as they mature; (ii) an assignment by Thermal Cycler Supplier for
the benefit of creditors; (iii) the appointment of, or Thermal Cycler Supplier’s applying for or
consenting to the appointment of, a receiver, trustee or similar officer for a substantial part of
its property; (iv) the institution of or any act of Thermal Cycler Supplier instituting any
bankruptcy, insolvency arrangement, or similar proceeding; or (v) the issuance or levy of any
judgment, writ, warrant of attachment or execution or similar process against a substantial part of
the property of Thermal Cycler Supplier. Such termination shall be deemed to have occurred
immediately prior to the events set forth in parts (i) through (v) of this Section triggering such
termination.

          6.6 Change of Control. ABI may terminate this Agreement immediately on notice upon
any change in the ownership or control of Thermal Cycler Supplier or of its assets. For such
purposes, a “change in ownership or control” shall mean that, with the exception of an Initial
Public Offering, [***] of the voting stock of Thermal Cycler Supplier becomes subject to the
ownership or control of a person or entity, or any related group of persons or entities acting in
concert, which person(s) or entity(ies) (i) did not own or control such portion of voting stock on
the Effective Date hereof, and (ii) are manufacturers of Thermal Cyclers or consumable products
including reagents that run on Thermal Cyclers. ABI shall have the same right to terminate upon any
transfer of [***] of the assets of Thermal Cycler Supplier to such manufacturers set forth in part
(ii) above. For the purposes of this Section, Initial Public Offering shall mean the initial
underwritten public offering of voting equity of Thermal Cycler

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

22

 

Supplier after the Effective Date of this Agreement pursuant to which (i) Thermal Cycler
Supplier raises at least [***] gross proceeds and (ii) such voting equity is listed or traded on
the New York Stock Exchange or the NASDAQ National Market.

          6.7 Termination for Licensee’s Material Breach. Except as otherwise provided in
Section 3.6 of this Agreement, in the event of a material breach or default under this Agreement by
Thermal Cycler Supplier, this Agreement shall terminate automatically thirty (30) days after ABI
provides written notice of such breach or default, provided that such breach or default has not
been cured by Thermal Cycler Supplier within such thirty (30) day period of time.

          6.8 Effect of Termination or Expiration. Upon expiration or termination of this
Agreement, all licenses granted under this Agreement to Thermal Cycler Supplier shall terminate.

          Thermal Cycler Supplier’s obligations under Article 3 or Article 4 accruing prior to
termination or expiration shall survive termination or expiration. Termination of this Agreement
for any reason shall be without prejudice to any rights that shall have accrued to the benefit of a
Party prior to or on account of such termination or expiration. All remedies provided hereunder or
elsewhere are cumulative.

     7. Confidentiality — Publicity

          7.1 Markings. Unless and until ABI reasonably instructs differently, in
advertisements, catalogs, brochures, sales literature and promotional literature for Authorized
Thermal Cyclers, Thermal Cycler Supplier, Affiliates and distributors shall state the following
prominently in type and location:

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

23

 

Practice of the patented polymerase chain reaction (PCR)
process requires a license. The <Supplier’s Model>
Thermal Cycler is an Authorized Thermal Cycler and may be
used with PCR licenses available from Applied Biosystems.
Its use with Authorized Reagents also provides a limited PCR
license in accordance with the label rights accompanying
such reagents.

          7.2 Publicity. With respect to Thermal Cycler Supplier’s distribution of any written
information to Third Parties, including but not limited to advertising, brochures, catalogs,
promotional and sales material, and public relations material, ABI shall have the right to
prescribe changes regarding references to, or descriptions of: ABI, PCR, the patents under which
rights are granted in this Agreement, PCR licenses or authorizations, or this Agreement. Thermal
Cycler Supplier agrees to comply with ABI’s reasonable prescriptions.

          7.3 Confidentiality. Except as provided in Sections 7.1 and 7.2, Thermal Cycler
Supplier shall maintain the confidentiality of the provisions of this Agreement, its terms and
conditions, and shall refrain from disclosing without ABI’s written consent the same to anyone
except employees with a need to know and who are bound by confidentiality obligations consistent
with this Agreement. Notwithstanding the foregoing, Thermal Cycler Supplier shall have the right
to make such disclosure solely to the extent such disclosure is required pursuant to court order or
applicable law or regulation, in which case Thermal Cycler Supplier shall promptly notify ABI in
writing of such requirement thirty (30) days in advance of any disclosure. Notwithstanding the
foregoing, if Thermal Cycler Supplier has less than thirty (30) days notice (or if such disclosure
is required less than thirty (30) days after Thermal Cycler Supplier becomes aware of such
disclosure requirement) of such disclosure requirement, then Thermal Cycler Supplier shall promptly
notify ABI in writing of such disclosure requirement within two (2) days after the date Thermal
Cycler Supplier becomes aware of or receives notice of such

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

24

 

disclosure requirement. Thermal Cycler Supplier shall in any event provide ABI a reasonable
opportunity to comment upon, object to or seek a protective order with respect to the disclosure or
to redact the proposed disclosure copy of the Agreement. Should Thermal Cycler Supplier conclude
in good faith that such disclosure is in fact required pursuant to applicable law, Thermal Cycler
Supplier shall notify ABI in writing at least thirty (30) days before such disclosure is made to
permit ABI to comment upon or object to the disclosure, or to redact the disclosure copy of the
Agreement such that the disclosure is limited to such information as is required by law.

     8. Compliance and Quality

          8.1 Compliance with Applicable Law. In the exercise of any and all rights and in
performance hereunder, it shall be the duty of Thermal Cycler Supplier, not ABI, to comply fully
with all applicable laws, regulations and ordinances and to obtain and keep in effect licenses,
permits and other governmental approvals (federal, state or local) necessary or appropriate to
carry on activities hereunder.

          8.2 No Endorsement. ABI does not approve or endorse Thermal Cyclers or Temperature
Cycling Instruments, or other modules and components of Thermal Cycler Supplier in any way or for
any purpose, including PCR. Quality and quality control with respect to suitability for PCR,
according to standards and requirements that may exist in the marketplace from time to time, are
the sole responsibility of Thermal Cycler Supplier.

     9. Assignment

          9.1 Assignment by Thermal Cycler Supplier. This Agreement and the licenses granted
hereunder are personal in nature. This Agreement and the rights hereunder are non-delegable and
nonassignable by Thermal Cycler Supplier (including without limitation by

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

25

 

any attempted assignment or transfer that would arise from a sale or transfer of Thermal
Cycler Supplier’s assets or business, or acquisition of all of the equity of Thermal Cycler
Supplier). Any such assignment or attempted assignment shall be void ab initio and result in
automatic termination of this Agreement without any requirement or notice or other action by ABI.
Without limiting the foregoing, this Agreement cannot be assumed or assumed and assigned by a
trustee or debtor-in-possession in bankruptcy as set forth in section 365(c)(1) of the of the
United States Bankruptcy Code or any similar provisions of state or federal law.

          9.2 Assignment by ABI. ABI may assign all or any part of its rights and obligations
under this Agreement at any time without the consent of Thermal Cycler Supplier. Thermal Cycler
Supplier agrees to execute such further acknowledgments or other instruments as ABI may reasonably
request in connection with such assignment.

     10. Negation of Warranties and Indemnity

          10.1 No Warranty. ABI MAKES NO EXPRESS OR IMPLIED WARRANTIES INCLUDING, WITHOUT
LIMITATION, ANY EXPRESS OR IMPLIED WARRANTY OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE OR
NONINFRINGEMENT. Nothing in this Agreement shall be construed as: (a) a warranty or representation
by ABI as to the validity or scope of any patent; (b) a warranty or representation that the
practice under the Amplification Patent Rights, the Amplification System Patent Rights, the Thermal
Cycling Instrument Patent Rights, the Automated Method Patent Rights or the Pressing Heated Cover
Patent Rights is or will be free from infringement of patents of Third Parties; (c) an obligation
to sue Third Parties for infringement; (d) except as expressly set forth herein, conferring the
right to use in advertising, publicity or otherwise, in any form, the name of, or any trademark or
trade name of, ABI or Roche; (e) conferring by implication, estoppel or

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

26

 

otherwise any license, immunity or right under any patent owned by or licensed to ABI or Roche
other than those expressly licensed pursuant to Article 2 herein, regardless of whether such patent
is dominant or subordinate to the patents licensed to Thermal Cycler Supplier under Article 2 of
this Agreement; (f) an obligation to furnish any know-how; or (g) creating any agency, partnership,
joint venture or similar relationship between ABI or Roche and Thermal Cycler Supplier.

          10.2 Indemnification. Thermal Cycler Supplier shall take all reasonable precautions
to prevent death, personal injury, illness and property damage from the use of Thermal Cyclers,
Temperature Cycling Instruments, modules and components. Thermal Cycler Supplier shall assume all
risk and full responsibility for Thermal Cycler Supplier making, using or selling such products.
Thermal Cycler Supplier shall defend, indemnify and hold ABI and Roche harmless from and against
all liability, demands, damages, expenses (including attorneys’ fees) and losses arising or
resulting from Thermal Cycler Supplier’s (or its Affiliates’ or distributors’) making, using or
selling Thermal Cyclers, Temperature Cycling Instruments, modules and components, including without
limitation any claims asserted by third parties for infringement, personal injury, property damage
or any other injury or damage.

     11. [***]

          11.1 [***]. [***].

     12. General

          12.1 Integration. This Agreement constitutes the entire agreement between the Parties
as to the subject matter hereof, and supersedes and replaces all prior negotiations,
representations, agreements and understandings with respect to the subject matter hereof. This

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

27

 

Agreement may be modified or amended only by a writing executed by authorized officers of each
of the Parties.

          12.2 Notices. Any notice required or permitted to be given by this Agreement shall be
in writing and shall be given by postpaid, first class, registered or certified mail, or by courier
or facsimile, properly addressed to the other party at the respective address as shown below:

If to ABI:

Applied Biosystems

850 Lincoln Centre Drive

Foster City, California 94404 U.S.A.

Attn.: Director of Licensing

Fax No.: (650) 638-6071

If to Thermal Cycler Supplier:

BioTrove, Inc.

12 Gill Street, Suite 4000

Woburn, MA 01801

Attn.: Mr. Patrick Carroll

Fax No.: +781 721 3601

Either party may change its address by providing notice to the other. A notice shall be deemed
given four (4) full business days after the day of mailing, or one full day after the date of
delivery to the courier, or the date of facsimile transmission, as the case may be.

          12.3 Governing Law and Venue. This Agreement shall be deemed made in the State of
California, and it shall be construed and enforced in accordance with the law of the State of
California. The Parties agree that the exclusive jurisdiction and venue for any dispute or
controversy arising from this Agreement shall be in the state or federal courts in California.

          12.4 Conflicting Provisions. Nothing in this Agreement shall be construed to require
the commission of any act contrary to law, and wherever there is any conflict between

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

28

 

any provision of this Agreement or concerning the legal right of the Parties to enter into
this contract and any statute, law or ordinance, the latter shall prevail, but the provision shall
be limited only to the extent necessary.

          12.5 Severability. If any provision hereof should be held invalid, illegal or
unenforceable in any respect, then, to the fullest extent permitted by applicable law, (a) all
other provisions hereof shall remain in full force and effect and shall be liberally construed in
order to carry out the intent of the Parties as nearly as may be possible, and (b) the Parties
agree to negotiate in good faith a provision, in replacement of the provision held invalid, illegal
or unenforceable, that is consistent with applicable law and accomplishes, as nearly as possible,
the original intention of the parties with respect thereto. To the fullest extent permitted by
applicable law, each Party hereby waives any provision of law that would render any provision
hereof prohibited or unenforceable in any respect.

          12.6 Construction. Except where the context otherwise requires, wherever used, the
singular shall include the plural and the word “or” is used in the inclusive sense. The captions
and headings of this Agreement are for convenience of reference only and in no way define,
describe, extend or limit the scope or intent of this Agreement or the intent of any provision
contained in this Agreement. Each Party hereto and its counsel have participated equally in the
formation of this Agreement; the language of this Agreement shall not be presumptively construed
against either Party.

          12.7 Independent Contractors. It is expressly agreed that the Parties shall be
independent contractors and that the relationship between the Parties shall not constitute a
partnership, joint venture or agency.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

29

 

          12.8 Waiver. The waiver by either Party hereto of any right hereunder or the failure
to perform or a breach by the other Party shall not be deemed a waiver of any other right hereunder
or of any other breach or failure by said other Party whether of a similar nature or otherwise.

          12.9 Counterparts. This Agreement may be executed (including via facsimile) in two
(2) or more counterparts, each of which shall be deemed an original, but all of which together
shall constitute one and the same instrument.

          12.10 No Third Party Beneficiaries. The representations, warranties, covenants,
rights and obligations set forth in this Agreement are for the sole benefit of the Parties and
their successors and permitted assigns, and they shall not be construed as conferring any rights on
any third parties.

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

30

 

     IN WITNESS WHEREOF, the Parties hereto have duly executed this Agreement on the date(s)
indicated below.

	 	 	 	 	 	 	 	 	 	 	 
	APPLIED BIOSYSTEMS	 	 	 	BIOTROVE, INC.
	 
	 	 	 	 	 	 	 	 	 	 
	By:

	 	/s/ Illegible
 

	 	 	 	By:
	 	/s/ Robert Ellis
 

	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	Title:

	 	V.P., Intellectual Property
 

	 	 	 	Title:
	 	CEO
 

	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	Date:

	 	1/5/05
 

	 	 	 	Date:
	 	12/22/2004
 

	 	 

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

31

 

APPENDIX A

Summary Royalty/Fee Report

THERMAL CYCLER SUPPLIER AGREEMENT

for the Period:                      to                      for Sales in the country of                     

Thermal Cycler (TC) Supplier: BioTrove, Inc. Effective Date:                      Royalty/Fee Rate: $280 + 12% Net Sales Price;
$50/PHC

o Check here if there were no sales for this period.

	 	 	 	 	 	 	 	 	 	 	 
	TC/PHC/blocks	 	# of	 	Gross Invoice Price	 	Deductions Allowed	 	Net Sales Price	 	 
	Model #	 	TCs/PHCs/blocks	 	(actual)	 	(explain)	 	(actual)	 	Royalty/Fee Due
	 
	 	 	 	 	 	 	 	 	 	 	 
	 	 	 
	 	 
	 	 
	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 
	 	 	 
	 	 
	 	 
	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 
	 	 	 
	 	 
	 	 
	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 
	 	 	 
	 	 
	 	 
	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 
	 	 	 
	 	 
	 	 
	 	 
	 	 

	 	 	 	 	 	 	 	 	 
	TC/PHC/blocks	 	# of	 	 	 	Calculated Net	 	 
	Model #	 	TCs/PHCs/blocks	 	Price to Distributor	 	Sales Price	 	Royalty/Fee Due
	 
	 	 	 	 	 	 	 	 	 
	 	 	 
	 	 
	 	 
	 	 
	 	 	 	 	 	 	 	 	 
	 	 	 
	 	 
	 	 
	 	 
	 	 	 	 	 	 	 	 	 
	 	 	 
	 	 
	 	 
	 	 
	 	 	 	 	 	 	 	 	 
	 	 	 
	 	 
	 	 
	 	 
	 	 	 	 	 	 	 	 	 
	 	 	 
	 	 
	 	 
	 	 

Total Royalty/Fee Earned:                     

Royalty/Fee Payment Due:                     

I hereby certify the information set forth above is correct and complete with respect to the
amounts due under the applicable license agreement.

By                                         Title                     
                     Date                                         

Name (please print)                                         

Applera Corporation Send report to: Director of Licensing, Applied Biosystems, 850
Lincoln Centre Drive, Foster City, CA 94404 USA

Portions of this Exhibit were omitted and have been filed separately with the Secretary of the Commission pursuant to the Company’s application requesting confidential treatment under Rule 406 of the Securities Act.

32

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00140-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00140-of-00352.parquet"}]]