Document:

EXHIBIT 10.56

 

PROMISSORY NOTE

SECURED BY DEED OF TRUST

 

(HOUSING RELOCATION LOAN

PURSUANT TO AN EXTENSION

OF CREDIT MADE ON JUNE 21, 2002)

 

	
  $600,000.00

  	
  Santa Clara, California

  
	
   

  	
  January 8, 2003

  

 

1.             FOR VALUE RECEIVED, the
undersigned, Trevor J. Nicholls (“Maker”), hereby promises to pay to
Affymetrix, Inc., a Delaware corporation (“Holder”), at 3380 Central
Expressway, Santa Clara, California, or such other place as Holder may from
time to time designate by written notice to Maker, the sum of Six Hundred Thousand
Dollars ($600,000.00) together with interest on the unpaid principal hereof
from the date hereof at the rate equal to the IRS imputed interest rate per
annum, on the terms and conditions specified herein.  Subject to paragraphs 2 and 4 below, the entire principal amount
under this Promissory Note (this “Note”), together with any accrued and unpaid
interest, shall be due and payable on January 7, 2008.  The Maker hereby certifies that such sum
shall be used for the exclusive purpose of the purchase of his new principal
residence in connection with his transfer to a new principal place of work.

 

2.             This Note may be prepaid in whole
or in part at any time without penalty. 
All amounts payable hereunder shall be payable in lawful money of the
United States of America.

 

3.             This Note is secured by the Deed of
Trust made by Maker for the benefit of Holder encumbering certain real property
commonly known as 230 Wooded View Drive, Los Gatos, California 95032.  Such Deed of Trust will be subordinate only
to (i) a deed of trust (the “First Deed of Trust”) made by Maker, as trustor,
for the benefit of an institutional lender that loaned money to Maker for the
purpose of financing the original purchase price of the Property (or any
refinancing of the principal amount of same); or (ii) a deed of trust made by
Maker, as trustor, for the benefit of lender that loaned money to Maker in the
form of a home improvement or home equity loan not to exceed $250,000 (the
“Junior Deeds of Trust”).

 

4.             Notwithstanding anything to the
contrary contained in this Note, the entire principal balance of this Note,
together with accrued but unpaid interest, shall become immediately due and
payable, upon the occurrence of any of the following:

 

a.             The 90th day following
the date of any sale, conveyance, assignment, alienation or any other form of
transfer of the Property, or any part thereof or interest therein, whether
voluntary or involuntary, other than the First Deed of Trust or the Junior
Deeds of Trust;

 

b.             Default in the performance or
observance of any of the material covenants, conditions, provisions or
agreements contained in this Note or in the Deed of Trust;

 

c.             Default in the performance or
observance of any of the material covenants, conditions, provisions or
agreements contained in any deed of trust (“Senior Deed of Trust”) which is or
becomes a lien against the Property senior to the lien of the Deed of Trust, or
any promissory note or obligation secured by such Senior Deed of Trust;

 

1

 

d.             The 90th day following
the termination of Maker’s employment with the Company by the Company or Maker
for any reason; or

 

e.             Default in the performance or
observance of any of the material, covenants, conditions, provisions, or
agreements contained in that certain Note of even date herewith in the amount
of $400,000.00.

 

The failure of
Holder to exercise any of the rights created by law or by this Note, or to
promptly enforce any of the provisions hereof, shall not constitute a waiver of
the right to exercise any such rights or to enforce any such provisions.  The waiver by Holder or any breach of or
default under any term, covenant or condition herein or in any other agreement
referred to above shall not be deemed to be a waiver of any subsequent breach
of or default under the same or any other such term, covenant or condition.

 

Holder may
elect to forgive up to one hundred percent (100%) of the interest accrued
during each calendar year during the term of this Note based on Maker’s
achievement of annual performance criteria as determined by Maker in its sole
and absolute discretion.

 

5.             Maker hereby waives demand and
presentment for payment, notice of non-payment and dishonor, protest and notice
of protest, and the benefit of any homestead exemption which may by law be
waived as to this obligation.

 

6.             This Note may not be assigned,
transferred, hypothecated, sold or otherwise disposed of by the Maker without
the prior written consent of Holder, which consent may be withheld in its sole
discretion.  All of the rights and/or
duties of Holder hereunder shall be freely assignable.

 

7.             In the event Maker defaults on
payment of this Note and such default continues for a period of sixty (60) days
following written notice from Holder, Holder may, at its election, subsequent
thereto charge a default rate of interest equal to 10% per annum.  In the event this Note is placed in the
hands of an attorney for collection, Holder shall be entitled to recover its
reasonable attorneys’ fees and costs incurred in collection of this Note.

 

8.             This Note shall be construed in
accordance with and governed by the laws of the State of California.

 

	
   

  	
  MAKER:

  
	
   

  	
   

  
	
   

  	
  /s/ Trevor
  J. Nicholls

  
	
   

  	
  Name:

  	
  Trevor J.
  Nicholls

  
	
   

  	
  Address:

  	
  230 Wooded
  View Drive

  
	
   

  	
   

  	
  Los Gatos,
  CA 95032

  

 

2

 

SPOUSAL CONSENT

 

The
undersigned spouse of Maker hereby approves the terms and conditions of this
Note.  The undersigned hereby agrees to
be irrevocably bound by the terms of the Note and the Amended and Restated Deed
of Trust attached as Exhibit A hereto and further agrees that any community
property interest shall be similarly bound. 
The undersigned hereby appoints the undersigned’s spouse as
attorney-in-fact for the undersigned with respect to any amendment or exercise
of rights or obligations hereunder.

 

	
   

  	
  SPOUSE:

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  /s/ J.M.
  Nicholls

  
	
   

  	
  Name:  J.M. Nicholls

  

 

 

3

 

	
  RECORDING
  REQUESTED BY

  	
   

  	
  EXHIBIT
  A

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  
				

 

WHEN
RECORDED MAIL TO:

Affymetrix,
Inc.

3380
Central Expressway

Santa
Clara, CA 95051

Attention:  General Counsel

 

	
   

  

SPACE ABOVE LINE FOR RECORDER’S USE

 

AMENDED
AND RESTATED

DEED
OF TRUST

THIS
AMENDED AND RESTATED DEED OF TRUST (this “Trust Deed”) is made as of
January 8, 2003, by TREVOR J. NICHOLLS (“Trustor”), in favor of STEWART
TITLE OF CALIFORNIA, INC. (“Trustee”), for the benefit of AFFYMETRIX,
INC., a Delaware corporation (“Beneficiary”), who amend and restate that
certain Deed of Trust dated January 8, 2003 and recorded on January 10,
2003 as Document No. 16742159, Office Records, Santa Clara County, California,
as follows:

Trustor
irrevocably grants, transfers and assigns to Trustee in trust, with power of
sale, that certain property (the “Property”) located in Santa Clara
County, California, more particularly described in Exhibit A attached
hereto, together with the rents, issues and profits thereof; subject, however,
to the right, power and authority hereinafter given to and conferred upon
Trustor to collect and apply such rents, issues and profits, for the purpose of
securing: (i) payment of the aggregate amount of One Million Dollars
($1,000,000.00) with interest thereon according to the terms of those certain
promissory notes (individually a “Note” and collectively, the “Notes”)
of even date herewith made by Trustor, and extensions or renewals thereof; (ii)
the performance of each agreement of Trustor incorporated by reference or
contained herein or reciting it is so secured; and (iii) payment of additional
sums and interest thereon which may hereafter be loaned to Trustor, when
evidenced by a promissory note or notes reciting that they are secured by this
Deed of Trust.

A.            To protect the
security of this Deed of Trust and with respect to the Property, Trustor
agrees:

 

(i)            To keep the Property in good
condition and repair; not to remove or demolish any building thereon; to
complete or restore promptly and in good and workmanlike manner any building
constructed thereon which may be damaged or destroyed and to pay when due all
claims for labor performed and materials furnished therefor; to comply with all
laws affecting the Property or requiring any alterations or improvements to be
made thereon; not to commit or permit waste thereof; not to commit, suffer or
permit any act upon the Property in violation of law; to cultivate, irrigate,
fertilize, fumigate, prune and do all other acts which from the character or
use of the Property may be reasonably necessary, the specific enumerations
herein not excluding the general.

(ii)           To appear in and defend any action or
proceeding purporting to affect the security hereof or the rights or powers of
Beneficiary; and to pay all costs and expenses, including

 

 

4

 

 

the
cost of evidence of title and attorneys’ fees in a reasonable sum, in any
action or proceeding in which Beneficiary may appear, and in any suit brought
by Beneficiary to foreclose this Deed of Trust.

(iii)          To pay (a) at least ten (10) business
days before delinquency, all taxes and assessments affecting the Property,
including assessments on appurtenant water stock; (b) when due, all
encumbrances, charges and liens, with interest, on the Property or any part
thereof, which appear to be prior or superior hereto; and (c) all costs, fees
and expenses of this Deed of Trust.

Should
Trustor fail to make any payment or to do any act as herein provided, then
Beneficiary may, but without obligation to do so and without notice to or
demand upon Trustor and without releasing Trustor from any obligation hereof,
make or do the same in such manner and to such extent as either may deem
necessary to protect the security hereof. 
Beneficiary is hereby authorized (a) to enter upon the Property for such
purposes; (b) to appear in and defend any action or proceeding purporting to
affect the security hereof or the rights or powers of Beneficiary; (c) to pay,
purchase, contest or compromise any encumbrance, charge, or lien which in the
judgment of either appears to be prior or superior hereto; and (d) in
exercising such powers, to pay necessary expenses, employ counsel and pay his
or her reasonable fees.

(iv)          To pay immediately and without demand
all sums so expended by Beneficiary, with interest from date of expenditure at
the amount allowed by law in effect at the date hereof, and to pay for any
statement provided for by law in effect at the date hereof regarding the
obligation secured hereby, any amount demanded by Beneficiary not to exceed the
maximum allowed by law at the time when said statement is demanded.

B.            It is mutually
agreed:

 

(i)            That any award of damages in
connection with any condemnation for public use of or injury to the Property or
any part thereof is hereby assigned and shall be paid to Beneficiary.

(ii)           That, by accepting payment of any sum
secured hereby after its due date, Beneficiary does not waive its right either
to require prompt payment when due of all other sums so secured or to declare
default for failure to so pay.

(iii)          That, at any time or from time to
time, without liability therefor and without notice, upon written request of
Beneficiary and presentation of this Deed of Trust and the Notes for
endorsement, and without affecting the personal liability of any person for
payment of the indebtedness secured hereby, Beneficiary may reconvey any part of
the Property, consent to the making of any map or plat thereof, join in
granting any easement thereon, or join in any extension agreement or any
agreement subordinating the lien or charge hereof.

(iv)          That, upon written request of
Beneficiary stating that all sums secured hereby have been paid, and upon
surrender of this Deed of Trust and the Notes to Trustee for cancellation and
retention or other disposition as Trustee in its sole discretion may choose and
upon payment of its fees, Trustee shall reconvey, without warranty, the
Property then held hereunder.  The
recitals in such reconveyance of any matters or facts shall be conclusive proof
of the truthfulness thereof.  The grantee
in such reconveyance may be described as “the person or persons legally entitled
thereto.”

 

 

5

 

 

(v)           That, as additional security, Trustor
hereby given to and confers upon Beneficiary the right, power and authority,
during the continuance of these trusts to collect the rents, issues and profits
of the Property, reserving unto Trustor the right, prior to any default by
Trustor in payment of any indebtedness secured hereby or in performance of any
agreement hereunder, to collect and retain such rents, issues and profits as
they become due and payable.  Upon any
such default, Beneficiary may, at any time without notice, either in person, by
agent, or by a receiver to be appointed by a court, and without regard to the
adequacy of any security for the indebtedness hereby secured, enter upon and
take possession of the Property or any part thereof, in its own name sue for or
otherwise collect such rents, issues, and profits, including those past due and
unpaid, and apply the same, less costs and expenses of operation and
collection, including reasonable attorneys’ fees, upon any indebtedness secured
hereby, and in such order as Beneficiary may determine.  The entering upon and taking possession of
the Property, the collection of such rents, issues and profits and the
application thereof as aforesaid, shall not cure or waive any default or notice
of default hereunder or invalidate any act done pursuant to such notice.

(vi)          That, upon default by Trustor in
payment of any indebtedness secured hereby or in performance of any agreement
thereunder, Beneficiary may declare all sums secured hereby immediately due and
payable by delivery to Trustee of written declaration of default and demand for
sale and of written notice of default and of election to cause to be sold the
Property, which notice Trustee shall cause to be filed for record.  Beneficiary also shall deposit with Trustee
this Deed of Trust, the Notes and all documents evidencing expenditures secured
hereby.

After
the lapse of such time as may then be required by law following the recordation
of said notice of default, and notice of sale having been given as then
required by law, Trustee, without demand on Trustor, shall sell the Property at
the time and place fixed by it in said notice for sale, either as a whole or in
separate parcels, and in such order as it may determine, at public auction to
the highest bidder for cash in lawful money of the United States, payable at
time of sale.  Trustee may postpone sale
of all or any portion of the Property by public announcement at such time and
place of sale, and from time to time thereafter may postpone such sale by
public announcement at the time fixed by the preceding postponement.  Trustee shall deliver to such purchaser its
deed conveying the property so sold, but without any covenant or warranty,
express or implied.   The recitals in
such deed of any matters of facts shall be conclusive proof of the truthfulness
thereof.   Any person, including Trustor
or Trustee, may purchase at such sale.

After
deducting all costs, fees and expenses of Trustee and of this Deed of Trust,
including cost of evidence of title in connection with sale, Trustee shall
apply (in the following order) the proceeds of sale to the payment of:  all sums expended under the terms hereof, not
then repaid, with accrued interest at the amount allowed by law in effect at
the date hereof, all other sums then secured hereby; and the remainder, if any,
to the person or persons legally entitled thereto.

(vii)        Beneficiary, or any successor in
ownership of any indebtedness secured hereby, may from time to time, by
instrument in writing, substitute a successor or successors to any Trustee
named herein or acting hereunder, which instrument, executed by the Trustee and
duly acknowledged and recorded in the office of the recorder of the county or
counties where the Property is situated, shall be conclusive proof of the
proper substitution of such successor Trustee or Trustees, who shall, without
conveyance from the predecessor trustee, succeed to all its title, estate,
rights, powers and duties.  Said
instrument must contain the name of the original Trustor or 

6

 

Trustee hereunder, the book and page
where this Deed of Trust is recorded and the name and address of the new
Trustee.

 

(viii)      That this Deed of Trust applies to, inures to the benefit of,
and binds all parties hereto, their heirs, legatees, devisees, administrators,
executors, successors, and assigns.  The
term Beneficiary shall mean the owner and holder, including pledgees, of the
Notes secured hereby, whether or not named herein.  In this Deed of Trust, whenever the context so requires, the
masculine gender includes the feminine and/or the neuter, and the singular
number includes the plural.

(ix)         The Trustee accepts this trust when
this Deed of Trust, duly executed and acknowledged, is made a public record as
provided by law.  Trustee is not
obligated to notify any party hereto of pending sale under any other Deed of
Trust or of any action or proceeding in which Trustor or Trustee shall be a
party unless brought by Trustee.

Beneficiary
may charge for a statement regarding the obligation secured hereby, provided
the charge thereof does not exceed the maximum allowed by laws.

The
undersigned Trustor, requests that a copy of any notice of default and any
notice of sale hereunder be mailed to it at the address hereinbefore set forth.

C.            Insurance and Damage Claims.  Trustor shall maintain fire and other
insurance on the Property consistent with industry standards.  All proceeds of any claim, demand, award,
settlement or other payment arising or resulting from or otherwise relating to
any such insurance or any loss or destruction of, injury or damage to the
Property (a “Damage Claim”) are hereby assigned and shall be payable and
delivered to Beneficiary (any such proceeds of any Damage Claim being referred
to in this Trust Deed as “Damage Proceeds”). 
Trustor shall take all action reasonably necessary or required by
Beneficiary in order to protect Trustor’s and Beneficiary’s rights and
interests with respect to any Damage Claim, including the commencement of,
appearance in and prosecution of any appropriate action or other proceeding,
and Beneficiary may in its discretion participate in any such action or
proceeding at the expense of Trustor.

 

D.            Transfer.

 

                                (i)         
Trustor agrees that Trustor shall not directly or indirectly sell,
transfer or convey, whether voluntarily, involuntarily or by operation of law,
or suffer or permit the same, all or any part of the Property subject to this
Deed of Trust (each of which actions or events being herein called a “Transfer”)
without Beneficiary’s prior written consent

 

                                (ii)        
If any Transfer occurs without Beneficiary’s prior written consent,
then, at its sole option, Beneficiary may, by written notice to Trustor,
declare all obligations secured by this Deed of Trust immediately due and
payable.  Trustor shall notify
Beneficiary promptly in writing of all Transfers.

 

E.             Event of Default.

 

                Each of the following events constitutes a
default by Trustor of its obligations hereunder:

 

 

7

 

(i)            The failure by Trustor to perform or
comply with any material obligation, covenant or condition contained in the
Notes or this Deed of Trust;

(ii)           The occurrence of any Transfer
without Trustee’s prior written consent;

(iii)          The occurrence of any event set forth
in Section 4 of either Note; or

(iv)          The occurrence of a default under any
senior lien on the Property.

F.             Subordination.

 

This Deed of Trust is junior and subordinate to that certain deed of
trust in favor of Bank of America, N.A. in the amount of $1,000,000.00 dated
January 8, 2003.

 

IN WITNESS
WHEREOF, Trustor has executed this Deed of Trust effective as of the date first
set forth above.

 

	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  “Trustor”

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  Trevor
  J. Nicholls

  

 

 

8

 

EXHIBIT
A

DESCRIPTION OF PROPERTY

The
land referred to herein is situated in the State of California, County of Santa
Clara, Town of Los Gatos, and is described as follows:

Lot
18, as shown on that certain Map of Tract No. 3907, which Map was filed for
record in the office of the Recorder of the County of Santa Clara, State of
California on March 22, 1965, in Book 192 of Maps, page(s) 25, 26 and 27.

 

 

9

 

 

STATE OF CALIFORNIA )

COUNTY OF                        )

                On
                 ,
2000, before me,
                                                  ,
Notary Public, personally appeared                                                                                        ,
personally known to me (or proved to me on the basis of satisfactory evidence)
to be the person(s) whose name(s) is/are subscribed to the within instrument
and acknowledged to me that he/she/they executed the same in his/her/their
authorized capacity(ies), and that by his/her/their signature(s) on the
instrument the person(s), or the entity upon behalf of which the person(s)
acted, executed the instrument.

                WITNESS my hand and office
seal.

 

__________________________________

Signature of Notary

(SEAL)

 

10EXHIBIT 10.57

 

Confidential
treatment has been requested for portions of this
exhibit.  The copy filed herewith omits
the information subject to the confidentiality request.  Omissions are designated as [***].  A complete version of this exhibit has been
filed separately with the Securities and Exchange Commission.

 

 

COMMON TERMS AGREEMENT

 

F. Hoffmann-La
Roche Ltd.

and

Affymetrix, Inc.

 

dated

 

January 29,
2003

 

 

CONTENTS

	
   

  	
   

  	
   

  
	
  I.

  	
  Glossary.

  	
   

  
	
  II.

  	
  Confidentiality

  	
   

  
	
  III.

  	
  Management of Relationship

  	
   

  
	
  IV.

  	
  Dispute Resolution

  	
   

  
	
  V.

  	
  Ownership
  of Diagnostic Products and Instruments

  	
   

  
	
  VI.

  	
  General

  	
   

  

 

 

 

 

i

 

COMMON TERMS AGREEMENT

January 29, 2003

This COMMON TERMS
AGREEMENT (the “Agreement”) is effective as of the date first written
above (“Effective Date”) between Affymetrix, Inc., a Delaware
corporation (“Affymetrix”), and F. Hoffmann-La Roche Ltd. ( “Roche”).

WHEREAS,
Affymetrix and Roche intend to collaborate in the development and
commercialization of diagnostic products in connection with and in the field of
DNA chip technology;

WHEREAS,
Affymetrix and Roche will enter into the Collaboration Agreements (as defined
below) to govern and formalize such collaboration and commercialization;

WHEREAS,
Affymetrix and Roche believe that it is in their best interests to enter into
this agreement to serve as a single umbrella agreement stipulating certain
common terms applicable to each of the Collaboration Agreements;

NOW THEREFORE, in
consideration of the mutual covenants and promises contained in this Agreement,
Affymetrix and Roche agree as follows:

The terms hereof
shall govern each and all of the Collaboration Agreements.  However, if any Collaboration Agreement
contains terms contrary to or that directly conflict with the terms of this
Agreement, the terms of such Collaboration Agreement shall govern for that
particular document (in lieu of the terms of this Agreement).  Furthermore, provisions in the Collaboration
Agreements may expand or supplement any provision of this Agreement for that
particular document.

I.              Glossary.

 

(a)   “Affiliate”
means (i) an organization, that directly or indirectly controls a Party; (ii)
an organization, which is directly or indirectly controlled by a Party; (iii)
an organization which is controlled, directly or indirectly, by the ultimate
parent company of a Party or (iv) in any country where the local law does not
permit foreign equity participation of at least fifty percent (50%), then
“Affiliate” includes any organization in which such Party owns or controls or
is owned or controlled by, directly or indirectly, the maximum percentage of
outstanding or voting rights permitted by local law.  For these purposes, “control” shall mean the ownership of 50% or
more of the voting stock of such organization or otherwise having the power to
govern the financial and the operating policies or to appoint the management of
such organization.  Each Party to this
Agreement shall be liable to the other Party to this Agreement for breach
hereof by any of such Party’s Affiliates, and any such breach shall be deemed a
breach by such Party.  Notwithstanding
the foregoing, the term “Affiliate” shall not include, with respect to
Affymetrix, Perlegen Sciences, Inc. (“Perlegen”), or with respect to
Roche, Genentech, Inc. (“Genentech”) or Chugai Pharmaceutical Co., Ltd.
(“Chugai”), unless and until such corporation becomes a direct or
indirect wholly-owned subsidiary of Affymetrix (in the case of Perlegen) or
Roche (in the case of Genentech or Chugai).

 

 

(b)   “Array”
shall mean a microarray incorporating or embodying Intellectual Property of
Affymetrix.

(c)   “Affymetrix”
shall have the meaning set forth in the preamble to this Agreement.

(d)   “Affymetrix
Indemnitees” shall mean Affymetrix and its officers, directors, employees,
agents and representatives, and Affymetrix’ Affiliates and their officers,
directors, employees, agents and representatives.

(e)   “Affymetrix
Instrument Agency Agreement” shall mean that certain Affymetrix Instrument
Agency Agreement, dated as of the Effective Date hereof, between Affymetrix and
Roche.

(f)    “Affymetrix
Instruments” shall mean fluidics station(s), work station(s), probe array
reader(s), scanner(s), Instrument Control Software and other non-chip products
developed and manufactured by or for Affymetrix utilized to process samples or
apply samples to an Array, to read or analyze the results of a test or kit, or
to otherwise facilitate the use of Arrays.

(g)   “Affymetrix
Technology” shall mean technology, excluding [***], owned by Affymetrix
relating to photolithographic arrays of nucleic acids for the detection of
nucleic acids, and [***] Affymetrix [***] the Collaboration.

(h)   “Affymetrix
Territories” shall mean the territories where Affymetrix has a direct sales
force or a contracted distributor of Affymetrix Instruments, which list may be
updated from time to time by Affymetrix to add or delete “Affymetrix
Territories” without Roche’s prior consent to reflect changes in the
territories where Affymetrix has a direct sales force or a contracted
distributor, provided that Affymetrix shall provide reasonably prompt notice to
Roche of the addition or deletion of any Affymetrix Territory.

(i)    “Affymetrix
Trademarks” shall mean the registered and unregistered trademarks, service
marks, trade names, icons, logos, trade dress, and other indications owned by
or licensed to Affymetrix as may be updated from time to time by Affymetrix
without Roche’s prior consent provided that Affymetrix shall provide notice to
Roche of any such update.

(j)    “ASRs”
means Analyte Specific Reagents (as such term is defined in 21 CFR 864.4020).

(k)   “Authority”
means a governmental authority or regulatory agency with jurisdiction over any
subject matter of the Collaboration Agreements.

(l)    “Base
Markup” shall mean the product of (i) [***] multiplied by (ii) the [***].

(m)  “Catalog
Chips” shall mean non custom-designed Arrays as made generally available to
Affymetrix customers in writing from time to time.

(n)   “Chip”
shall mean a photolithographic Array of nucleic acids.

(o)   “Claim”
shall mean a claim or lawsuit brought against either Party.

 

2

 

(p)   “Collaboration”
shall mean the collaboration between Affymetrix and Roche, as set forth in the
Collaboration Agreements, to develop and commercialize diagnostic products in
connection with and in the field of DNA chip technology, and to develop certain
instrumentation and related software for use with Arrays.

(q)   “Collaboration
Agreements” shall mean (i) this Agreement, (ii) the License Agreement, (iii)
the Supply Agreement, (iv) the Affymetrix Instrument Agency Agreement, (v) the
Diagnostic Product Agency Agreement, (vi) the Standstill Agreement and (vii)
the R&D Agreement.

(r)    “Collaboration
IP” means all inventions,
discoveries, improvements, works of authorship, copyrightable subject matter,
trade secrets, know-how and other information or technology (other than
Content), and any and all Intellectual Property Rights therein and appurtenant
thereto created after the Effective Date in furtherance of the Collaboration,
whether developed by Affymetrix or Roche alone, jointly or with a Third Party,
including Improvements to either party’s Existing Technology (but excluding New
Content).

(s)   “Collaboration
Manager” shall have the meaning specified in Section III(a) of this
Agreement.

(t)    “Component
Chip” shall have the meaning assigned thereto in Section III(a) of the
Supply Agreement.

(u)   “Confidential
Information” shall mean any non-public information designated or marked as
confidential disclosed by either Party to the other, either directly or
indirectly, in writing, oral (and confirmed as confidential in writing within
30 days of disclosure), visual or electronic form, technical or non-technical
or by inspection of tangible objects, including, but not limited to, software,
trade secrets, patents, patent applications, inventions (whether patentable or
not), data, know-how, algorithms, diagrams, drawings, processes, research,
product or strategic plans or collaborations or partnerships, financial
information, business models, and information relating to corporate finance and
governance.

(v)   “Content”
shall mean a probe, reagent or enzyme (or a pattern consisting of a multiple of
these) with a patentable or patented established association of genetic
information including but not limited to DNA sequence information, SNPs,
haplotypes and/or gene expression information, with a human attribute,
characteristic, disease, trait, or other condition of clinical diagnostic or
prognostic relevance.

(w)  “CRO” shall
mean a clinical research agency that is a commercial entity providing clinical
trial services, including but not limited to laboratory services, to
pharmaceutical and biotechnological companies for drug development purposes.

(x)    “Cross-License
Agreement” shall mean that certain Cross-License Agreement, dated as of the
Effective Date, between Affymetrix and Roche.

(y)   “Customers” shall mean (i) all laboratories
(other than Physician Office Labs and Pharma Labs) and (ii) CROs, which
laboratories or CROs are purchasing Diagnostic Products for their own use
(including without limitation in such laboratory’s or CRO’s capacity as an 

 

 

3

 

 

independent contractor for others, but not as a
reseller of Diagnostic Products or their components).

(z)    “Custom
Array” means any Array created or to be created based on specifications
provided by Roche or a Third Party, which Array is not a Catalog Chip.

(aa) “Damages”
shall mean liabilities, claims, demands, actions, suits, losses and damages,
and all costs and expenses (including reasonable attorneys’ fees), paid to
Third Parties in connection with any such item.

(bb) “Database”
shall mean a collection of Datapoints derived from an Array that is made
available for license broadly in whole or in part for use to derive additional
information.

(cc) “Datapoints”
shall mean a base, single nucleotide polymorphism, Gene, or expressed sequence
tag (EST) represented on an Array and comprises all probe pairs on the array
that represent the base, single nucleotide polymorphism, Gene, or EST.

(dd) “Designation”
shall mean all Trademarks, notices and other designations.

(ee) “Development
Chip” shall have the meaning assigned thereto in Section III(a) of the
Supply Agreement.

(ff)   “Development
Plan” shall mean a project plan determined according to the R&D Agreement.

(gg) “Diagnostic
Instrument” shall mean instruments utilized or utilizable to process samples
for or apply samples to a Diagnostic Product, to read or analyze the results of
a Diagnostic Product, or to otherwise facilitate the use of a Diagnostic
Product, including the related instrument control software to operate such
instruments and analyze such results.

(hh) “Diagnostic
Method” shall mean any of the following: (i) genotyping and resequencing human
or human pathogen DNA analysis for the quantitative and/or qualitative
detection of DNA sequences and variants, including, but not limited to,
mutations (including without limitation methylation-based mutations),
deletions, insertions and motif shifts, for any disease, (ii) measuring human
gene expression for cancer and (iii) measuring human gene expression for
Inflammation.

(ii)   “Diagnostic
Product” shall mean a product, product kit, reagent or group of reagents, data
or Database, sold together or separately, utilizing one or more Diagnostic Methods
that contains the essential active reagents and components (other than
Diagnostic Instruments) necessary to measure, observe or determine for
diagnostic purposes human attributes, characteristics, diseases, traits or
other conditions of human beings, that includes (i) one or more Chips and (ii)
reagents and/or enzymes, suitable to perform a detection assay (whether or not
together with a nucleic acid amplification). 
Products developed under the P450 Collaboration Agreement do not,
however, constitute Diagnostic Products and are excluded from the scope of the
Collaboration Agreements.

(jj)   “Diagnostic
Product Agency Agreement” shall mean that certain Diagnostic

 

4

 

Product Agency Agreement, dated as of the Effective
Date hereof, between Affymetrix and Roche.

 

(kk) “Diagnostic
Software” shall mean software necessary to use Diagnostic Products for a
Diagnostic Use other than Instrument Control Software.

(ll)   “Diagnostic
Use” shall mean the diagnostic use of microarrays as a component of a
Diagnostic Product for the measurement, observation or determination of
attributes, characteristics, diseases, traits or other conditions of a human
being or human pathogen for the medical management of a human or where the results
of such use are communicated directly or indirectly to a patient or a medical
professional providing care to a patient for the purpose of treating such
patient but excluding any use for which an Array is utilized (i) at the point
of care for the patient or in a physician’s office (if such physician’s office
would not constitute a Customer hereunder); or (ii) by a consumer who purchased
such microarray via retail or another direct-to-consumer sales channel).

(mm)       “Disclosing Party” shall have the meaning
set forth in Section II(a) of this Agreement.

(nn)           “Distribution Agreement” shall mean that
certain Distribution Agreement, dated as of the Effective Date, between
Affymetrix and Roche.

(oo)           “Effective Date” shall have the meaning
set forth in the preamble to this Agreement.

(pp)           “Executive Representatives” shall have
the meaning set forth in Section III(b)(i).

(qq)           “Existing Technology” means inventions
(whether or not patentable), discoveries, improvements, works of authorship,
copyrightable subject matter, designs, trade secrets, know-how and other
information or technology, and all Intellectual Property Rights therein and
appurtenant thereto, existing as of the Effective Date, excluding Content.

(rr)   “FDA”
shall mean the United States Food and Drug Administration or its successor
agency.

(ss) “Fully
Loaded Cost” shall mean the Party’s cost of goods sold determined on a
quarterly basis for manufacturing and supplying a particular product in
accordance with US GAAP and in a manner that is consistent with such Party’s
methods for determining its product costs as publicly reported, which includes
all costs associated with converting raw starting materials into packaged
product including, but not limited to, raw materials, direct labor, indirect
labor, warranty expenses, Third Party royalties and overhead.

(tt)   “Gene” or
“gene” shall refer to a nucleic acid sequence encoding a distinct RNA. A Gene
may be represented by a partial nucleic acid sequence representing an expressed
sequence tag (“EST”). Multiple ESTs from the same Gene are considered a single
Gene. Polymorphic variants of a nucleic acid sequence are considered a single
Gene, provided that such polymorphic variants must have at least 99% homology
with the underlying Gene. If a nucleic acid sequence encodes multiple distinct
RNAs due to alternative splicing, each alternative 

 

5

 

internal splice variant is considered a distinct Gene.

(uu)                   “Gross Sales” as to a Diagnostic Product,
Diagnostic Instrument or Affymetrix Instruments Sold, as the case may be, means
the total amount invoiced by any person to the end-user, distributor, agent or
the like, on account of or relating to such Sale.

(vv)                   “Improvements” means: (i) for
copyrightable or copyrighted material, each and every translation (including
translations into other computer languages), modification, adaptation,
derivation, enhancement, update, correction, addition, extension, upgrade,
improvement, alteration, compilation, abridgment or other form in which an
existing work may be recast, transformed or adapted; (ii) for patentable or
patented material, any improvements, additions, developments and other
enhancements or changes thereon; and (iii) for materials, processes or other
Intellectual Property which is protected by trade secret, any new materials,
processes or other Intellectual Property relating to such existing trade secret
material, including new materials, processes or other Intellectual Property
which may be protected by copyright, patent and/or trade secret law.

(ww)               “Inflammation” shall mean any disease
entity for which an acute or chronic inflammatory response, typically
characterized by neutrophil infiltration and degranulation and abnormal levels
of mediators like cytokines, is a major cause of or driver for sustaining the
disease, as commonly understood and generally accepted.

(xx)                       “Instrument Control Software” shall mean
Instrument control software currently employed by Affymetrix in the operation
of Affymetrix Instruments, together with any improvements or extensions other
than disease specific software and any other software developed by Affymetrix
for specific applications in the control of Affymetrix Instruments.

(yy)                   “Intellectual Property Rights” or “IPR’s”
shall mean all worldwide statutory or common law rights relating to
Intellectual Property.

(zz)                       “Intellectual Property” shall mean all
(i) patents, patent applications and rights to file patent applications, (ii)
works of authorship, including copyrights, (iii) trade/industrial secrets and
confidential information, (iv) other intangible property rights analogous to
those set forth above, and (v) as applicable, any applications, registrations,
reissues or extensions of any of the foregoing and any divisions, continuations
or continuation-in-part of any applications or substitutes therefor and any
foreign counterparts, now existing or hereafter acquired, but excludes any
trademark, trade name, service mark or similar rights.

(aaa)               “Joint Steering Committee” or “JSC” shall have the meaning set forth in
Section III(d) of this Agreement.

(bbb)            “Joint
Research Management Committee” shall have the meaning given to such term in Section
III(c) of this Agreement.

(ccc)               “JSC Marketing Lead” shall have the meaning set forth in Section
III(d)(i) of this Agreement.

(ddd)            “License
Agreement” shall mean that certain License Agreement, dated as of the 

 

6

 

date hereof, between Affymetrix and Roche.

 

(eee)               "Manufacturing Lockup Point" shall mean the time after which
Roche and Affymetrix have agreed on the manufacturing process to be used to
achieve Chip specifications for use in obtaining Regulatory Approvals.

(fff)                     “Market Development Plan” shall mean for a Diagnostic
Product for any period, a written plan that Roche will develop in conjunction
with Affymetrix, for that Diagnostic Product for such period, as approved by
the Joint Research Management Committee. The Market Development Plan will set
sales and marketing strategy for that Diagnostic Product, including, without
limitation, plans for marketing materials, clinical trials and studies under
the R&D Agreement, trade show participation, advertising, marketing efforts
and the like that Affymetrix will perform and the amounts to be expended and reimbursed
by Roche, as well as a non-binding suggested pricing structure for that
Diagnostic Product and reports that the Parties will exchange related to
marketing efforts. Unless a suggested pricing structure for a period is
specifically changed in a new Market Development Plan, it will remain in effect
and be deemed part of the then applicable Market Development Plan.

(ggg)            “Markup
Percentage” shall mean the percentage mark up over [***] embedded in the [***]
as set forth in the Supply Agreement as of the Effective Date, which percentage
[***] Collaboration.

(hhh)            “Net
Sales” shall mean the gross amount invoiced by Roche or Roche’s Affiliates to
end-users, distributors, agents or the like, for sales of a Diagnostic Product,
less:

(i)    volume discounts, sales
rebates, allowances, returns and sales taxes (to the extent such sales taxes
are invoiced separately by end users’ distributors or agents), in all cases,
other than as included in Sales Expenses; and then

(ii)   [***]% of the remaining
amount after the deduction in (i) above for Sales Expenses; and then

(iii)  if a Reagent Agreement Plan
is utilized for a Diagnostic Product, [***]% of the remaining amount, after the
deductions in (i) and (ii) above, as an agreed deduction for Reagent Rental;
and then

(iv)  to the extent PCR Technology
is included as a functional component of a Diagnostic Product, one of the
following deductions (reflecting the agreed upon value of the Diagnostic
Product attributable to Roche’s PCR Technology from time to time):

(1)           for
Diagnostic Product sales through December 31, 2005, [***]% of the remaining
amount from the sale of such Diagnostic Product;

(2)           for
Diagnostic Product sales after December 31, 2005 through December 31, 2010,
[***]% of the remaining amount from the sale of such Diagnostic Product;

 

 

7

 

(3)           for
Diagnostic Product sales after December 31, 2010 through December 31, 2015,
[***]% of the remaining amount from the sale of such Diagnostic Product; or

(4)           for
Diagnostic Product sales after December 31, 2015, [***].

Notwithstanding
the foregoing, in the case of internal use by Roche or its Affiliate of
Diagnostic Products in connection with providing diagnostic services to
customers on a commercial basis, Net Sales for such Diagnostic Products will be
(i) if such Diagnostic Product is then sold or furnished to Third Parties, the
then current average Net Sales per such Diagnostic Product so sold or
furnished, and (ii) if not then so sold or furnished, a reasonable Net Sales
amount that would apply between Roche and its arm’s length customers, taking
into account the Net Sales amount of any comparable Diagnostic Products and all
other relevant factors.

(iii)        “New
Content” means all new or novel inventions, discoveries or Improvements
relating to, based on or derived from the Content, that are created after the
Effective Date in the furtherance of the Collaboration, whether developed by
Affymetrix or Roche alone, jointly or with a Third Party.

(jjj)        “P450
Collaboration Agreement” shall mean that certain Collaboration Agreement
between Affymetrix and Roche regarding the development, manufacture and
distribution of a diagnostic product relating to cytochrome P450s exclusively.

(kkk)     “Party”
or “party” shall, unless the context requires otherwise, mean Affymetrix or
Roche, as the case may be, and “Parties” or “parties” shall mean both
Affymetrix and Roche.

(lll)        “PCR”
means the polymerase chain reaction process and technology involving the
amplification of a nucleic acid sequence and the complement of that sequence by
repeated cycles of oligonucleotide mediated, template directed synthesis
involving the extension of a component primer oligonucleotide by incorporation
of monomeric nucleotide triphosphates whereby the sequence, its complement and
subsequent synthetic copies thereof are repeatedly separated and used as
templates for further cycles of synthesis.

(mmm)  “PCR
Technology” shall mean the PCR technologies, methods and compositions owned by
or licensed to Roche, including but not limited to patents issued through
December 31, 2005.

(nnn)    “Person”
or “person” shall mean a natural person, corporation, partnership, limited
liability company, trust, joint venture, any governmental authority or any
other entity or organization.

(ooo)    “Pharma
Labs” shall mean laboratories located within pharmaceutical or biotechnology
companies utilized by their own researchers to conduct internal development,
clinical research or clinical trials.

(ppp)    “Physical
Defects” shall mean defects which Roche reasonably determines after
consultation with Affymetrix, to result from the manufacture or handling of
Arrays by 

 

8

 

 

Affymetrix prior to shipment (rather than, for
example, design defects relating to Specifications provided by Roche, or
end-user errors in sample preparation or processing), and to be the cause of
impaired hybridization of a sufficient number of probe pairs to affect the
efficacy or quality of probe set data.

 

(qqq)    “Physician
Office Lab” shall mean a laboratory to which each of the following apply:  (i) it is owned and operated by a
physician or group of up to [***] physician(s) or by a practice management
organization or financing entity that makes it available for the use of not
more than [***] physicians and (ii) [***]% or more of the tests performed
are upon samples taken from patients treated by such physician(s).  Laborgemeinschaften and similar laboratories
are not Physician Office Labs, however.

(rrr)       “Project
Committee” shall have the meaning specified in Section III(a) of this
Agreement.

(sss)     “Project
Plan” means a written agreement that is negotiated, prepared, agreed to and
executed by both parties with respect to any proposed cooperative activity
pursuant to the R&D Agreement, which shall define the terms and conditions
applicable for a specific research and development project, including, without
limitation, schedules of work and annual research plans, agreed annual budgets,
supervision roles for each party, payment obligations and terms, ownership of
IPR’s and Collaboration IP and licensing arrangements between the parties.

(ttt)       “R&D
Agreement” shall mean that certain Research and Development Collaboration
Agreement, dated as of the Effective Date, between Affymetrix and Roche.

(uuu)    “Reagent
Agreement Plan” means a program (whether known as a Reagent Agreement Plan,
Reagent Rental Plan or other successor or similar plan) for the Sale of one or
more Diagnostic Products (without necessary Diagnostic Instruments therefore)
in conjunction with the supply of necessary Diagnostic Instruments and
servicing for a combined price.

(vvv)    “Reagent
Rental Expenses” shall mean services which are included in reagent prices such
as Diagnostic Instrument services costs, Diagnostic Instrument depreciation,
finance expense, disposables and rental fees.

(www)  “Receiving
Party” shall have the meaning set forth in Section II(b) of this Agreement.

(xxx)      “Roche”
shall have the meaning set forth in the preamble to this Agreement.

(yyy)    “Roche
Customers” shall mean purchasers, excluding Roche and its Affiliates, of
Diagnostic Products sold by Roche or its Affiliates.

(zzz)      “Roche
Indemnitees” shall mean Roche and its officers, directors, employees, agents
and representatives and Roche’s Affiliates, their officers, directors,
employees, agents and representatives.

(aaaa)   “Roche
Instruments” shall mean Diagnostic Instruments developed and manufactured by or
for Roche and/or its Affiliates.

 

 

9

 

 

(bbbb)  “Roche Technology”
shall mean the Roche-provided specifications for Diagnostic Products and their
components, PCR Technology, any other technology owned or controlled by Roche
or its Affiliates relating to nucleic acid analysis, and any other technology
owned or controlled by Roche or its Affiliates useful for the performance of
the Collaboration, [***].

(cccc)   “Roche
Trademarks” shall mean the registered and unregistered trademarks, service
marks, trade names, icons, logos, trade dress, and other indications owned by
Roche as may be updated from time to time by Roche without Affymetrix’ prior
consent provided that Roche shall provide written notice to Affymetrix of any
such update.

(dddd)  “Regulatory
Approvals” means, for an applicable product or test, with respect to the United
States, regulatory approval of the FDA, or for any other country or
jurisdiction, regulatory approval from any applicable Regulatory Authority for
such other country or jurisdiction.

(eeee)   “Regulatory
Authority” means any national, supra-national, regional, state or local
regulatory agency, department, bureau, commission, council or other
governmental or quasi-governmental entity, including, without limitation, the
FDA.

(ffff)      “Residuals”
shall mean that information and/or technology which is used incidentally and
retained in the unaided memory of those employees of the Receiving Party who
have had rightful access to designated information and technology of the
Disclosing Party in the course of the Collaboration; provided, however, that
“Residuals” shall not include any information or technology which (i) an
employee of the Receiving Party deliberately commits to memory in order that
such information and technology would be classified as “Residuals” hereunder;
(ii) if used, would have a detrimental effect on the Disclosing Party’s
principal business; or (iii) is related to microarray technology.

(gggg)  “Sale” or
“sale” means the act of selling, leasing or otherwise placing, distributing or
disposing.  “Sell,” “sell,” “Sold” or
“sold” shall have related meanings.

(hhhh)  “Sales
Expenses” shall mean the agreed upon percentage deduction in lieu of deductions
for actual internal expenses of Roche and/or Roche’s Affiliates for (i)
tariffs, duties and taxes imposed upon the production, sale, delivery or use of
a Diagnostic Product and/or Diagnostic Instrument, as applicable (excluding
sales taxes that are separately invoiced to end users’ distributors or agents),
(ii) distribution and other customary expenses, such as freight, transportation
and insurance expenses and (iii) cash discounts, retroactive price reductions
or any credits to end-users on account of settlement of a complaint.

(iiii)       “Software”
shall mean Affymetrix’ instrumentation software, in object code only, for
controlling Affymetrix Instruments.

(jjjj)       “Standstill
Agreement” shall mean that certain Standstill Agreement, dated as of the date
hereof, between Affymetrix and Roche.

(kkkk)   “Supply
Agreement” shall mean that certain Affymetrix Instrument and Chip Supply
Agreement, dated as of the Effective Date, between Affymetrix and Roche.

 

10

 

       (llll)         “Technology” shall mean technology
relating to photolithographic arrays of nucleic acids for the detection of
nucleic acids, and any other technology useful for the performance of the
Collaboration.

(mmmm)        “Third Party” shall mean a person or
entity which is neither a Party to any Collaboration Agreement nor an Affiliate
of a Party to any Collaboration Agreement.

    (nnnn)      “Trademarks” shall mean the Affymetrix
Trademarks and the Roche Trademarks.

    (oooo)      “United States” or “U.S.” means the United
States of America, its territories and possessions, including the Commonwealth
of Puerto Rico.

    (pppp)      “Unserved Territory” shall mean territories
where Affymetrix does not have a direct sales force or distributor of
Affymetrix Instruments.

    (qqqq)      “US GAAP” shall mean United States
generally accepted accounting principles as in effect from time to time,
consistently applied.

II.            Confidentiality.

 

(a)   Use.  Each Party covenants and agrees that, with
respect to the other Party’s Confidential Information, it shall not (except as
permitted by this Section II or with the prior written consent of the
Party who is disclosing, the “Disclosing Party”): (i) disclose
Confidential Information to any person other than its or its Affiliates
employees, counsel, auditors and consultants who, in each case, have a need to
know and have prior to receiving any Confidential Information signed a
nondisclosure agreement, the provisions of which are at least as restrictive as
the provisions of this Section II, or are otherwise bound by obligations
of confidentiality at least as restrictive; (ii) use Confidential Information
in any manner not expressly permitted by the Collaboration Agreements or (iii)
use Confidential Information for the benefit of anyone but the Disclosing Party
or otherwise in pursuit of the Collaboration. 
Each Party shall keep in confidence and prevent the acquisition,
disclosure, use or misappropriation by any person or persons of the other
Party’s Confidential Information, provided, however, that neither Party
shall be liable for disclosure of any such information that is disclosed as
permitted by this Section II or with the prior written consent of the
other Party.

(b)   Degree
of Care.  The Party to whom
Confidential Information is being disclosed (the “Receiving Party”)
shall use the same care to avoid disclosure, publication or dissemination of
Confidential Information as it uses with its own similar confidential
information, provided that the Receiving Party shall use at least
reasonable care.

(c)   Exclusions.  Confidential Information shall not include
any information disclosed to the Receiving Party that it can demonstrate: (i)
previously was in its possession, as shown by its pre-existing records, without
violation of any obligation of confidentiality; (ii) was received from a Third
Party without violation of any obligation of confidentiality; (iii) was
publicly known and made generally available prior to such disclosure; (iv)
becomes publicly known and made generally available, through no action or
inaction of the Receiving Party, after such disclosure; or (v) was
independently developed by the Receiving Party without using Disclosing 

11

 

Party’s Confidential Information.

(d)   Legal
Processes.  If the Receiving Party
is required by law, regulation or the rules of a national stock exchange to
disclose Confidential Information, it shall give the Disclosing Party timely
written notice of such requirement before disclosing any such information and
shall cooperate with the Disclosing Party to seek a protective order,
confidential treatment or other appropriate measures to limit the extent of
disclosure.

(e)   No
Warranty. ALL CONFIDENTIAL INFORMATION IS PROVIDED “AS IS”. EACH PARTY
MAKES NO WARRANTIES, EXPRESS, IMPLIED OR OTHERWISE, REGARDING ITS ACCURACY,
COMPLETENESS OR PERFORMANCE.

(f)    Return
of Materials.  All documents,
software, reagents and other tangible objects containing or including the
Disclosing Party’s Confidential Information and all copies thereof that are in
the Receiving Party’s possession, shall be and remain the property of the
Disclosing Party and shall be, upon the Disclosing Party’s written request,
promptly returned to the Disclosing Party or destroyed, except for a single
copy thereof that may be retained by Receiving Party’s internal or external
legal counsel for the sole purpose of determining the scope of obligations
under the Collaboration Agreements.

(g)   Residuals.  Subject to existing patent and copyright
protection and applicable licenses and unless agreed otherwise in a Project
Plan, each party shall be entitled to use Residuals associated with any
Confidential Information for any purpose whatsoever including use in
development, manufacturing, marketing and maintenance of its products and
services.

(h)   No
Transfer or License.  Nothing in
this Section II is intended to grant or transfer any right to either
Party under any patent, copyright or other Intellectual Property right of the
other Party, nor shall this Section II grant or transfer to any Party
any right in or to the Confidential Information of the other Party except as
expressly set forth herein.

III.                               Management
of Relationship.

(a)   Collaboration
Managers.  Every project for the
development of a Diagnostic Product or Diagnostic Instrument by the Parties
shall have a “Project Committee” that shall oversee such
development.  The members of a
particular Project Committee shall be appointed by the Parties in such number
as decided by the Parties on a project-by-project basis.  In addition, for each project, each Party
will have the right to appoint a “Collaboration Manager” which shall
oversee every Project Committee. The Collaboration Managers will be responsible
for day-to-day communications between the Parties.  Each Party shall appoint its respective  Collaboration Manager promptly following the Effective Date by
giving the other Party written notice.

(i)    Either
Party may change its Collaboration Manager at any time and from time to time by
giving the other Party written notice.

(ii)   The Collaboration Managers will meet every
month to discuss the progress of the development, manufacturing and marketing
efforts and, if applicable, to exchange information.

 

 

12

 

 

(iii)  Collaboration
Managers are not authorized to amend, alter or extend the Collaboration
Agreements in any manner.

(b)   Appointment
of Executive Representatives.

(i)    Each of
Affymetrix and Roche will designate one of its senior executives of level Vice
President or higher to serve as its Executive Representative (each, an “Executive
Representative”) with respect to the business relationship to be
established by the Collaboration Agreements. 
The Executive Representatives are responsible for establishing the high
level goals for the Collaboration and monitoring the activities of the Joint
Research Management Committee.  The
Executive Representatives shall meet as needed at any time upon the reasonable
request of either Party.

(ii)   The
initial Executive Representatives shall be appointed by each Party within ten
(10) days of the Effective Date.  Either
Party may change its Executive Representative from time to time upon written
notice to the other Party, but the Parties agree to exercise this right with
restraint to help ensure reasonable continuity in management of the
relationship.

(c)   Joint
Research Management Committee.  The
Parties shall establish and maintain a Joint Research Management Committee (“Joint
Research Management Committee”) in accordance with the R&D Agreement.

(d)   Joint
Steering Committee.  The Parties
shall establish and maintain a Joint Market Development Management Committee (“Joint
Steering Committee” or “JSC”) in accordance with the following
provisions:

(i)    The Joint
Steering Committee shall consist of six members, three members to be appointed
by each of Affymetrix and Roche, with one of the three being designated each
Party’s JSC Marketing Lead (the “JSC Marketing Lead”).  Each Party may with notice to the other
substitute any of its members serving on the Joint Steering Committee.  The Parties agree to appoint the members
within 10 days of the Effective Date. 
The Joint Steering Committee shall propose recommendations to the
Parties regarding the Market Development Plan(s).  All recommendations of the Joint Steering Committee shall be made
unanimously.  No Chairperson shall be
appointed and each member of the Joint Steering Committee shall have only one
vote.

(ii)   The Joint
Steering Committee shall be responsible for implementing, managing and
reviewing compliance with the Collaboration and shall in particular: (A) review
and propose amendments to the Collaboration Agreements from time to time in
such manner as may be appropriate; (B) monitor progress of the Market
Development Plan(s); (C) report regularly to the Executive Representatives of
the Parties upon the progress of the Market Development Plan(s); and (D) via
each Party’s JSC Marketing Lead, be the initial medium for transfer of
information between the Parties in connection with the Market Development
Plan(s).

(iii)  In the event of any dispute upon any material
matter in connection with the Collaboration Agreements (having used all
reasonable endeavors and negotiated in 

 

13

 

 

good faith), any issue in dispute not resolved by the
Joint Steering Committee within a reasonable time should be referred to the
Executive Representative of each Party (which Executive Representative shall
not be a member of the Joint Steering Committee) for resolution.

 

(e)         Review
of Reagent Agreement Plan Provisions.

 

(i)    The Parties agree that the
current provisions which apply to calculate the royalties under Section
III(c) of the License Agreement in the context of Reagent Agreement Plan
Sales have been developed on the basis of limited financial data.  In order to apply the royalty provisions and
define Net Sales for the purposes of this Agreement, assumptions as to relative
contribution to the value of products offered through Reagent Agreement Plans
have been made.  In order to refine the
application in a fair fashion once more information and market experience has
been obtained in the sale of Diagnostic Products, the Parties agree to meet and
negotiate in good faith to determine the formulas or amounts to apply in
determining royalties on Diagnostic Product Sales within [***] days of the date
[***] years from the date of this Agreement. 
The Parties agree that a purpose of potential revisions to the Agreement
will be to properly recognize the value contributed by Roche in connection with
Reagent Agreement Plans as well as to provide Affymetrix the benefit of its
royalties independent of the business model chosen to sell products and
maximize mutual economic advantage.

(ii)   In order to assist in
monitoring the fairness of the terms of the financial provisions of the
Collaboration Agreements, the Parties agree that they will jointly prepare,
with each party providing such information as it has access to, an annual
report solely for their respective internal uses and for the purposes of this
Agreement, covering the prior year including the following information:

(1)           the
[***] to customers of [***] under [***] in such year;

(2)           the
[***] for [***] or [***] to Third Parties both under [***] and [***] during
such year;

(3)           information
with respect to the [***] or [***] for [***] comparable to [***] under [***] by
Roche or Third Parties or other specifically identified factors relevant to
evaluating the [***] that [***] of [***] under [***] during such year; and

(4)           a
breakdown of the [***] to [***] with an explanation for [***].

IV.           Dispute Resolution.    With the exception of interim equitable
relief, neither Party will institute legal proceedings regarding a bonafide
dispute until it has exercised reasonable good faith efforts to achieve
resolution through the procedures outlined in the Section IV.

 

(a)   Project
Disputes.  If for any particular
Project, a dispute arises between the Parties or the Parties disagree on any
issue, such dispute shall first be attempted to be resolved by the
Collaboration Managers, if any, or the Joint Research Management Committee if 

 

14

 

 

Collaboration Managers have not yet been appointed.  If such dispute cannot be resolved by the
Collaboration Managers (or the Joint Research Management Committee, as the case
may be) within two weeks, such dispute shall be submitted to the Executive
Representatives of each of the Party for resolution.  If such dispute cannot be resolved by the Executive
Representatives within two weeks thereafter, such shall be submitted to an
Executive Vice President (or person of equivalent status) of each of the
Parties for resolution.  If such dispute
cannot be resolved by the Executive Vice Presidents within two weeks
thereafter, such dispute shall be submitted to the Chief Executive Officers of
each of the Parties for resolution.  Any
dispute that remains unresolved by the Chief Executive Officers, shall be
submitted to arbitration as set forth in Section IV(c) below.

(b)   Joint
Steering Committee Disputes.  If a
dispute arises between the Joint Steering Committee members on any issue
relating to research and development, such dispute shall first be attempted to
be resolved by the Joint Steering Committee. 
If such dispute cannot be resolved by the Joint Steering Committee
within two weeks, such dispute shall be submitted to the Executive
Representatives of each of the Party for resolution.  If such dispute cannot be resolved by the Executive
Representatives within two weeks thereafter, such shall be submitted to an
Executive Vice President (or person of equivalent status) of each of the
Parties for resolution.  If such dispute
cannot be resolved by the Executive Vice Presidents within two weeks
thereafter, such dispute shall be submitted to the Chief Executive Officers of
each of the Parties for resolution.  Any
dispute that remains unresolved by the Chief Executive Officers, shall be
submitted to arbitration as set forth in Section IV(c) below.

(c)  Mediation.  If a resolution cannot be reached utilizing
the foregoing procedures set forth in Section IV(b) above within 60
days, the Parties agree that such dispute shall be submitted to non-binding
mediation and shall be submitted to JAMS, or its successor, for mediation, and
if the matter is not resolved through mediation, then it shall be submitted to
JAMS, or its successor, for final and binding arbitration as set forth in Section
IV(d) below. Either Party may commence mediation by providing to JAMS and
the other Party a written request for mediation, setting forth the subject of
the dispute and the relief requested. The Parties will cooperate with JAMS and
with one another in selecting a mediator from JAMS’ panel of neutrals, and in
scheduling the mediation proceedings. The Parties covenant that they will
participate in the mediation in good faith, and that they will share equally in
its costs. All offers, promises, conduct and statements, whether oral or
written, made in the course of the mediation by any of the Parties, their
agents, employees, experts and attorneys, and by the mediator or any JAMS
employees, are confidential, privileged and inadmissible for any purpose,
including impeachment, in any arbitration or other proceeding involving the
Parties, provided that evidence
that is otherwise admissible or discoverable shall not be rendered inadmissible
or non-discoverable as a result of its use in the mediation. Either Party may
initiate arbitration with respect to the matters submitted to mediation by
filing a written demand for arbitration at any time following the initial
mediation session or 45 days after the date of filing the written request for
mediation, whichever occurs first. The mediation may continue after the
commencement of arbitration if the Parties so desire. Unless otherwise agreed
by the Parties, the mediator shall be disqualified from serving as arbitrator
in the case. The provisions of this Section IV(c) may be enforced by any
court of competent jurisdiction.  The
Parties will pay their own costs (including, without limitation, attorneys
fees) and expenses in connection with such mediation.

 

15

 

(d)   Arbitration.
 If a resolution cannot be reached utilizing the foregoing
procedures set forth in Section IV(c) above within 60 days of
termination of the mediation, such dispute shall be submitted to binding
arbitration for final settlement (in lieu of litigation) as set forth in Section
VI(c) hereof.  Notwithstanding the foregoing,
either Party shall be entitled to proceed in any manner in order to receive
interim equitable relief against the other Party.

V.            Ownership of Diagnostic Products
and Instruments.  Unless otherwise
agreed between the Parties and set forth in any Project Plan, and subject only
to the rights and license grants expressly set forth in the Collaboration
Agreements and/or in any Project Plan:

(a)   Existing Technology.  Each Party shall have and retain all right,
title and interest in and to its Existing Technology.  Without limiting the foregoing, subject only to the express
license grants under this Agreement and/or in any Project Plan, Affymetrix owns
and retains all right, title and interest in and to the Affymetrix Technology
existing as of the Effective Date and Roche owns and retains all right, title
and interest in and to the Roche Technology existing as of the Effective Date.

(b)   Collaboration IP.

(i)    Collaboration IP relating
to the manufacture or design of photolithographic microarrays (other than the
Content placed thereon) or of packaging for photolithographic microarrays or to
Instrument Control software (as opposed to disease-specific software or
software which is developed specifically for a Roche Instrument) for analyzing
the results of tests conducted with photolithographic microarrays shall be
owned exclusively by Affymetrix, irrespective of the inventor or which Party
bore the cost of developing the same.

(ii)   Subject to (i) above, Collaboration
IP relating to Roche Diagnostic Products, Roche Instruments and software for
analyzing the results of tests using Diagnostic Products which is
disease-specific or which is developed specifically for a Roche Instrument, and
all data arising from all trials and usage of Diagnostic Products and all
Regulatory Approvals related thereto, shall be owned exclusively by Roche, and
Collaboration IP relating to Affymetrix Diagnostic Products, Affymetrix
Instruments and software for analyzing the results of tests using such
Diagnostic Products which is disease-specific or which is developed
specifically for an Affymetrix Instrument, and all data arising from all trials
and usage of such Diagnostic Products and all Regulatory Approvals related
thereto, shall be owned exclusively by Affymetrix irrespective of the inventor
or which Party bore the cost of developing the same.

(iii)  Subject to
(i) and (ii) above, Collaboration IP relating to or based on the Affymetrix
Technology (or other Existing Technology or Intellectual Property Rights of
Affymetrix), including, without limitation, all Improvements thereof or thereto
shall be owned exclusively by Affymetrix, and Collaboration IP relating to or
based on the Roche Technology (or other Existing Technology or Intellectual
Property Rights of Roche), including, without limitation, all Improvements
thereof or thereto shall be owned exclusively by Roche, in each case regardless
of the inventor.

 

 

16

 

 

Accordingly, unless otherwise
expressly agreed between the Parties and set forth in any Project Plan, and
subject only to the rights and license grants expressly set forth in the
Collaboration Agreements and/or in any Project Plan, neither Party nor any of
its Affiliates will have any right or license to use, make, have made, copy,
distribute, adapt, prepare derivatives of, display, perform, Sell, import or
sublicense any Diagnostic Product, Roche Instrument or Affymetrix Instrument so
developed by Roche or Affymetrix, as the case may be, or any data or regulatory
approvals related thereto, or authorize or purport to authorize any Third Party
to do any of the foregoing, and/or to the extent expressly provided in any
Collaboration Agreement.  Each Party
hereby agrees to assign and transfer, and hereby assigns and transfers to the
other Party, any and all right, title and interest such Party has or may have,
as and from the date of creation, in and to any Intellectual Property Rights in
Intellectual Property created after the Effective Date in the course of the
Collaboration necessary to effect the allocation of ownership rights set forth
in this Section.  Each Party agrees to
cooperate with the other and take all reasonable additional actions and execute
such agreements, instruments and documents as may be reasonably required to
perfect the other’s ownership interest in accordance herewith including,
without limitation, the execution and delivery of necessary and appropriate
instruments of assignment (in recordable form, where appropriate or when
requested).

VI.                                 General.

(a)   Amendment
and Waiver.  Except as otherwise
expressly provided therein, no provision of any Collaboration Agreements may be
modified, amended, rescinded, canceled or waived (either generally or in any
particular instance and either retroactively or prospectively) except by a
written instrument signed by the Parties thereto; provided that any
unilateral undertaking or waiver by one Party in favor of the other shall be
enforceable if undertaken in a writing signed by the Party to be charged. The
failure of either Party to enforce its rights under any Collaboration Agreement
at any time for any period shall not be construed as a waiver of such rights.

(b) Governing Law. 
This Agreement and the other Collaboration Agreements shall be governed
by and construed under the laws of the State of California without regard to
conflicts of laws provisions thereof that would require the application of the
law of any other jurisdiction, and without regard to the United Nations Convention
on Contracts for the International Sale of Goods. Any dispute, claim or
controversy arising out of or relating to this Agreement or any other
Collaboration Agreement or the breach, termination, enforcement, interpretation
or validity hereof or thereof, including the determination of the scope or
applicability of this Agreement or any other Collaboration Agreement to
arbitrate, shall be determined by final and binding arbitration in San
Francisco, California (except for an action for intereim equitable relief
otherwise permitted under the Collaboration Agreements and/or unless otherwise
agreed by the Parties), before a sole arbitrator, in accordance with the laws
of the State of California for agreements made in and to be performed in that
State. The arbitration shall be administered by JAMS (or its successor)
pursuant to its Comprehensive Arbitration Rules and Procedures; provided,
however, if the Parties mutually elect, the arbitration can be
administered by JAMS pursuant to its Streamlined Arbitration Rules and
Procedures instead of its Comprehensive Arbitration Rules and Procedures.  The arbitrator’s decision shall be reduced
to 

 

17

 

 

writing, signed by the
arbitrator, and mailed to each of the parties and their legal counsel.  All decisions of the arbitrator shall be
final, binding and conclusive on the parties. 
The arbitrator or a court of appropriate jurisdiction may issue a writ
of execution to enforce the arbitrator’s judgment.  Judgment may be entered upon such a decision in accordance with
applicable law in any court having jurisdiction thereof.  The Parties will pay their own costs
(including, without limitation, attorneys fees) and expenses in connection with
such arbitration.  Notwithstanding the
foregoing, the Parties acknowledge that each Party’s performance under this
Agreement and each of the other Collaboration Agreements is unique and may not
be easily or readily performed by another party and hereby agree that specific
performance may be considered by the arbitrator as a resolution to any dispute.

 

(c)   Remedies.  The rights and remedies of a party set forth herein with respect
to failure of the other to comply with the terms of this Agreement (including,
without limitation, rights of full termination of this Agreement) shall be finally settled
exclusively by binding arbitration as set forth in Section VI(b).  Notwithstanding the foregoing, either party shall be entitled to proceed in any manner in order to receive interim equitable relief against the
other party.

(d)   Headings.  Headings and captions in each of the
Collaboration Agreements are for convenience only and are not to be used in the
interpretation of the Collaboration Agreements.

(e)   Notices.  All notices and requests required or
authorized hereunder except as otherwise set forth therein in the Collaboration
Agreements, shall be given in written form either by facsimile, personal
delivery to the Party to whom notice is given, or by certified mail, postage
prepaid, return receipt requested. 
Separate notice is specifically provided in Section VII(a) of the
Supply Agreement.  Notice given by
facsimile shall be deemed delivered as of the date of the facsimile
confirmation, provided such facsimile is confirmed in writing, mailed or
personally delivered promptly thereafter. 
The date upon which any other notice is delivered, or if the notice is
given by certified mail, the date five days after it is deposited in the U.S.
mails, shall be deemed to be the date of such notice, irrespective of the date
appearing therein.  In addition, the
address of the Parties may be changed by notice given in accordance with this
Section.

	
  Affymetrix:

  	
   

  	
  Affymetrix,
  Inc.

  
	
   

  	
   

  	
  3380 Central
  Expressway

  
	
   

  	
   

  	
  Santa
  Clara, California 95051

  
	
   

  	
   

  	
  Attention:

  	
  General
  Counsel

  
	
   

  	
   

  	
  Telephone:

  	
  (408)
  731-5151

  
	
   

  	
   

  	
  Facsimile:

  	
  (408)
  731-5394

  
	
   

  	
   

  	
   

  	
   

  
	
  With a copy to:

  	
   

  	
  Milbank,
  Tweed, Hadley & McCloy LLP

  
	
   

  	
   

  	
  Five
  Palo Alto Square

  
	
   

  	
   

  	
  3000
  El Camino Real

  
	
   

  	
   

  	
  Palo
  Alto, California 94306

  
	
   

  	
   

  	
  Attention:

  	
  Douglas
  A. Tanner, Esq.

  
	
   

  	
   

  	
  Telephone:

  	
  (650)
  739-7000

  
	
   

  	
   

  	
  Facsimile:

  	
  (650)
  739-7100

  

 

 

18

 

	
  Roche:

  	
   

  	
  F.
  Hoffmann-La Roche, Ltd.

  
	
   

  	
   

  	
  Grenzacherstrasse
  124

  
	
   

  	
   

  	
  CH-4070
  Basel

  
	
   

  	
   

  	
  Switzerland

  
	
   

  	
   

  	
  Attention:

  	
  Head,
  Diagnostic Division

  
	
   

  	
   

  	
  Telephone:

  	
  +41
  (61) 688-7100

  
	
   

  	
   

  	
  Facsimile:

  	
  +41
  (61) 691-9757

  
	
   

  	
   

  	
   

  	
   

  
	
  With a copy to:

  	
   

  	
  Roche Molecular Systems

  
	
   

  	
   

  	
  4300 Hacienda Drive

  
	
   

  	
   

  	
  Pleasanton, California 94588

  
	
   

  	
   

  	
  Attention:

  	
  General
  Counsel

  
	
   

  	
   

  	
  Telephone:
  

  	
  (925)
  730-8030

  
	
   

  	
   

  	
  Facsimile:

  	
  (510)
  814-2956

  
	
   

  	
   

  	
   

  	
   

  

 

(f)    Entire
Agreement.  Each of the
Collaboration Agreements constitutes and expresses the final, complete and
exclusive agreement and understanding between the Parties with respect to its
subject matter and supersedes all previous and contemporaneous communications,
representations or agreements, whether written or oral, with respect to the
subject matter thereof.

(g)   Severability.  If any term or provision of any of the
Collaboration Agreements is found to be invalid under any applicable statute or
rule of law, then that provision notwithstanding, such Collaboration Agreement
shall remain in full force and effect and such provision shall be deleted
unless such a deletion would frustrate the intent of the Parties with respect
to any material aspect of the relationship established thereby, in which case,
such Collaboration Agreement and the licenses and rights granted thereunder
shall be deemed amended in such a manner as to most closely approximate the
original intention of the Parties while remaining valid under such applicable
statute or rule of law.

(h)   Relationship
of Parties.  The relationship
between or among the Parties and any of their Affiliates created by the
Collaboration Agreements, individually and as a whole, is that of independent
contractors and no other relationship is intended, including a partnership,
franchise, joint venture or (except as specifically set forth in the Agency
Agreement) agency. Each Party hereby waives the benefit of any state or federal
statutes dealing with the establishment and regulation of franchises.

(i)    Assignment.  The Collaboration Agreements and the rights
thereunder are not transferable or assignable without the prior written consent
of the Parties thereto, and any such attempted assignment or transfer shall be
void and without effect, except for rights to payment and except to a person or
entity who acquires, in the case of Affymetrix, all or substantially all of
Affymetrix’ assets or business, or, in the case of Roche, all or substantially
all the assets or business of the diagnostic business units, worldwide, of F.
Hoffmann-La Roche Ltd. and its Affiliates, taken as a whole, in each case
whether by sale, merger or otherwise.

(j)    Publicity
and Press Releases.  The Parties
will cooperate in good faith in the preparation of all joint press releases (if
any) in connection with the relationship established 

19

 

under the Collaboration Agreements. The content, form and timing of all
joint press releases must be acceptable to each Party.  Each Party shall be responsible for the
preparation, content, form and timing of its own unilateral press releases;
provided, that such Party shall: (i) submit the proposed release to the other
for review in a manner timely to the anticipated release date for the press
release; and (ii) consider, in good faith, suggestions regarding additions,
deletions and/or changes made by the other Party.  The Parties may jointly create a briefing document including
appropriate responses to press inquiries regarding the Collaboration Agreements
and the relationship formed hereunder, to be distributed as a guide to
appropriate executives of the Parties. 
To the extent any proposed disclosure under this Section VI(j)
includes financial information or data identified to the Collaboration
Agreements, such disclosure shall be treated as Confidential Information
pursuant to Section II(d).

(k)   Force
Majeure.  If the performance of any
obligation under any Collaboration Agreement is prevented, restricted or
interfered with by any reason of fire, flood, earthquake, explosion or other
casualty or accident, strikes or labor dispute, inability to procure or obtain
delivery of parts, supplies or power, war, 
terrorism or other violence, any law, order, proclamation, regulation,
ordinance, demand or requirement of any governmental agency, the Party so
affected, upon giving prompt notice to the other Party, shall be excused from
such performance to the extent of such prevention; provided, however,
that the Party so affected shall resume performance hereunder with dispatch
whenever such causes are removed and shall reasonably cooperate with the other
Party to cause any such cause to be removed.

(l)    Performance
by Affiliates.  To the extent that
any term or provision of the Collaboration Agreements contemplates, permits or
requires performance by any Affiliate of a Party, such Party shall cause each
such Affiliate to perform each and every obligation of such Party under such
Collaboration Agreement in accordance with the terms and conditions hereof.  Further, it is expressly understood that a
Party may from time to time perform some or all of its obligations hereunder
through one or more of its Affiliates, and such Affiliates are and shall be
intended Third Party beneficiaries of this Agreement.

(m)  Consents.  Each Party will use its reasonable efforts
to obtain any regulatory consents or Third Party approvals required for the
performance of any and all of its obligations hereunder.

(n)   Basis of
Bargain.  EACH PARTY RECOGNIZES AND
AGREES THAT THE WARRANTY DISCLAIMERS AND REMEDY LIMITATIONS IN THE
COLLABORATION AGREEMENTS ARE MATERIAL BARGAINED FOR BASES OF SUCH AGREEMENT AND
THAT THEY HAVE BEEN TAKEN INTO ACCOUNT AND REFLECTED IN DETERMINING THE
CONSIDERATION TO BE GIVEN BY EACH PARTY UNDER SUCH COLLABORATION AGREEMENT AND
IN THE DECISION BY EACH PARTY TO ENTER INTO SUCH COLLABORATION AGREEMENT.

(o)   Counterparts.  Each of the Collaboration Agreements may be
executed in counterpart signatures, each of which will be deemed an original,
but all of which together will constitute one and the same instrument.

20

 

IN WITNESS WHEREOF, the
undersigned have executed this Agreement as of the Effective Date. 

	
  AFFYMETRIX:

  	
  ROCHE:

  
	
   

  	
   

  
	
  Affymetrix,
  Inc.

  	
  F.
  Hoffmann-La Roche Ltd.

  
	
   

  	
   

  
	
  By:

  	
  /s/ Barbara
  A. Caulfield

  	
   

  	
  By:

  	
  /s/ Heino
  von Prondzynski

  	
   

  
	
   

  	
  Name:

  	
  Barbara A.
  Caulfield

  	
   

  	
   

  	
  Name: Heino
  von Prondzynski 

  	
   

  
	
   

  	
  Title:

  	
  Executive
  Vice President and General

  	
   

  	
   

  	
  Title: Head,
  Diagnostic Division

  	
   

  
	
   

  	
   

  	
  Counsel

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
  By:

  	
  /s/ Gregory
  F. Heath  

  	
   

  
	
   

  	
   

  	
  Name:
  Gregory F. Heath

  
	
   

  	
   

  	
  Title: Head,
  Business Development and Licensing

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00052-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00052-of-00352.parquet"}]]