Document:

Exclusive License for Fluidic Self Assembly of Microstructures

 Exhibit 10.27 
 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
  

			
	 UNIVERSITY OF CALIFORNIA, BERKELEY
  
 OFFICE OF TECHNOLOGY LICENSING
	  	

 EXCLUSIVE LICENSE 
 FOR 
 FLUIDIC SELF-ASSEMBLY OF MICROSTRUCTURES 
 U.C. Case No: B94-014 
 This license agreement
(“Agreement”) effective July 1, 1999, is by and between the Regents of the University of California, a California Corporation, whose legal address is 1111 Franklin Street, 12th Floor, Oakland, CA 94607-5200, acting through
its Office of Technology Licensing, at the University of California, Berkeley, 2150 Shattuck Avenue, Suite 510, Berkeley, CA 94720-1620, (“Regents”) and Alien Technology Corporation, a California corporation having a place of
business at 2606 Barrington Court, Hayward, CA 94545 (“Licensee”). 
  

	1.	BACKGROUND 

  

	 	1.1	Regents has assignments to the following Invention (as defined below): FLUIDIC SELF-ASSEMBLY OF MICROSTRUCTURES, as described in Regents’ Case No. B94-014; and to
Regents’ Patent Rights (as defined below). 

  

	 	1.2	Licensee entered into an option agreement (UCB Control Number 1995-11-0018) and extension thereof with Regents effective February 15, 1995, for the purpose of evaluating the
Invention and granting Licensee an exclusive right to negotiate an exclusive license of the Invention. 

 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
 June 29, 1999 
  

	 	1.3	Licensee has provided Regents with a commercialization plan on January 1996 and updated on January 1998 and 1999, for the Invention and business strategy in order to evaluate its
capabilities as a Licensee. 

  

	 	1.4	The development of the Invention was sponsored in part by the Department of Defense under Contract Numbers AFOSR 91-0327 and F49620-92-J-059-1, and as a consequence, title has
passed to Regents and Regents, in turn, has granted to the U.S. Government a non-exclusive, non-transferable, irrevocable, paid-up license to practice or have practiced the Inventions for or on behalf of the United States throughout the world.

  

	 	1.5	Regents wishes to have the Invention perfected and marketed at the earliest possible time in order that products resulting therefrom may be available for public use and benefit.

  

	 	1.6	Licensee wishes to acquire a license under the Regents’ Patent Rights for the purpose of undertaking development and to manufacture, use, and distribute under Licensed Products
(as defined below). 

  

	 	1.7	Licensee is a “small entity” as denned in 37 CFR §1.9 and a “small-business concern” defined in 15 U.S.C. §632. 

  

	 	1.8	On April 1, 1999, Beckmen Display, Incorporated changed its name to Alien Technology Corporation. 

 The parties agree as follows: 
  

	2.	DEFINITIONS 

  

	 	2.1	“Invention” means the invention described in: FLUIDIC SELF-ASSEMBLY OF MICROSTRUCTURES as described in Regents’ Case No. B94-014. 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
 June 29, 1999 
  

	 	2.2	“Regents’ Patent Rights” means the Regents’ interest in the following Patents and Patent applications and the foreign patents and patent applications elected
under Paragraph 15.4: 

  

	 	a)	U.S. Patent Number 5,545,291, issued to John S. Smith and Hsi-Jen J. Yeh on August 13, 1996 and assigned to Regents (UC Case No. B94-014-l;

  

	 	b)	U.S. Patent Number 5,783,856, issued to John S. Smith and Hsi-Jen J. Yeh on July 21, 1998 and assigned to Regents (UC Case No. B94-014-2; 

  

	 	c)	U.S. Patent Number 5,824,186, issued to John S. Smith and Hsi-Jen J. Yeh on October 20, 1998 and assigned to Regents (UC Case No. B94-014-3; 

 

	 	d)	U.S. Patent Number 5,904,545, issued to John S. Smith, Hsi-Jen J. Yeh, Mark A. Hadley and Ashish K Verma on May 18, 1999 and assigned to Regents (UC Case
No. B94-014-4); 

  

	 	e)	U.S. Patent Application Number 09/097,599, filed by John S. Smith, Hsi-Jen J. Yeh, Mark A. Hadley and Ashish K Verma on June 15, 1998 and assigned to
Regents (UC Case No. B94-014-5); 

  

	 	f)	Australia Patent No. 681928, issued to John S. Smith and Hsi-Jen S. Yeh on January 8, 1998 and assigned to Regents (UC Case No. B94-014-1);

  

	 	g)	Canada Patent Application Serial No. 2177276, filed on December 7, 1994, by John S. Smith and Hsi-Jen J. Yeh and assigned to Regents (UC Case No. B94-014-1)
that claims the convention priority benefits of U.S. Patent Number 5,545,291 dating from the U.S. filing date of December 13, 1993; 

  

	 	h)	China Patent Application Serial No. 94194495.6, filed on December 7, 1994, by John S. Smith and Hsi-Jen J. Yeh and assigned to Regents (UC Case
No. B94-014-1) that claims the convention priority benefits of U.S. Patent Number 5,545,291 dating from the U.S. filing date of December 13, 1993; 

  

	 	i)	EPO Patent Application Serial No. 95904304.3, filed on December 7, 1994, by John S. Smith and Hsi-Jen J. Yeh and assigned to Regents (UC Case No. B94-014-1)
that claims the convention priority benefits of U.S. Patent Number 5,545,291 dating from the U.S. filing date of December 13, 1993; 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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	 	j)	Japan Patent Application Serial No. 7-516846, filed on December 7, 1994, by John S. Smith and Hsi-Jen J. Yeh and assigned to Regents (UC Case No. B94-014-1)
that claims the convention priority benefits of U.S. Patent Number 5,545,291 dating from the U.S. filing date of December 13, 1993; 

  

	 	k)	Australia Patent Application Serial No. 55917/96, filed on June 6, 1996, by John S. Smith and Hsi-Jen J. Yeh and assigned to Regents (UC Case No. B94-014-3)
that claims the convention priority benefits of U.S. Patent Number 5,824,186 dating from the U.S. filing date of June 7, 1995; 

  

	 	l)	Canada Patent Application Serial No. 2177219, filed on May 23, 1996, by John S. Smith and Hsi-Jen J. Yeh and assigned to Regents (UC Case No. B94-014-3)
that claims the convention priority benefits of U.S. Patent Number 5,824,186 dating from the U.S. filing date of June 7, 1995; 

  

	 	m)	China Patent Application Serial No. 96106682.2, filed on June 7, 1996, by John S. Smith and Hsi-Jen J. Yeh and assigned to Regents (UC Case No. B94-014-3)
that claims the convention priority benefits of U.S. Patent Number 5,824,186 dating from the U.S. filing date of June 7, 1995; 

  

	 	n)	EPO Patent Application Serial No. 96109018.0, filed on June 7, 1996, by John S. Smith and Hsi-Jen J. Yeh and assigned to Regents (UC Case No. B94-014-3)
that claims the convention priority benefits of U.S. Patent Number 5,824,186 dating from the U.S. filing date of June 7, 1995; 

  

	 	o)	Japan Patent Application Serial No. 8-166633, filed on June 7, 1996, by John S. Smith and Hsi-Jen J. Yeh and assigned to Regents (UC Case No. B94-014-3)
that claims the convention priority benefits of U.S. Patent Number 5,824,186 dating from the U.S. filing date of June 7, 1995; 

  

	 	p)	EPO Patent Application Serial No. 96920415.5, filed on May 22, 1996, by John S. Smith, Hsi-Jen J. Yeh, Mark A. Hadley and Ashish K Verma and assigned
to Regents (UC Case No. B94-014-4) that claims the convention priority benefits of U.S. Patent Number 5,904,545 dating from the U.S. filing date of June 7, 1995; 

  

	 	q)	All other international patents and patent applications, and/or any divisions, continuations, reissues or continuations-in-part (only to the extent, however, that claims in the
continuations-in-part are entitled to the priority filing date of the parent patent application) of any of the above-referenced U.S. or international patents or applications. 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
 June 29, 1999 
  

	 	2.3	“Licensed Method” means any method or process that is covered by Regents’ Patent Rights, or any method or process the use or practice of which would constitute an
infringement of any pending or issued claims within Regents’ Patent Rights. 

  

	 	2.4	“Licensed Product(s)” means (1) any product produced by the Licensed Method, or (2) any service that employs the Licensed Method, or (3) any method, process
material or product the manufacture, use, sale, offer for sale, or import of which would be an infringement of any pending or issued claim of Regents’ Patent Rights, or (4) any material, method, process, or product, or part thereof that:

  

	 	a)	Is covered by a valid claim of any issued, unexpired patent within Regents’ Patent Rights. A claim within Regents’ Patent Rights shall be presumed to be valid unless and
until it has been held to be invalid by a final judgment of a court of competent jurisdiction from which no appeal can be or is taken; or 

  

	 	b)	Is covered by any claim being prosecuted in a pending application directed to the Invention. 

  

	 	2.5	“Licensed Field of Use” means the use of the Licensed Products identified in Paragraph 2.4 for all applications. 

  

	 	2.6	“Licensed Territory” means United States of America, its territories and possessions, any foreign countries where Regents has filed or obtained corresponding foreign
patents or applications, and any other foreign countries throughout the world for which Regents may lawfully grant a license of Regents’ Patent Rights. 

  

	 	2.7	 “Net Sales” means the gross invoice prices of Licensed Product sold or Licensed Method performed by the Licensee, an Affiliate or a sublicensee, less the
sum of the following actual and customary deductions where applicable: cash, trade or quantity discounts; sales, use, tariff, import/export duties or other excise taxes imposed on particular sales; transportation charges; and allowances or credits
to customers because of rejections or returns. For purposes of calculating Net Sales, transfers to an 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
 June 29, 1999 
  

	 	 
Affiliate or sublicensee for end use by the Affiliate or sublicensee will be treated as sales at list price. Net Sales are recognized when Licensed Product
is sold by Licensee, a sublicensee or one of their Affiliates to (1) an end user which is not an Affiliate of Licensee or such sublicensee, or (2) a distributor or original equipment manufacturer without return rights, or when such return
rights expire or (3) Licensee’s Affiliate or Licensee’s sublicensee, or a sublicensee’s Affiliate, in each case for use and not resale by the purchaser. 

  

	 	2.8	“Affiliate” means any corporation or other business entity in which the Licensee owns or controls, directly or indirectly, at least fifty percent (50%) of the
outstanding stock or other voting rights entitled to elect directors or in which the Licensee is owned or controlled directly or indirectly by at least fifty percent (50%) of the outstanding stock or other voting rights entitled to elect
directors; but in any country where the local law does not permit foreign equity participation of at least fifty percent (50%), then an “Affiliate” includes any company in which the Licensee owns or controls, or is owned or controlled by,
directly or indirectly, the maximum percentage of outstanding stock or voting rights permitted by local law. 

  

	 	2.9	“Gross Revenues” means any and all fees, royalties and other revenue received by Licensee in the form of cash or other forms of consideration, in accordance with generally
accepted accounting principles determined pursuant to the cash basis method of accounting, and shall be deemed received when actually paid to and received by Licensee. “Gross Revenues” excludes any Net Sales revenue.

  

	 	2.10	“Flat Panel Displays” shall include: Liquid Crystal Displays; Plasma Display Panels; Organic Light Emitting Displays; Field Emission Displays; Light Emitting Diode
Displays; Electroluminescent Displays and Vacuum Fluorescent Displays all manufactured on rigid glass substrates. 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
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	3.	GRANT 

  

	 	3.1	Subject to the limitations set forth in this Agreement and subject to the license granted to the U.S. Government, Regents hereby grants and Licensee hereby accepts an exclusive
license under Regents’ Patent Rights to make, have made, use, have used, sell, offer for sale, or have offered for sale, sell, have sold, import and have imported Licensed Products and to practice or have practiced the Licensed Method limited
to the Licensed Field Of Use in the Licensed Territory. 

  

	 	3.2	The license under Paragraph 3.1 will be exclusive for a term commencing as of the effective date of this Agreement and ending on the date of the last to expire patent under
Regents’ Patent Rights. 

  

	 	3.3	Nothing in this Agreement will be deemed to limit the right of Regents to publish any and all technical data resulting from any research performed by Regents relating to the
Invention, and to make and use the Invention, Licensed Products, Licensed Methods, and associated technology for educational and research purposes. 

  

	 	3.4	Licensee will have a continuing responsibility to keep Regents informed of its large/small entity status (as defined by the United States Patent and Trademark Office) of itself and
its sublicensees. 

  

	 	3.5	The Invention resulted from funding provided in part by the U.S. Government. In accordance with PL 96-517 as amended by PL 98-620, to the extent required by law or
regulation, any Licensed Products sold in the United States will be substantially manufactured in the United States. 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
 June 29, 1999 
  

	4.	SUBLICENSES 

  

	 	4.1	Subject to the limitations set forth in this Agreement and subject to the license granted to the U.S. Government, Regents hereby grants to Licensee the right to sublicense to third
parties the rights to make, have made, use, have used, sell, offer for sale, or have offered for sale, sell, have sold, import and have imported Licensed Products and to practice or have practiced the Licensed Method provided that Licensee has
current exclusive rights under this Agreement. Every such sublicense will contain at least the following: 

  

	 	a)	A statement setting forth the date upon which Licensee’s exclusive rights, privileges, and license hereunder will expire. 

  

	 	b)	A statement such that, to the extent applicable, the obligations of this Agreement will be binding upon the sublicensee as if it were in place of Licensee, except that:

  

	 	i)	Earned royalty rate and minimum royalties may be at higher rates than this Agreement; and 

  

	 	ii)	Sublicensees will be precluded from granting further sublicenses, except the sublicensees may grant further sublicenses to their Affiliates if each further sublicense complies with
the requirements of this Section 4.1 as if the sublicense had been granted directly by Licensee. 

  

	 	c)	The same provision for indemnification of Regents as has been provided for in this Agreement. 

  

	 	4.2	 Licensee shall pay Regents [***] of any Gross Revenues received by Licensee in the form of up-front, signing or similar payments from sublicensees. Licensee shall
pay Regents [***] of all Gross Revenues received by Licensee on Net Sales of Licensed Products by a sublicensee or its Affiliate. If Gross Revenues are paid to Licensee on Net Sales of Licensed Products by a sublicensee or its Affiliate and [***] of
such Gross Revenues would be less than [***] of the Net Sales of such Licensed Products, 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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then Licensee shall pay Regents [***] of the Net Sales of such Licensed Products when Licensee receives such Gross Revenues. 

  

	 	4.3	Licensee will notify Regents of each sublicense granted hereunder and furnish to Regents a summary of the material terms of each such sublicense agreement. 

 

	 	4.4	Licensee will collect and guarantee payment of all royalties due Regents from sublicensees; and deliver all reports due Regents and received from sublicensees.

  

	 	4.5	Upon termination of this Agreement for any reason, all sublicenses that are granted by Licensee pursuant to this Agreement will remain in effect and will be assigned to Regents
except that Regents will not be bound to perform any duties or obligations set forth in any sublicenses that extend beyond the duties and obligations of Regents set forth in this Agreement. 

  

	5.	LICENSE ISSUE FEE 

  

	 	5.1	As consideration for this Agreement, Licensee must pay to Regents the following: 

  

	 	a)	Cash payment of [***] due upon signing this Agreement. Licensee will be allowed to credit this [***] against royalties due to Regents on the Net Sales of Licensed Products. However,
in no event will such credit against royalties exceed fifty percent (50%) of royalties earned for such products in any one calendar year. This credit against royalties will expire on the fifth anniversary of the date of the first commercial
sale or upon complete use of [***] credit, whichever occurs first. 

  

	 	b)	 [***] shares of common stock of Licensee (“Shares”), to be transferred upon Regents’ acceptance of taking of equity, provided however that the final
acceptance by Regents of said equity of Licensee is conditional upon receipt and acceptance of any Licensee shareholders’ agreements and other relevant information Regents deems necessary in order to make a properly informed decision in
accordance with Regents’ applicable University policy guidelines on accepting equity in University technology licensing transactions. Upon final acceptance of said equity, Regents reserves the right and sole discretion 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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to direct Licensee to distribute Regents’ inventors’ shares directly to its inventors or to Regents’ Office of the Treasurer, provided that
any recipient must agree to the same Licensee shareholders’ agreements and other restrictions as Regents accept. 

  

	 	c)	If the equity consideration provided by subparagraph (b) is not finally accepted by Regents within ninety (90) days following execution of this Agreement, then Regents and
Licensee hereby agree to replace such equity consideration with total cash payments from Licensee as follows: 

  

	 	i)	[***] on January 1, 2000; 

  

	 	ii)	[***] on January 1, 2001. 

  

	 	d)	In the event that the shares are issued to Regents and Licensee does not engage in an initial public offering of shares of its common stock within five (5) years from the
execution of this Agreement, then at the option of Regents exercised by written notice to Licensee within six (6) months thereafter and subject to compliance with applicable law, Licensee shall repurchase all of the shares from Regents for a
total price of [***]. The option is not transferable or assignable. 

  

	 	5.2	The license issue fee of Paragraph 5.1 (b), (c) and (d) are non-refundable and not an advance against royalties. 

  

	6.	GOVERNMENT RIGHTS 

  

	 	6.1	This Agreement is subject to all of the terms and conditions of Public Law 96-517 as amended. Licensee shall take all action necessary on its part as Licensee to enable Regents to
satisfy its obligations under that law relating to the Inventions. 

  

	7.	ROYALTIES 

  

	 	7.1	Licensee will pay to Regents earned royalties at the rate of [***] of the Net Sales of Licensed Products defined as Flat Panel Displays and [***] of the Net Sales of all other
Licensed Products. 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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	 	7.2	Royalties will be payable on Licensed Products covered by both pending patent applications and issued patents. If after four (4) years from the filing of any patent in any
country, except in Japan, for Regents’ Patent Rights, a patent has not issued on any of Regents’ Patent Rights in those countries where such patents are filed, then the royalties due on Licensed Products in those countries will be reduced
by fifty percent (50%). In Japan the four (4) years from filing date will be initiated on the date the request for examination is made by the Regents. Upon issuance of any patent on Regents’ Patent Rights, Licensee will pay Regents
royalties at the rates listed in Article 7.1 and shall continue to pay royalties due until the expiration or termination of this Agreement. 

 In the event Licensed Products are combined with other products which are sold independently and the combined product is sold as a single unit, then royalties due Regents will be based on the average Net Sales price
of the Licensed Product when sold alone during that same calendar quarter in that same country. If no Licensed Product is sold alone during that quarter in that country, then royalties due Regents will be based on the average Net Sales price of any
Licensed Product when sold alone during that same calendar quarter in any country. If no such sales occurred during such calendar quarter, then royalties due Regents will be based on the most recent calendar quarter during which such Net Sales
occurred. 
 In the event of stacking royalties where Licensee determines that it is necessary to pay royalties to other third parties in
order to produce a product that includes Regents’ Patent Rights, and the sum of royalties to be paid by Licensee to all parties would exceed ten percent (10%), then Regents will agree to reduce the royalties due on Regents’ Patent Rights
in the same proportion as that of all other parties in order to reach a maximum often percent (10%). However, in no case shall royalties due on Regents’ Patent Rights be less than fifty percent (50%) of those stated in Article 7.1.

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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 For example - If Licensee proactively licenses intellectual property rights from two other entities
El and E2 for use in Licensed Products or Licensed Method, at the respective royalty rates of [***]% and [***]%, the total royalties before a proportionate reduction is equal to [***]% ([***]% + [***]% + [***]%). Regents will then agree to reduce
its royalty rate in a ratio of 10/12, i.e. to [***]%, if the other licensing entities El and E2 agree to reduce their royally in the same ratio. 
  

															
	 Licensing Entity
	  	 Initial
 Royalty Rate
	 	 	Ratio	  	 Reduced
 Royalty Rate
	 
	 Regents
	  		  	[***]	%	 		  		  		  	[***]	%
	 El
	  		  	[***]	%	 		  	—>	  		  	[***]	 
	 E2
	  		  	[***]	%	 	X	  	10/12	  		  	[***]	 
		  	Total:	  	[***]	%	 		  		  	Total:	  	[***]	%

 To implement a reduction in royalties due to Regents under this stacking provision, Licensee will
provide written evidence of licensing agreements with other third parties and their agreement to a proportional reduction in royalties due them under this stacking provision. 
 Royalties accruing to the REGENTS will be paid to the REGENTS quarterly on or before the following dates of each calendar year: 
  

	 	•	 	February 28 for the calendar quarter ending December 31 

  

	 	•	 	May 31 for the calendar quarter ending March 31 

  

	 	•	 	August 31 for the calendar quarter ending June 30 

  

	 	•	 	November 30 for the calendar quarter ending September 30 

 If Licensee pays Regents earned royalties on Net Sales of Licensed Products which subsequently are returned by the purchaser for a full refund, or otherwise credited by 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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Licensee, no refund of related earned royalties will be payable by Regents, but instead Licensee may reduce the next earned royalties payable to Regents by
an amount equal to the royalties paid on the refunded or credited Licensed Products. 
  

	 	7.3	Beginning in the year 2001 and in each succeeding calendar year thereafter, LICENSEE will pay to the REGENTS a minimum annual royalty as set forth below: 

 

	 	a)	2001 - [***]; 

  

	 	b)	2002 - [***]; 

  

	 	c)	2003 - [***]; 

  

	 	d)	2004 - [***]; and 

  

	 	e)	2005 - [***]. 

 In each succeeding calendar year after the
year 2005, Licensee shall pay a minimum annual royalty of [***] for the life of this Agreement. This minimum annual royalty will be paid to the Regents by February 28 of each year and will be credited against the earned royalty due and owing
for the calendar year in which the minimum payment was made. 
  

	 	7.4	All royalties due Regents will be payable in United States dollars. When Licensed Products are sold for moneys other than United States dollars, the earned royalties will first be
determined in the foreign currency of the country in which the Licensed Products were sold and then converted into equivalent United States funds. The exchange rate will be that rate quoted in the Wall Street Journal on the last business day of the
reporting period. 

  

	 	7.5	 Earned royalties due on sales of Licensed Products occurring in any country outside the United States will not be reduced by any taxes, fees, or other charges
imposed by 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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the government of such country on the remittance of royalty income. The Licensee will also be responsible for all bank transfer charges.

  

	 	7.6	Licensee will make all payments under this Agreement by check payable to “The Regents of the University of California” and forward it to REGENTS at the address shown in
Article 24 (Notices). 

  

	 	7.7	In the event that any patent or any patent claim included within Regents’ Patent Rights expires or is held invalid in a final decision by a court of competent jurisdiction and
last resort and from which no appeal has been or can be taken, all obligation to pay royalties for Licensed Products based on such patent or claim will cease as of the date of such expiration or final decision. Licensee will not, however, be
relieved from paying any royalties for Licensed Products that accrued before such expiration or decision or that are based on another valid patent or claim not expired or involved in such decision. 

  

	 	7.8	No royalties will be collected or paid hereunder on Licensed Products sold to or used by the United States Government. Licensee agrees to reduce the amount charged for Licensed
Products distributed to the United States Government by an amount equal to the royalty for such Licensed Products otherwise due Regents as provided herein. 

  

	8.	DUE DILIGENCE 

  

	 	8.1	Licensee, upon execution of this Agreement, will use diligent commercial efforts to proceed with the development, manufacture, and distribution under license of Licensed Products
and will use diligent commercial efforts to market them in quantities sufficient to meet the market demand. 

  

	 	8.2	Licensee specifically commits to achieving the following objectives in its due diligence activities hereunder: 

  

	 	a)	Manufacturing Factory Partner Agreement signed January 31, 2000; 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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	 	b)	First Fluidic Self-Assembly License signed August 31, 2000; 

  

	 	c)	Manufacturing facility occupied January 31, 2001; 

  

	 	d)	First commercial sale by June 30, 2001. 

  

	 	8.3	If Licensee is unable to meet any of its due diligence obligations set forth in Paragraph 8.2(d), then Regents will so notify Licensee of failure to perform.

  

	 	8.4	To exercise either the right to terminate this Agreement or to reduce the license to a non-exclusive license for lack of diligence required in Paragraph 8.2(d), Regents must
give Licensee written notice of the deficiency. The Licensee thereafter has sixty (60) days to cure the deficiency. If Regents has not received satisfactory tangible evidence that the deficiency has been cured by the end of the sixty
(60) day period, then Regents may, at its option, either terminate the Agreement or reduce Licensee’s exclusive license to a non-exclusive license by giving written notice to Licensee. These notices will be subject to Article 24 [
(Notices). In the event the license is reduced to a non-exclusive license, the terms listed under Article 7 (Royalties) and Article 15 (Patent Prosecution and Maintenance) will not change. 

  

	 	8.5	 Licensee will have the right and option to extend the target date of first commercial sale diligence obligation for a period of six (6) months or for a period
of up to twenty-four (24) months upon the payment of $5,000 within thirty (30) days of the extension date for each six (6) months extension option exercised by Licensee. These payments are in addition to the minimum royalty payments
specified in Paragraph 7.3. Should Licensee opt not to extend the obligation or fail to meet it by the extended target date, then Regents will have the right and option either to terminate this Agreement or to reduce the Licensee’s
exclusive license to a non-exclusive royally bearing license. This right, if exercised by Regents, supersedes 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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the rights granted in Article 4 (Sublicenses) and does not change the terms listed under Article 7 (Royalties) or Article 15 (Patent
Prosecution and Maintenance). The right to reduce Licensee’s exclusive license granted hereunder to a non-exclusive license will be Regents’ sole remedy for breach of Article 8 (Due Diligence). However, if Licensee is unable to
perform any of the due diligence obligations set forth in Paragraph 8.2 due to hardships beyond Licensee’s control while Licensee has demonstrated diligent commercial efforts to perform these obligations, then Regents may extend the dates
as appropriate (after conferring with Licensee in good faith and, in any event, on at least a day to day basis) in writing to Licensee, and Regents will not reduce Licensee’s exclusive license to a non-exclusive license.

  

	9.	PROGRESS AND ROYALTY REPORTS 

  

	 	9.1	Licensee will submit to Regents a semi-annual progress report covering Licensee’s activities related to the development and testing of all Licensed Products and the obtaining
of the governmental approvals necessary, if any, for marketing in the United States. These progress reports will be made for all Licensed Products until the first commercial sale of such Licensed Products occurs in the United States, after which
time progress reports will no longer be due. These reports will be due on or before the following dates of each calendar year: 

  

	 	a)	February 28 for the preceding six month period ending December 31; and 

  

	 	b)	August 31 for the preceding six month period ending June 30. 

 The first Progress Report will be due February 28, 2000. 
  

	 	9.2	Progress reports submitted under Paragraph 9.1 shall include the following topics: 

  

	 	•	 	summary of work completed 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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	 	•	 	key scientific discoveries 

  

	 	•	 	summary of work in progress 

  

	 	•	 	current schedule of anticipated events or milestones 

  

	 	•	 	market plans for introduction of Licensed Products 

  

	 	•	 	a summary of resources (dollar value) spent in the reporting period, 

  

	 	•	 	date of first commercial sale of a Licensed Product, and 

  

	 	•	 	activities of sublicensees, if any. 

  

	 	9.3	After the first commercial sale of Licensed Products anywhere in the world, Licensee will make quarterly royalty reports to Regents due on the following dates:

  

	 	•	 	February 28 for the calendar quarter ending December 31 

  

	 	•	 	May 31 for the calendar quarter ending March 31 

  

	 	•	 	August 31 for the calendar quarter ending June 30 

  

	 	•	 	November 30 for the calendar quarter ending September 30 

  

	 	9.4	Royalty reports submitted under Paragraph 9.3 shall include at least the following: 

  

	 	a)	The number of Licensed Products manufactured and the number of Licensed Products sold (if no sales of a Licensed Product was made during the report period, a statement to this
effect is required); 

  

	 	b)	Gross revenue for Licensed Products sold; 

  

	 	c)	Net Sales pursuant to Article 2.4; 

  

	 	d)	Total royalties due Regents; and 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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	 	e)	Names and addresses of any new sublicensees; a summary of the material terms of each new sublicense agreement entered into during the reporting quarter; and the small entity status
of the sublicensee. 

  

	10.	BOOKS AND RECORDS 

  

	 	10.1	Licensee will keep full, true, and accurate books of accounts containing all particulars that may be necessary for the purpose of showing the amount of royalties payable to Regents.
Said books of accounts will be kept at Licensee’s principal place of business or the principal place of business of the appropriate division of Licensee to which this Agreement relates. The books and supporting data will be open at all
reasonable times during normal business hours upon reasonable notice, for five (5) years following the end of the calendar year to which they pertain, to the inspection and audit by an independent certified public accountant retained by Regents
for the purpose of verifying Licensee’s royalty statement or compliance in other respects with this Agreement. Such independent certified accountant will be bound to hold all information in confidence except as necessary to communicate
Licensee’s non-compliance with this Agreement to Regents. 

  

	 	10.2	The fees and expenses of Regents’ representatives performing such an examination will be borne by Regents. However, if an error in underpaid royalties to Regents of more than
five percent (5%) of the total royalties due for any year is discovered, then the fees and expenses of the representatives will be borne by Licensee. 

  

	11.	LIFE OF THE AGREEMENT 

  

	 	11.1	Unless otherwise terminated by the operation of law or by acts of the parties in accordance with the terms of this Agreement, this Agreement will be in force from the effective date
recited on page one and will remain in effect for the life of the last-to-expire patent licensed under this Agreement. 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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	 	11.2	Any termination of this Agreement shall not affect the rights and obligations set forth in the following articles: 

  

	 	•	 	Article 4 Sublicenses 

  

	 	•	 	Article 10 Books And Records 

  

	 	•	 	Article 11 Life Of The Agreement 

  

	 	•	 	Article 14 Disposition Of Products Upon Termination 

  

	 	•	 	Article 17 Use Of Names And Trademarks 

  

	 	•	 	Article 20 Indemnification 

  

	 	•	 	Article 25 Late Payments 

  

	 	•	 	Article 27 Confidentiality 

  

	12.	TERMINATION BY REGENTS 

  

	 	12.1	If Licensee should violate or fail to perform any term or covenant of this Agreement, then Regents may give written notice of such default (“Notice of Default”) to
Licensee. If Licensee should fail to repair such default within sixty (60) days of the effective date of such notice, Regents will have the right to terminate this Agreement and the licenses herein by a second written notice (“Notice of
Termination”) to Licensee. If a Notice of Termination is sent to Licensee, this Agreement will automatically terminate on the effective date of such notice. Such, termination will not relieve Licensee of its obligation to pay any royalty or
license fees owing at the time of such termination and will not impair any accrued rights of Regents. These notices will be subject to Article 24 (Notices). 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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	13.	TERMINATION BY LICENSEE 

  

	 	13.1	Licensee will have the right at any time to terminate this Agreement in whole or as to any portion of Regents’ Patent Rights by giving notice in writing to Regents. Such notice
of termination will be subject to Article 24 (Notices) and termination of this Agreement will be effective ninety (90) days from the effective date of such notice. 

  

	 	13.2	Any termination pursuant to the above paragraph will not relieve Licensee of any obligation or liability accrued under this Agreement prior to the termination or rescind anything
done by Licensee or any payments made to Regents prior to the time the termination becomes effective. Termination will not affect in any manner any rights of Regents arising under this Agreement prior to the termination. 

  

	14.	DISPOSITION OF PRODUCTS UPON TERMINATION 

  

	 	14.1	Upon termination of this Agreement Licensee will have the privilege of disposing of all previously made or partially made Licensed Products, but no more, within a period of one
hundred and twenty (120) days following the effective date of termination. The sale of Licensed Products will be subject to the terms of this Agreement including, but not limited to, the payment of royalties at the rate and at the times
provided in this Agreement and the rendering of any royally reports. 

  

	15.	PATENT PROSECUTION AND MAINTENANCE 

  

	 	15.1	The Regents shall diligently prosecute and maintain the Regents’ Patent Rights using counsel of the Regents’ choice. The Regents shall provide Licensee with copies of all
relevant documentation so that Licensee may be informed and apprised of the continuing prosecution, and may provide substantive comment and input thereon, and Licensee shall keep this documentation confidential in accordance with Article 27
(Confidentiality) herein. 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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	 	15.2	Regents shall endeavor to amend any patent application to include claims requested by Licensee and required to protect the products and/or processes contemplated to be sold under
the License Agreement. 

  

	 	15.3	Licensee shall reimburse Regents for all past and present costs and future costs that are incurred under this Agreement (with the exception of bills already reimbursed) for
preparing, filing, prosecuting and maintaining Regents’ Patent Rights. 

  

	 	15.4	Regents will endeavor to obtain patent protection on the Inventions in foreign countries if available and if Licensee so elects. Licensee must notify Regents at least two months
prior to the foreign bar date of its election to obtain foreign patents. This notice concerning foreign filing shall be in writing, must identify the countries desired, and reaffirm Licensee’s obligation to underwrite the costs thereof. The
absence of such a notice from Licensee to Regents shall be considered an election not to secure foreign rights in the countries not included in the required notice. 

  

	 	15.5	The preparation, filing, prosecuting and maintenance of all foreign patent applications filed at Licensee’s request, as well as the maintenance of all resulting foreign
patents, shall be at the sole expense of Licensee. Such patents shall be held in the name of Regents and shall be obtained using counsel of Regents’ choice. 

  

	 	15.6	Regents shall have the right to file patent applications at its own expense in any country in which the Licensee has not elected to secure patent rights, and such applications and
resultant patents shall not be subject to this Agreement. 

  

	 	15.7	 Licensee’s obligation to reimburse Regents for costs specified in Paragraph 15.3 shall continue for so long as this Agreement remains in effect. However,
Licensee may terminate its obligations with respect to any given patent application or patent upon three (3) months written notice to Regents. Regents will endeavor to curtail patent 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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costs when such a notice is received from Licensee. Regents may continue prosecution and/or maintenance of such application(s) or patent(s) at its sole
discretion and expense; provided, however, that Licensee shall have no further right or licenses thereunder. 

  

	 	15.8	Regents shall provide statements to Licensee showing the amount to be reimbursed to Regents under the provisions of this Article 15. Payment to Regents shall be due within
thirty (30) days of the date of these statements. 

  

	16.	MARKING 

  

	 	16.1	Licensee shall mark all Licensed Products made, used, or sold under this Agreement (or their containers) in accordance with applicable marking laws. 

  

	17.	USE OF NAMES AND TRADEMARKS 

  

	 	17.1	Nothing contained in this Agreement will he construed as conferring any right to use in advertising, publicity or other promotional activities any name, trademark, trade name, or
other designation of either party to this Agreement by the other party. Unless required by law the use, by Licensee, of the name “The Regents of the University of California” or the name of any University of California campus in
advertising, publicity or other promotional activities is expressly prohibited. 

  

	18.	LIMITED WARRANTIES 

  

	 	18.1	Regents warrants to Licensee that it has unencumbered title to Regents Patent Rights, subject to the rights of the U.S. Government (Article 6.1), and the lawful right to grant
this license. 

  

	 	18.2	 THIS AGREEMENT AND THE ASSOCIATED INVENTION ARE PROVIDED WITHOUT WARRANTY OF MERCHANTABILITY OR FITNESS FOR A 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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PARTICULAR PURPOSE OR ANY OTHER WARRANTY, EXPRESS OR IMPLIED. REGENTS MAKES NO REPRESENTATION OR WARRANTY THAT THE INVENTION, THE LICENSED PRODUCTS OR
LICENSED METHOD WILL NOT INFRINGE ANY PATENT OR OTHER PROPRIETARY RIGHT. 

  

	 	18.3	IN NO EVENT WILL REGENTS BE LIABLE FOR ANY INCIDENTAL, SPECIAL OR CONSEQUENTIAL DAMAGES RESULTING PROM EXERCISE OF THIS AGREEMENT OR THE USE OF THE INVENTION, LICENSED METHOD OR
LICENSED PRODUCTS. 

  

	 	18.4	Nothing in this Agreement is or will be construed as: 

  

	 	a)	A warranty or representation by Regents as to the validity, enforceability or scope of any Regents’ Patent Rights; 

  

	 	b)	A warranty or representation that anything made, used, offered for sale, sold, imported or otherwise disposed of under any license granted in this Agreement is or will be free from
infringement of patents of third parties; 

  

	 	c)	An obligation by either party to bring or prosecute actions or suits against third parties for patent infringement, except as provided in Article 19 (Patent Infringement);

  

	 	d)	Conferring by implication, estoppel, or otherwise any license or rights under any patents of Regents other than Regents’ Patent Rights as defined herein, regardless of whether
such patents are dominant or subordinate to Regents Patent Rights; or 

  

	 	e)	An obligation to furnish any know how, not provided in Regents’ Patent Rights. 

  

	19.	PATENT INFRINGEMENT 

  

	 	19.1	 In the event that Licensee learns of the substantial infringement of any Regents’ Patent Rights under this Agreement, Licensee will promptly inform Regents and
will provide Regents with reasonable evidence of such infringement. Both parties to this 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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Agreement acknowledge that during the period and in a jurisdiction where Licensee has exclusive rights under this Agreement, neither will notify a third
party of the infringement without first obtaining consent of the other party. Both parties will endeavor, in cooperation with each other, to terminate such infringement without litigation. 

  

	 	19.2	Licensee may request that Regents take legal action against the infringement of Regents’ Patent Rights. Such request will be made in writing and will include reasonable
evidence of such infringement and damages to Licensee. If the infringing activity has not been abated within ninety (90) days following the effective date of such request, REGENTS will have the right to elect to: 

  

	 	a)	Commence suit on its own account; or 

  

	 	b)	Refuse to participate in such suit. 

 Regents will give
notice of its election in writing to Licensee by the end of the 100th day after receiving notice of such request from Licensee. Licensee may thereafter bring suit for patent infringement if, and only if, Regents elects not to commence suit and if
the infringement occurred during the period and in a jurisdiction where Licensee had exclusive rights under this Agreement. However, in the event Licensee elects to bring suit in accordance with this paragraph, Regents may thereafter join such suit
at its own expense. 
  

	 	19.3	 Such legal action as is decided upon will be at the expense of the party on account of whom suit is brought and all damages, settlements, or other remuneration
received as a result of such law suit will belong to such party, provided that legal action brought jointly by Regents and Licensee and participated in by both, will be at the joint expense of the parties and all damages, settlements, or other
remuneration will be allocated in the following order: a) to each party reimbursement in equal amounts of 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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the attorney’s costs, fees, and other related expenses to the extent each party paid for such costs, fees, and expenses until all such costs, fees, and
expenses are consumed for each party; and b) any remaining amount shared jointly by them in proportion to the share of expenses paid by each party. 

  

	 	19.4	Each party will cooperate with the other in litigation instituted hereunder but at the expense of the party on account of whom suit is brought. Such litigation will be controlled by
the party bringing the action, except that Regents may be represented by counsel of its choice in any suit brought by Licensee. 

  

	20.	INDEMNIFICATION 

  

	 	20.1	Licensee will, and will require its sublicensees, to indemnify, hold harmless, and defend Regents, its officers, employees, and agents; sponsors) of the research that led to the
Invention; and the inventors of any patents and patent applications in Regents’ Patent Rights and their employers against any and all claims, suits, losses, damages, costs, fees, and expenses resulting from or arising out of exercise of this
license or any sublicense. This indemnification will include, but not be limited to, any product liability. This indemnification will not include any claims relating to a breach of Regents’ representation in Article 18.1.

  

	 	20.2	The Licensee, at its sole costs and expense, will insure its activities in connection with the work under this Agreement and will obtain, keep in force and maintain Comprehensive or
Commercial Form General Liability Insurance (contractual liability and products liability included) (or an equivalent program of self-insurance) with limits as follows: 

  

						
	 a)
	  	each occurrence	  	$	1,000,000
			
	 b)
	  	products/completed operations aggregate	  	$	5,000,000
			
	 c)
	  	personal and advertising injury	  	$	1,000,000
			
	 d)
	  	general aggregate (commercial form only)	  	$	5,000,000

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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 The coverages and limits referred to above do not in any way limit the liability of Licensee.
Licensee will furnish Regents with certificates of insurance evidencing compliance with all requirements. 
  

	 	20.3	Insurance coverage as required under Paragraph 20.2 above, must: 

  

	 	a)	provide for thirty (30) day advance written notice to REGENTS of cancellation or any modification; 

  

	 	b)	indicate that “The Regents of the University of California” and its officers, employees, students, and agents have been endorsed as additional insureds under the coverages
referred to under 19.2; and 

  

	 	c)	include a provision that the coverages will be primary and will not participate with nor will be excess over, any valid and collectible insurance or program of self-insurance
carried or maintained by REGENTS. 

  

	 	20.4	Regents will promptly notify Licensee in writing of any claim or suit brought against Regents in respect of which Regents intends to invoke the provisions of this Article 20
(Indemnification). Licensee will keep Regents informed on a current basis of its defense of any claims pursuant to this Article 20 (Indemnification). 

  

	21.	EXPORT CONTROLS 

  

	 	21.1	 Licensee understands that Regents is subject to United States laws and regulations (including the Arms Export Control Act, as amended, and the Export Administration
Act of 1979), controlling the export of technical data, computer software, laboratory prototypes and other commodities, and Regents’ obligations under this Agreement are contingent on compliance with such laws and regulations. The transfer of
certain technical data and commodities may require a license from the cognizant agency of 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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the United States Government and/or written assurances by Licensee that Licensee will not export such technical data and/or commodities to certain foreign
countries without prior approval of such agency. Regents neither represents that a license will not be required nor that, if required, it will be issued. 

  

	22.	GOVERNMENT APPROVAL OR REGISTRATION 

  

	 	22.1	If this Agreement or any associated transaction is required by the law of any nation to be either approved or registered with any governmental agency, Licensee will assume all legal
obligations to do so. Licensee will notify REGENTS if it becomes aware that this Agreement is subject to a United States or foreign government reporting or approval requirement. Licensee will make all necessary filings and pay all costs including
fees, penalties, and all other out-of-pocket costs associated with such reporting or approval process. 

  

	23.	ASSIGNMENT 

  

	 	23.1	This Agreement is binding upon and shall inure to the benefit of Regents, its successors and assigns, but shall be personal to, and be personal property of, Licensee and assignable
by Licensee only with the written consent of Regents; provided that Licensee may assign this Agreement without Regents’ written consent but after twenty (20) days’ prior notice to Regents in connection with a sale of all or
substantially all of its assets, or a merger of Licensee with or into another entity, if the successor entity agrees in writing to be bound by all of Licensee’s obligations under this Agreement. 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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	24.	NOTICES 

  

	 	24.1	All notices under this Agreement must be in writing and deposited in the United States mail, registered or certified, and addressed as follows: 

  

			
	To Regents:	  	The Regents of the University of California
		  	Office of Technology Licensing
		  	2150 Shattuck Avenue, Suite 510
		  	Berkeley, CA 94720-1620
		  	Attn.: Director (UC Case No. B94-014)
		
	To Licensee:	  	Alien Technology Corporation
		  	2606 Barrington Court
		  	Hayward, CA 94545
		  	Attn.: Jeffrey Jacobsen, President and CEO

 Either party may change its address upon written notice to the other party. 
  

	25.	LATE PAYMENTS 

  

	 	25.1	If any payments are not received by Regents when due, Licensee must pay to Regents interest charges on such payments at a rate of one and one-half percent (1.5%) per month on
the monies owed. Such interest is calculated from the date payment was due until the date actually received by Regents, however acceptance by Regents of any interest under this paragraph does not affect Article 26 (Waiver).

  

	26.	WAIVER 

  

	 	26.1	The failure of either party to assert a right hereunder or to insist upon compliance with any term or condition of this Agreement will not constitute a waiver of that right or
excuse a similar subsequent failure to perform any such term or condition by the other party. 

  

	 	26.2	None of the terms, covenants, and conditions of this Agreement can be waived except by the written consent of the party waiving compliance. 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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	27.	CONFIDENTIALITY 

  

	 	27.1	Licensee and Regents respectively shall hold the other party’s (and Licensee’s Affiliates, sublicensees and sublicensees’ Affiliates) proprietary business, terms of
this Agreement, patent prosecution material, and technical information against disclosure to third parties with the same degree of care as it exercises with its own data and license agreements of a similar nature. 

  

	 	27.2	Nothing in this Agreement restricts the right of Licensee or Regents to use, disclose, or otherwise deal with any information or data that: 

  

	 	a)	at the time of disclosure to a receiving party is generally available to the public or thereafter becomes generally available to the public by publication or otherwise through no
act of the receiving party; 

  

	 	b)	the receiving party can show by written record was in its possession prior to the time of disclosure to it and was not acquired directly or indirectly from the disclosing party;

  

	 	c)	is independently made available to the receiving party as a matter of right by a third party; 

  

	 	d)	is subject to disclosure under the California Public Records Act or other requirements of law. 

  

	 	27.3	 Regents is free to release to the inventors and senior administrators employed by Regents the terms and conditions of this Agreement. If such release is made,
Regents shall give notice of the confidential nature and shall request that the recipient does not disclose such terms and conditions to others. If a third party inquires whether a license to Regents’ Patent Rights is available, Regents may
disclose the existence of this Agreement and the extent of the grant in Article 3 (Grant) to such third party, but will not disclose the name of Licensee or any other terms or conditions of this 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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 U.C. Case No.: B94-014
	  		  	Confidential

 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
 June 29, 1999 
  

	 	 
Agreement, except where Regents are required to release information under either the California Public Records Act or other applicable law.

  

	 	27.4	Licensee and Regents will destroy or return to the disclosing party proprietary information received from the other in its possession within fifteen (15) days following the
effective date of termination. However, each party may retain one copy of proprietary information for archival purposes in nonworking files. Licensee and Regents will provide each other, within thirty (30) days following termination, with a
written notice that proprietary information has been returned or destroyed. 

  

	 	27.5	The terms of this Article 27 (Confidentiality) will not expire until five (5) years from the official date of termination of this Agreement. 

  

	28.	FAILURE TO PERFORM 

  

	 	28.1	In the event of a failure of performance due under the terms of this Agreement and if it becomes necessary for either party to undertake legal action against the other on account of
such failure, then the prevailing party will he entitled to reasonable attorney’s fees in addition to costs and necessary disbursements. 

  

	29.	FORCE MAJEURE 

  

	 	29.1	 The parties shall be excused from any performance required under this Agreement if such performance is rendered impossible or unfeasible due to any catastrophes or
other major events beyond their reasonable control, including, without limitation, war, riot, and insurrection; laws, proclamations, edicts, ordinances, or regulations; strikes, lockouts, or other serious labor disputes; and floods, fires,
explosions, or other natural disasters. When such events have abated, the parties’ respective obligations hereunder will resume. If such performance becomes possible within one (1) year of the commencement of such events, the parties’
respective obligations shall resume 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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 U.C. Case No.: B94-014
	  		  	Confidential

 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
 June 29, 1999 
  

	 	 
within one year from the time such performance becomes possible. If, however, such performance remains impossible after one (1) year from the time of
commencement of such events, then Regents may terminate this Agreement in accordance with Article 12 (Termination By Regents). 

  

	30.	SEVERABILITY 

  

	 	30.1	The provisions of this Agreement are severable, and in the event that any provision of this Agreement is determined to be invalid or unenforceable under any controlling body of law,
such invalidity or enforceability will not in any way affect the validity or enforceability of the remaining provisions contained in this Agreement. 

  

	31.	APPLICABLE LAW 

  

	 	31.1	THIS AGREEMENT WILL BE CONSTRUED, INTERPRETED, AND APPLIED IN ACCORDANCE WITH THE LAWS OF THE STATE OF CALIFORNIA. IF EITHER PARTY UNDERTAKES LEGAL ACTION ARISING UNDER THIS
AGREEMENT, THEN SUCH LEGAL ACTION WILL TAKE PLACE IN SAN FRANCISCO, CALIFORNIA. THE PREVAILING PARTY WILL BE ENTITLED TO REASONABLE ATTORNEYS’ FEES IN ADDITIONS TO COSTS AND NECESSARY DISBURSEMENTS. 

  

	32.	SCOPE OF AGREEMENT 

  

	 	32.1	The Option Agreement dated February 15, 1995 is hereby terminated. This Agreement, constitutes the entire agreement between the parties. 

 No representative of Regents or Licensee has been authorized to make any representation, warranty, or promise not contained herein. 
  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
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	  	Page 31	  	Exclusive License
	  
 U.C. Case No.: B94-014
	  		  	Confidential

 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
 June 29, 1999 
  

 IN WITNESS WHEREOF, the parties hereto have executed this Agreement in duplicate originals by their duly authorized
officers or representatives. 
  

									
	THE REGENTS OF THE UNIVERSITY OF CALIFORNIA	 		 	ALIEN TECHNOLOGY CORPORATION
					
	Signature	 	/s/ William A. Hoskins	 		 	Signature	 	/s/ Jeffrey J. Jacobsen
			
	Name William A. Hoskins	 		 	Name Jeffrey J. Jacobsen
			
	Title Director, Office of Technology Licensing	 		 	Title President & CEO
			
	Date June 29, 1999	 		 	Date July 02, 1999

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

  

					
	 Alien Technology Corporation
	  	Page 32	  	Exclusive License
	  
 U.C. Case No.: B94-014
	  		  	ConfidentialTechnology Transfer License Agreement

 Exhibit 10.29 
 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
 TECHNOLOGY TRANSFER AND LICENSE AGREEMENT

 This Technology Transfer and License Agreement (“AGREEMENT”) is made between North Dakota State University (hereinafter “NDSU”) and
ALIEN Technology Corporation (hereinafter “ALIEN”). This Agreement shall be effective as of the 17th day
of June, 2002 (“EFFECTIVE DATE”). 
 WITNESSETH 
 WHEREAS, The Defense Microelectronics Activity (“DMEA”) has awarded to NDSU DMEA Contract No. 90-01-C-0009 (hereinafter referred to as “PRIME AWARD”). Phase I of the PRIME AWARD is to support
NDSU’s research and development efforts on NanoBlock® IC and Fluidic Self Assembly (“FSA®”) Technology as part of the Ultra-Low Power Battlefield Sensor Communication System (“ULPBSCS”) Program; 
 WHEREAS, some of the primary objectives under the FULL PROJECT SCOPE OF WORK are to establish a center of excellence at NDSU that is capable of designing and building next–generation netted microsensor systems and to have the Parties
design, develop, and demonstrate affordable next generation sensors integrated into ultra-sensitive receiver/netted data processing systems to enable unprecedented access to real-time information on battlefield conditions; 
 WHEREAS, the Parties acknowledge and agree that to fulfill DMEA’s requirements as described in the PRIME AWARD and FULL PROJECT SCOPE OF WORK the Parties may
collaborate to perform scientific research and development. The Parties agree that desirable by-products of such research and development will be inventions with commercial potential and the creation of businesses near NDSU. 
 WHEREAS, DMEA needs to ensure that it has reliable, long-term access to the design and fabrication of microsensors and sensor systems using the Fluidic Self Assembly
(FSA) process and NanoBlock IC technology from sources other than or in addition to ALIEN, and DMEA has as an objective of the ULPBSCS Program the establishment of a fully capable Center of Excellence for sensor technology at NDSU that is capable of
designing and building next generation netted microsensor systems, and recognizes that this Center of Excellence will be in a position to provide DMEA with long-term, limited-quantity access to such microsensor and sensor system design and
fabrication; 
 WHEREAS, NDSU entered into a subcontract with ALIEN to govern activities to be performed by ALIEN and monies to be paid by NDSU to ALIEN
under this PRIME AWARD Phase I; 
 WHEREAS, NDSU and ALIEN anticipate future DMEA funding will be available beyond PRIME AWARD Phase I, and that such future
DMEA funding may necessitate an additional subcontract with ALIEN to support the FULL PROJECT SCOPE OF WORK; 
 WHEREAS, ALIEN has rights to certain
intellectual property and has developed certain technologies; 
  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

 Page 1 of 17 

 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
  

 WHEREAS, NDSU desires to obtain a license from ALIEN to the intellectual property rights to ALIEN’s FSA and
NanoBlock IC technology for purposes of conducting research that fulfills the DMEA PRIME AWARD, expanding the body of scientific knowledge, facilitating invention creation, and leading to the creation of businesses local to NDSU and the state of
North Dakota that incorporate products based on the results of such research, all on the terms and conditions set forth below; 
 WHEREAS, the Parties
acknowledge and agree that Federal funding is involved in the development of ALIEN’s technologies and intellectual property and in the PRIME AWARD and associated subcontract, and any resulting intellectual property will be subject to certain
government rights and obligations contained in Title 35, U.S. Code, Chapter 18 and its enabling regulations 37 CFR Part 401. 
 NOW, THEREFORE, in consideration of the promises and mutual covenants contained herein, Parties hereto agree as follows: 
 ARTICLE 1
— DEFINITIONS 
 For the purposes of this Agreement, the following words and phrases shall have the following meanings: 
  

	1.1	“ALIEN” shall mean Alien Technology Corporation. 

  

	1.2	“ALIEN BACKGROUND INTELLECTUAL PROPERTY” shall mean published and unpublished research and development information, trade secrets, manufacturing methods, designs,
processes, formulations, algorithms, engineering drawings and specifications, know-how, tooling and technical data owned or freely sublicenseable by ALIEN at the EFFECTIVE DATE of this Agreement and reasonably necessary to enable NDSU to design,
test, use, and manufacture the products transferred as described in Section 4.3. 

  

	1.3	“ALIEN CORE TECHNOLOGY,” singular or plural, shall mean both LICENSED PATENTS and ALIEN BACKGROUND INTELLECTUAL PROPERTY. 

  

	1.4	“EFFECTIVE DATE” shall mean the date first written above. 

  

	1.5	“FULL PROJECT SCOPE OF WORK” means DMEA PRIME AWARD and all project or budgetary extensions, modifications or related DMEA awards arising therefrom.

  

	1.6	“LICENSED PATENTS,” singular or plural, shall mean all U.S. patents and patent applications owned or freely sublicenseable by Alien identified and listed in Exhibit
“A” together with all U.S. patent applications filed or still to be filed that draw priority from those patents listed on Exhibit A and all foreign counterparts. 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

 Page 2 of 17 

 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
  

	1.7	“NDSU BACKGROUND INTELLECTUAL PROPERTY” shall mean published and unpublished research and development information, trade secrets, patents, patent applications, copyright,
manufacturing methods, designs, processes, formulations, algorithms, engineering drawings and specifications, know-how, tooling and technical data owned or freely sublicensable by NDSU as of the EFFECTIVE DATE of this Agreement.

  

	1.8	“RESEARCH PROGRAM” means research activities undertaken to fulfill the FULL PROJECT SCOPE OF WORK or this Agreement. 

  

	1.9	“SENSOR” shall mean a functional product that contains one or more transducers (each of which consists of a single or multi-part component that converts one or more forms
of stimulus or energy into a signal), and that can transmit that signal through wireless or wired circuitry. The purpose of the SENSOR is to measure, by way of example and not limitation, a quantity of pressure, relative humidity, chemical
composition, thermal energy, electromagnetic radiation, or acoustic energy. The signal produced by the transducer is typically electrical, although it may be carried by other means, including but not limited to, optical or magnetic. The signal may
be transmitted by the SENSOR through a variety of means, including wireless (radio, microwave, infrared, etc. frequency) or wired (electrical or optical). In addition to signal transmission, the SENSOR may be capable of receiving signals from other
sources, including other SENSORS. The SENSOR may be capable of independent internal processing of signals produced by transducer components within the SENSOR, and subsequent data or information processing and storage. For purposes of this Agreement,
a tag that functions, in whole or part, in such a way that it competes or may compete, directly or indirectly, with ALIEN’s or its partner’s or licensee’s or customer’s or reseller’s radio frequency identification tag
business is specifically excluded from the definition of SENSOR. 

 ARTICLE 2 — CONFIDENTIAL INFORMATION 
  

	2.1	Close cooperation between the Parties in the conduct of the RESEARCH PROGRAM may require the disclosure by one Party (“DISCLOSING PARTY”) to the other Party
(“RECEIVING PARTY”) of certain proprietary information (“CONFIDENTIAL INFORMATION”). CONFIDENTIAL INFORMATION means any and all inventions, discoveries, trade secrets, knowledge, know-how, practices, process or other information,
machines, components, samples, or other tangible items, disclosed or submitted starting August 2, 2001 by DISCLOSING PARTY to the RECEIVING PARTY and clearly marked or identified as confidential. In order to be protected, CONFIDENTIAL INFORMATION
disclosed orally or in other non-tangible forms, must be (a) identified orally as confidential at the time of disclosure, and (b) summarized in writing and identified as confidential, and (c) such writing must be delivered to the RECEIVING PARTY by
the DISCLOSING PARTY within thirty (30) days of the disclosure that the DISCLOSING PARTY deems confidential. 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

 Page 3 of 17 

 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
  

	2.2	The obligations of the RECEIVING PARTY to any such information will not apply, however, to information that: 

  

	 	A.	Is generally available to the public at the time of this disclosure; or 

  

	 	B.	Is rightfully known to or in the possession of the RECEIVING PARTY at the time of disclosure without restriction on its disclosure, as shown by competent written evidence; or

  

	 	C.	Is obtained from a third person who insofar as is known rightfully received the information and is not prohibited from transmitting the information by a contractual, legal, or
fiduciary obligation; or 

  

	 	D.	Through no act or omission of the RECEIVING PARTY, is or hereafter becomes part of the public domain; or 

  

	 	E.	The RECEIVING PARTY can prove by written record was developed independently and not based, in whole or in any part, on CONFIDENTIAL INFORMATION furnished by the DISCLOSING PARTY; or

  

	 	F.	Is required to be disclosed by law or regulation, provided however that the Party subject to such disclosure requirement has provided written notice to the DISCLOSING PARTY promptly
to enable the DISCLOSING PARTY to seek a protective order or otherwise prevent or limit disclosure of the CONFIDENTIAL INFORMATION. 

  

	2.3	Specific CONFIDENTIAL INFORMATION disclosed shall not be deemed to be available to the public or in any other party’s prior possession merely because it is embraced by more
general information available to the public or in the other party’s possession. 

  

	2.4	 Until such CONFIDENTIAL INFORMATION falls within an exception under Article 2.2, the RECEIVING PARTY will maintain in confidence and shall not disclose any and
all CONFIDENTIAL INFORMATION received in connection with this Agreement. The RECEIVING PARTY shall not use any CONFIDENTIAL INFORMATION of the DISCLOSING PARTY except as required to perform the RESEARCH PROGRAM. Each Party shall use at least the
same standard of care as it uses to protect its own CONFIDENTIAL INFORMATION, but in no event less than a reasonable standard of care, to ensure that each Party’s students, interns, employees, agents, and consultants do not disclose or make any
unauthorized use of such CONFIDENTIAL INFORMATION. Any student, intern, employee, or consultant of the RECEIVING PARTY must be notified of the restrictions on the use of the DISCLOSING PARTY’s CONFIDENTIAL INFORMATION and must agree in writing
to be bound to terms at least as restrictive as under this Agreement. RECEIVING PARTY shall obtain signed NonDisclosure Agreements from its students, interns, employees, and consultants. Notwithstanding anything to the contrary expressed or implied
elsewhere in this 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

 Page 4 of 17 

 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
  

	 	 
Agreement, DISCLOSING PARTY’s CONFIDENTIAL INFORMATION shall not be shared with nonemployees of a RECEIVING PARTY without the prior written consent of
the DISCLOSING PARTY. 

  

	2.5	It is understood and agreed that CONFIDENTIAL INFORMATION may be shared with the United States government under appropriate confidentiality restrictions pursuant to the
RESEARCH PROGRAM and the PRIME AWARD. 

 ARTICLE 3 — INTELLECTUAL PROPERTY 
  

	3.1	Subject to any limitations imposed by 35 U.S.C. §§ 200-209, any inventions arising out of or in connection with the RESEARCH PROGRAM first conceived or
reduced to practice during the term of this Agreement solely by NDSU personnel shall be the sole property of NDSU (“NDSU SOLELY DEVELOPED INTELLECTUAL PROPERTY”). Any inventions arising out of or in connection with the RESEARCH PROGRAM
first conceived or reduced to practice during the term of this Agreement solely by ALIEN personnel shall be the sole property of ALIEN (“ALIEN SOLELY DEVELOPED INTELLECTUAL PROPERTY”). 

  

	3.2	Subject to any limitations imposed by 35 U.S.C. §§ 200-209, any inventions first conceived or reduced to practice during the term of this Agreement jointly
by the personnel of NDSU and ALIEN shall be jointly owned by the Parties (“JOINTLY DEVELOPED INTELLECTUAL PROPERTY”). 

  

	3.3	Notwithstanding anything to the contrary, inventorship under this Agreement shall be determined in accordance with U.S. Patent Law. 

  

	3.4	NDSU and ALIEN acknowledge that intellectual property rights granted under the terms of this Agreement involve federal funds and other government interests and that the Parties
therefore have obligations under federal and other law. NDSU and ALIEN acknowledge that such obligations under federal law may include, without limitation, the granting of a worldwide, non-exclusive, royalty-free license to the United States
government, and a statement of United States government patent rights on all patents and patent applications. Subject to Article 14, ALIEN acknowledges that any and all determinations of federal funding involvement shall be made solely by NDSU and
NDSU’s reasonable determination shall be honored by ALIEN. Each Party represents and warrants that it (a) has complied and will continue to comply during the term of this Agreement and thereafter with all laws and regulations applicable to
such government funding agreements or government interests and (b) has done and will continue to do during the term of this Agreement and thereafter all acts necessary or convenient for the protection of its rights to retain ownership of all
inventions developed under this Agreement. 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

 Page 5 of 17 

 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
  

	3.5	Each Party to this Agreement shall obtain appropriate written agreements from all personnel and other entities and individuals involved in the RESEARCH PROGRAM. Such agreements
shall require that all discoveries and inventions conceived or reduced to practice as a result of or in connection with the RESEARCH PROGRAM shall be reported promptly and assigned to the respective Party. 

  

	3.6	Except as expressly provided elsewhere in this Agreement, the Parties retain all title to their respective confidential information and rights and title to their intellectual
property. 

 ARTICLE 4 — LICENSE GRANT TO NDSU 
  

	4.1	Subject to any limitations imposed by 35 U.S.C. §§ 200-209, ALIEN hereby grants to NDSU a nontransferable, nonsublicensable, nonexclusive, royalty free
(includes all fees), license to make and use products or use processes under the LICENSED PATENTS for research and development. Notwithstanding the foregoing, any license for commercial development, including without limitation any manufacture,
importation, use, offer for sale, or sale, shall only be, if at all, pursuant to separate written agreement under Section 5.4. 

  

	4.2	The Parties understand that access to the LICENSED PATENTS may result in the development of products under a funding agreement with the government of the United States and, if so,
that the government may therefore have certain rights under 35 U.S.C. 200 et seq. To the extent that there is a conflict between any such government rights, applicable law or regulation, and this Agreement, the terms of such government
funding agreement, applicable law, or regulation shall prevail. 

  

	4.3	The Parties acknowledge that the subcontracts provide or are expected to provide for ALIEN to transfer to NDSU a desktop FSA tool for research purposes under Phase I and a
semi-automated FSA tool under Phase II, including software and necessary appurtenances, suitable for research purposes and low-level manufacturing, and process documentation. The subcontracts also address or will address the training requirements of
NDSU in using the equipment. Nothing in this Article 4.3 shall be deemed to transfer any ownership interest in any underlying intellectual property rights. 

 ARTICLE 5 — SUBLICENSING AND FIRST OPTION TO LICENSE 
  

	5.1	ALIEN shall have a first option to negotiate an exclusive, royalty-bearing license for an invention that is developed wholly or partly by NDSU, provided that such invention
(1) uses ALIEN CORE TECHNOLOGY; and (2) is either (a) conceived during the term of this Agreement or (b) is reduced to practice during the term of this Agreement. 

  

	5.2	For all inventions subject to Article 5.1, NDSU shall provide written notice to ALIEN of its option to negotiate. Such written notice shall include an invention disclosure statement
drafted in terms consistent with the ordinary practice of NDSU. 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

 Page 6 of 17 

 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
  

	5.3	Within thirty (30) days of the mailing date of the notice required under Article 5.2, ALIEN shall provide written notice to NDSU of its decision to enter into negotiations for
a license under Article 5.1. If ALIEN does not provide a written notice stating its intention to enter into negotiations within the thirty (30) day period, then NDSU may at that time (but no earlier) enter into negotiations with other parties
and ALIEN shall be deemed to have irrevocably waived its option under Article 5.1 as to that particular invention disclosure. An extension of the response period of this Article 5.3 may be granted at the sole discretion of NDSU and upon the
reasonable request of ALIEN. If the Parties enter into negotiation under this Article and such negotiations do not result in a license agreement between the Parties, then NDSU may not offer a license to any other entity or individual on terms more
favorable than those offered to ALIEN during that negotiation. 

  

	5.4	In the event that ALIEN elects not to invoke its option under this Article or allows the time to respond under Article 5.3 to pass, the Parties agree to the following sublicensing
practices: 

 A. Subject to all terms and conditions of this Agreement, NDSU shall be free to license NDSU SOLELY DEVELOPED
INTELLECTUAL PROPERTY or JOINTLY DEVELOPED INTELLECTUAL PROPERTY under Article 5.1 for the limited field of use of SENSOR. In such cases, and at NDSU’s request, ALIEN shall support NDSU’s commercialization efforts either by, at
ALIEN’s sole option, negotiating in good faith with NDSU a license with the right to sublicense LICENSED PATENTS to or by directly negotiating in good faith a license to LICENSED PATENTS with a company with which NDSU is in active negotiations
to license its NDSU SOLELY DEVELOPED INTELLECTUAL PROPERTY or JOINTLY DEVELOPED INTELLECTUAL PROPERTY (“TARGET COMPANY”). Such (sub)license(s) shall be on commercially reasonable terms and only for the limited field of use of SENSOR so as
to allow TARGET COMPANY to practice NDSU’s SOLELY DEVELOPED INTELLECTUAL PROPERTY or JOINTLY DEVELOPED INTELLECTUAL PROPERTY. Such (sub)license shall in no event be required to have an effective date earlier than the effective date of the
TARGET COMPANY’s license from NDSU to NDSU SOLELY DEVELOPED INTELLECTUAL PROPERTY or JOINTLY DEVELOPED INTELLECTUAL PROPERTY. Such a license shall not be unreasonably withheld by ALIEN. Except as expressly required elsewhere in this Agreement,
ALIEN shall not be required to nor may NDSU disclose any ALIEN CONFIDENTIAL INFORMATION to TARGET COMPANY without ALIEN’s written permission. At ALIEN’s request, NDSU shall promptly provide evidence of active negotiations. 
 B. Subject to the terms and conditions of this Agreement, in areas other than SENSOR where the licensed use of an invention under Article 5.1 would be in
an area identified in good faith by ALIEN, in ALIEN’s sole discretion, as not competitive to ALIEN (including without limitation competitive to ALIEN’s licensees or partners) and where ALIEN is not restricted by other licenses with third
parties from licensing or sublicensing its technology to a TARGET COMPANY, including the U.S. government, NDSU shall be free to license NDSU SOLELY DEVELOPED INTELLECTUAL PROPERTY or 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

 Page 7 of 17 

 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
  

 
JOINTLY DEVELOPED INTELLECTUAL PROPERTY. In such cases, and at NDSU’s request, ALIEN shall support NDSU’s commercialization efforts either by, at
ALIEN’s sole option, negotiating in good faith with NDSU a license with the right to sublicense LICENSED PATENTS to or by directly negotiating in good faith a license to LICENSED PATENTS with a TARGET COMPANY. Such (sub)license(s) shall be on
commercially reasonable terms and only for a limited field of use so as to allow TARGET COMPANY to practice NDSU’s SOLELY DEVELOPED INTELLECTUAL PROPERTY or JOINTLY DEVELOPED INTELLECTUAL PROPERTY. Such license shall in no event be required to
have an effective date earlier than the effective date of the TARGET COMPANY’s license from NDSU to NDSU SOLELY DEVELOPED INTELLECTUAL PROPERTY or JOINTLY DEVELOPED INTELLECTUAL PROPERTY. Such a license shall not be unreasonably withheld by
ALIEN. Except as expressly required elsewhere in this Agreement, ALIEN shall not be required to nor may NDSU disclose any ALIEN CONFIDENTIAL INFORMATION to TARGET COMPANY without ALIEN’s written permission. At ALIEN’s request, NDSU shall
promptly provide evidence of active negotiations. 
 C. Notwithstanding the foregoing Articles 5.4A. and 5.4B., if the NDSU SOLELY DEVELOPED
INTELLECTUAL PROPERTY or JOINTLY DEVELOPED INTELLECTUAL PROPERTY under Article 5.1, (a) is not a SENSOR and (b) ALIEN is restricted by other licenses with third parties from licensing or sublicensing its technology to a TARGET COMPANY,
NDSU may request ALIEN’s consideration of cooperation in commercialization. ALIEN will consider such requests on a case-by-case basis, and all decisions by ALIEN shall be in its sole discretion with no obligation whatsoever. 
  

	5.5	If ALIEN timely indicates its desire to enter into negotiations for a license as set forth in Article 5.3, or if NDSU is free to exploit the invention as set forth in Article 5.4A.
or B., then ALIEN and NDSU shall enter into good faith license negotiations. Such good faith negotiations shall not exceed a negotiation period of four (4) months from receipt of the written notice required by Article 5.3 or from the expiration
of the response period set forth in Article 5.3. The negotiation period under this Article 5.5 may be extended upon mutual written agreement of ALIEN and NDSU. If ALIEN and NDSU cannot reach a mutually agreeable license, then either Party may
request non-binding mediation to assist the Parties to come to agreeable terms. 

  

	5.6	Subject to Article 2, for all inventions licensed exclusively to ALIEN under Article 5, NDSU shall: 

 A. retain a nonexclusive, nontransferable, nonsublicensable, fully paid up, royalty-free, license to make and/or use such inventions or practice such
patented processes for NDSU’s teaching and research purposes; and 
  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

 Page 8 of 17 

 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
  

 B. retain a nonexclusive, nonsublicensable, fully paid up, royalty-free license to make for or sell
to the U.S. government such inventions for use by the U.S. government only; retain a nonexclusive, nonsublicensable, fully paid up, royalty-free license to have made for the U.S. government such inventions for use by the U.S. government only,
provided that ALIEN approves of the foundry in writing, in advance, with such approval not being unreasonably withheld nor delayed. 
  

	5.7	In the event that NDSU licenses inventions to third parties under this Article 5, the Parties shall equitably divide the compensation from such licensing activities. The equitable
division shall be negotiated in good faith by the Parties at the time of any contemplated license to a third party by NDSU. Such equitable division shall be determined in accordance with such appropriate relative values to patented inventions, in
proportion to the total value represented by all patented inventions and/or proprietary rights that are included within the third–party license. 

  

	5.8	ALIEN represents and warrants that it will retain all intellectual property rights necessary to perform, in good faith, its express obligations under this Agreement.

 ARTICLE 6 — PATENT PROSECUTION 
  

	6.1	The Parties shall, in their sole discretion, apply for, prosecute, and maintain all their own Solely Developed Intellectual Property arising out of or in connection with the
RESEARCH PROGRAM. 

  

	6.2	If the Parties create JOINTLY DEVELOPED INTELLECTUAL PROPERTY, the Parties agree to consult with one another as reasonably necessary to obtain and perfect intellectual property
rights specific to such technology. The Parties further agree to equitably share the cost of obtaining and perfecting such rights. In the event of a dispute, U.S. patent law shall govern. 

  

	6.3	In the event ALIEN elects an exclusive license under Article 5 of this Agreement, ALIEN shall reimburse all legal expenses, including Patent Cooperation Treaty (PCT) applications,
relating to patenting the intellectual property paid by NDSU and shall pay for all future expenses as long as ALIEN’s exclusive license to the intellectual property has not terminated. Nothing in this Article 6.3 shall be construed to
lessen NDSU’s management of the patent application, prosecution and maintenance of the intellectual property. ALIEN shall be consulted regarding the prosecution of such patents. ALIEN shall not be required to reimburse for PCT national phase
filings or foreign filings for any country unless such filings are at the request of ALIEN or NDSU secures ALIEN’s agreement prior to filing. 

  

	6.4	 As to patents prosecuted by NDSU for NDSU SOLELY DEVELOPED INTELLECTUAL PROPERTY on which ALIEN has elected to take an exclusive license under Article 5, NDSU shall
provide ALIEN with copies of all relevant documentation so that ALIEN may be informed and apprised of the continuing prosecution, and may provide substantive comment and input, and ALIEN shall keep this documentation 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

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 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
  

	 	 
confidential in accordance with Article 2. NDSU shall endeavor to amend any patent application to include reasonable claims or disclosures requested by ALIEN
and required to protect the products and/or processes derived from the patent application. 

  

	6.5	As to patents prosecuted by either Party for JOINTLY DEVELOPED INTELLECTUAL PROPERTY, the prosecuting Party shall provide the other Party with copies of all relevant documentation
so that the other Party may be informed and apprised of the continuing prosecution, and may provide substantive comment and input, and the other Party shall keep this documentation confidential in accordance with Article 2. The prosecuting Party
shall endeavor to amend any patent application to include reasonable claims or disclosures requested by the other Party and required to protect the products and/or processes derived from the patent application. 

 ARTICLE 7 — INDEPENDENT CONTRACTOR 
 For purposes of
this Agreement, the Parties are independent contractors and not agents or employees of the other Party. No Party shall have the authority to make any statements, representations, or commitments of any kind, or to take any action that shall be
binding on the other Party, except as expressly provided in this Agreement. 
 ARTICLE 8 — PUBLICATION 
 A Party has the right to publish or otherwise publicly disclose information, other than the other Party’s trade secrets or CONFIDENTIAL INFORMATION, gained in the
course of or as follow-up to the RESEARCH PROGRAM. In order to avoid the disclosure of trade secrets or CONFIDENTIAL INFORMATION or the loss of patent rights as a result of premature public disclosure of patentable information, any prepublication
materials disclosing the other Party’s CONFIDENTIAL INFORMATION or information knowingly contained in patent applications shall be submitted by the publishing Party to the other Party whose technologies are described, for review and comment, at
least thirty (30) days prior to planned submission for publication. Such other Party shall notify the publishing Party within fourteen (14) days of receipt of such materials whether the materials contain any of its trade secrets or
CONFIDENTIAL INFORMATION subject to the Parties’ rights under Article 2. If such other Party notifies the publishing Party that the publication identifies/includes patentable material or trade secrets or CONFIDENTIAL INFORMATION, the
publishing Party shall withhold publication and disclosure of such materials until determination of patentability has been resolved or patent application(s) filed. In no event shall publication be delayed for a period exceeding six (6) months
from receipt of a request to delay publication. At DISCLOSING PARTY’s request, all DISCLOSING PARTY’s CONFIDENTIAL INFORMATION or trade secrets shall be removed by the RECEIVING PARTY from any publications or other disclosures. 

 

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

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 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
  

 ARTICLE 9 — PUBLICITY 
 Except as required by law or in the normal course of business identification, neither NDSU nor ALIEN shall issue any press release nor make any other written statements in connection with the RESEARCH PROGRAM intended
for use in the public media in a manner suggesting any endorsement by the other Party without approval of such other Party. Such approval shall not be unreasonably withheld or delayed. In any other statements, the Parties shall describe the scope
and nature of their participation accurately and appropriately. Notwithstanding anything to the contrary contained herein, the Parties agree that for press releases or other publicity that identifies DMEA or any DMEA contract included in the FULL
PROJECT SCOPE OF WORK, that such press release or publicity shall be submitted to DMEA for review and approval at least fourteen (14) days prior to such release. 
 ARTICLE 10 — EXPORT CONTROL COMPLIANCE 
 The Parties to this Agreement are subject to United States laws and
regulations controlling the export of technical data, computer software, laboratory prototypes, and other commodities, and agree to comply with applicable United States export laws and regulations. 
 ARTICLE 11 — MARKING 
 NDSU shall mark, or shall cause
to be marked, any products made or used pursuant to Article 4 with a notice that the product is “Licensed under one or more of U.S. Patent Nos. [such numbers to be provided to NDSU by Alien pursuant to Article 15]” and shall otherwise so
mark products in accordance with applicable patent laws and practices of the country in which the product is made or used. 
 ARTICLE 12
— DISPUTE RESOLUTION 
  

	12.1	The Parties wish to resolve efficiently disputes relating to or arising out of this Agreement. In the event of any dispute or perceived problem, the Parties shall attempt, in good
faith, to resolve the problem by negotiation within thirty (30) days of receipt of a request from the other Party. If negotiation is unsuccessful, the Parties shall, upon the request of either, attempt to settle the dispute by mediation within
the next thirty (30) days. The Parties shall mutually agree on the selection of the mediator(s). Each Party has the option to give notice to the other Party of its desire to seek first an amicable resolution without resort to litigation. Where
cure is possible, each Party shall be given sixty (60) days from the date of such notice to correct its performance under this Agreement or otherwise cure any breach. 

  

	12.2	 Excluding the provisions of Article 5.5, disputes not resolved pursuant to Article 12.1 shall be settled by mandatory arbitration upon request of either Party. Such
arbitration shall be conducted before a panel of three arbitrators appointed in accordance with the then-existing Commercial Rules of the American Arbitration Association. The arbitration hearing and the awards shall take place and be made within
ninety (90) days 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

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 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
  

	 	 
of the filing of each initial demand for arbitration. Judgment upon the award of all or a majority of the arbitrators shall be binding upon the Parties and
may be entered in any court having jurisdiction. Venue for the arbitration shall be as determined by the panel. 

  

	12.3	Notwithstanding the foregoing, nothing in this Article shall be construed to waive any rights or timely performance of any obligations existing under this Agreement.

  

	12.4	Notwithstanding anything to the contrary, nothing in this Article shall be construed to limit a Party’s right to seek injunctive or other equitable relief in any court of
competent jurisdiction. 

 ARTICLE 13 — LIABILITY/WARRANTY 
  

	13.1	EXCEPT AS PROVIDED IN THIS ARTICLE 13, NO PARTY MAKES ANY WARRANTIES (EXPRESS, IMPLIED, STATUTORY, OR OTHERWISE) WITH RESPECT TO THE SUBJECT MATTER OF THIS AGREEMENT. CONFIDENTIAL
INFORMATION DELIVERED UNDER THIS AGREEMENT IS EXPERIMENTAL IN NATURE. THE PARTIES MAKE NO WARRANTIES OR REPRESENTATIONS WITH RESPECT TO ITS UTILITY, EFFICACY, NON-TOXICITY, SAFETY, OR APPROPRIATENESS FOR A PARTICULAR PURPOSE. ALL INFORMATION,
TECHNOLOGY, AND PRODUCT PROVIDED UNDER THIS AGREEMENT IS “AS IS.” 

  

	13.2	Each Party represents and warrants that (a) the execution, delivery, and performance of this Agreement by it is within its power and will not violate or conflict with, and is
not prohibited by, any law, regulation, certificate, agreement, or other instrument, rule, or order of which it is aware or to which it is bound; and (b) it has not and will not grant any rights that are inconsistent with the rights and
licenses granted to the other Party under this Agreement. 

  

	13.3	NEITHER PARTY WILL BE LIABLE TO THE OTHER PARTY FOR ANY, INDIRECT, CONSEQUENTIAL, EXEMPLARY, OR INCIDENTAL DAMAGES ARISING FROM ANY CLAIM RELATING TO THIS AGREEMENT OR THE SUBJECT
MATTER OF THIS AGREEMENT, WHETHER THE CLAIM IS BASED ON WARRANTY, CONTRACT, TORT (INCLUDING NEGLIGENCE), OR OTHERWISE, EVEN IF AN AUTHORIZED REPRESENTATIVE OF THE PARTY IS ADVISED OF THE POSSIBILITY OF THE DAMAGES. THESE LIMITATIONS APPLY
NOTWITHSTANDING FAILURE OF ESSENTIAL PURPOSE OF ANY LIMITED REMEDY. 

  

	13.4	ALIEN represents and warrants that it, as of the EFFECTIVE DATE, owns or otherwise has the legal right to license or sublicense the LICENSED PATENTS as required under this
Agreement, and that it has received no notice of infringement or misappropriation of any rights in relation to the LICENSED PATENTS. NDSU represents and warrants that it will not knowingly exceed the scope of the license granted in Article 4.

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

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 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
  

 ARTICLE 14 — TERM AND TERMINATION 
  

	14.1	Unless earlier terminated under a provision of this Article 14, this Agreement shall commence on the EFFECTIVE DATE and shall continue in full force and effect until April 30,
2005. The Agreement may be extended upon written agreement of the Parties. 

  

	14.2	Performance by the Parties under this agreement is dependent upon the appropriation of additional funds to NDSU from the United States government for the FULL PROJECT SCOPE OF WORK.
If the United States government fails to appropriate the additional funds to NDSU within a reasonable period of time, either Party may terminate this Agreement without further duty or obligation by providing written notice to the other Party of its
intent to terminate under this Article 14.2. NDSU shall notify ALIEN in writing as soon as reasonably possible after the unavailability of additional funds comes to NDSU’s attention. 

  

	14.3	If, after the awarding of the additional funds to NDSU from the United States government for additional phase(s) of the FULL PROJECT SCOPE OF WORK, the Parties then fail to reach
agreement on the subcontract(s) within sixty (60) days, either Party may then terminate this Agreement upon fourteen (14) days written notice to the other Party. The negotiation period for the subcontract(s) may be extended upon mutual
written agreement of ALIEN and NDSU. 

  

	14.4	In the event that one Party defaults on its material obligations under this Agreement and, if such default is capable of cure but the defaulting Party fails to remedy such default
within sixty (60) days after receipt of written notice thereof, the nondefaulting Party may terminate this Agreement at any time after the sixty (60) day cure period. 

  

	14.5	Termination or cancellation of this Agreement shall not affect the rights and obligations of the Parties accrued prior to termination. 

  

	14.6	Articles 3.3, 3.6, 5.6, 6, 11, 12, 13, 14.4, 14.5, 14.6, 14.7, 15, and 16 shall survive termination of this Agreement. Articles 2 and 8 shall survive termination of this Agreement
for a period of five (5) years. Articles 5.1, 5.2, 5.3, 5.4, 5.5, 5.7, and 5.8 shall survive termination of this Agreement for a period of three (3) years. The limited license granted in Article 4.1, but further limited to NDSU’s
right to make (but not have made) products or use processes under the LICENSED PATENTS for the sole purpose of research and development for the exclusive use of the U.S. government for U.S. government purposes, shall survive until the earlier of
(i) 15 years after termination of this Agreement, or (ii) the expiration, revocation, final declaration of unenforceability, final declaration of invalidity of the last remaining patent within the Licensed Patents. Notwithstanding the
foregoing, the license grant to NDSU under Article 4 shall immediately terminate if (a) NDSU breaches any express obligation to ALIEN for which there is no cure possible or timely performed or exceeds the scope of the present or surviving
license, as applicable, or (b) either Party terminates this Agreement under Article 14.2. 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

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 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
  

	14.7	It is further agreed that should ALIEN be adjudged bankrupt, become insolvent or enter into or make a composition with or assignment to its creditors, then and in such event, any
option to license or license from NDSU shall automatically terminate without notice, but such termination shall not impair any accrued rights of NDSU or relieve ALIEN from any other obligations of ALIEN arising upon such termination. In such event,
all rights of ALIEN to NDSU developed intellectual property shall revert back to NDSU. 

 ARTICLE 15 — NOTICE 

Any notice or other communication required or permitted to be given or made under this Agreement shall be in writing and delivered to the Party at its address
indicated below (or to such other address as a Party may specify by notice under this Article) by courier or by registered or certified airmail, postage prepaid, or by facsimile or electronic mail; provided, however, that all facsimile or electronic
mail notices shall be promptly confirmed within two business days of receipt by RECEIVING PARTY in the same fashion as notice was originated. All notices shall be effective as of the date received by the addressee at the address provided for the
addressee. 
 As to ALIEN Technology Corporation: 
 Paul Drzaic, Vice President 
 Alien Technology
Corporation 
 18220 Butterfield Blvd 
 Morgan Hill CA 95037 
 pdrzaic@alientechnology.com 
 Fax: (408) 782-3912 
 As to North Dakota State University: 
 Gregory J. McCarthy, Director 
 Center for
Nanoscale Science and Engineering 
 1735 NDSU Research Park Drive 
 Fargo, ND 58105-5756 
 Greg.McCarthy@ndsu.nodak.edu 
 Fax: (701) 231-8831 
 ARTICLE 16 — MISCELLANEOUS PROVISIONS 
  

	16.1	This Agreement will be binding on the successors and permitted assigns of the Parties. No failure or successive failures on the part of any Party, its successors or assigns, to
enforce any covenant or article, and no waiver or successive waivers on its or their part of any conditions of this Agreement shall operate as a discharge of such covenant, article, or condition, or render the same invalid, or impair the right of
the other Party, its successors and assigns, to enforce the same in the event of any subsequent breach or breaches by a Party, its successors or assigns. This Agreement may be executed in multiple original copies, each of which shall be deemed an
original and all of which taken together shall be one and the same Agreement. 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

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 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
  

	16.2	Whenever the context shall require, the singular shall include the plural, the plural shall include the singular and words of any gender shall be deemed to include words of any
other gender. 

  

	16.3	The headings and captions contained in this Agreement are inserted only as a matter of convenience and in no way define, limit, extend, or describe the scope of this Agreement or
the intent of any provisions. 

  

	16.4	In the event one or more of the provisions of this Agreement are declared invalid, illegal, or unenforceable in any respect under any statute, regulation, or law, whether state or
federal, such provision shall be fully severable and shall not affect any other provisions, and this Agreement shall be construed as if such invalid, illegal, or unenforceable provision had never been contained in this Agreement. The remaining
provisions of this Agreement shall remain in full force and effect and shall not be affected by the invalid, illegal or unenforceable provision or by its severance from this Agreement. The Parties shall negotiate in good faith to replace the invalid
provision with a provision that most closely reflects the original intent of the Parties. 

  

	16.5	No Implied Licenses. Nothing in this Agreement shall be construed as granting a Party, by implication, estoppel, or otherwise, any license or other right to any of the other
Party’s intellectual property other than the right(s) or license(s) that are expressly granted in this Agreement. 

  

	16.6	NDSU may, consistent with NDSU policy, assign ownership of its intellectual property to the NDSU Research Foundation (“Foundation”), provided, however, that prior to such
assignment Foundation agrees in a writing to NDSU, with ALIEN as a third party beneficiary, that Foundation shall comply with and assist NDSU in its compliance with the terms and conditions of this Agreement to the extent the terms and conditions
apply to the assigned intellectual property. In the event NDSU exercises such assignment, NDSU represents and warrants that the Foundation shall abide by the terms of Article 5.1 in the management of NDSU’s intellectual property.

  

	16.7	Other than the exception noted in 16.6, no Party shall assign this Agreement or any licenses granted under this Agreement without the prior written consent of the other Party.

  

	16.8	Except as to the United States government’s rights and as provided under Article 16.1 none of the provisions of this Agreement shall be for the benefit of, or enforceable
by, any third party. The terms of this Agreement are made for the sole benefit of the Parties and no other person or entity is intended to nor shall have any rights or benefits under this Agreement, whether as a third party beneficiary or otherwise.

  

	16.9	All remedies available to a Party for breach of this Agreement are cumulative and may be exercised concurrently or separately, and the exercise of any one remedy shall not be deemed
an election of such remedy to the exclusion of other remedies. 

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

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 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
  

	16.10	This Agreement constitutes the entire agreement between the Parties as to licensing, technology transfer and intellectual property issues and supersedes all previous communications,
representations, agreements, or understandings relating to the subject matter of this Agreement, whether written or oral. This Agreement cannot be altered, amended, or modified except by a written instrument signed by the duly authorized
representatives of the Parties. 

 IN WITNESS WHEREOF, the Parties have caused this Agreement to be executed by their duly authorized
representatives who have the power to legally bind their respective Party. 
 APPROVED AND ACCEPTED 
  

									
	North Dakota State University	 		 	ALIEN Technology Corporation
					
	By:	 	 /S/    PHILIP
BOUDJOUK
	 		 	By:	 	 /S/    JEFF
JACOBSON

					
	Title:	 	Philip Boudjouk	 		 	Title:	 	Jeff Jacobson
		 	Vice President for Research,	 		 		 	President & CEO
		 	Creative Activities & Technology Transfer	 		 		 	
					
	Date:	 	June 20, 2002	 		 	Date:	 	June 17, 2002

  

									
	 APPROVED AS TO LEGAL FORM
AND SUFFICIENCY
	 		 	
					
	By:	 	 /S/    RICK JOHNSON
	 		 		 	
					
	Title:	 	Rick Johnson, J.D., LLM	 		 		 	
		 	NDSU General Counsel	 		 		 	
					
	Date:	 	June 15, 2002	 		 		 	

  

									
	 ACKNOWLEDGEMENT:
	 		 	
			
	I have read this Agreement. I understand, accept, and will abide by the terms and conditions of this Agreement.	 		 	
					
	By:	 	 /S/    GREGORY J.
MCCARTHY
	 		 		 	
					
	Title:	 	Dr. Gregory J. McCarthy	 		 		 	
		 	 Associate Vice President for
 Interdisciplinary
Research
	 		 		 	
					
	Date:	 	June 15, 2002	 		 		 	

  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

 Page 16 of 17 

 CONFIDENTIAL TREATMENT REQUESTED BY ALIEN TECHNOLOGY CORP. 
  

 Exhibit A 
 [***] 
  

	***	Confidential treatment requested pursuant to a request for confidential treatment filed with the Securities and Exchange Commission. Omitted portions have been filed separately with
the Commission. 

 Page 17 of 17

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