Document:

Patent and Trademark Security Agreement - Luna Innovations Incorporated

 Exhibit 10.56 

PATENT AND TRADEMARK SECURITY AGREEMENT 

THIS PATENT AND TRADEMARK SECURITY AGREEMENT (this “Agreement”), dated as of January 12, 2010, is made between Luna
Innovations Incorporated, a Delaware corporation (“Grantor”), and Hansen Medical, Inc., a Delaware corporation (“Secured Party”). 

Grantor and Secured Party hereby agree as follows: 

1. Definitions; Interpretation. 

(a) Terms Defined in Security Agreement. All capitalized terms used in this Agreement and not otherwise defined herein shall have
the meanings assigned to them in the Security Agreement. 
 (b) Certain Defined Terms. As used in this Agreement, the
following terms shall have the following meanings: 
 “Collateral” has the meaning set forth in Section 2.

 “PTO” means the United States Patent and Trademark Office. 

“Security Agreement” means the Security Agreement dated as of January 12, 2010 between Grantor and Secured Party.

 (c) Terms Defined in UCC. Where applicable and except as otherwise defined herein, terms used in this Agreement shall
have the meanings assigned to them in the UCC. 
 (d) Interpretation. The rules of interpretation applicable to the
Security Agreement shall also be applicable to this Agreement and are incorporated herein by this reference. 
 2. Security
Interest. 
 (a) Grant of Security Interest. As security for the payment and performance of the Obligations, subject
to the terms and conditions of the Security Agreement, Grantor hereby grants, assigns, and conveys to Secured Party a security interest in all of Grantor’s right, title and interest in, to and under the following property, in each case whether
now or hereafter existing or arising or in which Grantor now has or hereafter owns, acquires or develops an interest and wherever located (collectively, the “Collateral”): 

(i) all patents and patent applications, domestic or foreign, all licenses relating to any of the foregoing and all income and royalties
with respect to any licenses (including such patents and patent applications as described in Schedule A), all rights to sue for past, present or future infringement thereof, all rights arising therefrom and pertaining thereto and all reissues,
divisions, continuations, renewals, extensions and continuations-in-part thereof; 

 (ii) all state (including common law), federal and foreign trademarks, service marks and
trade names, and applications for registration of such trademarks, service marks and trade names, all licenses relating to any of the foregoing and all income and royalties with respect to any licenses thereof (including such marks, names and
applications as described in Schedule B), whether registered or unregistered and wherever registered, all rights to sue for past, present or future infringement or unconsented use thereof, all rights arising therefrom and pertaining thereto and all
reissues, extensions and renewals thereof; 
 (iii) all goodwill of or associated with the Collateral referenced in
Section 2(a)(ii) above; 
 (iv) all commercial tort claims arising out of any of the aforementioned properties and assets;

 (v) all accounts, all intangible intellectual or other similar property and other general intangibles arising out of any of
the aforementioned properties and assets and not otherwise described above, including all license payments and payments under insurance (whether or not Secured Party is the loss payee thereof) or any indemnity, warranty or guaranty payable by reason
of loss or damage to or otherwise with respect to the foregoing Collateral; and 
 (vi) all proceeds of or with respect to any
and all of the foregoing Collateral. 
 (b) Continuing Security Interest. Grantor agrees that this Agreement shall create
a continuing security interest in the Collateral which shall remain in effect until terminated in accordance with Section 12. 

3. Supplement to Security Agreement. This Agreement has been entered into conjunction with the security interests granted to
Secured Party under the Security Agreement and is subject to the terms and conditions thereof. The rights and remedies of Secured Party with respect to the security interests granted herein are without prejudice to, and are in addition to those set
forth in the Security Agreement, all terms and provisions of which are incorporated herein by reference. 
 4.
Representations and Warranties. Grantor represents and warrants to Secured Party that: 
 (a) Patents. A true and
correct list of all of the existing Collateral consisting of U.S. patent registrations and applications therefor owned by Grantor, in whole or in part, is set forth in Schedule A. 

(b) Trademarks. A true and correct list of all of the existing Collateral consisting of U.S. trademark registrations and
applications therefor owned by Grantor, in whole or in part, is set forth in Schedule B. 
 5. Further Acts. On a
continuing basis, Grantor shall make, execute, acknowledge and deliver, and file and record in the proper filing and recording places, all such instruments and documents, and take all such action as may be necessary or advisable or may be requested
by 

 
Secured Party to carry out the intent and purposes of this Agreement, or for assuring, confirming or protecting the grant or perfection of the security interest granted or purported to be granted
hereby, to ensure Grantor’s compliance with this Agreement or to enable Secured Party to exercise and enforce its rights and remedies hereunder with respect to the Collateral, including any documents for filing with the PTO and/or any
applicable state office. Secured Party may record this Agreement, an abstract thereof, or any other document describing Secured Party’s interest in the Collateral with the PTO, at the expense of Grantor. 

6. Authorization to Supplement. If Grantor shall obtain rights to any new trademarks, any new patentable inventions or become
entitled to the benefit of any patent application or patent for any reissue, division, or continuation, of any patent, the provisions of this Agreement shall automatically apply thereto. Grantor shall give prompt notice in writing to Secured Party
with respect to any such new trademarks or patents, or renewal or extension of any trademark registration. Without limiting Grantor’s obligations under this Section 6, Grantor authorizes Secured Party to modify this Agreement by amending
Schedules A or B to include any such new patent or trademark rights. Notwithstanding the foregoing, no failure to so modify this Agreement or amend Schedules A or B shall in any way affect, invalidate or detract from Secured
Party’s continuing security interest in all Collateral, whether or not listed on Schedule A or B. 
 7.
Binding Effect. This Agreement shall be binding upon, inure to the benefit of and be enforceable by Grantor, Secured Party and their respective successors and assigns and shall bind any Person who becomes bound as a debtor to this Agreement.
Neither Secured Party nor Grantor may assign, transfer, hypothecate or otherwise convey its rights, benefits, obligations or duties hereunder except as specifically permitted by the Security Agreement. 

8. Notices. All notices or other communications hereunder shall be in writing and delivered or sent in the manner provided in the
Security Agreement. 
 9. Governing Law; Jurisdiction; Venue. 

(a) Choice of Law. This Agreement shall be governed by, and interpreted in accordance with the laws of the State of Delaware,
without regard to conflicts of laws, or applicable federal law as to a particular subject where federal law governs, such as for example, the Patent Act governing patents or the Copyright Act governing copyrights. 

(b) Alternative Dispute Resolution. Notwithstanding subsections (c) below, in the event some provision of a Settlement
Document expressly creates an alternative dispute resolution provision as to a particular type of dispute, then such disputes shall be resolved as so specified in the Agreement. 

(c) Consent to Jurisdiction. Each Party hereby (i) consents and submits to the venue and co-exclusive jurisdiction of the
courts of New Castle County in the State of Delaware and the Federal courts of the United States sitting in such part of the District of Delaware, (ii) agrees that all claims may be heard and determined in such courts, (iii) irrevocably
waives (to the extent permitted by applicable law) any objection that it now or hereafter may have to the laying of venue of any such action or proceeding brought in any of the foregoing courts, and any

 
objection on the ground that any such action or proceeding in any such court has been brought in an inconvenient forum, and (iv) agrees that a final judgment in any such action or proceeding
shall be conclusive and may be enforced in other jurisdictions by suit on the judgment or in any other manner permitted by law. Each of the parties hereby consents to service of process by any party in any suit, action or proceeding in accordance
with such applicable law. 
 10. Amendment; Conflict. This Agreement is subject to modification only by a writing signed
by the parties, except as provided herein. To the extent that any provision of this Agreement conflicts with any provision of the Security Agreement, the provision under the Security Agreement shall control. 

11. Counterparts. This Agreement may be executed in any number of counterparts and by different parties hereto in separate
counterparts, each of which when so executed shall be deemed to be an original and all of which taken together shall constitute but one and the same agreement. 

12. Termination. Upon payment and performance in full of all Obligations, the security interests created by this Agreement shall
terminate and Secured Party shall promptly execute and deliver to Grantor such documents and instruments reasonably requested by Grantor as shall be necessary to evidence termination of all such security interests given by Grantor to Secured Party
hereunder, including cancellation of this Agreement by written notice from Secured Party to the PTO. 
 [Remainder of page
left intentionally blank.] 

 IN WITNESS WHEREOF, the parties hereto have duly executed this Agreement, as of the date
first above written. 
  

			
	Luna Innovations Incorporated
		
	By:	 	 /s/ KENT A. MURPHY

	Name:	 	Kent A. Murphy
	Title:	 	CEO
	
	One Riverside Circle, Suite 400
	Roanoke, VA 24016
		
	Attn: 	 	
	Fax: 	 	
	email: 	 	
	
	Hansen Medical, Inc.
		
	By:	 	 /s/ FRED MOLL

	Name:	 	Fred Moll
	Title:	 	CEO
	
	800 East Middlefield Road
	Mountain View, CA 94043
	
	Attn:, 
	Fax: 	 	
	email: 	 	

 SIGNATURE PAGE TO PATENT AND TRADEMARK SECURITY AGREEMENT 

 SCHEDULE A 

to the Patent and Trademark Security Agreement 

LUNA INNOVATIONS INCORPORATED 

Issued Patents of Grantor 

 SCHEDULE B 

to the Patent and Trademark Security Agreement 

LUNA INNOVATIONS INCORPORATED 

U.S. Registered Trademarks of GrantorConfidential Mutual Release - Luna Innovations Incorporated

 Exhibit 10.57 

CONFIDENTIAL MUTUAL RELEASE 

This Confidential Mutual Release (“Release”) is entered into as of the Effective Date (defined below) by and between Luna
Innovations, Inc. (“Luna”) and Luna Technologies, Inc. (“Luna Technologies”) (collectively, the “Debtors”), and Hansen Medical, Inc. (“Hansen”) (together with the Debtors, the “Parties”). 

This Agreement is made with respect to the following recitals: 

A. Hansen and Luna are parties to the California Action, and Hansen and the Debtors are parties to the Bankruptcy Case, as respectively
defined below. 
 B. The Parties have entered into a Confidential Settlement Agreement dated December 11, 2009 (the
“Settlement Agreement”) to resolve the disputes between them in the California Action and Bankruptcy Case. 
 C. This
Agreement is one of the “Settlement Documents” for purposes of the First Amended Joint Plan of Reorganization of Luna Innovations Incorporated and Luna Technologies, Inc. (the “Amended Plan”), as described in the First Amended
Disclosure Statement in Support of First Amended Joint Plan of Reorganization of Luna Innovations Incorporated, et al. under Chapter 11 of the Bankruptcy Code (the “Disclosure Statement”) and the “Confirmation Order” entered by
the U.S. Bankruptcy Court” for the Western District of Virginia (the “Bankruptcy Court”) in the Bankruptcy Case. 

NOW, THEREFORE, in consideration of all of the terms and conditions of this Agreement, the Parties agree as follows: 

1. Definitions. The following words and phrases shall have the meanings set forth below for purposes of this Agreement.

 1.1 “Affiliates” shall mean any corporation or other entity that is directly or indirectly controlling,
controlled by or under common control with a party. For purposes of this definition, “control” of an entity means the direct or indirect ownership of securities representing fifty percent (50%) or more of the total voting power
entitled to vote in elections of such entity’s board of directors or other governing authority, or equivalent interests conferring the power to direct or cause the direction of the governance or policies of such entity. 

1.2 “Bankruptcy Case” means In Re Luna Innovations, et al., Case No. 09- 71811 (WFS), United States
Bankruptcy Court for the Western District of Virginia, Roanoke Division. 
 1.3 “California Action” means the
civil action entitled Hansen Medical Inc. v. Luna Innovations Inc., Case No. 07-088551, Superior Court of the State of California, County of Santa Clara. 

1.4 “Claims” means any and all claims, actions, causes of action, demands, costs, and charges of whatever nature. This
definition of “claims” applies only to this Release and is not intended to the change the definition of “claims” as used in the Amended Plan for bankruptcy purposes. 

 1.5 “Defendant” means Luna Innovations, Inc. 

1.6 “Defendant Released Parties” means Luna and Luna Technologies, and each of their respective current and former
officers, directors, employees, agents, attorneys, and representatives solely in their capacity as such. “Defendant Released Parties” does not include third parties such as business partners and parties with contractual relationships with
Luna other than those listed in the preceding sentence. 
 1.7 “Effective Date” means the Effective Date of the
Amended Plan after entry of the Confirmation Order by the Bankruptcy Court. 
 1.8 “Legal Proceeding” means any
lawsuit or any other civil or administrative proceeding of any kind in any court, tribunal, agency or governmental entity. 

1.9 “Party” means Luna, Luna Technologies or Hansen, and when used in the plural shall mean all of them. 

1.10 “Person” means an individual, trust, corporation, partnership, joint venture, limited liability company,
association, unincorporated organization or other legal or governmental entity, including those defined as “persons” in 11 U.S.C. § 101. 

1.11 “Plaintiff” means Hansen Medical, Inc. 

1.12 “Plaintiff Released Parties” means Hansen and its Affiliates, and each of their respective current and former
officers, directors, employees, agents, attorneys, and representatives in their capacity as such. “Plaintiff Released Parties” does not include third parties such as business partners and parties with contractual relationships with Hansen
other than those listed in the preceding sentence. 
 1.13 “Third Party” means a Person other than a Party to
this Agreement or any of such Parties’ Affiliates. 
 2. Releases and Dismissals. As of the Effective Date,

 2.1 Release by Hansen. Hansen, on behalf of itself and its predecessors, successors, assigns, and Affiliates,
does hereby now and forever release and discharge the Defendant Released Parties from any and all Claims that were made or that could have been made by Hansen in the California Action and all of the approximately $36.1 million jury verdict in the
California Action, as well as from any and all Claims (as defined herein or as in the Amended Plan, whichever definition is broader) that Hansen made or could have made in the Bankruptcy Case. This release does not extend to third parties other than
those specifically identified as Defendant Released Parties in those capacities; provided that nothing herein releases any rights that Hansen may have to injunctions against future violations of Hansen’s ownership or nonmonetary rights to
property, to specific performance against future violations of confidentiality or other nonmonetary rights of Hansen or to declaratory relief as to future 

 
violations of Hansen’s ownership or other nonmonetary rights. In particular, without limiting the generality of the foregoing, nothing herein shall be deemed to release any of Hansen’s
rights to nonmonetary relief to protect against future violations of Hansen’s rights in what Hansen identifies as its intellectual property and other nonmonetary rights. 

2.2 Release by Luna. Luna, on behalf of itself and its predecessors, successors, assigns, and Affiliates, does hereby now
and forever release and discharge the Plaintiff Released Parties from any and all Claims that were made or that could have been made by Luna in the California Action, as well as from any and all Claims (as defined herein or as in the Amended Plan,
whichever definition is broader) that Luna made or could have made in the Bankruptcy Case. This release does not extend to third parties other than those specifically identified as Plaintiff Released Parties in those capacities; provided that
nothing herein releases any rights that Luna may have to injunctions against future violations of Luna’s ownership or nonmonetary rights to property, to specific performance against future violations of confidentiality or other nonmonetary
rights of Luna or to declaratory relief as to future violations of Luna’s ownership or other nonmonetary rights. In particular, without limiting the generality of the foregoing, nothing herein shall be deemed to release any of Luna’s
rights to nonmonetary relief to protect against future violations of Luna’s rights in what Luna identifies as its intellectual property and other nonmonetary rights. 

2.3 Waiver of Unknown Claims. Each of the Parties, releasing claims by this Agreement, for its respective predecessors,
successors, assigns, and Affiliates, hereby expressly waives and relinquishes the provisions, rights and benefits of Section 1542 of the California Civil Code, which statute provides: 

A GENERAL RELEASE DOES NOT EXTEND TO CLAIMS WHICH THE CREDITOR DOES NOT KNOW OR SUSPECT TO EXIST IN HIS OR HER FAVOR AT THE TIME OF
EXECUTING THE RELEASE, WHICH IF KNOWN BY HIM OR HER MUST HAVE MATERIALLY AFFECTED HIS OR HER SETTLEMENT WITH THE DEBTOR 
 and any and all
provisions, rights and benefits of any similar statute or law of California or of any other jurisdiction. Each of the Parties, on its own behalf and on behalf of its respective predecessors, successors, assigns, and Affiliates, acknowledges that it
is familiar with Civil Code Section 1542 and the terms hereof and is aware that such party or person may hereafter discover facts in addition to or different from those which it now knows or believes to exist or be true with respect to the
subject matter of this release, but that such Party on its own behalf and on behalf of its respective predecessors, successors, assigns, and Affiliates intends to, and does hereby, fully, finally and forever settle, release and discharge each and
all of the Claims released by such Party pursuant to this Agreement, without regard to the subsequent discovery or existence of different or additional facts. 

2.4 Dismissal of Litigation. Not later than ten court days after the Effective Date, the parties shall file a joint motion
and agreed order, substantially in the form of Exhibit A attached hereto, requesting the Santa Clara County Superior Court to dismiss the California Action with prejudice. 

 3. Additional Provisions. The provisions of Sections 4, 5, 6, 8 (other than
8.3) and 9 (other than 9.12) of the Settlement Agreement are hereby incorporated by reference into this Release and shall apply as if stated herein. 

4. Execution in Counterparts. This Release may be executed and delivered in any number of counterparts. When each Party has
signed and delivered at least one counterpart to all other Parties, each counterpart shall be deemed an original and all counterparts, taken together, shall constitute one and the same agreement, which shall be binding and effective on the Parties
hereto. This Agreement shall not become binding on the Parties hereto unless it has been executed by authorized representatives of all Parties. 

IN WITNESS WHEREOF, the Parties have approved and executed this Confidential Release as of the Effective Date. 

 

					
		 	HANSEN MEDICAL, INC.
			
		 	By:	 	 /s/ FRED MOLL

		 	Its:	 	CEO
		
		 	LUNA INNOVATIONS, INC.
			
		 	By:	 	 /s/ KENT A. MURPHY

		 	Its:	 	CEO
		
		 	LUNA TECHNOLOGIES, INC.
			
		 	By:	 	 /s/ SCOTT A. GRAEFF

		 	Its:	 	President

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