Document:

exhibit10.2Amendment#1toLLASA

EXECUTION VERSION

AMENDMENT NUMBER 1 TO 
THE LIMITED LABORATORY AND ADMINISTRATIVE SERVICES AGREEMENT
This Amendment Number 1 to the Limited Laboratory and Administrative Services Agreement (this “Amendment”) is made and entered into as of August 31, 2014, by and between Clinical Reference Laboratory, Inc., a Kansas corporation (“CRL”) and Hooper Holmes, Inc., a New York corporation (“HH”).  CRL and HH are together referred to as the “Parties.”
Recitals
WHEREAS, HH and CRL are parties to that certain Limited Laboratory and Administrative Services Agreement, dated as of April 16, 2014 (the “LLASA”), that certain Specification of Laboratory Services Agreement, dated as of April 16, 2014 (the “SLSA”), and that certain Specification of Administrative Services Agreement, dated as of April 16, 2014 (the “SASA”).  All capitalized terms used and not otherwise defined herein shall have the respective meanings set forth in the LLASA, SLSA and SASA, as applicable.
WHEREAS, HH and CRL are parties to that certain Strategic Alliance Agreement, dated as of April 16, 2014 (the “SAA”).
WHEREAS, the Parties desire to amend certain provisions of the LLASA, SLSA and SASA in the manner set forth below.
NOW, THEREFORE, in accordance with Section 19 of the LLASA, the Parties, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, and intending to be legally bound, hereby agree as follows:
1.ReliOn® Tests.  Notwithstanding anything to the contrary contained in Schedule A, Section 4 or any other provision of the LLASA, HH shall not provide CRL with any A1c testing of samples collected with the ReliOn® DBS collection kit (“ReliOn® Tests”).  In the event that, during the term of the LLASA, HH desires to engage a third party to perform ReliOn® Tests, CRL acknowledges and agrees that such engagement and such testing by such third party of ReliOn® Tests will not be deemed to be a violation of any exclusivity or other provision or restriction contained in the LLASA or the SLSA.
2.    Administrative Services.  
		
	(a)
	Statements of Work.  Section 4.2 of the SASA is hereby deleted in its entirety and replaced with the following:

“When, from time to time, HH believes Administrative Services are required from CRL for a particular state or territory, HH shall notify CRL of such need in writing.  Upon such notice, the parties shall negotiate in good faith, and use their respective Best Efforts (as such term is defined in the SAA), to develop, execute and deliver to each other one or 

more Statements of Work (SOWs) pursuant to which CRL will deliver such Administrative Services as may be agreed to in such state or territory.”
		
	(b)
	Exhibit C to the SASA.  Exhibit C to the SASA (the Administrative Services Statement of Work for New York) is hereby deleted in its entirety.

3.    Clean Specimens.  Exhibit A to the SLSA is hereby amended by deleting the first sentence of Section 3.1 thereof in its entirety and replacing such with the following:
“For Laboratory Testing Services, the Service Level Objectives shall only apply to specimens CRL receives that are properly collected, packaged and shipped to CRL with all required information included upon delivery to CRL or when electronically requested from CRL in the instance of testing orders (each a “Clean Specimen”).”
4.    Exceptions Report.  Section 7.1 of the SLSA is deleted in its entirety and hereby replaced in its entirety with the following:
“CRL shall, on at least a daily basis, provide exceptions status to CLIENT via electronic notification detailing any exceptions found during specimen setup.”
5.    Data Files.  Section 7.2 of the SLSA is deleted in its entirety and hereby replaced in its entirety with the following:
“CRL shall, in consultation with CLIENT, provide data files by an appropriately secured, mutually agreed upon transmission method to the designated CLIENT representative within ten (10) business days after the end of a calendar month which shall include the data necessary for CLIENT to monitor the following:
		
	(a)
	Quantity of Specimen Report, along with the associated unique barcode, date reported, test name and result unable to be processed and reason such as:

		
	(i)
	Specimen Not Submitted (SNS);

		
	(ii)
	Testing Not Performed (TNP);

		
	(iii)
	Turnaround Time Report, based on SLA’s;

		
	(iv)
	Critical Value Report.

		
	(b)
	Monthly report detailing Lab Services provided to CLIENT business representative at the same time the invoice is sent, providing detail for the corresponding invoice in a mutually agreed upon format.

2

		
	(i)
	Detailed service descriptions on invoice;

		
	(ii)
	Total quantity of each detailed service;

		
	(iii)
	Total monthly spend on each detailed service;

		
	(iv)
	Unit cost of each detailed service.”

6.    Certain Lab Tests.  Notwithstanding anything to the contrary contained in Section 4 or any other provision of the LLASA, CRL acknowledges and agrees that HH shall be entitled to engage the services of Physicians Reference Lab, or any mutually agreeable alternate laboratory, for a period of thirty (30) days after the Closing Date to perform any retesting or reflex testing of any Specimen HH receives from HH’s customers on or before the Closing Date which is in need of such retesting or reflex testing after the Closing Date.
7.    Demographic Data for State Reporting.  HH acknowledges that CRL has an obligation to report certain positive results of certain laboratory tests to state Departments of Health.  In support of CRL executing on that responsibility, HH shall provide to CRL, upon reasonable notice of not less than five (5) Business Days, demographic information (name, address, phone number and date of birth) related to the donor of any specimen requiring reporting to state Department(s) of Health to CRL in a mutually agreeable electronic format.   
8.    State-Specific Testing Volumes.  HH shall provide to CRL, upon reasonable notice of not less than five (5) Business Days, the total number of tests CRL has reported to HH for specified state(s) for purposes of CRL reporting such volumes as part of CRL’s licensing activities.
9.    Monthly Volume Forecasting.  HH shall provide to CRL by the fifth (5th) Business Day of each month, a written forecast of testing volume over the next six (6) months from the date of the report.  These forecasts will serve as an estimate of volumes and will not represent a commitment of such volume of testing from HH to CRL.
10.    Ratification of the LLASA, SLSA and SASA.  Except as expressly modified by this Amendment, all other terms, conditions, covenants and obligations of the LLASA, SLSA and SASA shall remain in full force and effect. 
11.    Entire Agreement.  The LLASA, SLSA and SASA (including all schedules and exhibits thereto), as modified by this Amendment, constitute the entire agreement among the Parties with respect to the subject matters thereof and hereof and supersedes all prior agreements and understandings among the Parties, oral or written, with respect to the subject matters thereof and hereof.
12.    Execution of this Amendment.  This Amendment may be executed in counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument.  A signature delivered by facsimile or PDF will be sufficient for all purposes among the Parties.
[Signature page follows]

3

IN WITNESS WHEREOF, the parties have executed this Amendment as of the date first written above.
	
		
	Buyer:
	Seller:

	CLINICAL REFERENCE  
LABORATORY, INC.
	HOOPER HOLMES, INC.

	

By:     /s/ John R. Martin         
Name:  John R. Martin         
Title:     EVP, CAO            
	

By:     /s/ Henry E. Dubois         
Name:  Henry E. Dubois         
Title:     President & CEO          

[Signature Page to Amendment Number 1 to the Limited Laboratory and Administrative Services Agreement]Exhibit 10.1

 

AMPLIPHI
BIOSCIENCES CORPORATION

 

INTERIM
CHIEF OPERATING OFFICER AGREEMENT

 

This
Interim Chief Operating Officer Agreement (“Agreement”)
is entered into by and between AmpliPhi Biosciences Corporation, a Washington corporation (the “Company”)
and Wendy S. Johnson (“Consultant”), on
September 18, 2014, and shall be deemed to be effective as of September 1, 2014. The Company desires to retain Consultant as an
independent contractor to perform services for the Company on an interim basis, and Consultant is willing to perform such services,
on the terms described below. In consideration
of the mutual promises contained herein, the parties agree
as follows:

 

1.           Services
and Compensation. Consultant agrees to perform
for the Company the services described in Exhibit A (the
“Services”), and the Company agrees to pay
Consultant the compensation described in Exhibit A
for Consultant’s performance of the Services.

 

2.           Confidentiality.

 

(a)           Definition.
“Confidential Information” means any and all
information and materials, in whatever form, tangible or intangible, whether disclosed to or learned or developed by Consultant
before or after the execution of this Agreement, whether or not marked or identified as confidential or proprietary, pertaining
in any manner to the business of or used by the Company and its affiliates, or pertaining in any manner to any person or entity
to whom the Company owes a duty of confidentiality. Confidential Information includes, but is not limited to, the following
types of information and materials: (i) trade secrets, inventions, ideas, processes, formulas, algorithms, pre-clinical
and clinical data, formulations, programs, other works of authorship, know-how, improvements, discoveries, developments, designs
and techniques; (ii) information regarding plans for research, development,
new products, marketing and selling, business plans, business methods, budgets and unpublished financial statements,
licenses, prices and costs, suppliers and customers;
(iii) sensitive personnel information including the skills and compensation of other employees of the Company; and (iv)
any other information or materials relating to the past, present, planned
or foreseeable business, products, developments, technology or activities
of the Company. Consultant understands that Confidential Information includes, but is not
limited to, information pertaining to any aspect of the Company’s business which is either information not known
by actual or potential competitors of the Company or other third parties not under confidentiality obligations
to the Company, or is otherwise proprietary information of the Company or its customers or suppliers, whether of a technical
nature or otherwise. Consultant further understands that Confidential Information does not include any of the foregoing items
which has become publicly and widely known and made generally available through no wrongful act of Consultant or of others who
were under confidentiality obligations as to the item or items involved.

 

(b)           Nonuse
and Nondisclosure. Consultant will not, during or subsequent
to the term of this Agreement, (i) use the Confidential Information for any purpose whatsoever other than the performance of the
Services on behalf of the Company or (ii) disclose the Confidential Information to any third party except as reasonably required
to perform the Services and under appropriate confidentiality agreements. Consultant agrees that all Confidential Information
will remain the sole property of the Company. Consultant also agrees to take all reasonable precautions to prevent any unauthorized
disclosure of such Confidential
Information.

 

(c)           Former
Client Confidential Information. Consultant agrees that Consultant will not, during the term of this Agreement, improperly
use or disclose any proprietary information or trade secrets of any former or current employer of Consultant or other person or
entity with which Consultant has an
agreement or duty to keep
in confidence information acquired by Consultant, if any. Consultant also agrees that Consultant will not bring onto the
Company’s premises any unpublished document or proprietary information belonging to any such employer, person or entity
unless consented to in writing by such employer, person or entity.

 

(d)           Third
Party Confidential Information. Consultant recognizes
that the Company has received and in the future will receive from third parties their confidential or proprietary information
subject to a duty on the Company’s part to maintain the confidentiality of such information and to use it only for certain
limited purposes. Consultant agrees that, during the term of this Agreement and thereafter, Consultant owes the Company and such
third parties a duty to hold all such confidential or proprietary information in the strictest confidence and not to disclose
it to any person, firm or corporation or to use it except as necessary in carrying out the Services for the Company consistent
with the Company’s agreement with such third party.

 

    	1

    	 

    

 

(e)           Return
of Materials. Upon the termination of this Agreement, or upon Company’s earlier request, Consultant will deliver
to the Company all of the Company’s property, including but not limited to all electronically stored information and passwords
to access such property, or Confidential Information that Consultant may have in Consultant’s possession or control.

 

3.           Ownership.

 

(a)           Assignment.
Consultant agrees that all inventions (whether or not patentable), copyrightable material, notes, records, drawings, designs,
improvements, developments, discoveries and trade secrets conceived, discovered, developed or reduced to practice by Consultant,
solely or in collaboration with others, during the term of this Agreement that relate in any manner to the business of the Company
that Consultant may be directed to undertake, investigate or experiment with or that Consultant may become associated with in
work, investigation or experimentation in the Company’s line of business in performing the Services under this Agreement
(collectively, “Inventions”), are the
sole property of the Company. Consultant also agrees to assign (or cause to be assigned) and hereby assigns fully to the Company
all Inventions and any copyrights, patents, mask work rights or other intellectual property rights relating to all Inventions.

 

(b)           Further
Assurances. Consultant agrees to assist Company, or its designee, at the Company’s expense, in every proper way
to secure the Company’s rights in Inventions and any copyrights, patents, mask work rights or other intellectual property
rights relating to all Inventions in any and all countries, including the disclosure to the Company of all pertinent information
and data with respect to all Inventions, the execution of all applications, specifications, oaths, assignments and all other instruments
that the Company may deem necessary in order to apply for and obtain such rights and in order to assign and convey to the Company,
its successors, assigns and nominees the sole and exclusive right, title and interest in and to all Inventions, and any copyrights,
patents, mask work rights or other intellectual property rights relating to all Inventions. Consultant also agrees that Consultant’s
obligation to execute or cause to be executed any such instrument or papers shall continue
after the termination of this Agreement.

 

(c)           Pre-Existing
Materials. Attached as Exhibit B is a list describing
with particularity all inventions, improvements, developments, concepts, discoveries or other proprietary information which were
(i) made by Consultant prior to becoming a Consultant to the Company and (ii) could reasonably be deemed to be in or related to
the business of the Company (collectively referred to as “Prior
Inventions”), which belong solely to Consultant or belong to Consultant jointly with another, which relate
in any way to any of the Company’s proposed businesses, products or research and development, and which are not assigned
to the Company hereunder; or, if no such list is attached, Consultant represents that there are no such Prior Inventions. Subject
to Section 3(a), Consultant agrees that if, in the course of performing the Services, Consultant incorporates into any Invention
developed under this Agreement any Prior Invention owned by Consultant or in which Consultant has an interest, (i) Consultant
will inform Company, in writing before incorporating such Prior Invention into any Invention, and (ii) the Company is hereby granted
a nonexclusive, royalty-free, perpetual, irrevocable, worldwide license to make, have made, modify, use and sell such Prior Invention
as part of or in connection with such Invention. Consultant will not incorporate any invention, improvement, development, concept,
discovery or other proprietary information owned by any third party into any Invention without Company’s prior written permission.

 

(d)           Attorney-in-Fact.
Consultant agrees that, if the Company is unable because of Consultant’s unavailability, dissolution, mental or physical
incapacity, or for any other reason, to secure Consultant’s signature for the purpose of applying for or pursuing any application
for any United States or foreign patents or mask work or copyright registrations covering the Inventions assigned to the Company
in Section 3(a), then Consultant hereby irrevocably designates and appoints the Company and its duly authorized officers and agents
as Consultant’s agent and attorney-in-fact, to act for and on Consultant’s behalf to execute and file any such applications
and to do all other lawfully permitted acts to further the prosecution and issuance of patents, copyright and mask work registrations
with the same legal force and effect as if executed by Consultant.

 

    	2

    	 

    

 

4.           Conflicting
Obligations. Consultant certifies that Consultant has no outstanding
agreement or obligation that is in conflict with any of the provisions of this Agreement or that would preclude Consultant from
complying with the provisions of this Agreement. Consultant will not enter into any such conflicting agreement during the term
of this Agreement. Consultant’s violation of this Section 4(a) will be considered a breach of a material provision of this
Agreement under Section 6(b).

 

5.           Reports.
Consultant also agrees that Consultant will, from time to time
during the term of this Agreement or any extension thereof, keep the Company advised as to Consultant’s progress in performing
the Services under this Agreement. Consultant further agrees that Consultant will, as requested by the Company, prepare written
reports with respect to such progress.

 

6.           Term
and Termination.

 

(a)         Term.
The term of this Agreement will begin on the date of this Agreement and will continue until the earliest of (i) December 31, 2014,
(ii) such time as the Company hires a new Chief Executive Officer or (iii) termination as provided in Section 6(b). The term of
this Agreement may be extended upon mutual written agreement of the parties.

 

(b)         Termination.
Either party may terminate this Agreement upon giving the other party 30 days’ prior written notice of such termination
pursuant to Section 9(e) of this Agreement. The Company may terminate this Agreement immediately and without prior notice if Consultant
refuses to or is unable to perform the Services or is in breach of
any material provision of this
Agreement.

 

(c)         Survival.
Upon such termination, all rights and duties of the Company and Consultant toward each other shall cease except:

 

(i)           The
Company will pay, within 30 days after the effective date of termination, all amounts owing to Consultant for Services completed
and accepted by the Company prior to the termination date and related expenses, if any, submitted in accordance with the Company’s
policies and in accordance with the provisions of Section 1 of this Agreement; and

 

(ii)           Section
2 (Confidentiality), Section 3 (Ownership), Section 7 (Independent Contractor; Benefits) and Section 9 (Miscellaneous) will survive
termination of this Agreement.

 

7.           Independent
Contractor; Benefits.

 

(a)         Independent
Contractor. It is the express intention of the Company and Consultant that Consultant perform the Services as
an independent contractor to the Company. Nothing in this Agreement shall in any way be construed to constitute Consultant as
an employee of the Company. Consultant agrees to furnish (or reimburse the Company for) all tools and materials necessary to accomplish
this Agreement and shall incur all expenses associated with performance, except as expressly provided in Exhibit
A. Consultant acknowledges and agrees that Consultant is obligated to report as income all compensation received by
Consultant pursuant to this Agreement. Consultant agrees to and acknowledges the obligation to pay all self-employment and other
taxes on such income.

 

(b)         Benefits.
The Company and Consultant agree that Consultant will receive no Company-sponsored benefits from the Company. If Consultant is
reclassified by a state or federal agency or court as Company’s employee, Consultant will become a reclassified employee
and will receive no benefits from the Company, except those mandated by state or federal law, even if by the terms of the Company’s
benefit plans or programs of the Company in effect at the time of such reclassification, Consultant would otherwise be eligible
for such benefits.

 

8.           Indemnification
Agreement. The Company and Consultant acknowledge that the Company and Consultant have entered into that certain Indemnification
Agreement, dated June 1, 2014 (the “Indemnification Agreement”),
and that nothing herein is intended to limit or modify the parties’ rights or obligations under the Indemnification
Agreement.

 

    	3

    	 

    

 

9.           Miscellaneous.

 

(a)           Governing
Law. This Agreement shall be governed by the laws of the Commonwealth of Virginia without regard to conflicts of law
rules.

 

(b)           Assignability.
Except as otherwise provided in this Agreement, Consultant may not sell, assign or delegate any rights or obligations under this
Agreement. The Company may assign (i) this Agreement to a Company affiliate or (ii) this Agreement in the event of a merger, acquisition
or sale of all or substantially all of the assets of the Company. Subject to the foregoing, this Agreement will be binding upon
and inure to the benefit of the parties hereto, their successors and
assigns.

 

(c)           Entire
Agreement. This Agreement and the Indemnification Agreement constitute the entire agreement between the parties with
respect to the subject matter hereof and thereof and supersede all prior written and oral agreements between the parties regarding
the subject matter hereof and thereof.

 

(d)           Headings.
Headings are used in this Agreement for reference only and shall not
be considered when interpreting this Agreement.

 

(e)           Notices.
Any notice or other communication required or permitted by this Agreement to be given to a party shall be in writing and shall
be deemed given if delivered personally or by commercial messenger or courier service, or mailed by U.S. registered or certified
mail (return receipt requested), or sent via facsimile (with receipt of confirmation of complete transmission) to the party at
the party’s address or facsimile number written below or at such other address or facsimile number as the party may have
previously specified by like
notice. If by mail, delivery shall be deemed effective 3 business
days after mailing in accordance with this Section 9(e).

 

		(i)	If to the Company,
                                         to:

 

4870
Sadler Road, Suite 300

Glen
Allen, VA 23060

Attention:
Chief Executive Officer

 

(ii)          If
to Consultant, to the address for notice on the signature page to this Agreement or, if no such address is
provided, to the last address of Consultant provided by Consultant to the Company.

 

(f)           Attorneys’
Fees. In any court action at law or equity that is brought by one of the parties to this Agreement to enforce or interpret
the provisions of this Agreement, the prevailing party will be entitled to reasonable attorneys’ fees, in addition to any
other relief to which that party may be entitled.

 

(g)           Severability.
If any provision of this Agreement is found to be illegal or unenforceable, the other provisions shall remain effective and enforceable
to the greatest extent permitted by law.

 

(h)           Amendments.
This Agreement may be amended or waived only upon written consent of the Consultant and the Company.

 

(i)           Counterparts.
This Agreement may be executed in two or more counterparts, each of which shall be deemed an original and all of which together
shall constitute one instrument.

 

[Remainder
of page intentionally left blank.]

 

    	4

    	 

    

 

IN WITNESS WHEREOF, the parties hereto have
executed this Interim Chief Operating Officer Agreement as of the date first written above.

 

	CONSULTANT	 	AMPLIPHI BIOSCIENCES CORPORATION
	 	 	 	 	 
	By:	/s/ Wendy S. Johnson	 	By:	/s/ Jeremy Laurence Curnock Cook
	 	 	 		
	Name: 	Wendy S. Johnson	 	Name: 	Jeremy Laurence Curnock Cook
	 	 	 		
	 	 	 	Title:	Interim CEO
	 	 	 		
	Address for Notice:	 	 	 
	 	 	 	 
	5350 Renaissance Avenue	 	 	 
	 	 	 	 
	San Diego CA 92122	 	 	 

  

Signature
Page to Interim Chief Operating Officer Agreement

 

    	 

    	 

    

 

EXHIBIT
A

 

SERVICES
AND COMPENSATION

 

1.           Services.
Consultant shall serve as the interim Chief Operating Officer of the Company and shall perform the duties, and have the responsibilities,
that are customary for persons serving in such office. Consultant will report to the Interim Chief Executive Officer of the Company.

 

2.           Compensation.

 

A.           The
Company will compensate Consultant at a rate of $20,000 per month, payable on the last business day of each month, during the
term of this Agreement.

 

B.           The
Company will reimburse Consultant for reasonable travel and other business expenses incurred by Consultant in the performance
of her duties, consistent with the Company’s reimbursement policies. Consultant will provide receipts to the Company documenting
such expenses.

 

3.           Other
Engagements. Consultant may accept other consulting assignments, and engage in other business activities, so long as
they do not interfere with her obligations under this Agreement.

 

    	 

    	 

    

 

EXHIBIT
B

 

LIST
OF PRIOR INVENTIONS EXCLUDED UNDER SECTION 3(C)

 

	Title	 	Date	 	Identifying
                                         Number

        or
        Brief Description

	 	 	 	 	 
	 	 	 	 	 
	 	 	 	 	 
	 	 	 	 	 

 

x
No inventions or improvements

 

 ̈
Additional Sheets Attached

 

	Signature of Consultant: 	/s/ Wendy Johnson	 

 

	Print Name of Consultant: 	Wendy Johnson	 

 

	Date: 	September 17, 2014

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00237-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00237-of-00352.parquet"}]]