Document:

Exhibit 10.11

 

CONFIDENTIAL

 

***Text Omitted and Filed Separately with the Securities and Exchange Commission.

Confidential Treatment Requested under 17 C.F.R. Sections 200.80(b)(4) and 230.406

 

DATED 28 January 2015

 

(1)                                 IMMUNOCORE LIMITED

 

(2)                                 ADAPTIMMUNE LIMITED

 

 

DEED FOR TRANSITIONAL SERVICES

 

 

 

Penningtons Manches LLP

9400 Garsington Road

Oxford Business Park

Oxford

OX4 2HN

 

Tel: +44 (0)1865 722106

Fax: +44 (0)1865 201012

www.penningtonsmanches.com

 

 

THIS DEED is dated 28 January 2015

 

and is made BETWEEN:

 

(1)                                 IMMUNOCORE LIMITED a company incorporated and registered in England and Wales under company number 6456207 whose registered office is at 91 Milton Park, Abingdon, Oxfordshire, OX14 4RY (“Immunocore”); and

 

(2)                                 ADAPTIMMUNE LIMITED a company incorporated and registered in England and Wales under company number 6456741 whose registered office is at 91 Milton Park, Abingdon, Oxfordshire, OX14 4RY (“Adaptimmune”).

 

BACKGROUND:

 

(A)                               Immunocore is engaged in developing and commercialising products containing soluble T-Cell receptors;

 

(B)                               Adaptimmune is engaged in developing and commercialising products that are transfected with genes encoding T-Cell receptors;

 

(C)                               The parties have historically shared certain resources and wish to provide for any sharing of resources going forward until both parties are completely independent of the other party.

 

OPERATIVE PROVISIONS:

 

1.                                      DEFINITIONS AND INTERPRETATION

 

1.1                               In this Deed the following words and expressions shall bear the meanings ascribed to them below:

 

	
“Business   Day”
    	
 
    	
a day other than a   Saturday, Sunday or public holiday when clearing banks in London are open for   the transaction of non-automated banking business;
    
	
 
    	
 
    	
 
    
	
“Confidential   Information”
    	
 
    	
(a)                                 all commercial, technical, financial and   other information of whatever nature and in whatever form (whether written,   oral, visual, recorded, graphical, electronic or otherwise) relating to the   business, technology or other affairs of the relevant party; and

 

(b)                                 any systems, ideas, concepts, know-how, techniques,   drawings, specifications, blueprints, tracings, diagrams, models, functions,   designs and capabilities (including computer software, data and hardware used   in conjunction with such software, business procedures, manufacturing   processes or other information embodied in drawings or specifications) and   any other intellectual property of the relevant party;
    
	
 
    	
 
    	
 
    
	
“Consultancy   Period”
    	
 
    	
the period during   which the Consultancy Services are provided by Immunocore to Adaptimmune 
    

 

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pursuant to clause   2;
    
	
 
    	
 
    	
 
    
	
“Consultancy   Services”
    	
 
    	
scientific   advisory services designed to assist the Adaptimmune Board to determine   Adaptimmune’s scientific strategy and to assist Adaptimmune’s technical staff   to solve scientific problems;
    
	
 
    	
 
    	
 
    
	
“CSO”
    	
 
    	
Immunocore’s Chief   Scientific Officer from time to time during the term of this Deed;
    
	
 
    	
 
    	
 
    
	
“Effective   Date”
    	
 
    	
28   January 2015;
    
	
 
    	
 
    	
 
    
	
“Employment   Costs”
    	
 
    	
in respect of an   employee the aggregate of his gross salary, the cost of any benefits to which   he is contractually entitled and employer’s National Insurance Contributions   payable in respect thereof;
    
	
 
    	
 
    	
 
    
	
“Engagement”
    	
 
    	
the engagement of   Immunocore by Adaptimmune to provide the Consultancy Services on the terms of   this Deed;
    
	
 
    	
 
    	
 
    
	
“Facility   Personnel “
    	
 
    	
Personnel employed   by (a) Immunocore and which perform any services for Adaptimmune under   this Deed; and (b) Adaptimmune and which perform any services for   Immunocore under this Deed but in each case excluding any individuals engaged   in Consultancy Services. As at the Effective Date such Facility Personnel are   those identified in Schedule 1 which shall be amended from time to time to   reflect changes in the individuals performing services for each party under   this Deed. For clarity, Facility Personnel shall not include the CSO;
    
	
 
    	
 
    	
 
    
	
“Force   Majeure Event”
    	
 
    	
any cause   affecting the performance by a party of its obligations under this Deed   arising from acts, events, omissions or non-events beyond its reasonable   control, including:

 

(a)                                 acts of God, including fire, flood, earthquake,   windstorm or other natural disaster;

 

(b)                                 war, threat of or preparation for war, armed   conflict, imposition of sanctions, embargo, breaking off of diplomatic   relations or similar actions;

 

(c)                                  acts of terrorism;

 

(d)                                 adverse weather conditions; or

 

(e)                                  fire, explosion or accidental damage;
    
	
 
    	
 
    	
 
    
	
“FTE   Rate”
    	
 
    	
means a rate per   individual regardless of seniority and as specified in Schedule 1;
    

 

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“General   Management Charge”
    	
 
    	
shall have the   meaning given in clause 8.2
    
	
 
    	
 
    	
 
    
	
“IT   Services”
    	
 
    	
the facilities and   services provided by Immunocore to Adaptimmune pursuant to clause 6.2;
    
	
 
    	
 
    	
 
    
	
“Other   Personnel Charge”
    	
 
    	
shall have the   meaning given in clause 8.2;
    
	
 
    	
 
    	
 
    
	
“Previous   Agreement”
    	
 
    	
Means the   Facilities and Services Agreement between the parties dated 31   July 2014;
    
	
 
    	
 
    	
 
    
	
“Third   Party”
    	
 
    	
any person,   company or other entity other than Adaptimmune, Immunocore or any   Affiliate of Adaptimmune or Immunocore;
    
	
 
    	
 
    	
 
    
	
“Works”
    	
 
    	
all records, reports,   documents, papers, drawings, designs, transparencies, photos, graphics,   logos, typographical arrangements, software programs, inventions, ideas,   discoveries, developments, improvements or innovations and all materials   embodying them in whatever form, including but not limited to hard copy and   electronic form, prepared by the CSO in connection with the provision of the   Consultancy Services.
    

 

1.2                               The headings in this Deed are inserted for convenience only and shall not affect its construction.

 

1.3                               A reference to a particular law is a reference to it as it is in force for the time being taking account of any amendment, extension, or re-enactment and includes any subordinate legislation for the time being in force made under it.

 

1.4                               Unless the context otherwise requires, a reference to one gender shall include a reference to the other genders.

 

1.5                               Unless the context otherwise requires, words in the singular include the plural and in the plural include the singular.

 

1.6                               The schedules to this Deed form part of (and are incorporated into) this Deed.

 

2.                                      CONSULTANCY SERVICES

 

2.1                               Immunocore shall, (subject to the termination provisions of clause 2.2 and to clauses 3.2 and 3.5), make available to Adaptimmune its CSO to provide the Consultancy Services on the terms set out in clauses 2 and 3 of this Deed.

 

2.2                               The Engagement shall be deemed to have commenced on the Effective Date and shall continue unless and until terminated:

 

2.2.1                                             as provided by the terms of this Deed; or

 

2.2.2                                             by Adaptimmune giving to Immunocore not less than one month’s prior written notice; and

 

2.2.3                                             by Immunocore giving to Adaptimmune by not less than six months’ notice.

 

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2.3                               For clarity, nothing in this Deed shall amend any service agreement between the CSO and Immunocore or the CSO and Adaptimmune, the terms of which service agreements shall remain in full force and effect.

 

3.                                      DUTIES AND OBLIGATIONS

 

3.1                               During the Engagement Immunocore shall, and (where appropriate) shall procure that its CSO shall:

 

3.1.1                                             provide the Consultancy Services with all due care, skill and ability;

 

3.1.2                                             unless the CSO is prevented by ill health or accident or is taking holiday to which he is contractually entitled under his/her service agreement with Immunocore, devote at least 37 hours in each calendar month to the carrying out of the Consultancy Services together with such additional time, if any, as may be necessary for their proper performance provided that the CSO shall not be required to spend more than 25 per cent of the time which he is required to commit to Immunocore’s business under his service agreement with Immunocore on the provision of the Consultancy Services to Adaptimmune; and

 

3.1.3                                             promptly give to the Adaptimmune Board all such information and reports as it may reasonably require in connection with matters relating to the provision of the Consultancy Services or Adaptimmune’s business.

 

3.2                               If the CSO is unable to provide the Consultancy Services due to illness, injury or holiday, Immunocore shall advise Adaptimmune of that fact as soon as reasonably practicable.

 

3.3                               Unless it or he has been specifically authorised to do so by Adaptimmune in writing:

 

3.3.1                                             neither Immunocore nor its CSO shall have any authority to incur any expenditure in the name of or for the account of Adaptimmune; and

 

3.3.2                                             Immunocore shall not, and shall procure that its CSO shall not, hold itself or himself out as having authority to bind Adaptimmune.

 

3.4                               Immunocore shall, and shall procure that its CSO, comply with all reasonable standards of safety and comply with Adaptimmune’s health and safety procedures from time to time in force at the premises where the Consultancy Services are provided and report to Adaptimmune any unsafe working conditions or practices.

 

3.5                               Adaptimmune shall not require the Immunocore CSO to do anything that would constitute a breach of his service agreement with Immunocore.

 

4.                                      CONFIDENTIALITY

 

4.1                               Immunocore shall use its reasonable endeavours to procure that the Immunocore CSO shall not:

 

4.1.1                                             (except in the proper course of the provision of the Consultancy Services, as required by law or as authorised by Adaptimmune) during the Consultancy Period or after its termination (howsoever arising) use or communicate to any person, company or other organisation

 

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whatsoever (and shall use his best endeavours to prevent the use or communication of) any Confidential Information of Adaptimmune that he creates, develops, receives or obtains during the Consultancy Period including the Works. This restriction does not apply to any information that is or comes in the public domain other than through the CSO’s unauthorised disclosure; or

 

4.1.2                                             make (other than for the benefit of Adaptimmune) any record (whether on paper, computer memory, disc or otherwise) containing Confidential Information of Adaptimmune or use such records (or allow them to be used) other than for the benefit of Adaptimmune. Any part of such records (and any copies of such parts) containing Adaptimmune Confidential Information shall be the property of Adaptimmune and shall be handed over to Adaptimmune’s Chief Operating Officer by the CSO on the termination of the Engagement or at the request of Adaptimmune at any time during the Consultancy Period.

 

4.2                              Nothing in this Deed shall prevent the CSO from disclosing information which he is entitled to disclose under the Public Interest Disclosure Act 1998, provided that the disclosure is made in accordance with the provisions of that Act and Adaptimmune is notified of such disclosure requirement and the disclosure made as soon as practically possible.

 

4.3                               Immunocore shall:

 

4.3.1                                             keep any Confidential Information of Adaptimmune secret;

 

4.3.2                                             not use or directly or indirectly disclose any such Confidential Information (or allow it to be used or disclosed), in whole or in part, to any person without the prior written consent of Adaptimmune;

 

4.3.3                                             ensure that no person gets access to such Confidential Information from it, its officers, employees or agents unless authorised to do so by Adaptimmune; and

 

4.3.4                                             inform Adaptimmune immediately on becoming aware, or suspecting, that an unauthorised person has become aware of such Confidential Information.

 

4.4                               Adaptimmune shall:

 

4.4.1                                             keep any Confidential Information of Immunocore secret;

 

4.4.2                                             not use or directly or indirectly disclose any such Confidential Information (or allow it to be used or disclosed), in whole or in part, to any person without the prior written consent of Immunocore;

 

4.4.3                                             ensure that no person gets access to such Confidential Information from it, its officers, employees or agents unless authorised to do so by Immunocore; and

 

4.4.4                                             inform Immunocore immediately on becoming aware, or suspecting, that an unauthorised person has become aware of such Confidential Information.

 

4.5                               The duty of non-disclosure set out in clauses 4.3 and 4.4 shall not apply to any Confidential Information which (a) is or becomes publicly known without the 

 

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faulty of any party; or (b) is obtained from a third party in circumstances where the party receiving from such third party has no reason to believe that there has been a breach of an obligation of confidentiality; or (c) is approved for release in writing by an authorised representative of the other party.

 

4.6                               Adaptimmune and Immunocore may disclose the Confidential Information of the other party where required to do so in order to comply with any court order or regulatory requirement or other statutory obligation. Any disclosure shall be subject, where possible, to prior notification to the other party and co-operation with the other party to obtain any protective order, obligation of confidence or other protective measure as might be reasonably obtained by the party owning the Confidential Information required to be disclosed and in relation to such Confidential Information. Any disclosure under this clause 4.6 shall only be made to the extent required by the relevant regulatory requirement, statutory obligation or court order.

 

5.                                      INTELLECTUAL PROPERTY RIGHTS

 

5.1                               Any Intellectual Property Rights created or reduced to practice by the CSO solely in the performance of the Consultancy Services for Adaptimmune shall be owned by Adaptimmune. Immunocore hereby assigns and agrees to assign such Intellectual Property Rights to Adaptimmune. Such Intellectual Property Rights shall be deemed confidential information of Adaptimmune and shall be maintained as confidential by Immunocore in accordance with clause 4.3.

 

5.2                               Immunocore agrees at its cost and expense to execute or to procure the execution of any further document or confirmatory assignment which may be reasonably required to affect ownership in accordance with clause 5.1. Immunocore hereby irrevocably appoints Adaptimmune to be its attorney in its name and on its behalf to execute documents, use a party’s name and do all things which are necessary or desirable for Adaptimmune to obtain for itself or its nominee the full benefit of clause 5.1.

 

5.3                               Immunocore shall not intentionally infringe or misappropriate any Third Party intellectual property rights in providing the Consultancy Services.

 

5.4                               Immunocore shall procure that all employment agreements with individuals performing the Consultancy Services permit ownership of Intellectual Property Rights created, generated or reduced to practice during the performance of Consultancy Services by such individuals in accordance with this clause 5.

 

6.                                      IT SUPPORT AND FACILITIES

 

6.1                               Adaptimmune currently uses part of Immunocore’s IT infrastructure and also receives IT support from Immunocore’s IT support staff.  Adaptimmune intends to have its own standalone IT infrastructure in place within 9 months of the Effective Date but wishes to continue to use Immunocore’s IT infrastructure until that date and to receive IT support from Immunocore’s IT support staff both before and after that date.  Once Adaptimmune has in place its own standalone IT infrastructure it shall notify Immunocore and Immunocore’s obligations under this clause 6 shall cease to apply.

 

6.2                               Immunocore hereby agrees until the provision of the IT Services is terminated by Adaptimmune pursuant to clause 12.3.1:-

 

6.2.1                                             to allow Adaptimmune the same level of use and access to Immunocore’s IT infrastructure and systems as it currently enjoys; and

 

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6.2.2                                             to provide the services of its IT support staff to support Adaptimmune’s use of the Immunocore IT infrastructure.

 

6.3                               Immunocore shall procure that the same standard of service is provided to Adaptimmune pursuant to clause 6.2 as that which Immunocore enjoys in respect of its own business.

 

6.4                               Adaptimmune shall own all data relating to its business (“Data”) which is held by Immunocore’s IT system.

 

6.5                               Immunocore agrees:-

 

6.5.1                                             only to deal with the Data to the extent absolutely necessary for it to provide Adaptimmune with the IT Services and comply with any other relevant obligations under and in accordance with this clause (“Permitted Use”);

 

6.5.2                                             not to use the Data, nor allow it to be used, other than for the Permitted Use.

 

6.6                               Immunocore acknowledges that for the purposes of the Data Protection Act 1998 (“DPA”), Adaptimmune is the Data Controller in relation to any Personal Data stored on Immunocore’s IT infrastructure. Immunocore agrees that:

 

6.6.1                                             it shall only Process Adaptimmune’s Personal Data in accordance with Adaptimmune’s instructions and on Adaptimmune’s behalf and shall not Process such Personal Data for any other purpose;

 

6.6.2                                             in Processing Adaptimmune’s Personal Data it will at all times comply with the principles set out under the DPA and Process such Personal Data in accordance with the requirements of the DPA;

 

6.6.3                                             it will comply with any instructions from Adaptimmune to process, delete, transfer or amend Personal Data promptly;

 

6.6.4                                             it will pass on any complaints, notices or communications which relate directly to Adaptimmune’s Personal Data an co-operate with Adaptimmune in order to address such complaint, notice of communication; and

 

6.6.5                                             it will not transfer any Adaptimmune Personal Data outside the European Economic Area without the prior written consent of Adaptimmune;

 

In this clause 6.6, the terms “Personal Data”, “Processing”, “Process” and “Data Controller” shall have the same meanings as set out in the DPA.

 

6.7                               During the term of the IT Services (and any extension subsequently agreed to), Adaptimmune may access the Data on Immunocore’s IT system (but not any other data or systems) and on each occasion when access is required Adaptimmune will comply with Immunocore’s reasonable security requirements.

 

6.8                               Immunocore agrees that to the extent reasonably possible any changes or modification to its IT system shall not:

 

6.8.1                                             cause a degradation of the IT Services (including in terms of functionality and compatibility);

 

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6.8.2                                             result in any material failure to comply with the relevant service levels;

 

6.8.3                                             adversely affect Adaptimmune’s use and access to such IT system in a material fashion; or

 

6.8.4                                             require Adaptimmune to incur any significant additional costs or charges.

 

6.9                               If a system breakdown or service interruption adversely affects or may adversely affect the ability of Immunocore to provide the IT Services, Immunocore shall, as soon as practicable, notify Adaptimmune and take all steps reasonably necessary to restore its IT system as soon as reasonably possible so that the IT Services will be provided in accordance with the service level currently enjoyed by Adaptimmune.

 

6.10                        Immunocore shall give Adaptimmune all reasonable assistance in migrating the Data and information to Adaptimmune’s IT system, as notified by Adaptimmune to Immunocore, (including data access, conversion and copies) in an agreed format compatible/acceptable for upload into Adaptimmune’s IT system.  Immunocore will use all commercially reasonable endeavours to ensure that the data and media on which it is contained is free from viruses and other performance impediments.

 

6.11                        Immunocore warrants that:

 

6.11.1                                      it has all necessary consents, licences and authorities to provide the IT Services and perform its obligations in accordance with this clause; and

 

6.11.2                                      it will perform its obligations under this clause 6 in a timely manner and with reasonable skill and care.

 

6.12                        Adaptimmune shall comply with Immunocore’s policies (as amended from time to time) relating to use of all IT systems in relation to which the IT Services are being provided, provided they are reasonable and do not unduly hamper or delay access to Immunocore’s IT system or affect the provision of the IT Services to Adaptimmune.

 

7.                                      OTHER HUMAN RESOURCES

 

7.1                               Immunocore and Adaptimmune shall provide the services of Facility Personnel to each other as they may reasonably require (excluding performance of Consultancy Services by such individuals). Each party shall procure that its employed Facility Personnel provide the relevant services using all due care, skill and ability and that such Facility Personnel shall comply with all reasonable standards of safety and other party’s health and safety procedures as may be reasonably applicable to the performance of the services by the relevant Facility Personnel and the Confidentiality provisions of this Deed.

 

7.2                               If one company shall require the services of any additional employee of either party which is not designated as Facility Personnel then addition of such employee to Schedule 1 shall be agreed between the parties. Neither party shall be unreasonably able to withhold consent of such a change to Schedule 1. On amendment of Schedule 1, such employee shall be designated as Facility Personnel under this Deed.

 

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8.                                      PAYMENT TERMS, EXPENSES AND VAT

 

Premises Related Costs

 

8.1                               During the term of this Deed, the parties may from time to time occupy or utilise premises owned or leased by the other party. Such occupation will, subject to any explicit agreement to the contrary, be by way of licence. Any costs relating to either party’s occupation and utilisation of premises leased or owned by the other party shall be apportioned between the parties in accordance with the respective occupation and utilisation by the relevant party. Costs will include rent, rates, utilities, any fit-out costs and any charge for associated property and facilities management services together with a profit element not to exceed 10% of the rent receivable (such charge to be agreed in advance by the Boards of Immunocore and Adaptimmune in writing) and will be adjusted to reflect any changes in ownership or leasing of premises or of any occupation of premises by either party. Schedule 1 reflects the apportionment of costs as at the Effective Date and the basis for such calculation (referred to as Facilities Costs in Schedule 1).

 

General Management and Other Personnel Charges

 

8.2                               The cost of provision of Facility Personnel, the Consultancy Services and any other expenses associated with the provision of services by one party to another party under this Deed and save as provided in clause 8.1 above, shall be payable through a General Management Charge and Other Personnel Charges. The General Management Charge and the Other Personnel Charges shall reflect the utilisation of employees on an Employment Cost basis and calculations shall be made in accordance with Schedule 1.

 

8.3                               The principles set out in Schedule 1 shall continue to apply to calculation of cross-charging under this Deed unless otherwise mutually agreed between the parties under this Deed.

 

General payment provisions

 

8.4                               Schedule 1 sets out the relevant cost position between the parties both before and as at the Effective Date of this Deed. Schedule 1 shall be updated by the financial controllers (or equivalent individual) of both parties on a monthly basis. Any changes to the principles used in calculating the costs set out in Schedule 1 shall be mutually agreed between the parties and in each case shall reflect a fair proportion of the Employment Cost or other expenses incurred by the relevant party in providing services to the other party under this Deed.

 

8.5                               All sums expressed to be payable under this Deed are exclusive of VAT.

 

8.6                               Each party shall deliver to the other at the end of each month a VAT invoice in respect of the services provided by it to that other party during that month and as provided for in Schedule 1 (as amended from time to time) or otherwise required under this Deed.

 

8.7                               Each party receiving an invoice pursuant to clause 8.6 shall settle such invoice within 30 Business Days of receipt.

 

9.                                      PREVIOUS AGREEMENT

 

9.1                               The parties agree that this Deed amends and supersedes the Previous Agreement in relation to the subject matter of this Deed and where there is any conflict between this Deed and such previous agreement this Deed shall prevail.

 

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9.2                               Notwithstanding the provisions of clause 9.1, Adaptimmune shall remain liable to pay to Immunocore any sums which became due or owing to Immunocore under the Previous Agreement prior to the Effective Date.

 

10.                               LIABILITY

 

10.1                        This clause 10 sets out the entire financial liability of the parties (including any liability for the acts or omissions of their respective employees, agents, and sub-contractors) to each other in respect of any:

 

10.1.1                                      breach of this Deed;

 

10.1.2                                      use made by a party of any facilities or services provided by the other; and

 

10.1.3                                      representation, statement or tortious act or omission (including negligence) arising under, or in connection with, this Deed.

 

10.2                        Except as set out in this Deed, all warranties, conditions and other terms implied by statute or common law are, to the fullest extent permitted by law, excluded from this Deed.

 

10.3                        Nothing in this Deed shall limit or exclude the liability of either party for:-

 

10.3.1                                      death or personal injury resulting from negligence or fraud;

 

10.3.2                                      fraudulent misrepresentation; or

 

10.3.3                                      breach of any obligation in this Deed relating to intellectual property rights or confidentiality.

 

10.4                        Subject to the provisions of clause 10.3 and clause 10.5 the total liability of one party to the other arising under or in connection with this Deed whether in contract, tort for negligence or breach of statutory duty, misrepresentation or otherwise, shall not exceed £5 million.

 

10.5                        Subject to clause 10.3, neither party shall be liable to the other (whether in contract, tort, negligence or otherwise) for any indirect or consequential loss or damage, costs of expenses whatsoever, and howsoever arising out of or in connection with this Deed.

 

11.                               INSURANCE

 

11.1                        Each party shall:

 

11.1.1                                      obtain and maintain policies of insurance with a reputable insurance company in respect of its liabilities and obligations under this Deed; and

 

11.1.2                                      upon request, provide the other with a copy of the insurance certificates and policies within 10 Business Days of receipt of such request.

 

11.2                        If a party fails to obtain and maintain insurance in accordance with clause 11.1, the other party may, in its sole discretion either:

 

11.2.1                                      obtain the appropriate insurance itself; or

 

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11.2.2                                      terminate this Deed in accordance with clause 12.

 

12.                               TERMINATION

 

12.1                        This Deed may be terminated by either party with immediate effect on giving written notice to the other party if:

 

12.1.1                                      the other party fails to pay any undisputed amount due under this Deed on the due date for payment and remains in default not less than 15 Business Days after being notified in writing to make such payment; or

 

12.1.2                                      the other party commits a material breach of a material term of this Deed and (if such breach is remediable) fails to remedy that breach within a period of 90 Business Days after receipt of notice in writing requiring it to do so; or

 

12.1.3                                      the other party commits a series of persistent minor breaches which, when taken together, amount to a material breach; or

 

12.1.4                                      the other party suspends, or threatens to suspend, payment of its debts or is unable to pay its debts as they fall due or admits inability to pay its debts or is deemed unable to pay its debts within the meaning of section 123 of the Insolvency Act 1986; or

 

12.1.5                                      the other party commences negotiations with all or any class of its creditors with a view to rescheduling any of its debts, or makes a proposal for or enters into any compromise or arrangement with its creditors; or

 

12.1.6                                      a petition is filed, a notice is given, a resolution is passed, or an order is made, for or in connection with the winding up of the other party (other than for the sole purpose of a scheme for a solvent amalgamation of that other party with one or more other companies or the solvent reconstruction of the other party); or

 

12.1.7                                      any liquidator, trustee in bankruptcy, receiver, administrative receiver, administrator or similar officer is appointed over or in respect of the other party or any part of its business or assets; or

 

12.1.8                                      a creditor or encumbrancer of the other party attaches or takes possession of, or a distress, execution, sequestration or other such process is levied or enforced on or sued against, the whole or any part of the other party’s assets and such attachment or process is not discharged within 90 Business Days;

 

12.1.9                                      the other party ceases, or threatens to cease, to carry on all or substantially the whole of its business; or

 

12.1.10                               the other party fails to obtain or maintain the insurance referred to in clause 11.

 

12.2                        Termination under clause 12.1 shall be without prejudice to any rights, remedies or obligations which have accrued as at termination, and subject to the provisions of clause 12.3, on termination, neither party shall have any obligation to the other under this Deed.

 

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12.3                        Adaptimmune shall be entitled to terminate:-

 

12.3.1                                      the provision by Immunocore of the IT Services; or

 

12.3.2                                      the provision by Immunocore of the services of any of its employees pursuant to clause 7,

 

at any time by not less than three months’ notice in writing to Immunocore.

 

12.4                        Immunocore shall be entitled to terminate the provision of the Radiological Protection Officer by not less than one month’s notice in writing to Adaptimmune.

 

12.5                        Adaptimmune shall be entitled to terminate this Deed at any time by not less than six months’ notice in writing to Immunocore.

 

12.6                        Immunocore shall be entitled to terminate this Deed by not less than six months’ notice in writing to Adaptimmune expiring on or at any time after the day preceding the second anniversary of the Effective Date.

 

12.7                        For clarity, termination under this clause 12 by either party can be with respect to provision of Consultancy Services, IT Services and Facilities Personnel separately or the entire Deed.

 

12.8                        On termination of this Deed (however arising), the following clauses shall continue in full force and effect [to be inserted once clauses finalised].

 

13.                               FORCE MAJEURE

 

13.1                        A party, provided that it has complied with clause 13.2, shall not be in breach of this Deed, nor liable for any failure or delay in performance of any obligations under this Deed arising from a Force Majeure Event.

 

13.2                        Any party that is subject to a Force Majeure Event shall not be in breach of this Deed provided that:

 

13.2.1                                      it promptly notifies the other party in writing of the nature and extent of the Force Majeure Event causing its failure or delay in performance; and

 

13.2.2                                      it has used reasonable endeavours to mitigate the effect of the Force Majeure Event to carry out its obligations under this Deed in any way that is reasonably practicable and to resume the performance of its obligations as reasonably possible.

 

13.3                        It the Force Majeure Event prevails for a continuous period in excess of three months, either party may terminate this Deed on 14 Business Days’ written notice. Termination under this clause 13.3 shall be without prejudice to the rights of the parties in respect of any breach of this Deed occurring before such termination.

 

14.                               CONFIDENTIALITY AND ANNOUNCEMENTS

 

Each party shall keep, and shall procure that its employees, agents and sub-contractors shall, keep secret and Confidential Information and any other information (whether or not technical) of a confidential nature which has been communicated to them by the other party either before the execution of, or as result of, this Deed, or of which its employees, agents or sub-contractors become aware when on the premises of the other 

 

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party and shall not, and shall procure that its employees, agents and sub-contractors shall not, disclose the same (or any part of it) to any other person.

 

15.                               ASSIGNMENT

 

This Deed is personal to the parties and neither party shall, without the prior written consent of the other party assign, transfer, mortgage, charge or deal in any other manner with this Deed or any of its rights and obligations under or arising out of this Deed, or purport to do any of the same. Neither party shall sub-contract or delegate in any manner any or all of its obligations under this Deed to any third party or agent.

 

16.                               SEVERANCE

 

16.1                        If any provision of this Deed (or part of any provision) is found by any court or other authority of competent jurisdiction to be invalid, illegal or unenforceable, that provision or part-provision shall, to the extent required, be deemed not to form part of this Deed, and the validity and enforceability of the other provisions of this Deed shall not be affected.

 

16.2                        If a provision of this Deed (or part of any provision) is found illegal, invalid or unenforceable, the parties shall negotiate in good faith to amend such provision such that, as amended, it is legal, valid and enforceable, and, to the greatest extent possible, achieves the parties’ original commercial intention.

 

17.                               VARIATION AND WAIVER

 

17.1                        A variation of this Deed shall be in writing and signed by or on behalf of each party.

 

17.2                        Any waiver of any right under this Deed is only effective if it is in writing and signed by the waiving or consenting party and it applies only in the circumstances for which it is given and shall not prevent the party who has given the waiver or consent from subsequently relying on the provision it has waived.

 

17.3                        Failure to exercise, or any delay in exercising, any right or remedy provided under this Deed or by law shall not constitute a waiver of that or any other right or remedy, nor shall it preclude or restrict any further exercise of that or any other right or remedy.

 

17.4                       No single or partial exercise of any right or remedy provided under this Deed or by law shall preclude or restrict the further exercise of that or any other right or remedy.

 

18.                               NOTICES

 

18.1                        A notice or other communication given to a party under or in connection with this Deed:

 

18.1.1                                      shall be in writing and in English;

 

18.1.2                                      shall be signed by or on behalf of the party giving it;

 

18.1.3                                      shall be sent to the party for the attention of the person at the address, or fax number specified in this clause (or to such other person or to such other address or fax number as that party may notify to the others, in accordance with the provisions of this clause 18); and

 

14

 

18.1.4                                      may be:

 

(a)                                 delivered personally; or

 

(b)                                 sent by commercial courier; or

 

(c)                                  sent by pre-paid first-class post or recorded delivery; or

 

(d)                                 sent by fax.

 

18.2                        The addresses for delivery of a notice or other communication are as follows:

 

18.2.1                                      Immunocore:

 

(a)                                 address: 91 Milton Park, Abingdon, Oxfordshire, OX14 4RY

 

(b)                                 for the attention of: the Chief Business Officer;

 

(c)                                  fax number:  01235 438601.

 

18.2.2                                      Adaptimmune:

 

(a)                                 address: 91 Milton Park, Abingdon, Oxfordshire, OX14 4RY

 

(b)                                 for the attention of: the Chief Operating Officer

 

(c)                                  fax number: 01235 430001.

 

18.3                        A notice is deemed to be received:

 

18.3.1                                      if delivered personally, at the time of delivery; or

 

18.3.2                                      if sent by commercial courier, on the date and at the time of signature of the courier’s delivery receipt; or

 

18.3.3                                      if sent by pre-paid first-class post or recorded delivery, 9.00 am on the Business Day after posting; or

 

18.3.4                                      if sent by fax, at the time of transmission.

 

18.4                        For the purposes of this clause 18:

 

18.4.1                                      all times are to be read as local time in the place of deemed receipt; and

 

18.4.2                                      if deemed receipt under this clause is not within business hours (meaning 9.00 am to 5.30 pm on a Business Day), the notice or other communication is deemed to have been received at the opening of business on the next Business Day in the place of receipt.

 

18.5                        To prove delivery, it is sufficient to prove that:

 

18.5.1                                      if sent by pre-paid first-class post, the envelope containing the notice or other communication was properly addressed and posted; or

 

18.5.2                                      if sent by fax, the notice was transmitted by fax to the fax number of the party.

 

15

 

18.6                        The provisions of this clause shall not apply to the service of any proceedings or other documents in any legal action.

 

18.7                        A notice required to be given under or in connection with this Deed shall not be validly given if sent by e-mail.

 

19.                               WHOLE AGREEMENT

 

19.1                        This Deed, and any documents referred to in it, constitute the whole agreement between the parties and supersede any previous arrangement, understanding or agreement between them relating to the subject matter they cover.

 

19.2                        Each party acknowledges that, in entering into this Deed, it has not relied on, and shall have no right or remedy in respect of, any statement, representation, assurance or warranty (whether made negligently or innocently) other than as expressly set out in this Deed, provided always that nothing in this clause shall limit or exclude any liability for fraud.

 

20.                               THIRD PARTY RIGHTS

 

No term of this Deed shall be enforceable under the Contracts (Rights of Third Parties) Act 1999 by a person who is not a party to this Deed, but this does not affect any right or remedy of a third party which exists or is available apart from under that Act.

 

21.                               COUNTERPARTS

 

This Deed may be executed in any number of counterparts, each of which when executed and delivered constitutes an original of this Deed and which together have the same effect as if each party had signed the same document

 

22.                               GOVERNING LAW AND JURISDICTION

 

22.1                        This Deed and any dispute or claim arising out of or in connection with it or its subject matter (including non-contractual disputes or claims) shall be governed by and construed in accordance with the law of England and Wales.

 

22.2                        The parties irrevocably agree that the courts of England and Wales shall have exclusive jurisdiction to settle any dispute or claim that arises out of or in connection with this Deed or its subject matter (including non-contractual disputes or claims).

 

[SIGNATURES ON NEXT PAGES]

 

16

 

THIS DEED has been delivered and entered into by the parties on the date stated at the beginning of it.

 

Executed as a deed by Adaptimmune Limited acting by James Noble a director and Margaret Henry, its secretary

 

 

	
 
    	
/s/ James Noble
    
	
 
    	
 
    
	
 
    	
James   Noble
    
	
 
    	
 
    
	
 
    	
Director
    
	
 
    	
 
    
	
 
    	
/s/ Margaret Henry
    
	
 
    	
 
    
	
 
    	
Margaret   Henry
    
	
 
    	
 
    
	
 
    	
Secretary
    

 

17

 

Executed as a deed by Immunocore Limited acting by Eva-Lotta Allan, a director and Bent Jakobsen, a director

 

 

	
 
    	
/s/ Eva-Lotta Allan
    
	
 
    	
 
    
	
 
    	
Eva-Lotta   Allan
    
	
 
    	
 
    
	
 
    	
Director
    
	
 
    	
 
    
	
 
    	
/s/ Bent Jakobsen
    
	
 
    	
 
    
	
 
    	
Bent   Jakobsen
    
	
 
    	
 
    
	
 
    	
Director
    

 

18

 

CONFIDENTIAL

 

SCHEDULE 1 — FEES PAYABLE BY PARTIES UNDER THIS DEED

 

Fees payable by Adaptimmune to Immunocore

 

	
Service
    	
 
    	
Basis of calculation
    
	
 
    	
 
    	
 
    
	
Other   Personnel Charges
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
(a) Medical   Monitoring
    	
 
    	
50% of Medical   Director’s Employment Cost
    
	
 
    	
 
    	
 
    
	
Facilities Costs
    	
 
    	
Pro-rata costs of   facilities including rent, rates and utilities
    
	
 
    	
 
    	
 
    
	
General Management   (covering all other services in this Deed)
    	
 
    	
£*** per annum
    

 

Fees payable by Immunocore to Adaptimmune

 

	
Service
    	
 
    	
Basis of calculation
    
	
 
    	
 
    	
 
    
	
Other   Personnel Charges
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
(a) Radiology   Protection Officer
    	
 
    	
£*** per year
    

 

***Portions of this page have been omitted pursuant to a request for Confidential Treatment and filed separately with the Commission.

 

19Exhibit 10.12

 

CONFIDENTIAL

 

***Text Omitted and Filed Separately with the Securities and Exchange Commission.

Confidential Treatment Requested under 17 C.F.R. Sections 200.80(b)(4) and 230.406

 

(1) IMMUNOCORE LIMITED

 

and

 

(2)  ADAPTIMMUNE LIMITED

 

 

ASSIGNMENT AND EXCLUSIVE LICENCE

 

 

 

THIS DEED is dated 28 January 2015 and is made BETWEEN:

 

(1)                                 IMMUNOCORE LIMITED (company number 6456207) whose registered office address is AT 57c Milton Park, Abingdon, Oxfordshire, OX14 4RX (the “Immunocore”); and

 

(2)                                 ADAPTIMMUNE LIMITED (company number 6456741) whose registered office address is 9400 Garsington Road, Oxford Business Park, Oxford, OX4 2HN (the “Adaptimmune”).

 

BACKGROUND

 

A.                                    Immunocore is a company engaged in identifying modifying, developing and commercialising products containing soluble T-Cell Receptors for use in certain applications.

 

B.                                    Adaptimmune is a company engaged in identifying, modifying, developing and commercialising products containing cells that are transfected within genes encoding T-Cell Receptors for use in certain applications.

 

C.                                    The Parties previously entered into an Amended and Restated Licence Agreement (“2011 Agreement”), which amended and restated the terms of an original licence agreement dated 1 July 2008 between Medigene Limited and Adaptimmune (“2008 Agreement”). This 2008 Agreement was novated to Immunocore on 1 October 2008.

 

D.                                    The Parties entered into a further agreement in May 2013 (“2013 Agreement”) which amended the previous agreements and provided for exclusive licensing to each of the Parties in their respective field.

 

E.                                    The Parties now wish to rationalise the 2013 Agreement further.

 

OPERATIVE PROVISIONS

 

1.                                      Definitions and Interpretation

 

1.1.                            In this Deed the following words and phrases have the meaning set out below:

 

	
“Adaptimmune Licensed Product”
    	
 
    	
means (i) any product that contains cells that are transfected   with genes encoding TCRs including any product containing cells that may also   be transfected with one or more additional other molecules as well (whether   transfected at the same time or by the same means as the TCRs or not); and   (ii) any process, service or method including such a product and where:  

 

(a)                   such product is covered by any claim of the Licensed Patents or which   is generated or derived using any of the Know-How or Results; or  

 

(b)                   such service, process or method is covered by a claim of any of the   Licensed Patents or which requires the use of any Know-How or Results.  

 

For the avoidance of doubt Adaptimmune Licensed 
    

 

2

 

	
 
    	
 
    	
Product shall not include any product, service, process or method   comprising or containing Soluble TCRs;
    
	
 
    	
 
    	
 
    
	
“Affiliate”
    	
 
    	
means, in relation to any entity, any   company or legal entity in any country which Controls, is Controlled by or   shares common Control with that entity. The Parties shall not be Affiliates   for the purposes of this Deed;
    
	
 
    	
 
    	
 
    
	
“Authorised Parties”
    	
 
    	
means Affiliates, contractors, employees,   licensees (and prospective licensees), sub-licensees (and prospective   sub-licensees) and potential acquirers;
    
	
 
    	
 
    	
 
    
	
“Confidential   Information”
    	
 
    	
means (a) in relation to each Party,   all technical, financial and commercial information disclosed by that party   to the other party in the course of or in anticipation of this Deed, together   with the terms of this Deed; (b) all Know-How; (c) all Results;
    
	
 
    	
 
    	
 
    
	
“Control”
    	
 
    	
means:  

 

(a)                   ownership of more than 50% of the voting share capital of the relevant   entity; or  

 

(b)                   the ability to direct the casting of more than 50% of the votes,   exercisable at a general meeting of the relevant entity on all, or   substantially all, matters;
    
	
 
    	
 
    	
 
    
	
“Core Patent”
    	
 
    	
Means a patent or patent application designated as “Core” in Schedule   1;
    
	
 
    	
 
    	
 
    
	
“Divisional”
    	
 
    	
Means any divisional patent application or continuation-in-part   application claiming any of the same priority as a Full Application, Later   Application, Granted Patent or Core Patent;
    
	
 
    	
 
    	
 
    
	
“Effective Date”
    	
 
    	
means the date set out above;
    
	
 
    	
 
    	
 
    
	
“Full Application”
    	
 
    	
shall have the meaning given in Schedule 3;
    
	
 
    	
 
    	
 
    
	
“Granted Patent”
    	
 
    	
Means a patent or patent application designated as “Granted” in   Schedule 1;
    
	
 
    	
 
    	
 
    
	
“Immunocore Licensed Product”
    	
 
    	
means (i) any product that contains Soluble TCRs; and   (ii) any process, service or method including such a product and where:  

 

(a)            such product is   covered by any claim of the Licensed Patents or which is generated or derived   using any of the Know-How or Results; or  

 

(b)                   such service, process or method is covered by a claim of any of the   Licensed Patents or which requires the use of any Know-How or Results.  

 

For the avoidance of doubt Immunocore Licensed 
    

 

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Product shall not include any product, service process or method   containing or comprising cells that are transfected with genes encoding TCRs;
    
	
 
    	
 
    	
 
    
	
“Intellectual Property Rights”
    	
 
    	
means patents, rights to inventions, copyright and related rights,   trade marks, trade names and domain names, rights in designs, rights in   computer software, database rights, rights in confidential information   (including know-how as summarised in schedule 2) and any other intellectual   property rights, in each case whether registered or unregistered and   including all applications (or rights to apply) for, and renewals or   extensions of, such rights and all similar or equivalent rights or forms of   protection which subsist or will subsist now or in the future in any part of   the world;
    
	
 
    	
 
    	
 
    
	
“Know-How”
    	
 
    	
means all confidential information (excluding the Licensed Patents)   created by either Party and relating to t-cell receptors, modifications to   t-cell receptors, processes for the production of products comprising t-cell   receptors, products comprising t-cell receptors, whether patentable or not as   at 20 May 2013. Know-How shall include all know-how summarised in   Schedule 2 existing as at 20 May 2013;
    
	
 
    	
 
    	
 
    
	
“Later Application”
    	
 
    	
shall have the meaning given in Schedule 3;
    
	
 
    	
 
    	
 
    
	
“Licensed Patents”
    	
 
    	
means  

 

(a)                   the patents or patent applications listed in Schedule 1;  

 

(b)                   any patents granted from the patent applications listed in Schedule 1;  

 

(c)                    any patents or patent applications filed in accordance with clause 4.3   and any patents granting from such patent applications;  

 

(d)                   any corresponding patents and patent applications which are based on   or derive priority from or common priority with the patent applications in   (a) or (b) or (c); and

 

(d)                   any continuation, continuation-in-part, division, reissue, renewal or   extension of any of the patents and patent applications in (a) — (d);
    
	
 
    	
 
    	
 
    
	
“Licensed Product”
    	
 
    	
means an Adaptimmune Licensed Product and/or an Immunocore Licensed   Product;
    

 

4

 

	
“Market”
    	
 
    	
means, in relation to a Licensed Product, offering to sell, lease,   license or otherwise commercially exploit the Licensed Product or the sale,   lease, licence, export or import, distribution, marketing or other commercial   exploitation of the Licensed Product;
    
	
 
    	
 
    	
 
    
	
Materials
    	
 
    	
means the materials provided by one Party to the other Party for the   performance of the Project including all constructs, libraries, derivatives,   portions, improvements or components of them or obtained from them or as a   result of their use but excluding Results;
    
	
 
    	
 
    	
 
    
	
“NCI Patent”
    	
 
    	
means (i) patent application PCT/US2007/79487; and (ii) any   corresponding patents and patent applications which are based on or derive   priority from or common priority with PCT/US2007/79487; and (iii) any   continuation, continuation-in-part, division, reissue, renewal or extension   of any of the patents and patent applications in (i) and (ii);
    
	
 
    	
 
    	
 
    
	
“Prior Agreement”
    	
 
    	
means the 2013 Agreement;
    
	
 
    	
 
    	
 
    
	
“Project”
    	
 
    	
Means a project agreed between the Parties in relation to the   development, modification, creation, adaptation, mutation or other work in   relation to any TCR and as listed in Schedule 4;
    
	
 
    	
 
    	
 
    
	
“Required Countries”
    	
 
    	
Means European Union, United States of America and Canada;
    
	
 
    	
 
    	
 
    
	
“Results”
    	
 
    	
Means all Intellectual Property Rights (excluding Licensed Patents and   any Divisional filed in accordance with Clauses 4.4 and 4.5) generated or   created by either Party in the performance of any Project;
    
	
 
    	
 
    	
 
    
	
“Soluble TCRs”
    	
 
    	
TCRs in any form (whether alone or combined with other compounds or   molecules) and which when administered or supplied are not comprised within   or attached to (including via transfection) any cell;
    
	
 
    	
 
    	
 
    
	
“SUSAR”
    	
 
    	
means a suspected, unexpected, serious adverse reaction, in relation   to which notification to a competent authority is required;
    
	
 
    	
 
    	
 
    
	
“TCR”
    	
 
    	
means T-cell receptor;
    
	
 
    	
 
    	
 
    
	
“Territory”
    	
 
    	
means worldwide;
    

 

1.2.                            In this Deed:

 

1.2.1.                  references to clauses are to the clauses of this Deed;

 

1.2.2.                  references to the parties are to the parties to this Deed;

 

5

 

1.2.3.                  headings are used for convenience only and do not affect its interpretation; and

 

1.2.4.                  references to a statutory provision include references to the statutory provision as modified or re-enacted or both from time to time and to any subordinate legislation made under the statutory provision.

 

2.                                      Assignment

 

2.1.                            Nothing in this Deed will assign or transfer any Intellectual Property Rights between the Parties unless explicitly otherwise provided.

 

2.2.                            Adaptimmune hereby assigns and agrees to assign all its right, title and interest in the Know-How, Results and Licensed Patents to Immunocore.

 

2.3.                            In consideration of the assignment under clause 2.2 above, Immunocore hereby assigns and agrees to assign a one half undivided interest in all its right, title and interest in the Know-How, Results and Licensed Patents to Adaptimmune.  Following such assignment the parties shall own such Know-How, Results and Licensed Patents jointly in equal undivided shares.

 

2.4.                            Each Party agrees to execute or procure the execution of any further document or confirmatory assignment which may be reasonably required to effect ownership in accordance with clauses 2.2 and 2.3 above.

 

2.5.                            Save for the Results, any improvements or new Intellectual Property Rights created after the Effective Date shall, unless otherwise agreed in writing at any time by both parties, be owned by the Party or Parties creating such rights.

 

2.6.                            Either Party may on provision of reasonable notice, have access to and make copies of any documentation, files, programs or other materials which embody or set out any of the Know-How or Results to support any regulatory filing, provided such Party reimburses any reasonable costs incurred.

 

2.7.                            Where either Party identifies a SUSAR as part of any clinical trial on any TCR which is the subject of the Licensed Patents, it shall provide details of the SUSAR to the other Party including where necessary any documentation or underlying materials relevant to the SUSAR in sufficient detail for the other Party to determine any regulatory notification requirements and safety implications in relation to its own products. Such obligation shall not apply where the SUSAR is specific to a particular Licensed Product and which does not have utility or is not relevant to Licensed Products more generally.

 

3.                                      Grant of Licence

 

3.1.                            Immunocore grants to Adaptimmune and Adaptimmune accepts an exclusive, royalty free, irrevocable licence under Immunocore’s rights in the Licensed Patents, the Know-How and the Results to develop, make, have made, use and have used and Market Adaptimmune Licensed Products in the Territory.

 

3.2.                            Adaptimmune grants to Immunocore and Immunocore accepts an exclusive, royalty free, irrevocable licence under Adaptimmune’s rights in the Licensed Patents, the Know-How and the Results to develop, make, have made, use and have used and Market Immunocore Licensed Products in the Territory.

 

3.3.                            The licences set out in clauses 3.1 and 3.2 shall include the right to use the Licensed Patents, Results and Know-How for the purposes of clinical research 

 

6

 

and development including the performance of clinical trials in relation to Licensed Products.

 

3.4.                            All implied licences and rights are excluded to the full extent permitted by law.

 

3.5.                            Adaptimmune and Immunocore may sub-license the rights granted to them in clauses 3.1, 3.2 and 3.3, subject to clause 3.6 provided that each will ensure that any sub-licensee agrees to treat the Confidential Information in accordance with confidentiality terms at least as strict as those set out in this Deed. There is no requirement to seek consent from the other Party in relation to the grant of any sub-licence, consent is deemed given. Each Party is responsible for the performance of any sub-licence by its sub-licensees.

 

3.6.                            For the avoidance of doubt and save as explicitly provided in this Deed, both Parties are free to further develop their rights in the Licensed Patents, Know-How and Results independently of the other Party. Where any further development or research by Adaptimmune (including any development resulting in a new TCR) uses any part of the Licensed Patents, Know-How and Results, Adaptimmune understands and agrees that it has no right to commercialise or exploit or otherwise supply any Immunocore Licensed Product and it is given no licence by Immunocore under Immunocore’s rights in the Licensed Patents, Know-How and Results in relation to any Immunocore Licensed Product. Where any further development or research by Immunocore (including any development resulting in a new TCR) uses any part of the Licensed Patents, Know-How and Results, Immunocore understands and agrees that it has no right to commercialise or exploit or otherwise supply any Adaptimmune Licensed Product and it is given no licence by Adaptimmune under Adaptimmune’s rights in the Licensed Patents, Know-How and Results in relation to any Adaptimmune Licensed Product.

 

3.7.                            The licences set out in clauses 3.1-3.3 are subject to the following:

 

3.7.1.                  the rights of the National Cancer Institute as a joint owner of the NCI Patents to use the NCI Patents and to grant non-exclusive licences under the NCI Patents;

 

3.7.2.                  the exclusive rights of Sanofi Pasteur Limited to certain soluble TCR reagents under a collaborative research and exclusive licence agreement dated 1 December 2006 (as amended and novated).

 

4.                                      Obligations and Prosecution of Intellectual Property Rights

 

4.1.                            Any Licensed Patents including those which have been filed prior to the Effective Date shall be prosecuted, maintained and enforced in accordance with Schedule 3 to this Deed. Where Licensed Patents have been filed prior to the Effective Date, such Licensed Patents shall be designated as either Provisional Applications, Full Applications, Later Applications, Granted Patents, Lapsed Patents or Core Patents in accordance with Schedule 1; and Schedule 3 shall apply to such Licensed Patents in accordance with their designation. Prosecution of Licensed Patents in accordance with this Deed shall be overseen on a day to day basis by a joint patents committee, which shall have at least one participant from each of the Parties attending. The joint patent committee shall meet on a monthly basis or as often as reasonably required in order to manage the prosecution of Licensed Patents in accordance with Schedule 3. Decisions of the joint patent committee (to the extent any decisions are required) shall be made unanimously.

 

7

 

4.2.                            Should either Party wish to file any patent or patent application (other than any Divisional filed in accordance with clauses 4.4 and 4.5 below) which is based on the Know-How or Results or covering or including any of the same subject matter as in a previously filed Licensed Patent, it shall notify the other Party (“Notification”). Such patent or patent application shall be filed, prosecuted, maintained and enforced in accordance with Schedule 3.

 

4.3.                            Should either Party (“Filing Party”) wish to file any Divisional which is specific to in the case of Adaptimmune, the Adaptimmune Licensed Products, and in the case of Immunocore, the Immunocore Licensed Products it may notify the other Party (“Recipient Party”) in writing. Such notification shall include sufficient detail to enable the Recipient Party to determine whether the Divisional does or does not relate solely to the Filing Party’s Licensed Products. Where it agrees that the Divisional does relate solely to the Filing Party’s Licensed Products, it shall notify the Filing Party in writing within a period of 30 days from receipt of notice from the Filing Party. Following receipt of such notification, Filing Party shall be entitled to file the Divisional and to control the filing, prosecution and maintenance of such Divisional in its sole discretion. Unless otherwise agreed in writing by both parties, the Divisional shall be filed in the joint names of Immunocore and Adaptimmune.

 

4.4.                            Where the Recipient Party under clause 4.3 either (a) does not respond to the notification from the Filing Party within a period of 30 days from receipt of notice; or (b) notifies Filing Party that Divisional does not solely relate to Filing Party’s Licensed Products or that it has not received sufficient information to enable a determination of whether the Divisional does relate solely to Filing Party’s Licensed Products then on expiry of a period of 30 days from receipt of notice by Recipient Party either Party may refer any outstanding issues to an independent expert (“Expert” for the purposes of this clause) by the service of written notice on the other Party (“Dispute Notice” for the purposes of this clause).  During the referral to an Expert, Filing Party shall not be entitled to file the Divisional until the Expert has provided his decision. The Parties shall use reasonable endeavours to agree the Expert within 14 days of date of Dispute Notice, failing which the Expert shall be appointed by the President of the Law Society of England and Wales as soon as reasonably possible. Following appointment of Expert, both parties shall simultaneously serve written arguments in relation to the dispute on both the Expert and the other Party within 14 days of appointment of Expert. Within a further period of 14 days from date of service of written arguments, each Party may serve a further written reply on both the Expert and other Party. The Expert will make his decision based on the exchanged written statements and shall issue his decision in writing to both parties within a period of 14 days of service of last reply from a Party. The decision of the Expert shall be final and binding on the Parties, save for any manifest errors contained on the face of his decision. Unless otherwise provided by the Expert, the Expert’s charges shall be borne equally by the Parties. Where Expert finds in favour of the Filing Party then following issue of decision, Filing Party shall be entitled to file the Divisional and to control the filing, prosecution and maintenance of such Divisional in its sole discretion. Where Expert finds in favour of the Recipient Party, then Filing Party shall not file the Divisional.

 

4.5.                            For the avoidance of doubt where a Divisional is agreed to relate solely to the Filing Party’s Licensed Products under clause 4.3 or is found by an Expert to relate solely to the Filing Party’s Licensed Products under clause 4.4, the Recipient Party shall have no licence under such Divisional or right to sub-licence such Divisional to the extent such Divisional continues to relate solely to the Filing Party’s Licensed Products.

 

8

 

5.                                      Financial Provisions

 

5.1.                            Payments under this Deed shall be made in pounds sterling by bank telegraphic transfer to the credit of a bank account nominated by Immunocore or Adaptimmune as relevant.  All payments shall be due within 45 days of receipt of invoice. Where any amount in an invoice is disputed, paying party shall pay any un-disputed amount whilst the dispute as to remaining amounts is resolved.

 

5.2.                            All payments under this Deed shall be made without deduction of income tax or other taxes, charges or duties that may be imposed, except and so far as Adaptimmune or Immunocore is required to make those deductions to comply with applicable laws.

 

5.3.                            If full payment of any amount due is not made by the due date, the invoicing Party may charge interest on the outstanding amount on a daily basis at a rate equivalent to 2% above the base rate for the time being of HSBC Bank Plc from the date when payment was due until the date of actual payment.

 

6.                                      NOT APPLICABLE

 

7.                                      Confidentiality

 

7.1.                            Subject to the remaining provisions of this Clause 7, each party will keep confidential the Confidential Information and will not disclose or supply that Confidential Information to any third party or use it for any purpose except in accordance with the terms of this Deed.

 

7.2.                            Both Parties may disclose Confidential Information to Authorised Parties to the extent reasonably necessary for the development, manufacture, Marketing or use of Licensed Products or to facilitate acquisition or merger of either party, provided that both Parties will ensure that such Authorised Parties accept a continuing obligation of confidentiality in terms at least as strict as those set out in this Deed before making any such disclosure.  Each Party shall be responsible to the other Party under this Deed in relation to any breach of confidentiality by any Authorised Party as if such breach had occurred under this Deed.

 

7.3.                            The duty of non-disclosure in Clause 7.1 will not apply to any Confidential Information which:

 

7.3.1.                  is or becomes publicly known without the fault of any Party; or

 

7.3.2.                  is obtained from a third party in circumstances where the Party receiving from such third party has no reason to believe that there has been a breach of an obligation of confidentiality; or

 

7.3.3.                  is approved for release in writing by an authorised representative of the other Party.

 

7.4.                     The restrictions of confidentiality in clause 7.1 will not apply to the extent that any Confidential Information is required to be disclosed by law, pursuant to an order or rule of any court of competent jurisdiction, in order to fulfil a court order or rule, or pursuant to the requirements of any recognized stock exchange or any regulatory body, provided that the relevant Party gives the other Party prior written notice of such disclosure and that it discloses the Confidential Information only to the extent required to comply with such law or fulfil such order, rule or requirement and that it takes all reasonable steps to ensure, as far 

 

9

 

as it is possible to do so, the continued confidentiality of all Confidential Information disclosed.

 

8.                                      Duration and Termination

 

8.1.                            This Deed will come into force on the Effective Date and will continue in force until the later of (a) the expiry of the last to expire of any patent within the Licensed Patents; or (b) the Know-How or Results ceasing to be confidential.

 

8.2.                            Both Parties agree and accept that where there is any breach of this Deed, there shall be no right to terminate this Deed and damages or other available relief shall be the only relief applicable.

 

8.3.                            Where any Party (“Defaulting Party”) becomes insolvent, admits insolvency, has a receiver appointed, voluntarily or involuntarily over substantially all of its assets, or is dissolved or liquidated (whether voluntarily or involuntarily), the other Party (“Non-Defaulting Party”) shall be entitled by notice in writing to the Defaulting Party to (a) take over and prosecute, file and maintain any or all of the Licensed Patents in its sole discretion; (b) request assignment of the Defaulting Party’s interest and title in the Licensed Patents, Know-How and Results to the Non-Defaulting Party on such terms as reflect reasonable arms length commercial terms including reasonable consideration for such assignment. The Defaulting Party and Non-Defaulting Party shall use best endeavours to negotiate the terms of such assignment as quickly as reasonably possible following date of notice by Non-Defaulting Party of its request for assignment. The Defaulting Party shall provide all reasonable assistance in relation to the ongoing prosecution, filing and maintenance of the Licensed Patents by the Non-Defaulting Party including in relation to the transition of the filing, prosecution and maintenance of the Licensed Patents to the Non-Defaulting Party.

 

9.                                      Prior Agreement

 

9.1.                            As of the Effective Date both Parties hereby agree that the Prior Agreement will be superseded in its entirety and replaced by the terms of this Deed.

 

10.                               Warranties and Liability

 

10.1.                     Each Party warrants to the other that it has the full right and power to enter into this Deed.  Save as explicitly notified to the other Party at the Effective Date, each Party warrants that as at the Effective Date it has not knowingly misappropriated any third party confidential information or knowingly infringed any third party Intellectual Property Right.

 

10.2.                     Each Party warrants that save as explicitly otherwise provided in this Deed (a) it has the rights to grant the licences in clause 3 of this Deed; and (b) it has not granted to any third party any option, licence or right of first refusal in relation to the Licensed Patents, Results or Know-How; and (c) it has not assigned, transferred or granted any option to assign or transfer any of its rights in the Licensed Patents, Results or Know-How.

 

10.3.                     Both Parties acknowledge that in entering into this Deed they do not do so in reliance on any representation, warranty or other provision except as expressly provided in this Deed and any conditions, warranties or other terms implied by statute or common law are excluded from this Deed to the full extent permitted by law.

 

10

 

10.4.                     Without limiting the scope of clauses 10.1 to 10.3, neither Party gives any warranty, representation or undertaking:

 

10.4.1.                as to the efficacy, usefulness or quality of the Licensed Patents, Results or Know-How;

 

10.4.2.                that any of the Licensed Patents are or will be valid or subsisting or (in the case of applications) will proceed to grant; or

 

10.4.3.                that the exploitation of any the Licensed Patents, Results or Know-How or the manufacture, Marketing, or use of Licensed Products or products or the exercise of any other rights granted under this Deed will not infringe any Intellectual Property Rights or other rights of any third party.

 

10.5.                     Both Parties accept that there is no restriction imposed on the other Party in relation to the independent development of any Adaptimmune Licensed Products in the case of Adaptimmune, or Immunocore Licensed Products, in the case of Immunocore using TCRs which do not form part of any Project or which are not comprised within the Licensed Patents, Know-How or Results (“New TCRs”). In particular, subject to clause 3, (a) each Party is free to enter into agreements with third parties in relation to development of products comprising New TCRs; (b) each Party is free to enter into any licence in relation to New TCRs; and (c) each Party is free to independently isolate New TCRs for Adaptimmune Licensed Products in the case of Adaptimmune, or Immunocore Licensed Products, in the case of Immunocore respectively.

 

10.6.                     The liability of either Party under this Deed (whether arising for breach or arising in any other way out of the subject matter of this Deed, including whether under contract or tort) will not include any indirect, incidental or consequential damages or loss (including as relevant any indirect loss of profits).

 

10.7.                     Nothing in this Deed will operate to limit or exclude the liability of either party for death or personal injury arising from its negligence or for liability for fraud.

 

11.                               General

 

11.1.                     Each Party must take out and maintain (for the term of this Deed) adequate product liability and other insurance in respect of its activities under this Deed. Each Party must at the other Party’s request from time to time provide the other Party with reasonable evidence to demonstrate that it has fulfilled its obligations under this clause. Each Party understands that such evidence may be provided to any sub-licensees or potential sub-licensees of the Party making the request for evidence.

 

11.2.                     Registration of Licence.  Either Party may register its interest in the Licensed Patents with any relevant authorities in the Territory as soon as legally possible.  Neither Party shall, register a copy of this or any part of this Deed with the relevant authority in any Territory without the prior written consent of the other Party.

 

11.3.                     Use of Names.  Neither Party may use the name of the other Party in any advertising, promotional or sales literature, without the other Party’s prior written consent, such consent not to be unreasonably withheld.

 

11.4.                     Force Majeure.  If performance by either Party of any of its obligations under this Deed is prevented by circumstances beyond its reasonable control, that Party will 

 

11

 

be excused from performance of that obligation for the duration of the relevant event, provided that if either Party is unable to fulfil its obligations under this Deed for a continuous period of six months or more due to any such circumstances, the other Party may terminate this Deed with immediate effect by serving written notice on the affected party.

 

11.5.                     Amendments.  This Deed may only be amended in writing signed by duly authorised representatives of the Parties.

 

11.6.                     Assignment.  Save as explicitly provided in this clause neither party may assign, mortgage, charge or otherwise transfer its rights or obligations under this Deed in whole or part to any third party without the prior written consent of the other Party which may be given or withheld at the absolute discretion of the other Party.  Either Party may assign some or all of its rights and obligations under this Deed (including as relevant its interest in a Licensed Patent) to (a) a successor in title to substantially all the assets or business of the relevant Party; or (b) an Affiliate. Any such assignment shall be subject to the terms of this Deed.

 

11.7.                     No Waiver.  No failure or delay on the part of either Party to exercise any right or remedy under this Deed will be construed or operate as a waiver thereof, nor will any single or partial exercise of any right or remedy preclude the further exercise of such right or remedy.

 

11.8.                     No Agency.  Neither Party may act or describe itself as the agent of the other, nor may it make or represent that it has authority to make any commitments on the other’s behalf.  Nothing in this Deed creates, implies or evidences any partnership or joint venture between Immunocore and Adaptimmune or the relationship between them of principal and agent.

 

11.9.                     Notices.  Any notice to be given under this Deed must be given in writing and must be delivered personally or sent by first class mail or reputable courier to the address of the relevant Party, set out at the head of this Deed, or such other address as that Party may from time to time notify to the other Party in accordance with this clause, marked for the attention of the Managing Director (or equivalent) in each case.  Notices sent as above will be deemed to have been received at the time of delivery (if delivered personally or by courier on any day which is a working day in the country in which the notice is delivered and otherwise on the next working day) and three working days after the date of posting (if sent by first class mail).

 

11.10.              Further Assurance.  Each Party agrees to execute, acknowledge and deliver such further instruments, and do all further similar acts, as may be necessary or appropriate to carry out the purposes and intent of this Deed.

 

11.11.              Announcements.  Except to the extent required by applicable laws or regulations, neither Party may make any press or other public announcement concerning any aspect of this Deed, or make any use of the name of the other Party in connection with or in consequence of this Deed, without the prior written consent of the other Party.

 

11.12.              Entire Agreement.  This Deed (including its schedules) sets out the entire agreement between the Parties relating to its subject matter and supersedes all prior oral or written agreements, arrangements or understandings between them relating to such subject matter.  Except in the case of fraud, the Parties acknowledge they are not relying on any representation, agreement, term or condition which is not set out in this Deed.

 

12

 

11.13.              Severability.  If any clause or part of any clause in this Deed is declared invalid or unenforceable by the judgement or decree by consent or otherwise of any court or authority of competent jurisdiction from whose decision no appeal is or can be taken, all other clauses or parts of clauses contained in this Deed will remain in full force and effect and will not be affected thereby for the term of this Deed, but the Parties will negotiate appropriate amendments to this Deed with a view to restoring the balance of commercial interests as it stood prior to such invalidity or unenforceability being declared.

 

11.14.              Rights of Third Parties.  No person who is not a Party to this Deed has any right to prevent the variation or cancellation of any provision of this Deed or its termination, and no person who is not a Party to this Deed may enforce any benefit conferred upon.

 

13

 

11.15.              Law and Jurisdiction.  This Deed is made and will be construed in accordance with the laws of England and Wales, and the Parties submit to the exclusive jurisdiction of the English courts, except that a Party may seek an interim or emergency injunction in any court of competent jurisdiction.

 

[SIGNATURES ON NEXT PAGE]

 

 

EXECUTED AS A DEED by the authorised representatives of the Parties on the date set out above.

 

Executed as a deed by Adaptimmune Limited acting by James Noble a director and Margaret Henry, its secretary

 

 

	
 
    	
/s James Noble
    
	
 
    	
 
    
	
 
    	
James Noble
    
	
 
    	
 
    
	
 
    	
Director
    
	
 
    	
 
    
	
 
    	
/s/ M Henry
    
	
 
    	
 
    
	
 
    	
Margaret Henry
    
	
 
    	
 
    
	
 
    	
Secretary
    

 

15

 

Executed as a deed by Immunocore Limited acting by Eva-Lotta Allan, a director and Bent Jakobsen, a director

 

 

	
 
    	
/s/ Eva-Lotta Allan
    
	
 
    	
 
    
	
 
    	
Eva-Lotta Allan
    
	
 
    	
 
    
	
 
    	
Director
    
	
 
    	
 
    
	
 
    	
/s/ Bent Jakobsen
    
	
 
    	
 
    
	
 
    	
Bent Jakobsen
    
	
 
    	
 
    
	
Director
    	
 
    

 

16

 

SCHEDULE 1 — LICENSED PATENTS

 

Status column is included for information only and is as at Effective Date.

 

	
Imm/ADT
   Case Ref.
    	
 
    	
Official No.
    	
 
    	
Case Status
    	
 
    	
Designation
   for purposes
   of Schedule 3
    
	
Case 14 mTCRs
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Case 14 -PCT
    	
 
    	
PCT/GB02/03986
    	
 
    	
Published as WO 2003/020763
    	
 
    	
Core
    
	
Case 14 - AU
    	
 
    	
2002321581
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 14 - CA
    	
 
    	
2457652
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 14 - CN
    	
 
    	
2819279.6
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 14 - EA
    	
 
    	
6601
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 14 - EP
    	
 
    	
1421115
    	
 
    	
Granted/registered (AT, BE, CH, CZ, DE, DK, EE, ES, FI, FR, GB,   GR, IE, IT, NL, PT, SE, TR)
    	
 
    	
Core
    
	
Case 14 - HK
    	
 
    	
1066018
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 14 - IL
    	
 
    	
160359
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 14 - IN
    	
 
    	
212621
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 14 - JP
    	
 
    	
4317940
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 14 - KR
    	
 
    	
10-0945977
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 14 - MX
    	
 
    	
246738
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 14 - NO
    	
 
    	
331877
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 14 - NZ
    	
 
    	
531208
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 14 - PL
    	
 
    	
208712
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 14 - SG
    	
 
    	
102850
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 14 - US
    	
 
    	
7329731
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 14 - US1
    	
 
    	
7763718
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 14 - ZA
    	
 
    	
2004/1197
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 18 scTCRs
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Case 18 - PCT
    	
 
    	
PCT/GB03/04310
    	
 
    	
Published as WO 2004/033685
    	
 
    	
Core
    
	
Case 18 - AU
    	
 
    	
2003271904
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 18 - CA
    	
 
    	
2501870
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 18 - CN
    	
 
    	
100338217C
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 18 - EP
    	
 
    	
1549748
    	
 
    	
Granted/registered (CH, DE, ES, FR, GB, IE, IT, NL)
    	
 
    	
Core
    
	
Case 18 - IL
    	
 
    	
167652
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 18 - IN
    	
 
    	
227369
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 18 - JP
    	
 
    	
4436319
    	
 
    	
Lapsed (application for restoration filed)
    	
 
    	
Core
    
	
Case 18 - NO
    	
 
    	
335365
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 18 - NZ
    	
 
    	
539225
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 18 - RU
    	
 
    	
2355703
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 18 - US
    	
 
    	
7569664
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 18 - ZA
    	
 
    	
2005/02927
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 19 display
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Case 19 - PCT
    	
 
    	
PCT/GB03/04636
    	
 
    	
Published as WO 2004/044004
    	
 
    	
Core
    
	
Case 19 - AU
    	
 
    	
2003276403
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 19 - AU1
    	
 
    	
2010202953
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 19 - CA
    	
 
    	
2505558
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 19 - CA1
    	
 
    	
2813515
    	
 
    	
Pending
    	
 
    	
Core
    

 

17

 

	
Case 19 - CN
    	
 
    	
200380102928
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 19 - EP
    	
 
    	
1558643
    	
 
    	
Granted/registered (AT, BE, CH, CZ, DE, DK, ES, FI, FR, GB,   GR, IE, IT, NL, PT, SE, TR)
    	
 
    	
Core
    
	
Case 19 - EP1
    	
 
    	
2048159
    	
 
    	
Granted/registered (AT, BE, CH, CZ, DE, DK, ES, FI, FR, GB,   GR, IE, IT, NL, PT, SE, TR)
    	
 
    	
Core
    
	
Case 19 - IL
    	
 
    	
167745
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 19 - IN
    	
 
    	
232673
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 19 - JP
    	
 
    	
4975324
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 19 - NO
    	
 
    	
333840
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 19 - NZ
    	
 
    	
539226
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 19 - NZ1
    	
 
    	
570811
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 19 - RU
    	
 
    	
2346004
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 19 - US1
    	
 
    	
8741814
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 19 - US2
    	
 
    	
14/248919
    	
 
    	
Pending
    	
 
    	
Core
    
	
Case 19 - US3
    	
 
    	
14/249904
    	
 
    	
Pending
    	
 
    	
Core
    
	
Case 19 - ZA
    	
 
    	
2005/03336
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 30 CD1
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Case 30 - PCT
    	
 
    	
PCT/GB03/02986
    	
 
    	
Published as WO 2004/074322
    	
 
    	
Full application
    
	
Case 30 - AU
    	
 
    	
2003254443
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 30 - CA
    	
 
    	
2516702
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 30 - CN
    	
 
    	
03826014.X
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 30 - EP
    	
 
    	
1594896
    	
 
    	
Granted/registered (GB/FR/DE)
    	
 
    	
Full application
    
	
Case 30 - JP
    	
 
    	
4478034
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 30 - NZ
    	
 
    	
541596
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 30 - US
    	
 
    	
7666604
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 30 - ZA
    	
 
    	
2005/06516
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 53 CDR2
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Case 53 - PCT
    	
 
    	
PCT/GB2005/001781
    	
 
    	
Published as WO 2005/114215
    	
 
    	
Core
    
	
Case 53 - AU
    	
 
    	
2005246073
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 53 - CA
    	
 
    	
2567349
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 53 - CN
    	
 
    	
200580015878.1
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 53 - EP
    	
 
    	
1756278
    	
 
    	
Granted/registered (CH, DE, FR, GB, IE)
    	
 
    	
Core
    
	
Case 53 - HK
    	
 
    	
1105995
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 53 - JP
    	
 
    	
4972549
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 53 - NZ
    	
 
    	
550815
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 53 - US
    	
 
    	
7608410
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 53 - ZA
    	
 
    	
2006/09462
    	
 
    	
Granted/registered
    	
 
    	
Core
    
	
Case 58 MTCR adoptive
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Case 58 - PCT
    	
 
    	
PCT/GB2005/002570
    	
 
    	
Published as WO 2006/000830
    	
 
    	
Full application
    
	
Case 58 - EP
    	
 
    	
1791865
    	
 
    	
Granted/registered (AT, BE, CH, DE, DK, ES, FR, GB, IE, IT,   LU, NL, SE)
    	
 
    	
Full application
    
	
Case 58 - JP
    	
 
    	
5563194
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 58 - US
    	
 
    	
8361794
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 58 - US1
    	
 
    	
13/716817
    	
 
    	
Pending
    	
 
    	
Full application
    

 

18

 

	
Case 74 HIV TCRs
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Case 74 - PCT
    	
 
    	
PCT/GB2006/001147
    	
 
    	
Converted, published as WO 2006/103429
    	
 
    	
Full application
    
	
Case 74 - AU
    	
 
    	
2006228308
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 74 - AU1
    	
 
    	
2012211503
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 74 - AU2
    	
 
    	
2013202288
    	
 
    	
Pending
    	
 
    	
Full application
    
	
Case 74 - CA
    	
 
    	
2,602,463
    	
 
    	
Pending
    	
 
    	
Full application
    
	
Case 74 - CN
    	
 
    	
200680011470.1
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 74 - CN1
    	
 
    	
201210563915.4
    	
 
    	
Pending
    	
 
    	
Full application
    
	
Case 74 - EP
    	
 
    	
6726555.3
    	
 
    	
Pending
    	
 
    	
Full application
    
	
Case 74 - EP1
    	
 
    	
10008612.3
    	
 
    	
Pending
    	
 
    	
Full application
    
	
Case 74 - EP2
    	
 
    	
10014971.5
    	
 
    	
Pending
    	
 
    	
Full application
    
	
Case 74 - JP1
    	
 
    	
5612623
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 74 - JP2
    	
 
    	
2014-094723
    	
 
    	
Pending
    	
 
    	
Full application
    
	
Case 74 - NZ
    	
 
    	
561338
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 74 - NZ1
    	
 
    	
584523
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 74 - US
    	
 
    	
8378074
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 74 - US1
    	
 
    	
13/733545
    	
 
    	
Pending
    	
 
    	
Full application
    
	
Case 74 - ZA
    	
 
    	
2007/08037
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 82 VYG Tel TCRs
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Case 82 - PCT
    	
 
    	
PCT/GB2006/001857
    	
 
    	
Published as WO 2006/125962
    	
 
    	
Full application
    
	
Case 82 - CN
    	
 
    	
200680018255.4
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 82 - EP
    	
 
    	
1885754
    	
 
    	
Granted/registered (DE, ES, FR, GB, IT)
    	
 
    	
Full application
    
	
Case 82 - JP
    	
 
    	
5149789
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 82 - US
    	
 
    	
8017730
    	
 
    	
Granted/registered
    	
 
    	
Full application
    
	
Case 91 Kinetic window
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Case 91 - PCT
    	
 
    	
PCT/GB2007/003676
    	
 
    	
Published as WO 2008/038002
    	
 
    	
Full application
    
	
Case 91 - EP
    	
 
    	
7823938.1
    	
 
    	
Pending
    	
 
    	
Full application
    
	
Case 91 - US
    	
 
    	
12/443078
    	
 
    	
Pending
    	
 
    	
Full application
    
	
Case 120 ala scan
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Case 120 -PCT
    	
 
    	
PCT/GB2013/053320
    	
 
    	
Published as WO2014/096803
    	
 
    	
Core
    
	
UNPUBLISHED applications
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Case 118 PPI TCRs
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Case 118 - PCT
    	
 
    	
PCT/GB2014/053625
    	
 
    	
Pending
    	
 
    	
Full application
    
	
Case 121 Blind date
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Case 121 - GB
    	
 
    	
1404536.3
    	
 
    	
Pending
    	
 
    	
Core
    
	
Case 121 - US
    	
 
    	
61/953114
    	
 
    	
Pending
    	
 
    	
Core
    
	
Case 123 TRAIP peptide
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Case 123 - GB
    	
 
    	
1409010.4
    	
 
    	
Pending
    	
 
    	
Full application
    
	
Case 129 ETV4 peptide
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Case 129 - GB
    	
 
    	
1410686.6
    	
 
    	
Pending
    	
 
    	
Full application
    
	
Case 130 CDC6 peptide
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Case 130 - GB
    	
 
    	
1412731
    	
 
    	
Pending
    	
 
    	
Full application
    
	
Case 134 all peptides
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Case 134 - GB
    	
 
    	
1420645.2
    	
 
    	
Pending
    	
 
    	
Full application
    

 

19

 

SCHEDULE 2

 

know-how

 

know-how shall include the following:

 

1.                          confidential information relating to the selection of target peptide-MHCs;

 

2.                          T-cell lines and clones;

 

3.                          Genes encoding T-cell receptors and vectors encoding such genes;

 

4.                          confidential information relating to T-cell receptor design, engineering and production by any method;

 

5.                          confidential information relating to production of soluble T-cell receptors;

 

6.                          confidential information relating to production of soluble T-cell receptors linked to other reagents;

 

7.                          confidential information relating to the determination of the affinity and kinetic characteristics of T-cell receptors/pMHC interactions;

 

8.                          confidential information relating to the transfection of cells with genes encoding T-cell receptors including transfected cell lines;

 

9.                          confidential information relating to phage display-based generation and selection of high affinity T-cell receptors;

 

10.                  confidential information relating to the design, conduct and interpretation of T cell assays with soluble T-cell receptors or adoptively transferred T-cell receptors in cells;

 

20

 

SCHEDULE 3

 

PATENT PROCESS

 

Where any Notification is received under clause 4.3 of this Deed, any resulting patent or patent application will be filed, prosecuted and maintained in accordance with the following process. Performance of and decisions taken in relation to any notified invention, Provisional Application, Full Application or Later Application may be recorded and approved in accordance with the template set out in Schedule 5.

 

In relation to Licensed Patents filed as at the Effective Date, Schedule 3 shall apply to such patents and patent applications in accordance with the designation set out in Schedule 1.

 

1.                                      Any Notification shall specify a summary of the invention in relation to which the patent application is proposed to be filed.

 

2.                                      The Parties may agree not to file a patent application in relation to any Notification. If no patent application is filed then the relevant invention shall be maintained as confidential in accordance with clause 7 of this Deed.

 

3.                                      Where the Parties do not agree to maintain the notified invention as confidential, then Immunocore shall be responsible for the filing of the patent application (“Provisional Application”).  The Provisional Application shall be filed in the joint names of both Parties.

 

4.                                      The Parties will use all reasonable endeavours to agree the contents of the Provisional Application within 3 months of original notification under paragraph 1 above (or where any Provisional Application is being filed or re-filed in accordance with paragraph 5 below, within a period of 12 months from filing date of original Provisional Application). Any disagreement as to scope and content of Provisional Application shall be resolved in favour of Adaptimmune. The Provisional Application shall be filed as a minimum with the UK Intellectual Property Office.

 

5.                                      Within a period of 12 months from filing date of Provisional Application the parties shall agree whether to (a) file a full patent application or applications corresponding to the Provisional Application; or (b) add additional matter to any Provisional Application; or (c) withdraw any Provisional Application and maintain the contents and invention as confidential; or (d) withdraw any Provisional Application and re-file the same application or a variation of such application. Where the Provisional Application or a variation of such application is re-filed the provisions of this Schedule 3 shall apply as if such re-filed application was the first Provisional Application. The content of any additional matter added to any Provisional Application shall be agreed by both Parties. Any disagreement as to whether or not the Provisional Application is withdrawn, a full patent application filed or the Provisional Application re-filed or the content of any Provisional Application shall be resolved in favour of Adaptimmune.

 

6.                                      Where the parties agree to file a full patent application or applications corresponding to any Provisional Application, Immunocore shall file a full patent application or applications corresponding to the Provisional Application (“Full Application”). Both Parties will use reasonable endeavours to agree on the contents of the Full Application. Any disagreement as to scope and content of Full Application will be resolved in favour of Adaptimmune if the Full 

 

21

 

Application contains Adaptimmune-only mutations. If the content of the Full Application contains both Immunocore and Adaptimmune mutations, any disagreement as to scope and content of the Full Application shall be resolved in favour of Immunocore save that Immunocore shall be obliged to include all mutations or combinations of mutations in the Full Application as are requested to be included by Adaptimmune. For the avoidance of doubt, the Full Application may be identical in content to the Provisional Application.

 

7.                                      The Full Application shall be filed as an application in accordance with the Patent Co-operation Treaty. The Full Application shall be filed in the joint names of both Parties. The Parties shall agree which filing strategy is appropriate in each case. In the event of any failure to agree, an application in accordance with the Patent Co-operation Treaty at the UK Intellectual Property Office shall be filed as far as possible specifying all Patent Co-operation Treaty countries.

 

8.                                      Immunocore shall be responsible for the filing, prosecution and maintenance of the Full Application in accordance with the following:

 

a.              use best endeavours to file, obtain and maintain valid patents pursuant to the Full Application so as to secure the broadest monopoly reasonably available in the countries chosen by Immunocore after consultation with Adaptimmune. Such countries shall include as a minimum the Required Countries unless otherwise agreed with Adaptimmune in writing;

b.              ensure that Adaptimmune is kept fully informed, and consult with Adaptimmune in relation to all matters relating to the filing, prosecution and maintenance of the Full Application; and

c.               supply Adaptimmune with copies of all correspondence to and from Patent Offices in respect of the Full Application, including copies of all documents generated in or with such correspondence.

 

9.                                      Where any later filed patent application relates to the same TCR or subject matter as any previously filed Provisional Application or Full Application (“Later Application”), the following will apply:

 

a.              The Parties shall use reasonable endeavours to agree on the contents of the Later Application within 30 days of notification of Later Application under paragraph 1. Any disagreement as to scope and content of Later Application shall be resolved in favour of Immunocore save that Immunocore shall be obliged to include all mutations or combinations of mutations in the Later Application as are requested to be included by Adaptimmune;

b.              Prior to publication of the subject matter of the earlier of the Provisional Application or Full Application, the Parties shall discuss and agree whether the Provisional Application, Full Application and any Later Application should be withdrawn and re-filed to incorporate subject matter and/or claims from all of the Provisional Application, Full Application and Later Application. The parties agree that where any Full Application or Later Application which has been filed relates to any Adaptimmune Product in relation to which clinical trials have been started or in relation to which a clinical trial is pending, the Full Application or Later Application shall not be withdrawn and re-filed.

c.               Where the Parties do not agree in relation to the withdrawal and re-filing of the Provisional Application, Full Application and any Later Application or the contents of any re-filed Later Application, Immunocore shall have the right to file the Later Application but shall be obliged to include all mutations or combinations of mutations requested to be included by 

 

22

 

Adaptimmune. Adaptimmune shall provide all its requested mutations and combinations of mutations within 14 days of written request from Immunocore. Pending receipt of such request, Immunocore will not file the Later Application or do anything which may jeopardise the filing, prosecution or maintenance of the Later Application.

d.              Where the Parties agree that the Later Application should be withdrawn, Immunocore will withdraw the Later Application prior to its publication and the contents shall be maintained as confidential in accordance with clause 7 of this Deed. The Provisional Application and/or Full Application shall continue to be filed, maintained and prosecuted in accordance with paragraph 7 above.

 

10.                               Where the Parties agree to withdraw any Full Application and/or Provisional Application and/or Later Application and re-file or file the Later Application, the parties shall use reasonable endeavours to agree the subject matter of such Later Application within a period of 30 business days from agreement to withdraw and re-file. Any dispute shall be resolved in favour of Immunocore save that Immunocore shall be obliged to include all mutations or combinations of mutations in the Later Application as are requested to be included by Adaptimmune within such 30 day period. Once the contents of the Later Application are agreed or deemed agreed, Immunocore shall be responsible for the filing, prosecution and maintenance of the Later Application. The Later Application shall be filed in the joint names of the Parties and Immunocore shall file, prosecute and maintain such application in accordance with the following:

 

a.              use best endeavours to file, obtain and maintain valid patents pursuant to the Later Application so as to secure the broadest monopoly reasonably available in the countries chosen by Immunocore after consultation with Adaptimmune. Such countries shall include as a minimum the Required Countries unless otherwise agreed with Adaptimmune in writing;

b.              ensure that Adaptimmune is kept fully informed, and consult with Adaptimmune in relation to all matters relating to the filing, prosecution and maintenance of the Later Application; and

c.               supply Adaptimmune with copies of all correspondence to and from Patent Offices in respect of the Later Application, including copies of all documents generated in or with such correspondence.

 

Immunocore shall not be entitled to remove any mutations or combinations of mutations from the claims of any Later Application or re-filed Later Application (or any patent, patent application, divisional or continuation of such Later Application or re-filed Later Application) without the prior written consent of Adaptimmune unless any relevant patent office has provided a final non-appealable opinion that such mutation or combination of mutations is not patentable or capable of patent protection.

 

11.                               Immunocore shall maintain Granted Patents in accordance with the following:

 

a.              Use best endeavours to maintain valid patents pursuant to the Granted Patents to the extent valid patents have not already been granted as at the Effective Date;

b.              Pay all renewal and grant fees associated with such Granted Patents in the country in which such Granted Patent has been granted as at the Effective Date or in relation to which the Granted Patent is granted subsequent to the Effective Date;

 

23

 

c.               Ensure that Adaptimmune is kept fully informed of any substantive communications in relation to such Granted Patents including communications and payment of renewal and grant fees.

 

The provisions of paragraphs 1-10 of this Schedule 3 shall not apply to any Granted Patents.

 

12.                               There shall be no obligation on either Party to maintain, prosecute, seek to re-instate, reissue or otherwise re-file any Lapsed Patent (as designated in accordance with Schedule 1) and the obligations set out under Schedule 3 shall not apply to any Lapsed Patents.

 

13.                               Immunocore shall file, prosecute and maintain Core Patents in accordance with the following:

 

a.              Use best endeavours to file, obtain and maintain valid patents pursuant to the Core Patents so as to secure the broadest monopoly reasonably available in countries chosen by Immunocore, but at a minimum including the Required Countries unless otherwise agreed in writing with Adaptimmune;

b.              To the extent such Core Patents are granted in any countries as at the Effective Date, to pay all renewal and grant fees associated with such granted Core Patents in the country in which such Core Patent has been granted as at the Effective Date;

c.               Ensure that Adaptimmune is kept fully informed and to the extent reasonably possible consult with Adaptimmune in relation to any substantive communications to or from any Patent Office in relation to such Core Patents.

 

Adaptimmune understands and accepts that subject to the obligations imposed under this paragraph 13, Immunocore has the final decision in relation to the content of the Core Patents and the content of any communications relating to such Core Patents with any Patent Office.

 

The provisions of paragraphs 1-10 of this Schedule 3 shall not apply to any Core Patents.

 

14.                               Adaptimmune will reimburse Immunocore, within 30 days of the date of an invoice from Immunocore, for 50% of the reasonable costs (including patent agent costs), fees and charges incurred by Immunocore in the course of filing, prosecuting and maintaining the patents and patent applications in accordance with this Schedule 3 (including as relevant Granted Patents and Core Patents).  Such invoice will set out an itemised list of the costs incurred by Immunocore to a level of detail reasonably satisfactory to Adaptimmune. Adaptimmune may also request copies of invoices received from third parties including patent agent costs.

 

15.                               If, at any time during the term of this Deed, either party (“Notifying Party”) no longer wishes to prosecute, file or maintain any of the Licensed Patents, it shall provide at least 30 days notice to the other party (“Recipient Party”). The Recipient Party shall be entitled in its sole discretion to take over and prosecute, file and maintain any notified patent or patent application. The Recipient Party shall make such decision within 30 days of receiving notice from the Notifying Party. The Notifying Party shall assign its rights in such notified patent or patent application to the Recipient Party and the Notifying Party agrees to use all reasonable endeavours to consent to and procure the 

 

24

 

signing of all documentation required to transfer full title in the notified patent or patent application to the Recipient Party. Following assignment, the Recipient Party shall be solely responsible for controlling and paying all the costs of prosecution, filing and maintenance of the assigned patent or patent application. Following assignment the Notifying Party shall have no further interest in the invention and patent or patent application shall be removed from the definition of Licensed Patents.

 

16.                               Where Recipient Party states in writing that it does not want to take over and prosecute, file and maintain any patent or patent application notified under paragraph 15 above, Notifying Party shall be entitled to allow such patent or patent application to lapse either through non-response to any office action or through non-payment of any fees due and payable in relation to such patent or patent application or by withdrawal of such patent or patent application. Where such patent or patent application has not been published as of the date the Recipient Party states it does not want to take over the prosecution, filing and maintenance, the Notifying Party shall use reasonable efforts to procure lapse or withdrawal of the Licensed Patent prior to its publication.

 

17.                               Prior to any decision being made by Recipient Party under paragraph 15 above, Immunocore or as relevant Adaptimmune (where Adaptimmune has taken over filing, prosecution and maintenance under paragraph 20 below) shall continue to prosecute, file and maintain the relevant patent or patent application in accordance with paragraphs 8, 10, 11 and 13 above (as relevant) and shall not do anything to jeopardise the filing, prosecution and maintenance of such patent or patent application.

 

18.                               Each party will inform the other party promptly if it becomes aware of any opposition, revocation, re-examination, interference or other action attacking or challenging the validity of any of the Licensed Patents. Where such challenge relates solely to claims covering Adaptimmune Licensed Products, Adaptimmune shall be entitled (but not obliged) to defend any such challenge. Where such challenge relates solely to claims covering Immunocore Licensed Products, Immunocore shall be entitled (but not obliged) to defend any such challenge. Where any challenge does not relate solely to either the Immunocore Licensed Products or the Adaptimmune Licensed Products or there is any dispute as to such, then (a) Adaptimmune shall be entitled (but not obliged) to defend any such challenge in relation to Provisional or Full Applications and Immunocore agrees to assist Adaptimmune in any such defence; and (b) Immunocore shall be entitled (but not obliged) to defend any such challenge in relation to any re-filed Later Application, Later Application, Granted Patent or Core Patent and Adaptimmune agrees to assist Immunocore in such defence. Where reasonably possible each Party will act in the best interests of the other Party in defending any such challenge.

 

19.      Each party will inform the other party promptly if it becomes aware of any infringement or potential infringement of any of the Licensed Patents in the Field, and the parties will consult with each other to decide the best way to respond to such infringement.  If the parties fail to agree on a joint programme of action (and as relevant the sharing of costs in relation to such joint programme) within 14 days of notification of infringement or potential infringement then the following shall apply:

 

a.              (i) Adaptimmune shall be entitled (but not obliged) to take action against the third party at its sole expense for any infringement or potential infringement where such infringement or potential infringement relates to any product that contains cells that are transfected with genes encoding TCRs including any product containing cells that may also be transfected 

 

25

 

with one or more additional other molecules as well (whether transfected at the same time or by the same means as the TCRs or not); and (ii) any process, service or method relating solely to any product that contains cells that are transfected with genes encoding TCRs, in each case excluding any infringement or potential infringement of any Core Patent;

b.              Immunocore shall be entitled (but not obliged) to take action against the third party at its sole expense for any infringement or potential infringement where such infringement or potential infringement relates to (i) any product that contains Soluble TCRs and any process, service or method relating to such a product; and (ii) any Core Patent.

c.               The other Party agrees to be joined in any suit to the extent necessary to enforce such rights subject to being reimbursed and secured in a reasonable manner as to any costs, damages, expenses, or other liability and shall have the right to be separately represented by its own counsel at its own expense.

 

20.                               Should Immunocore fail to file, maintain or prosecute any patent or patent application in accordance with this Schedule 3, Adaptimmune may provide Immunocore with 30 days notice of such failure. Where such failure is not corrected within the 30 day notice period, Adaptimmune may serve a further written notice to take over the filing, prosecution and maintenance of such Licensed Patents. Immunocore shall provide all reasonable assistance required by Adaptimmune in relation to the transition of the filing, prosecution and maintenance of such patents and/or patent applications to Adaptimmune.

 

21.                               Where Adaptimmune takes over the filing, prosecution and maintenance of any of the patents or patent applications under paragraph 20 above, paragraph 14 shall cease to apply. Adaptimmune will file, prosecute and maintain any patents or patent applications in accordance with the obligations previously imposed on Immunocore. Immunocore will reimburse Adaptimmune, within 30 days of the date of an invoice from Adaptimmune, for 50% of the reasonable costs (including patent agent costs), fees and charges incurred by Adaptimmune in the course of filing, prosecuting and maintaining patent and patent applications under this Schedule 3.  Such invoice will set out an itemised list of the costs incurred by the Adaptimmune to a level of detail satisfactory to the Immunocore. Immunocore may also request copies of invoices received from third parties including patent agent costs.

 

22.                               This Schedule 3 shall apply to the filing of patents and patent applications in relation to Results, Know-How or the Licensed Patents both during the term of this Deed and following any termination or expiry of this Deed.

 

26

 

Schedule 4

 

Projects as at Effective Date

 

	
Unique ID
    	
 
    	
TCR Source
    	
 
    	
Target
    	
 
    	
MHC allele
    	
 
    	
Sequence of wt
   epitope
    	
 
    	
In-
   licensed?
    	
 
    	
TRAV
    	
 
    	
TRBV
    
	
c001
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c002
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c003
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c004
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c005
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c006
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c007
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c008
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c009
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c010
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c011
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c012
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c013
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c014a
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c014b
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c015
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    

 

***Portions of this page have been omitted pursuant to a request for Confidential Treatment and filed separately with the Commission.

 

27

 

	
c021
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c022
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c023
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c024
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c025
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c026
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c028
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c029
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c30
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c31
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c32
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c027
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c018
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c019
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c020
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c017
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c033
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c034
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c035
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c036
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c037
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c038
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    

 

***Portions of this page have been omitted pursuant to a request for Confidential Treatment and filed separately with the Commission.

 

28

 

	
c039
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c040
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c041
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c042
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c043
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c044
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c045
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c046
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c047
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c048
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c049
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c050
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c051
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c052
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c053
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c054
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c055
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    
	
c056
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
***
    	
 
    	
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***Portions of this page have been omitted pursuant to a request for Confidential Treatment and filed separately with the Commission.

 

29

 

	
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***Portions of this page have been omitted pursuant to a request for Confidential Treatment and filed separately with the Commission.

 

30

 

	
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***Portions of this page have been omitted pursuant to a request for Confidential Treatment and filed separately with the Commission.

 

31

 

SCHEDULE 5

 

PATENT PROCESS TEMPLATE

 

This template may be completed for each new patent family/ notification to record steps taken in accordance with this Deed and, in particular, Schedule 3 of this Deed. Should there be any conflict t between any template and Schedule 3, the provisions of Schedule 3 shall supersede and override any template unless Schedule 3 is explicitly stated to be amended and such amendment is agreed to in writing by both Parties.

 

Immunocore agrees to use reasonable endeavours to complete this template and provide a copy to Adaptimmune following any changes or updates to this template.

 

	
Step in patent
   process procedure.
    	
 
    	
Action/ decision
    	
 
    	
Authorisation by Parties
    
	
Assigned   family number:
    	
 
    	
 
    
	
 

Granted   patent details when available:
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Notification of invention
    	
 
    	
Notification made by:
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Notification date:
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Notification relates to same TCR or subject matter as   previously filed application: see template for [insert   application details/ family number] for further information.
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Decision to maintain invention as confidential:
    	
 
    	
Agreed by Immunocore:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Signature:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Date:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Agreed by Adaptimmune
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Signature:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Date:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Decision to file patent application:
    	
 
    	
Agreed by Immunocore:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Signature:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Date:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Agreed by Adaptimmune
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Signature:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Date:
    

 

 

	
 
    	
 
    	
N.B. Where no agreement is reached between the   Parties: patent application will be filed.
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Provisional Application filed
    	
 
    	
Provisional Application details:
    	
 
    	
Content agreed by Immunocore:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Date filed:
    	
 
    	
Signature:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Date:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Content agreed by Adaptimmune
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Signature:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Date:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
N.B. Any dispute as to content to be resolved in   favour of Adaptimmune.
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Provisional Application withdrawn
    	
 
    	
Provisional Application details:
    	
 
    	
Agreed by Immunocore:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Date withdrawn:
    	
 
    	
Signature:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Date:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Agreed by Adaptimmune
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Signature:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Date:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
N.B. Any dispute to be resolved in favour of   Adaptimmune.
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Provisional Application withdrawn and re-filed
    	
 
    	
Provisional Application details:

 

Date withdrawn:

 

Date new provisional filed:

 

New Provisional Application details:
    	
 
    	
Agreed by Immunocore:

 

Signature:

 

Date:

 

Agreed by Adaptimmune

 

Signature:

 

Date:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
N.B. Any dispute to be resolved in favour of   Adaptimmune.
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Full Application filed
    	
 
    	
Full Application details:

 

Date filed:
    	
 
    	
Content agreed by Immunocore:

 

Signature:

 

Date:
    

 

33

 

	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
Content agreed by Adaptimmune

 

Signature:

 

Date:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
N.B. Any dispute as to content to be resolved in   favour of Adaptimmune.
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Later Application notified
    	
 
    	
Notification made by:
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Notification date:
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Provisional Application to be withdrawn:

 

Date withdrawn:
    	
 
    	
Agreed by Immunocore:

 

Signature:

 

Date:

 

Agreed by Adaptimmune

 

Signature:

 

Date:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Full Application to be withdrawn:

 

Date withdrawn:
    	
 
    	
Agreed by Immunocore:

 

Signature:

 

Date:

 

Agreed by Adaptimmune

 

Signature:

 

Date:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Later Application to be re-filed:
    	
 
    	
Agreed by Immunocore:

 

Signature:

 

Date:

 

Agreed by Adaptimmune

 

Signature:

 

Date:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Later Application re-filed:

 

Application details:

 

Date filed:
    	
 
    	
Content agreed by Immunocore:

 

Signature:

 
    

 

34

 

	
 
    	
 
    	
 
    	
 
    	
Date:

 

Content agreed by Adaptimmune

 

Signature:

 

Date:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
N.B. Where no agreement on withdrawal of Provisional   Application or Full Application, Immunocore can file Later Application   but must include all Adaptimmune requested mutations:

 

Date Later Application filed:

 

Application details:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Responses to Official Actions/ Search Reports/   Examination reports
    	
 
    	
Details of office action/ notification etc:
    	
 
    	
Response agreed by Immunocore:

 

Signature:

 

Date:

 

Response agreed by Adaptimmune

 

Signature:

 

Date:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Changes to claim scope
    	
 
    	
Details of changes made/ response to office action/   opposition:
    	
 
    	
Changes agreed by Immunocore:

 

Signature:

 

Date:

 

Changes agreed by Adaptimmune

 

Signature:

 

Date:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Notification that either party wishes to cease being   involved in prosecuting/ filing or maintaining any Licensed Patent
    	
 
    	
Notification made by:

 

Notification date:

 

Licensed Patent(s) affected:
    	
 
    	
Agreement by other party to take over prosecution,   filing and maintenance of Licensed Patent:

 

Signature:

 

Date:
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Date title to patent 
    	
 
    	
 
    

 

35

 

	
 
    	
 
    	
transferred to party taking over prosecution, filing   and maintenance of Licensed Patent:
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
If party is not taking over prosecution, filing and   maintenance of Licensed Patent, date of lapse or withdrawal:
    	
 
    	
 
    

 

36

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00243-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00243-of-00352.parquet"}]]