Document:

Sponsored Research Agreement with Dartmouth

 PORTIONS OF THIS EXHIBIT WERE OMITTED AND HAVE BEEN FILED SEPARATELY WITH THE SECRETARY OF THE COMMISSION
PURSUANT TO AN APPLICATION FOR CONFIDENTIAL TREATMENT UNDER RULE 406 OF THE SECURITIES ACT; [***] DENOTES OMISSIONS. 
 Exhibit
10.9 
 DARTMOUTH - MASCOMA CORPORATION 
 SPONSORED RESEARCH AGREEMENT 
 This Agreement,
effective this 1st day of April 2006, between TRUSTEES OF DARTMOUTH COLLEGE, a non-profit educational institution existing under the laws of the State of New Hampshire, and being located at Hanover, New Hampshire 03755, hereinafter
called Dartmouth, and MASCOMA CORPORATION, a Delaware corporation, with a principal place of business at 161 First Street, 2nd Floor East, Cambridge, Massachusetts, 02142, hereinafter called MASCOMA. 

WHEREAS, Dartmouth under the direction of Principal Investigator Lee Lynd, Ph.D., wishes to further research and development for
biological and chemical processes for conversion of biomass into ethanol and other products capable of volume production (the “Research Field”), as described in the Research Plan (Attachment B); and 

WHEREAS, MASCOMA wishes to sponsor such research under the terms and conditions hereinafter set forth; and 

WHEREAS, Dartmouth has provided initial development of the technology, and Dartmouth and MASCOMA have jointly pursued in further
improvements thereof; and 
 WHEREAS, Dartmouth and MASCOMA have agreed upon the terms of an exclusive license agreement
to be concluded, hereinafter referred to as “License Agreement”; 
 NOW THEREFORE, in consideration of the
premises and the mutual promises herein contained, IT IS AGREED: 
 Section 1. Affiliate.
“Affiliate” shall mean a legal entity at least 50% of the voting stock of which is owned directly or indirectly by MASCOMA. 
 Section 2. Agreement. “Agreement” shall mean this Sponsored Research Agreement. 
 Section 3. Effective Date. “Effective Date” shall mean the date first written above and shall be the Effective Date of this Agreement. 

Section 4. Know-How. 
 (a) “Dartmouth Know-How” shall mean the ideas, methods, inventions, improvements, characterization and techniques hereinafter developed by Dartmouth pursuant to the terms of this Agreement.

 (b) “Patentable Know-How” shall mean any Dartmouth Know-How that Dartmouth believes, or has reason to believe, may
be eligible for patent protection under the laws of the United States or any foreign governmental entity. 
 Section 5.
Dartmouth Patent Rights. “Dartmouth Patent Rights” shall mean any United 

  
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States or Foreign Patent applications and any United States or Foreign Patent issuing from such applications, and any continuations, continuations-in-part, divisions, reissues, reexaminations or
extensions thereof, owned or assignable to Dartmouth, containing one or more claims based upon Dartmouth Know-How. For avoidance of doubt, “Dartmouth Patent Rights” shall include, without limitation, patents and patent applications filed
after the expiration of the Contract Period which contain one or more claims based upon Dartmouth Know-How, or Dartmouth Inventions, as defined in Section 9. 
 Section 6. Joint Patent Rights. “Joint Patent Rights” shall mean any United States or foreign patent applications and any United States or Foreign Patent issuing from such
applications, and any continuations, continuations-in-part, divisions, reissues, reexaminations or extensions thereof, of which at least one inventor is a MASCOMA Inventor and at least one inventor is a Dartmouth Inventor (as both terms are defined
in Section 9). 
 Section 7. Contract Period. The “Contract Period” shall mean the period commencing
on the Effective Date and ending two years thereafter. MASCOMA shall have the option, subject to the development of a research plan to which Dartmouth consents, which consent shall not be unreasonably withheld, to extend the Contract Period for
subsequent one-year periods (each, an “Extension Period”) by providing written notice to Dartmouth of its desire to exercise such an option. 
 Section 8. Research Support. MASCOMA shall provide research support to Dartmouth for laboratory research within the Research Field at a level of $1,823,713 for the Contract Period (the
“Research Support”), according to the budget (the “Research Budget”) which makes up Attachment A, and the research plan which makes up Attachment B (the “Research Plan”). Subject to MASCOMA’s approval, which
approval will not be unreasonably withheld, Dartmouth shall have the flexibility to rebudget the funds as necessary during the Contract Period so as to provide the Principal Investigator the opportunity to use the funds as he deems most reasonable
to achieve the goals of the Research Plan, provided that the funds are used within the scope of the Research Plan. Dartmouth shall use its best efforts to perform the research as described in the Research Plan. To the extent that Dartmouth does not
spend the Research Support in accordance with the Research Budget and the Research Plan during the Contract Period, the unspent Research Support shall be applied to research support of Dartmouth by MASCOMA during an Extension Period according to a
research plan agreed upon between Dartmouth and MASCOMA. “Research Support” shall additionally include any funds which MASCOMA provides to Dartmouth to match grant funding from the U.S. Department of Energy or another U.S. governmental
agency to support Dartmouth research in the Research Field (“Grant Funding”). For purposes of this Agreement, the phrase “arising from the Research Support” shall include any research supported by Grant Funding provided that
MASCOMA’s contribution to such research equals 20% or more of the Grant Funding. 
 Section 9. Inventions. All
inventions arising from the Research Support conceived solely by Dartmouth Inventors (defined below) shall be assigned to Dartmouth; for the purpose of this Agreement, such inventions are “Dartmouth Inventions”. All inventions conceived
solely by the MASCOMA Inventors (defined below) shall be assigned to MASCOMA; for the purpose of this Agreement, such inventions are “Mascoma Inventions”. For inventions that are conceived jointly by Dartmouth and MASCOMA Inventors,
Dartmouth and MASCOMA will hold joint title. For purposes of this Agreement, “Dartmouth Inventor” shall mean a Dartmouth employee or student 

  
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working in his or her capacity as a Dartmouth employee or student as defined by Dartmouth policies; and “MASCOMA Inventor” shall mean a MASCOMA employee or a consultant to MASCOMA
working in his or her capacity as a consultant to MASCOMA. 
 Section 10. Improvements. “Improvements”
shall mean any patents or patent applications, which generically or specifically claim: (a) priority to any of the patents or patent applications that are “Dartmouth Patent Rights” under the License Agreement with the exception of the
“Excluded Intellectual Property”, as defined in the License Agreement; or (b) any improvements on the “Licensed Methods” within the “Field”, as both terms are defined in the License Agreement. All Improvements
shall be assignable to Dartmouth and shall become subject to the License Agreement as “Dartmouth Patent Rights” or “Dartmouth Know-How”, as appropriate, for all purposes thereof. 

Section 11. License Rights. Dartmouth hereby grants MASCOMA the option to obtain a world-wide, royalty-bearing license
under Dartmouth Patent Rights, and Dartmouth Know-How, and Joint Patent Rights, to make, have made, use and sell (in a designated field of use, where appropriate) the products embodying or produced through the use of Dartmouth’s or joint
inventions, which are not Improvements, at reasonable terms and conditions as the parties may agree; except to the extent of any rights required to be granted to the Government of the United States of America pursuant to 35 U.S.C.
§§200-211. MASCOMA shall have the right during the Contract Period and for a period of forty five (45) days after the expiration of the Contract Period to exercise this option. If within ninety (90) days from the option exercise
after good faith negotiations parties fail to reach an agreement on the license terms, or if MASCOMA decides to forgo the option, Dartmouth shall be free to offer commercial license rights to any third party or to dispose of its inventions or other
rights resulting therefrom in any other way it deems appropriate. 
 Section 12. Patents and Patent Expenses.
MASCOMA will reimburse Dartmouth for all costs associated with obtaining and maintaining Dartmouth Patent Rights. The foregoing notwithstanding, if MASCOMA decides that it does not want to pay for the costs of patent prosecution or maintenance
of a particular aspect of Dartmouth Patent Rights in a particular country, MASCOMA shall have no obligation to reimburse Dartmouth for such costs and such Dartmouth Patent Rights in such country shall cease to be subject to the license granted to
MASCOMA under the License Agreement or, in the event that such Dartmouth Patent Rights are not subject to the license granted to MASCOMA under the License Agreement, the option granted under Section 11 to MASCOMA by Dartmouth shall lapse in
respect to the Dartmouth Patent Rights for which MASCOMA declines to reimburse the cost to Dartmouth. Dartmouth shall also have the right to obtain patent protection on its own and at its own expense for Joint Patent Rights in the names of Dartmouth
and MASCOMA in any country for which MASCOMA decides not to pay the costs of obtaining such patent protection in such country, and Dartmouth’s interest in such Joint Patent Rights in such country shall cease to be subject to the license granted
to MASCOMA under the License Agreement or, in the event that such Joint Patent Rights are not subject to the license granted to MASCOMA under the License Agreement, the option granted under Section 11 to MASCOMA by Dartmouth shall lapse in
respect to Dartmouth’s rights under Joint Patent Rights. Dartmouth agrees that it will consult with MASCOMA on prosecution of patent applications containing claims based on Dartmouth Know-How which are the subject to the License Agreement or
option granted Section 11, and will make a good faith effort to incorporate MASCOMA’s reasonable comments. 

  
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Section 13. Mutual Confidentiality. MASCOMA and Dartmouth realize that some information received by one party from the other
pursuant to this Agreement shall be confidential. It is therefore agreed that any information received by one party from the other, and clearly designated in writing as “CONFIDENTIAL” at the time of transfer, shall not be disclosed
by either party to any third party and shall not be used by either party for purposes other than those contemplated by this Agreement for a period of three (3) years from the termination of the Agreement, unless or until — 

(a) said information shall become known to third parties or shall become publicly known through no fault of the receiving party, or

 (b) said information was already in the receiving party’s possession prior to the disclosure of said information to the
receiving party, except in cases when the information has been covered by a preexisting confidentiality agreement, or 
 (c) said
information shall be subsequently disclosed to the receiving party by a third party who is not under any obligation of confidentiality to the disclosing party, or 
 (d) said information is approved for disclosure by prior written consent of the disclosing party, or 
 (e) said information is independently developed by receiving party or its representatives entirely without reference to information received from the disclosing party and marked confidential, or

 (f) said information is required to be disclosed by court rule or governmental law or regulation, provided that the receiving
party gives the disclosing party prompt notice of any such requirement and cooperates with the disclosing party in attempting to limit such disclosure. 
 Section 14. Corporate Action. Dartmouth and MASCOMA each represent and warrant to the other party that they have full power and authority to enter into this Agreement and carry out the
transactions contemplated hereby and that all necessary corporate action had been duly taken in this regard. 

Section 15. Payments. For the rights and privileges granted under this Agreement, MASCOMA shall pay to Dartmouth 12% of the
Research Support listed in Section 8 within 30 days of the execution of this Agreement and the remaining 88% in eight equal quarterly payments thereafter. Each of the quarterly payments shall be due within 30 days of the passage of successive
three months increments from the Effective Date. 
 Section 16. Reports. Dartmouth shall furnish MASCOMA written
quarterly reports during the term of this Agreement summarizing the research conducted in accordance with the Research Plan. A final written report stating the accomplishments and significant research findings shall be submitted to MASCOMA within
ninety (90) days of the expiration of this Agreement. 
 Section 17. Publications. Dartmouth retains the rights
to report on the results of research 

  
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under this Agreement in professional journals, meetings, seminars, and the like. Appropriate recognition of MASCOMA’s support will be included in all such reports. However, in recognition of
MASCOMA’s desire for patent protection, Dartmouth shall provide MASCOMA with the final draft of any manuscripts and disclosures, to be made orally or in any other manner, including, without limitation, electronic communication, describing
results of research arising from the Research Support at least sixty (60) days prior to publication or disclosure. 

Section 18. Use of Name. MASCOMA shall not use and shall not permit to be used by any other person or entity the name of
Dartmouth, nor any adaptation thereof, or the name of Dartmouth’s employees, in any advertising, promotional or sales literature, or for any other purpose without prior written permission of Dartmouth. 

Section 19. Indemnity. MASCOMA shall defend and indemnify and hold Dartmouth its trustees, employees, officers and agents
harmless for any judgments and other liabilities based upon claims or causes of action against Dartmouth or its employees which arise out of (i) the design, production, development, manufacture, sale, use in commerce, lease or promotion by
MASCOMA, its Affiliates, agents and sublicensees of any product, process or service relating to, or developed pursuant to, this Agreement or (ii) any other activities to be carried out pursuant to this Agreement, except to the extent that such
judgments or liabilities arise in whole or in part from the gross negligence or willful misconduct of Dartmouth or its employees. Dartmouth agrees to promptly notify MASCOMA of any such claim coming to its attention and to cooperate fully with
MASCOMA in the defense of such claim. If any such claims or causes of action are made, Dartmouth shall be defended by counsel to MASCOMA, subject to Dartmouth’s approval, which shall not be unreasonably withheld.  

DARTMOUTH MAKES NO WARRANTIES, EXPRESS OR IMPLIED, CONCERNING 

THE RESULTS OF RESEARCH PERFORMED UNDER 
 THE RESEARCH PLAN OR OF THE MERCHANTABILITY OR FITNESS FOR 
 A PARTICULAR
PURPOSE OF SUCH RESEARCH OR RESULTS 
 Section 20. Termination. Performance under this Agreement may be
terminated by MASCOMA upon sixty (60) days written notice; performance may be terminated by Dartmouth if circumstances beyond its control preclude continuation of the research. Upon termination, Dartmouth will be reimbursed as specified in
Section 14 for all costs and non-cancelable commitments incurred in the performance of the research, such reimbursement not to exceed the total estimated project cost specified in Section 8. 

Section 21. Prior Obligations. Termination of this Agreement for any reason shall not release either party from any
obligation theretofore accrued. 
 Section 22. Governing Law. This Agreement shall be construed, governed,
interpreted and enforced according to the substantive laws of the State of New Hampshire without regard to its principles of conflicts of laws. 
 Section 23. Notices. Any notice or communication required or permitted to be given by either party hereunder, shall be deemed sufficiently given, if mailed by certified mail, return receipt
requested, and addressed to the party to whom notice is given as follows: 

  
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	 If to MASCOMA, to:
	  	
		  	 Colin South, President

Mascoma Corporation
 161 First Street, 2nd Floor East
 Cambridge, MA 02142

		
	with a copy, which copy shall not constitute notice, to:	  	
		  	 Peter M. Rosenblum, Esq.

Foley Hoag LLP
 155 Seaport Boulevard

Boston, MA 02210

		
	If to Dartmouth, to:	  	
		  	 Alla Kan, Director 

Technology Transfer Office
 Dartmouth
College
 11 Rope Ferry Road, #6210

Hanover, New Hampshire 03755-1404

 Section 24. Assignment. Neither party shall assign or transfer this Agreement without the
express prior written consent of the other; provided however that this Agreement and any rights or obligations hereunder may be assigned by MASCOMA, without such consent, in whole or in part, in connection with the transfer of all or substantially
all of its business or assets pertaining to the Dartmouth Patent Rights licensed hereunder to the acquiring party or in the event of its merger or consolidation with that acquiring party, if and only if the assignee shall assume all obligations of
MASCOMA under this Agreement, and thereafter the Agreement shall inure to the benefit of such acquiring party as fully as if it were MASCOMA; and provided however that at any time all or any part of the securities of MASCOMA may be sold or otherwise
transferred to any person or entity and this Agreement and MASCOMA’s rights hereunder shall survive such sale or transfer. 

Section 25. Entire Agreement. This Agreement represents the entire Agreement between the parties as of the Effective Date
hereof and may only be subsequently altered or modified by an instrument in writing signed by the party to be bound. 

Section 26. Waiver. A failure by one of the parties to this Agreement to assert its rights for or upon any breach or default
of this Agreement shall not be deemed a waiver of such rights nor shall any such waiver be implied from acceptance of any payment. No such failure or waiver in writing by any one of the parties hereto with respect to any rights, shall extend to or
affect any subsequent breach or impair any right consequent thereon. 
 Section 27. Severability. The parties agree
that it is the intention of neither party to violate any public policy, statutory or common laws, and governmental or supranational regulations; that if any sentence, paragraph, clause or combination of the same is in violation of any applicable law
or regulation, or is unenforceable or void for any reason whatsoever, such sentence, paragraph, clause or combinations of the same shall be inoperative and the remainder of the Agreement shall

  
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remain binding upon the parties. 
 Section 28. Mediation and
Arbitration. Both parties agree that they shall attempt to resolve any dispute arising from this Agreement through mediation. Both parties agree that at least one employee or agent, capable of negotiating an agreement on behalf of his employer,
shall, within three weeks of receipt of written notification of a dispute, meet with at least one employee or agent of the other party who is also capable of negotiating an agreement on behalf of his employer. If no agreement can be reached, both
parties agree to meet again within a four week period after the initial meeting to negotiate in good faith to resolve the dispute. If no agreement can be reached after this second meeting, both parties agree to submit the dispute to binding
arbitration under the Rules (the “Rules”) of the American Arbitration Association (the “Association”) before a single arbitrator. 
 Section 29. Headings. The headings of the paragraphs of this Agreement are inserted for convenience only and shall not constitute a part hereof. 

IN WITNESS WHEREOF, the parties hereto have executed this Agreement, in duplicate originals, by their respective officers hereunto duly
authorized, the day and year herein written. 
  

			
	THE TRUSTEES OF DARTMOUTH COLLEGE
		
	By	 	/s/ Alla Kan
		 	Alla Kan, Director
		 	Technology Transfer Office
		
	Date	 	July 10, 2006
	
	MASCOMA CORPORATION
		
	By	 	/s/ Colin South
		 	Colin South 
		 	President
		
	Date	 	7/15/06

  
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 ATTACHMENT A 

[***] 

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 [***]

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Attachment B. Workplan 

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[***]License Agreement with Dartmouth

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 Exhibit
10.10 
 MASCOMA - DARTMOUTH EXCLUSIVE LICENSE AGREEMENT 

This Agreement, effective this 10th day of July 2006, between the TRUSTEES OF DARTMOUTH COLLEGE, a non-profit
educational and research institution existing under the laws of the State of New Hampshire, and being located at Hanover, New Hampshire 03755, hereinafter called Dartmouth, and MASCOMA CORPORATION, a corporation of the State of Delaware, with
a principal place of business at 161 First Street, 2nd
Floor East, Cambridge, Massachusetts 02142, hereinafter called Company. 
 WHEREAS, Dartmouth, under the direction of
principal investigator Lee Lynd, Ph.D. has developed bioreactors and biological and chemical processes for conversion of biomass into ethanol and other commodity products; and 
 WHEREAS, Dartmouth represents that it has the right to grant licenses granted in this agreement; and 
 WHEREAS, Company wishes to obtain a license under the terms and conditions hereinafter set forth, and to use its expertise and resources to manufacture and market the technology; 

NOW THEREFORE, in consideration of the premises and the mutual promises herein contained, IT IS AGREED: 

ARTICLE I. Definitions 
 Section 1.01 Dartmouth Know-How. “Dartmouth Know-How” shall mean the ideas, methods, characterizations and techniques developed by Dr. Lynd at Dartmouth before the Effective
Date which are necessary for practicing Dartmouth Patent Rights or any other activity within the Field and the ideas, methods, characterizations and techniques developed at Dartmouth after the Effective Date developed under the sponsored research
agreement between Dartmouth and the Company (the “Sponsored Research Agreement”). The Know-How shall include, but not be limited to, techniques and processes for transformation of microorganisms for the production of ethanol, technology
related to the pretreatment of cellulose substrates for ethanol production, thermophilic simultaneous saccharization and fermentation and the process of converting paper sludge and other biomass wastes into ethanol. 

Section 1.02 Dartmouth Patent Rights. “Dartmouth Patent Rights” shall mean all of the patents and patent
applications which are listed in Attachment A hereto or which contain one or more claims based on Dartmouth Know-How and any United States or Foreign Patents issuing therefrom, and any continuations, continuations-in-part, divisions, reissues,
reexaminations or extensions thereof. Dartmouth and the Company shall amend Attachment A hereto from time to time to include any intellectual property subject to this Agreement. 

  

					
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Section 1.03 Licensed Methods. “Licensed Methods” shall mean any methods or processes covered by or practiced, in
whole or in part, by the use of Dartmouth Patent Rights or by the use of Dartmouth Know-How. 
 Section 1.04 Field.
The “Field” of this Agreement shall mean production of ethanol and other commodity products from plant biomass and biologically-based waste streams. The Field specifically includes Consolidated Bioprocessing, or CBP. The Field does not
include Excluded Intellectual Property, as defined below. 
 Section 1.05 Territory. The “Territory” shall
mean the world. 
 Section 1.06 Excluded Intellectual Property. “Excluded Intellectual Property” shall
mean intellectual property solely related to: i) development of yeast for consolidated bioprocessing resulting from the collaboration between Dartmouth and the University of Stellenbosch, South Africa and subject to the Interinstitutional Agreement
between Dartmouth College and University of Stellenbosch, dated January 3, 2006; ii) development of Clostridium thermocellum for consolidated bioprocessing resulting from the activities of Advanced Bioconversion Technologies, Inc., provided
that said activities are not claimed in the US provisional patent application, Serial No. 60/731,674; and iii) process improvements for AFEX pretreatment, subject to the Interinstitutional Agreement between Dartmouth College and Michigan State
University, dated August 1, 2005. 
 Section 1.07 Agreement. “Agreement” shall mean this License
Agreement. 
 Section 1.08 Effective Date. “Effective Date” shall mean the date first written above and
shall be the Effective Date of this Agreement. 
 Section 1.09 License Year. The “First License Year”
shall mean the period commencing on the Effective Date and ending one year thereafter. The second and all subsequent “License Years” shall commence on July 10 of any year thereafter, provided that this Agreement is still in effect on
such date, and end on July 10 of the following year. 
 Section 1.10 Subsidiary. “Subsidiary” shall
mean a legal entity at least 50% of the voting stock of which is owned directly or indirectly by Company. 
 ARTICLE II.
Grant 
 Section 2.01 License Grant. Dartmouth hereby grants to Company and its Subsidiaries an
exclusive, worldwide, license under Dartmouth Know-How and Dartmouth Patent Rights to make, have made, use and have used, sell and have sold products manufactured using Licensed Methods, and otherwise to exploit Dartmouth Know-How and
Dartmouth Patent Rights, in the Field in the Territory 

  

					
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(the “Grant”). Notwithstanding the foregoing, the Grant shall not include Excluded Intellectual Property and Dartmouth expressly reserves a non-transferable royalty-free right to use
the Dartmouth Patent Rights and Dartmouth Know-How in the Field itself, including use by its faculty, staff and researchers, for internal educational and research purposes only. Company agrees during the period of exclusivity of this license in the
United States that any product manufactured using a Licensed Method produced for sale in the United States will be manufactured substantially in the United States. Dartmouth agrees to cooperate with Company to obtain a waiver of such manufacturing
requirements if applicable. 
 Section 2.02 Sublicenses. Company shall have the right to grant sublicenses to third
parties under Dartmouth Know-How and Dartmouth Patent Rights to make, have made, use and have used, sell and have sold products manufactured using Licensed Methods, provided that such sublicenses shall be in writing and expressly subject to the
terms of this Agreement. Dartmouth shall receive copies of all such sublicenses. Company agrees that the terms and conditions of each sublicense shall not be in violation of the terms and conditions of this Agreement. Upon termination of this
Agreement, any such sublicenses will revert directly to Dartmouth. 
 Section 2.03 Patents. Company shall reimburse
Dartmouth for $89,108.36 that Dartmouth has incurred for the preparation, filing, prosecution and maintenance of Dartmouth Patent Rights as of the Effective Date, as follows: 50% shall be paid within 45 days from the date of Dartmouth’s invoice
and 50% shall be payable on the first anniversary of the Effective Date. Dartmouth shall control all future preparation, filing, prosecution and maintenance of Dartmouth Patent Rights (“Patent Maintenance”). While this Agreement is in
effect, however, Dartmouth agrees to engage counsel to apply for, seek prompt issuance of, and maintain, the Dartmouth Patent Rights in the United States and foreign countries as requested by Company. Dartmouth will periodically keep Company
informed of the status of the preparation, filing, prosecution and maintenance activities of its counsel and Company will cooperate with Dartmouth in connection with such activities. Company shall reimburse Dartmouth for all future expenses in
connection with Patent Maintenance. Late payments shall be subject to an interest charge of one and a half percent (11/2%) per month. Company shall have the right to review Dartmouth patent filings and to recommend additions or deletions to
such filings (“Company Edits”). Dartmouth shall incorporate all Company Edits into its patent applications unless Dartmouth’s patent counsel finds such Edits to be unreasonable If Company chooses to discontinue prosecution or
maintenance of any patent or patent application, which is a subject of Dartmouth Patent Rights, it will so inform Dartmouth within a reasonable time before implementation of such decision. Dartmouth then shall have the right to prosecute or maintain
such patent or patent application on its own and at its own expense, in which case the license to Company to such patent will terminate. Company shall notify Dartmouth at least three (3) months before a National Phase deadline whether it will
support the filing of patent applications in particular foreign countries. If Company decides not to support the filing or maintaining of an application in a particular country, Dartmouth reserves the right to file or maintain such application on
its own, in which case the 

  

					
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license to Company in the particular country will terminate. Dartmouth agrees that it will not cease prosecution or maintenance of any patent or patent application so long as MASCOMA is
reimbursing Dartmouth for the expenses of Patent Maintenance with respect to such patent or patent application in accordance with this Agreement. 
 ARTICLE III.  
 Disclosure of Invention, Confidentiality and
Representations 
 Section 3.01 Disclosure of Invention. Dartmouth agrees to deliver and to disclose to duly
authorized representatives of Company promptly after the Effective Date of this Agreement all proprietary technical data, manufactures, methods, processes, including, without limitation, the technology, and other information and specifications
relating to or constituting Dartmouth Know-How. 
 Section 3.02 Mutual Confidentiality. Company and Dartmouth
realize that some information received by one party from the other pursuant to this Agreement shall be confidential. It is therefore agreed that any information received by one party from the other, and clearly designated in writing as
“CONFIDENTIAL” at the time of transfer, shall not be disclosed by either party to any third party and shall not be used by either party for purposes other than those contemplated by this Agreement for a period of three
(3) years from the termination of the Agreement, unless or until — 
 (a) said information shall become known to third
parties not under any obligation of confidentiality to the disclosing party, or shall become publicly known through no fault of the receiving party, or 
 (b) said information was already in the receiving party’s possession prior to the disclosure of said information to the receiving party, except in cases when the information has been covered by a
preexisting confidentiality agreement, or 
 (c) said information shall be subsequently disclosed to the receiving party by a
third party not under any obligation of confidentiality to the disclosing party, or 
 (d) said information is approved for
disclosure by prior written consent of the disclosing party, or 
 (e) said information is independently developed by receiving
party or its representatives entirely without reference to information received from the disclosing party and marked confidential, or 
 (f) said information is required to be disclosed by court order or governmental law or regulation, provided that the receiving party gives the disclosing party prompt notice of any such requirement and
cooperates with the disclosing party in attempting to limit such disclosure. 

  

					
	B3176510.11	  	pg. 4	  	

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PURSUANT TO AN APPLICATION FOR CONFIDENTIAL TREATMENT UNDER RULE 406 OF THE SECURITIES ACT; [***] DENOTES OMISSIONS. 
  

Section 3.03 Corporate Action. Dartmouth and Company each represent and warrant to the other party that they have full power
and authority to enter into this Agreement and carry out the transactions contemplated hereby, and that all necessary corporate action had been duly taken in this regard. 
 ARTICLE IV. Due Diligence 
 Section 4.01 Milestones.
Company has represented to Dartmouth, to induce Dartmouth to issue this license, that it will commit itself to a diligent program of exploiting the Licensed Methods so that public utilization will result therefrom. As evidence thereof, Company shall
adhere to the following milestones: 
  

	 	(a)	 [***] 

  

	 	(b)	 [***] 

  

	 	(c)	 [***] 

 It is acknowledged
that if the above milestones are not accomplished by the specified dates, the license shall terminate unless payments in the amount of $50,000 are made to Dartmouth within thirty (30) days of the date for a particular milestone in the above
schedule. 
 Section 4.02 Capitalization. As a precondition to the execution of this Agreement, Company has received
outside financing in an amount equal to or greater than $4 million. 

  

					
	B3176510.11	  	pg. 5	  	

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PURSUANT TO AN APPLICATION FOR CONFIDENTIAL TREATMENT UNDER RULE 406 OF THE SECURITIES ACT; [***] DENOTES OMISSIONS. 
  

ARTICLE V. Payments, Records and Reports 
 Section 5.01 Payments. For the rights and privileges granted under this license, Company shall pay to Dartmouth: 
 (a) beginning with the First License Year, an annual license maintenance fee of $[***] payable by the end of each License Year (the “License Maintenance Fee”). It is agreed that the License
Maintenance Fee shall be waived for any License Year in which Company provides Dartmouth with at least $[***] in sponsored research payments, which amount includes overhead costs; and 

(b) Dartmouth will receive 400,000 shares of Company’s common stock (“Dartmouth Shares”), [***] 

Beginning on the fifth anniversary of the Effective Date and thereafter, Dartmouth will have a right to put such common stock to the Company, if the
Company is not then a publicly-traded company, at its then fair market value as set forth in the Stock Purchase Agreement. 

Section 5.02 Reports. Within sixty (60) days after the close of each License Year, Company shall render to Dartmouth
written annual reports which shall include, but not be limited to: reports of progress on research and development, regulatory approvals, manufacturing, sublicensing, marketing and sales during preceding twelve (12) months as well as plans for
coming year. Company shall also provide any reasonable additional data Dartmouth requires to evaluate Company’s performance. 
 ARTICLE VI. Technical Assistance and Commercial Development 

Section 6.01 Technical Assistance. Throughout the term of the Agreement, Dartmouth agrees to permit Company and its designees
to consult with Dartmouth’s employees and agents regarding developments and enhancements made subsequent to the Effective Date relating to the Licensed Methods, Dartmouth Patent Rights and Dartmouth Know-How at such times and places as may be
mutually agreed upon; provided that Company agrees to make suitable arrangements with, and to compensate the Dartmouth employees and agents for such consultation. 
 Section 6.02 Name. Company shall not use and shall not permit to be used by any other person or entity the name of Dartmouth nor any adaptation

  

					
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thereof, or the name of Dartmouth’s employees, in any advertising, promotional or sales literature, or for any other purpose without prior written permission of Dartmouth, except that
Company may state that it is licensed by Dartmouth under Dartmouth Know-How and Dartmouth Patent Rights. 
 ARTICLE VII.
Indemnity, Insurance, Disclaimers 
 Section 7.01 Indemnity. Company shall defend and indemnify and hold
Dartmouth and its trustees, officers, agents and employees (the “Indemnitees”) harmless from any judgments and other liabilities based upon claims or causes of action against Dartmouth or its employees which arise out of alleged negligence
in the development, manufacture or sale of products manufactured using Licensed Methods by Company, its Subsidiaries and sublicensees, or from the use by the end users, Company, its Subsidiaries and sublicensees and of Licensed Methods or products
manufactured using Licensed Methods by the Company, its Subsidiaries and sublicensees, except to the extent that such judgments or liabilities arise in whole or in part from the gross negligence or willful misconduct of Dartmouth or its employees,
provided that Dartmouth promptly notifies Company of any such claim coming to its attention and that it cooperates with Company in the defense of such claim. If any such claims or causes of action are made, Dartmouth shall be defended by counsel to
Company, subject to Dartmouth’s approval, which shall not be unreasonably withheld. Dartmouth reserves the right to be represented by its own counsel at its own expense. 
 Section 7.02 Insurance. At such time as any product, process, service relating to, or developed pursuant to, this Agreement is being commercially distributed or sold (other than for the
purpose of obtaining regulatory approvals) by Company or by a sublicensee, Subsidiary or agent of Company, Company shall at its sole cost and expense, procure and maintain comprehensive general liability insurance in amounts not less than $2,000,000
per incident and naming the Indemnitees as additional insureds. Such comprehensive general liability insurance shall provide (i) product liability coverage and (ii) broad form contractual liability coverage for Company’s
indemnification under this Agreement. If Company elects to self-insure all or part of the limits described above (including deductibles or retentions which are in excess of $250,000 annual aggregate) such self-insurance program must be acceptable to
Dartmouth. Such insurance will be considered primary as to any other valid and collectible insurance, but only as to acts of the named insured. The minimum amounts of insurance coverage required shall not be construed to create a limit of
Company’s liability with respect to its indemnification under this Agreement. 
 Company shall provide Dartmouth with written evidence of
such insurance upon request of Dartmouth. Company shall provide Dartmouth with written notice at least thirty (30) days prior to the cancellation, non-renewal or material change in such insurance; if Company does not obtain replacement
insurance providing comparable coverage within such thirty (30) day period, Dartmouth shall have the 

  

					
	B3176510.11	  	pg. 7	  	

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right to terminate this Agreement effective at the end of such thirty (30) day period without notice or any additional waiting periods. 

Company shall maintain such comprehensive general liability insurance beyond the expiration or termination of this Agreement during (I) the period
that any product, process, or service, relating to, or developed pursuant to, this Agreement is being commercially distributed or sold by Company or by a sublicensee, Subsidiary or agent of Company and (ii) a reasonable period after the period
referred to in (i) above which in no event shall be less than three (3) years. 
 Section 7.03 Disclaimer.
Nothing contained in this Agreement shall be construed as: 
 (a) a warranty or representation by Dartmouth as to the validity
or scope of any Patent Rights; 
 (b) a warranty or representation that Licensed Methods or any products manufactured using
Licensed Methods, will be free from infringement of patents or copyrights of third parties, except that Dartmouth represents that it has no knowledge of any existing issued patents or copyrights which might be infringed; 

(c) except as provided in Section 7.01, an agreement to defend against actions or suits of any nature brought by any third parties,
including, without limitation, Company’s commitment to defend Dartmouth Patent Rights. 
 DARTMOUTH MAKES NO WARRANTIES,
EXPRESS OR IMPLIED, AS TO THE 
 MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE OF 

LICENSED METHODS OR PRODUCTS MANUFACTURED USING LICENSED 
 METHODS 
 ARTICLE VIII. Infringement Matters 

Section 8.01 Infringement by Third Parties. Each party shall inform the other promptly in writing of any alleged infringement
of the Dartmouth Patent Rights by a third party, including all details then available. Company shall have the right, but shall not be obligated, to prosecute at its own expense any such infringement. If Company decides to commence proceedings,
Company shall be responsible for any legal costs incurred and will be entitled to retain any damages recovered, subject to 4% payments to Dartmouth after recovery of Company’s litigation expenditures. Should Company decide not to commence
proceedings, Dartmouth shall be entitled to do so, in which event Dartmouth shall be responsible for all legal costs incurred, without recourse to Company and will be entitled to retain any damages recovered. In any action to enforce Dartmouth
Patent Rights, either party, at the request and expense of the other party, shall cooperate to the fullest extent reasonably possible. Company may not settle any infringement action in any way detrimental to Dartmouth Patent Rights without the
express written consent of Dartmouth. 

  

					
	B3176510.11	  	pg. 8	  	

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ARTICLE IX. Duration and Termination 
 Section 9.01 Term. This Agreement shall become effective upon the date first written above, and unless sooner terminated in accordance with any of the provisions herein, shall remain in full
force during the life of the last to expire patents under Dartmouth Patent Rights contemplated by this Agreement in the last to expire territory. If mutually desired, the parties may negotiate for an extension of this license. Upon the termination
of the Agreement Company shall have the right to sell the remainder on hand of the products manufactured using Licensed Methods. 
 Section 9.02 Termination - Breach. In the event that either party defaults or breaches any of the provisions of this Agreement, the other party shall have the right to terminate this Agreement
by giving written notice to the defaulting party, provided, however, that if the said defaulting party cures said default within sixty (60) days after said notice shall have been given, this Agreement shall continue in full force and effect.
The failure on the part of either of the parties hereto to exercise or enforce any right conferred upon it hereunder shall not be deemed to be a waiver of any such right nor operate to bar the exercise or enforcement thereof at any time or times
thereafter. Sublicenses granted by Company pursuant to Section 2.02 shall survive termination of this Agreement and shall revert directly to Dartmouth. 
 Section 9.03 Bankruptcy. The Agreement shall terminate in the event that Company shall: (a) make an assignment for the benefit of creditors, (b) have a petition in bankruptcy filed
for or against it, (c) take corporate action to authorize its liquidation or dissolution or (d) admit its general inability to pay its debts as they come due. 
 Section 9.04 Prior Obligations and Survivability. Termination of this Agreement for any reason shall not release either party from any obligation theretofore accrued. Sections 3.02, 5.01 (5.01
(a) only as to License Maintenance Fees that accrued prior to termination), 5.02, 7.01 – 7.03, 10.01 – 10.09 shall survive the termination of this Agreement. 
 ARTICLE X. Miscellaneous 
 Section 10.01 Governing Law.
This Agreement shall be construed, governed, interpreted and enforced according to the substantive laws of the State of New Hampshire without regard to its principles of conflicts of laws. 

Section 10.02 Notices. Any notice or communication required or permitted to be given by either party hereunder, shall be
deemed sufficiently given, if mailed by certified mail, return receipt requested, and addressed to the party to whom notice is given as follows: 
 If to Company, to: 
 Colin South, President 

  

					
	B3176510.11	  	pg. 9	  	

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PURSUANT TO AN APPLICATION FOR CONFIDENTIAL TREATMENT UNDER RULE 406 OF THE SECURITIES ACT; [***] DENOTES OMISSIONS. 
  

Mascoma Corporation 

161 First Street, 2nd Floor East 
 Cambridge, MA 02142 
 with a copy, which copy 

shall not constitute notice, to: 
 Peter M. Rosenblum, Esq. 
 Foley Hoag LLP 

155 Seaport Boulevard 
 Boston, MA 02210 
 If to Dartmouth, to: 

Alla Kan 
 Director 
 Technology Transfer Office 

Dartmouth College 
 11 Rope Ferry Road 
 Hanover, NH 03755 

Section 10.03. Assignment. Neither party shall assign or transfer this Agreement without the express prior written consent of
the other; provided however that this Agreement and any rights or obligations hereunder may be assigned by Company, without such consent, in whole or in part, in connection with the transfer of all or substantially all of its business or assets
pertaining to the Dartmouth Patent Rights licensed hereunder to the acquiring party or in the event of its merger or consolidation with that acquiring party, if and only if the assignee shall assume all obligations of Company under this Agreement,
and thereafter the Agreement shall inure to the benefit of such acquiring party as fully as if it were Company; and provided however that at any time all or any part of the securities of Company may be sold or otherwise transferred to any person or
entity and this Agreement and Company’s rights hereunder shall survive such sale or transfer. 
 Section 10.04
Entire Agreement. This Agreement represents the entire Agreement between the parties as of the effective date hereof, and may only be subsequently altered or modified by an instrument in writing. This Agreement cancels and supersedes any and
all prior oral or written agreements between the parties which relate to the subject matter of this Agreement including, without limitation, that certain Confidentiality Agreement between the parties dated October 24, 2005 and that certain Term
Sheet for License Agreement between the parties dated January 3, 2006. 
 Section 10.05 Mediation and
Arbitration. Both parties agree that they shall attempt to resolve any dispute arising from this Agreement through mediation. Both parties agree that at least one employee, capable of negotiating an

  

					
	B3176510.11	  	pg. 10	  	

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agreement on behalf of his employer, shall, within three weeks of receipt of written notification of a dispute, meet with at least one employee of the other party who is also capable of
negotiating an agreement on behalf of his employer. If no agreement can be reached, both parties agree to meet again within a four week period after the initial meeting to negotiate in good faith to resolve the dispute. If no agreement can be
reached after this second meeting, both parties agree to submit the dispute to binding arbitration under the Rules (the “Rules”) of the American Arbitration Association (“the Association”) before a single arbitrator. 

Section 10.06 Waiver. A failure by one of the parties to this Agreement to assert its rights for or upon any breach or
default of this Agreement shall not be deemed a waiver of such rights nor shall any such waiver be implied from acceptance of any payment. No such failure or waiver in writing by any one of the parties hereto with respect to any rights, shall extend
to or affect any subsequent breach or impair any right consequent thereon. 
 Section 10.07 Severability. The
parties agree that it is the intention of neither party to violate any public policy, statutory or common laws, and governmental or supranational regulations; that if any sentence, paragraph, clause or combination of the same is in violation of any
applicable law or regulation, or is unenforceable or void for any reason whatsoever, such sentence, paragraph, clause or combinations of the same shall be inoperative and the remainder of the Agreement shall remain binding upon the parties.

 Section 10.08 Marking. Company agrees to mark, in accordance with 35 U.S.C. § 287(a), products manufactured
using Licensed Methods in the United States with all applicable U.S. and state Trademarks, and U.S. Patent numbers. 

Section 10.09 Headings. The headings of the paragraphs of this Agreement are inserted for convenience only and shall not
constitute a part hereof. 
 Section 10.10 Counterparts, Facsimiles. This Agreement may be executed in any number of
counterparts, each such counterpart shall be deemed to be an original instrument, and all such counterparts together shall constitute but one agreement. Facsimile transmission of execution copies or signature pages for this Agreement shall be legal,
valid and binding execution and delivery for all purposes. 

  

					
	B3176510.11	  	pg. 11	  	

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IN WITNESS WHEREOF, the parties hereto have executed this Agreement, in duplicate originals, by their respective officers hereunto duly
authorized, the day and year herein written. 
  

					
	THE TRUSTEES OF DARTMOUTH COLLEGE
			
		 	By	 	/s/ Alla Kan
		 	Name	 	Alla Kan, Director
		 	Title	 	Technology Transfer Office
			
		 	Date	 	7/10/06

  

					
	MASCOMA CORPORATION
			
		 	By	 	/s/ Colin South
		 		 	Colin South
		 		 	President 
			
		 	Date	 	7/15/06

  

					
	B3176510.11	  	pg. 12	  	

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ATTACHMENT A 
 1. Lynd, Lee,
Colin South. Continuous process for making ethanol. U.S. Patent No. 5,837,506. Issued November 17, 1998; 
 2. Lynd, L.R., G. Spieles,
and D.A. Hogsett. A Continuous Process for Ethanol Production from Lignocellulosic Materials without Mechanical Agitation. U.S. Patent No. 5,258,293. Issued November 2, 1993; 
 3. Lynd, L.R., Shaw, A.J., Desai, S. G., Tyurin, M.V. Provisional Patent Application Serial No. 60/731,674 filed October 31, 2005 entitled: Thermophilic Organisms for Conversion of
Lignocellulosic Biomass to Ethanol; 
 4. Lynd, L.R., Zhang Y.P. Provisional Patent Application Serial No. 60/705,985 filed August 5,
2005 entitled: Method and Apparatus for Saccharide Precipitation From Pretreated Lignocellulosic Materials; 
 5. Lynd, L.R., Sullivan, C.R.
Provisional Patent No. 60/568,756 filed May 6, 2004 entitled: Use of Induced Oscillations to Achieve High Efficiency Transformation of Difficult to Transform Bacteria Converted to PCT application on May 6, 2005 entitled: Method and
Apparatus for Bacterial Transformation by Electroportation With Waveforms Incorporating Pulsed RF Between 3 and 125 MHz; PCT/US05/016205; 
 6.
Lynd, L.R., Fan, Z., McBride, J. Provisional Patent No. 60/574,147 filed May 25, 2004 entitled: Analysis of Selection-Based Strain Improvements for Microorganisms with Growth Dependent Upon Extracytoplasmic Enzymes. Converted to PCT
application on May 25, 2005 entitled: Selection of Microorganisms with Growth Dependent Upon Extracytoplasmic Enzymes; PCT/US05/018430; 

7. Lynd, L.R., Fan, Z., Shao, X. Provisional Patent No. 60/569,346 filed May 7, 2004 entitled: Lower Cellulase Requirements for Biomass
Cellulose Hydrolysis and Fermentation. Converted to Regular US application on May 9, 2005 entitled: Lower Cellulase Requirements for Biomass Cellulose Hydrolysis and Fermentation; Serial No. 11/124,941. 

  

					
	B3176510.11	  	pg. 13

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