x |
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
|
o |
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
|
California
|
|
94-3127919
|
(State or other jurisdiction of incorporation or organization)
|
|
(IRS Employer Identification No.)
|
Large accelerated filer
|
o
|
|
Accelerated filer
|
T
|
Non-accelerated filer
|
o
|
(Do not check if a smaller reporting company)
|
Smaller reporting company
|
o
|
Item 1. | Financial Statements |
|
Three Months Ended
|
Nine Months Ended
|
||||||||||||||
|
September 30,
2013
|
September 30,
2012
|
September 30,
2013
|
September 30,
2012
|
||||||||||||
|
|
|
|
|
||||||||||||
REVENUES:
|
|
|
|
|
||||||||||||
License fees
|
$
|
382,767
|
$
|
337,633
|
$
|
1,094,843
|
$
|
549,521
|
||||||||
Royalties from product sales
|
80,592
|
133,946
|
291,505
|
407,803
|
||||||||||||
Grant income
|
160,431
|
441,630
|
941,226
|
1,518,086
|
||||||||||||
Sale of research products
|
90,272
|
90,342
|
214,277
|
217,380
|
||||||||||||
Total revenues
|
714,062
|
1,003,551
|
2,541,851
|
2,692,790
|
||||||||||||
|
||||||||||||||||
Cost of sales
|
(206,678
|
)
|
(169,734
|
)
|
(570,237
|
)
|
(273,916
|
)
|
||||||||
|
||||||||||||||||
Total revenues, net
|
507,384
|
833,817
|
1,971,614
|
2,418,874
|
||||||||||||
|
||||||||||||||||
EXPENSES:
|
||||||||||||||||
Research and development
|
(6,441,462
|
)
|
(4,545,470
|
)
|
(17,389,409
|
)
|
(13,323,410
|
)
|
||||||||
General and administrative
|
(4,267,875
|
)
|
(2,234,905
|
)
|
(11,273,948
|
)
|
(7,037,807
|
)
|
||||||||
Total expenses
|
(10,709,337
|
)
|
(6,780,375
|
)
|
(28,663,357
|
)
|
(20,361,217
|
)
|
||||||||
|
||||||||||||||||
Loss from operations
|
(10,201,953
|
)
|
(5,946,558
|
)
|
(26,691,743
|
)
|
(17,942,343
|
)
|
||||||||
OTHER INCOME/(EXPENSES):
|
||||||||||||||||
Interest income, net
|
509
|
5,624
|
2,033
|
17,321
|
||||||||||||
Gain/(loss) on sale of fixed assets
|
5,830
|
(1,451
|
)
|
5,120
|
(4,997
|
)
|
||||||||||
Other income/(expense), net
|
(60,704
|
)
|
18,766
|
(169,512
|
)
|
(223,899
|
)
|
|||||||||
Total other income/(expenses), net
|
(54,365
|
)
|
22,939
|
(162,359
|
)
|
(211,575
|
)
|
|||||||||
NET LOSS
|
(10,256,318
|
)
|
(5,923,619
|
)
|
(26,854,102
|
)
|
(18,153,918
|
)
|
||||||||
Less: Net loss attributable to the non-controlling interest
|
1,253,150
|
965,605
|
2,583,581
|
2,763,169
|
||||||||||||
|
||||||||||||||||
NET LOSS ATTRIBUTABLE TO BIOTIME, INC.
|
$
|
(9,003,168
|
)
|
$
|
(4,958,014
|
)
|
$
|
(24,270,521
|
)
|
$
|
(15,390,749
|
)
|
||||
|
||||||||||||||||
Foreign currency translation gain/(loss)
|
7,016
|
(15,777
|
)
|
184,310
|
(74,635
|
)
|
||||||||||
|
||||||||||||||||
COMPREHENSIVE NET LOSS
|
$
|
(8,996,152
|
)
|
$
|
(4,973,791
|
)
|
$
|
(24,086,211
|
)
|
$
|
(15,465,384
|
)
|
||||
|
||||||||||||||||
BASIC AND DILUTED LOSS PER COMMON SHARE
|
$
|
(0.16
|
)
|
$
|
(0.10
|
)
|
$
|
(0.45
|
)
|
$
|
(0.31
|
)
|
||||
|
||||||||||||||||
WEIGHTED AVERAGE NUMBER OF COMMON SHARES OUTSTANDING: BASIC AND DILUTED
|
55,621,564
|
49,291,177
|
53,545,834
|
49,196,804
|
1.
|
Organization, Basis of Presentation, and Summary of Select Significant Accounting Policies
|
Subsidiary
|
BioTime Ownership
|
Country
|
Asterias Biotherapeutics, Inc.
|
96.7%
(1)
|
USA
|
ReCyte Therapeutics, Inc. (formerly Embryome Sciences, Inc.)
|
94.8%
|
USA
|
OncoCyte Corporation
|
75.3%
|
USA
|
OrthoCyte Corporation
|
100%
|
USA
|
ES Cell International Pte Ltd.
|
100%
|
Singapore
|
BioTime Asia, Limited
|
81%
|
Hong Kong
|
Cell Cure Neurosciences Ltd.
|
62.5%
|
Israel
|
LifeMap Sciences, Inc.
|
73.2%
|
USA
|
LifeMap Sciences, Ltd.
|
(2)
|
Israel
|
(1)
|
BioTime’s percentage ownership was reduced to approximately 71.6% when Asterias issued common stock to BioTime and Geron Corporation upon consummation of the asset contribution transaction under the Asset Contribution Agreement, and sold common stock and warrants to a private investor for cash in a related transaction, on October 1, 2013. See Notes 9 and 12 to financial statements.
|
(2)
|
LifeMap Sciences, Ltd. is a wholly-owned subsidiary of LifeMap Sciences, Inc.
|
2.
|
Inventory
|
3.
|
Equipment
|
|
September 30, 2013
|
December 31,
|
||||||
|
(unaudited)
|
2012
|
||||||
Equipment, furniture and fixtures
|
$
|
4,093,517
|
$
|
2,098,812
|
||||
Accumulated depreciation
|
(1,187,675
|
)
|
(750,258
|
)
|
||||
Equipment, net
|
$
|
2,905,842
|
$
|
1,348,554
|
4.
|
Intangible assets
|
September 30, 2013 | December 31, | |||||||
|
(unaudited)
|
2012
|
||||||
Intangible assets
|
$
|
25,702,909
|
$
|
25,702,909
|
||||
Accumulated amortization
|
(7,143,835
|
)
|
(5,216,117
|
)
|
||||
Intangible assets, net
|
$
|
18,559,074
|
$
|
20,486,792
|
5.
|
Royalty Obligation and Deferred License Fees
|
Year Ended
|
Deferred License
|
|||
December 31,
|
Fees
|
|||
2013
|
$
|
27,375
|
||
2014
|
109,500
|
|||
2015
|
109,500
|
|||
2016
|
109,500
|
|||
2017
|
109,500
|
|||
Thereafter
|
101,333
|
|||
Total
|
$
|
566,708
|
6.
|
Accounts Payable and Accrued Liabilities
|
|
September 30, 2013
(unaudited)
|
December 31,
2012
|
||||||
Accounts payable
|
$
|
2,202,410
|
$
|
1,168,077
|
||||
Accrued bonuses
|
250,000
|
497,843
|
||||||
Other accrued liabilities
|
1,748,688
|
2,324,042
|
||||||
|
$
|
4,201,098
|
$
|
3,989,962
|
7.
|
Equity
|
8.
|
Merger with XenneX, Inc.
|
9.
|
Asset Contribution Agreement
|
10.
|
Segment Information
|
11.
|
Unaudited Pro Forma Interim Financial Information – Nine Months Ended September 30, 2013 and 2012
|
Nine Months Ended September 30,
|
||||||||
2013
(Unaudited)
|
2012
(Unaudited)
|
|||||||
Revenues
|
|
$
|
2,541,851
|
|
|
$
|
2,984,436
|
|
|
|
|
|
|
|
|
|
|
Net loss available to common shareholders
|
|
$
|
(
24,270,521
|
)
|
|
$
|
(15,288,233
|
)
|
|
|
|
|
|
|
|
|
|
Net loss per common share – basic and diluted
|
|
$
|
(0.45
|
)
|
|
$
|
(0.31)
|
|
12.
|
Subsequent Events
|
Item 2. | Management's Discussion and Analysis of Financial Condition and Results of Operations |
· | Neurology – An initial Phase 1 safety study in spinal cord injury has been completed with follow-on opportunities in larger indications in Multiple Sclerosis and stroke. |
· | Oncology – A Phase 2/3 ready cancer vaccine (VAC1) with an opportunity to continue the development of a second approach using dendritic cells derived from hESCs (VAC2) . |
· | Orthopedics – Opportunity to continue the development of hESC derived chondrocytes to regenerate articular cartilage to address osteoarthritis and degenerative disk disease. |
· | Cardiovascular – Opportunity to continue the development of hESC-derived cardiomyocytes for heart failure and myocardial infarction. |
Subsidiary
|
Field of Business
|
BioTime Ownership
|
Country
|
Asterias Biotherapeutics, Inc.
|
Research, development and commercialization of human therapeutic products from stem cells potentially in the fields of neurology, oncology, orthopedics, and heart failure and myocardial infarction
|
96.7%
(1)
|
USA
|
ES Cell International Pte Ltd
|
Stem cell products for research, including clinical grade cell lines
produced under cGMP
|
100%
|
Singapore
|
OncoCyte Corporation
|
Diagnosis and treatment of cancer
|
75.3%
|
USA
|
OrthoCyte Corporation
|
Orthopedic diseases, including chronic back pain and osteoarthritis
|
100%
|
USA
|
Cell Cure Neurosciences Ltd.
|
Age-related macular degeneration
Multiple sclerosis
Parkinson’s disease
|
62.5%
|
Israel
|
ReCyte Therapeutics, Inc.
|
Vascular disorders, including cardiovascular-related diseases, ischemic conditions, vascular injuries.
Stem cell-derived endothelial and cardiovascular related progenitor cells for research, drug testing, and therapeutics.
|
94.8%
|
USA
|
BioTime Asia, Limited
|
Stem cell products for research
|
81%
|
Hong Kong
|
LifeMap Sciences, Inc.
|
Genetic, disease, and stem cell databases; sale of stem cell products for
research
|
73.2%
|
USA
|
LifeMap Sciences, Ltd.
|
Stem cell database
|
(2)
|
Israel
|
(1)
|
BioTime’s percentage ownership was reduced to approximately 71.6% when Asterias issued common stock to BioTime and Geron upon consummation of the asset contribution transaction under Asset Contribution Agreement, and sold common stock and warrants to a private investor for cash in a related transaction, on October 1, 2013. See Notes 9 and 12 to the condensed consolidated interim financial statements.
|
(2)
|
LifeMap Sciences, Ltd. is a wholly-owned subsidiary of LifeMap Sciences, Inc.
|
|
|
Three Months Ended
September 30,
|
Nine Months Ended
September 30,
|
||||||||||||||
Company
|
Program
|
2013
|
2012
|
2013
|
2012
|
||||||||||||
BioTime and ESI
|
ACTCellerat
e
™ hPECs, GMP hES cell lines, and related research products
|
8.7
|
%
|
13.7
|
%
|
11.5
|
%
|
15.4
|
%
|
||||||||
BioTime
|
ACTCellerat
e
™ technology
|
0.4
|
%
|
6.6
|
%
|
1.3
|
%
|
6.0
|
%
|
||||||||
BioTime
|
Hydrogel products and
HySte
m
®
research
|
23.4
|
%
|
25.8
|
%
|
22.0
|
%
|
19.2
|
%
|
||||||||
OncoCyte
|
Cancer therapy and diagnosis
|
8.7
|
%
|
12.7
|
%
|
11.3
|
%
|
16.9
|
%
|
||||||||
OrthoCyte
|
Orthopedic therapy
|
1.8
|
%
|
5.7
|
%
|
4.1
|
%
|
5.1
|
%
|
||||||||
ReCyte Therapeutics
|
Cardiovascular therapy and iPS
|
1.3
|
%
|
6.5
|
%
|
4.1
|
%
|
7.3
|
%
|
||||||||
BioTime
|
Hexten
d
®
|
0.5
|
%
|
0.7
|
%
|
0.4
|
%
|
2.0
|
%
|
||||||||
BioTime Asia
|
Stem cell products for research
|
0.1
|
%
|
0.6
|
%
|
0.1
|
%
|
0.8
|
%
|
||||||||
Cell Cure Neurosciences
|
OpRege
n
®
,
OpRegen-Plu
s
®
, and neurological disease therapies
|
26.6
|
%
|
17.7
|
%
|
23.0
|
%
|
18.1
|
%
|
||||||||
LifeMap
|
Stem cell database
|
9.9
|
%
|
10.0
|
%
|
10.8
|
%
|
9.2
|
%
|
||||||||
Asterias
|
hESC-based cell therapy
|
17.9
|
%
|
–
|
%
|
11.1
|
%
|
–
|
%
|
||||||||
BioTime
|
3D-Culture for cancer drug screening
|
0.7
|
%
|
–
|
%
|
0.3
|
%
|
–
|
%
|
|
Three Months Ended
September 30,
|
$ Increase/
|
% Increase/
|
|||||||||||||
|
2013
|
2012
|
Decrease
|
Decrease
|
||||||||||||
License fees
|
$
|
382,767
|
$
|
337,633
|
$
|
+45,134
|
+13.4
|
%
|
||||||||
Royalties from product sales
|
80,592
|
133,946
|
-53,354
|
-39.8
|
%
|
|||||||||||
Grant income
|
160,431
|
441,630
|
-281,199
|
-63.7
|
%
|
|||||||||||
Sales of research products and services
|
90,272
|
90,342
|
-70
|
-0.1
|
%
|
|||||||||||
Total revenues
|
714,062
|
1,003,551
|
-289,489
|
-28.8
|
%
|
|||||||||||
Cost of sales
|
(206,678
|
)
|
(169,734
|
)
|
+36,944
|
+21.8
|
%
|
|||||||||
Total revenues, net
|
507,384
|
833,817
|
-326,433
|
-39.1
|
%
|
|
Nine Months Ended
September 30,
|
$ Increase/
|
% Increase/
|
|||||||||||||
|
2013
|
2012
|
Decrease
|
Decrease
|
||||||||||||
License fees
|
$
|
1,094,843
|
$
|
549,521
|
$
|
+545,322
|
+99.2
|
%
|
||||||||
Royalties from product sales
|
291,505
|
407,803
|
-116,298
|
-28.5
|
%
|
|||||||||||
Grant income
|
941,226
|
1,518,086
|
-576,860
|
-38.0
|
%
|
|||||||||||
Sales of research products and services
|
214,277
|
217,380
|
-3,103
|
-1.4
|
%
|
|||||||||||
Total revenues
|
2,541,851
|
2,692,790
|
-150,939
|
-5.6
|
%
|
|||||||||||
Cost of sales
|
(570,237
|
)
|
(273,916
|
)
|
+296,321
|
+108.2
|
%
|
|||||||||
Total revenues, net
|
1,971,614
|
2,418,874
|
-447,260
|
-18.5
|
%
|
|
Three Months Ended
September 30,
|
$ Increase/
|
% Increase/
|
|||||||||||||
|
2013 | 2012 |
Decrease
|
Decrease
|
||||||||||||
Research and development expenses
|
$
|
(6,441,462
|
)
|
$
|
(4,545,470
|
)
|
$
|
+1,895,992
|
+41.7
|
%
|
||||||
General and administrative expenses
|
(4,267,875
|
)
|
(2,234,905
|
)
|
+2,032,970
|
+91.0
|
%
|
|||||||||
Interest income, net
|
509
|
5,624
|
-5,115
|
-90.9
|
%
|
|||||||||||
Other expense, net
|
(60,704
|
)
|
18,766
|
-79,470
|
-423.5
|
%
|
|
Nine Months Ended
September 30,
|
$ Increase/
|
% Increase/
|
|||||||||||||
|
2013
|
2012
|
Decrease
|
Decrease
|
||||||||||||
Research and development expenses
|
$
|
(17,389,409
|
)
|
$
|
(13,323,410
|
)
|
$
|
+4,065,999
|
+30.5
|
%
|
||||||
General and administrative expenses
|
(11,273,948
|
)
|
(7,037,807
|
)
|
+4,236,141
|
+60.2
|
%
|
|||||||||
Interest income, net
|
2,033
|
17,321
|
-15,288
|
-88.3
|
%
|
|||||||||||
Other expense, net
|
(169,512
|
)
|
(223,899
|
)
|
-54,387
|
-24.3
|
%
|
|
|
Nine Months Ended | |||||||
|
|
September 30,
|
|||||||
Company
|
Program
|
2013
|
2012
|
||||||
BioTime and ESI
|
ACTCellerat
e
™ hPECs, GMP hES cell lines, and related research products
|
$
|
2,001,047
|
$
|
2,057,849
|
||||
BioTime
|
ACTCellerat
e
™ technology
|
$
|
227,429
|
$
|
794,632
|
||||
BioTime
|
Hydrogel products and
HySte
m
®
research
|
$
|
3,813,417
|
$
|
2,560,964
|
||||
OncoCyte
|
Cancer therapy and diagnosis
|
$
|
1,964,173
|
$
|
2,252,071
|
||||
OrthoCyte
|
Orthopedic therapy
|
$
|
718,874
|
$
|
679,166
|
||||
ReCyte Therapeutics
|
Cardiovascular therapy and iPS
|
$
|
720,870
|
$
|
971,572
|
||||
BioTime
|
Hexten
d
®
|
$
|
72,894
|
$
|
266,652
|
||||
BioTime Asia
|
Stem cell products for research
|
$
|
23,787
|
$
|
109,807
|
||||
Cell Cure Neurosciences
|
OpRege
n
®
,
OpRegen-Plu
s
®
, and neurological disease therapies
|
$
|
3,986,790
|
$
|
2,409,095
|
||||
LifeMap
|
Stem cell database
|
$
|
1,881,822
|
$
|
1,221,592
|
||||
Asterias
|
hESC-based cell therapy
|
$
|
1,931,048
|
$
|
–
|
||||
BioTime
|
3-D Culture
|
$
|
47,017
|
$
|
–
|
||||
Total research and development expenses | $ | 17,389,409 | $ | 13,323,410 |
Nine Months Ended
September 30,
|
||||||||
Company
|
2013
|
2012
|
||||||
BioTime
|
$
|
5,292,735
|
$
|
3,264,697
|
||||
Asterias
|
$
|
2,888,028
|
$
|
32,308
|
||||
BioTime Asia
|
$
|
127,920
|
$
|
799,098
|
||||
Cell Cure Neurosciences
|
$
|
549,233
|
$
|
525,450
|
||||
ES Cell International Pte Ltd
|
$
|
209,214
|
$
|
392,411
|
||||
LifeMap
|
$
|
1,302,827
|
$
|
909,518
|
||||
OncoCyte
|
$
|
310,809
|
$
|
511,614
|
||||
OrthoCyte
|
$
|
296,820
|
$
|
304,867
|
||||
ReCyte Therapeutics
|
$
|
296,362
|
$
|
297,842
|
||||
Total general and administrative expenses | $ | 11,273,948 | $ | 7,037,807 |
|
Principal Payments Due by Period
|
|||||||||||||||||||
Contractual Obligations
(1)
|
Total
|
Less Than
1 Year
|
1-3
Years
|
4-5
Years
|
After
5 Years
|
|||||||||||||||
Operating leases
(2)
|
$
|
2,174,323
|
$
|
355,781
|
$
|
1,785,917
|
$
|
32,625
|
$
|
-
|
(1)
|
This table does not include payments to key employees that could arise if they were involuntary terminated or if their employment terminated following a change in control.
|
(2)
|
Includes the lease of our principal office and laboratory facilities in Alameda, California, and leases of the offices and laboratory facilities of our subsidiaries Asterias, ESI, LifeMap Sciences, and Cell Cure Neurosciences.
|
Item 3. | Quantitative and Qualitative Disclosures about Market Risk |
Item 4. | Controls and Procedures |
Item 1. | Legal Proceedings. |
Item 1A. | Risk Factors |
·
|
We are attempting to develop new medical products and technologies.
|
·
|
Many of our experimental products and technologies have not been applied in human medicine and have only been used in laboratory studies
in
vitro
or in animals. These new products and technologies might not prove to be safe and efficacious in the human medical applications for which they were developed.
|
·
|
The experimentation we are doing is costly, time consuming, and uncertain as to its results. We incurred research and development expenses amounting to $17,389,409 during the nine months ended September 30, 2013, and $18,116,688, $13,699,691, and $8,191,314 during the fiscal years ended December 31, 2012, 2011, and 2010, respectively.
|
·
|
If we are successful in developing a new technology or product, refinement of the new technology or product and definition of the practical applications and limitations of the technology or product may take years and require the expenditure of large sums of money. Future clinical trials of new therapeutic products, particularly those products that are regulated as drugs or biological, will be very expensive and will take years to complete. We may not have the financial resources to fund clinical trials on our own and we may have to enter into licensing or collaborative arrangements with larger, well-capitalized pharmaceutical companies in order to bear the cost. Any such arrangements may be dilutive to our ownership or economic interest in the products we develop, and we might have to accept a royalty payment on the sale of the product rather than receiving the gross revenues from product sales.
|
·
|
Asterias will use the stem cell assets that it has acquired from Geron for the research and development of products for regenerative medicine. Asterias’ research and development efforts will involve substantial expense, including but not limited to hiring additional research and management personnel, and possibly the rent of additional research or manufacturing space that will add to our losses on a consolidated basis for the near future.
|
·
|
Asterias has become a public company. As a public company, Asterias will incur costs associated with audits of its financial statements, filing annual, quarterly, and other periodic reports with the SEC, holding annual shareholder meetings, listing its common shares for trading, and public relations and investor relations. These costs will be in addition to those incurred by BioTime for similar purposes.
|
·
|
As a developer of therapeutic products derived from hES or iPS cells, Asterias will face substantially the same kind of risks that affect our business, as well as the risks related to our industry generally.
|
·
|
The success of our business of selling products for use in stem cell research depends on the growth of stem cell research, without which there may be no market or only a very small market for our products and technology. The likelihood that stem cell research will grow depends upon the successful development of stem cell products that can be used to treat disease or injuries in people or that can be used to facilitate the development of other therapeutic products. The growth in stem cell research also depends upon the availability of funding through private investment and government research grants.
|
·
|
There can be no assurance that any safe and efficacious human medical applications will be developed using stem cells or related technology.
|
·
|
Government-imposed restrictions and religious, moral, and ethical concerns with respect to use of embryos or human embryonic stem (“hES”) cells in research and development could have a material adverse effect on the growth of the stem cell industry, even if research proves that useful medical products can be developed using hES cells.
|
·
|
Hexten
d
®
is presently the only plasma expander product that we have on the market, and it is being sold only in the U.S. and South Korea. The royalty revenues that we have received from sales of
Hexten
d
®
have not been sufficient to pay our operating expenses. This means that we need to successfully develop and market or license additional products and earn additional revenues in sufficient amounts to meet our operating expenses.
|
·
|
We are also beginning to bring our first stem cell research products to the market, but there is no assurance that we will succeed in generating significant revenues from the sale of those products.
|
·
|
Sales of
Hextend
® have already been adversely impacted by the availability of other products that are commonly used in surgery and trauma care and sell at low prices.
|
·
|
In order to compete with other products, particularly those that sell at lower prices, our products will have to provide medically significant advantages.
|
·
|
Physicians and hospitals may be reluctant to try a new product due to the high degree of risk associated with the application of new technologies and products in the field of human medicine.
|
·
|
Competing products are being manufactured and marketed by established pharmaceutical companies. For example, B. Braun/McGaw presently markets
Hespa
n
®
, an artificial plasma volume expander, and Hospira and Baxter International, Inc. manufacture and sell a generic equivalent of
Hespa
n
®
. Hospira also markets
Voluve
n
®
, a plasma volume expander containing a 6% low molecular weight hydroxyethyl starch in saline solution.
|
·
|
Competing products for the diagnosis and treatment of cancer are being manufactured and marketed by established pharmaceutical companies, and more cancer diagnostics and therapeutics are being developed by those companies and by other smaller biotechnology companies. Other companies, both large and small, are also working on the development of stem cell based therapies for the same diseases and disorders that are the focus of the research and development programs of our subsidiaries.
|
·
|
There also is a risk that our competitors may succeed at developing safer or more effective products that could render our products and technologies obsolete or noncompetitive.
|
·
|
We plan to continue to incur substantial research and product development expenses, largely through our subsidiaries, and we and our subsidiaries will need to raise additional capital to pay operating expenses until we are able to generate sufficient revenues from product sales, royalties, and license fees.
|
·
|
It is likely that additional sales of equity or debt securities will be required to meet our short-term capital needs, unless we receive substantial revenues from the sale of our new products or we are successful at licensing or sublicensing the technology that we develop or acquire from others and we receive substantial licensing fees and royalties.
|
·
|
Sales of additional equity securities by us or our subsidiaries could result in the dilution of the interests of present shareholders.
|
·
|
At September 30, 2013, we had $6,717,343 of cash and cash equivalents on hand. Although we have raised approximately $26,000,000 of equity capital during the nine months period ended September 30, 2013, there can be no assurance that we or our subsidiaries will be able to raise additional funds on favorable terms or at all, or that any funds raised will be sufficient to permit us or our subsidiaries to develop and market our products and technology. Unless we and our subsidiaries are able to generate sufficient revenue or raise additional funds when needed, it is likely that we will be unable to continue our planned activities, even if we make progress in our research and development projects.
|
·
|
We may have to postpone or limit the pace of our research and development work and planned clinical trials of our product candidates unless our cash resources increase through a growth in revenues or additional equity investment or borrowing.
|
·
|
hES derived therapeutic cells have only been produced on a small scale and not in quantities and at levels of purity and viability that will be needed for wide scale commercialization. If we are successful in developing products that consist of hES cells or other cells or products derived from hES or other cells, we will need to develop, alone or in collaboration with one or more pharmaceutical companies or contract manufacturers, technology for the commercial production of those products.
|
·
|
We will have to conduct expensive and time-consuming clinical trials of new products. The full cost of conducting and completing clinical trials necessary to obtain FDA and foreign regulatory approval of a new product cannot be presently determined, but could exceed our current financial resources.
|
·
|
Clinical trials and the regulatory approval process for a pharmaceutical or cell-based product can take several years to complete. As a result, we will incur the expense and delay inherent in seeking FDA and foreign regulatory approval of new products, even if the results of clinical trials are favorable.
|
·
|
Data obtained from preclinical and clinical studies is susceptible to varying interpretations that could delay, limit, or prevent regulatory agency approvals. Delays in the regulatory approval process or rejections of an application for approval of a new product may be encountered as a result of changes in regulatory agency policy.
|
·
|
Because the therapeutic products we are developing with hES and iPS technology involve the application of new technologies and approaches to medicine, the FDA or foreign regulatory agencies may subject those products to additional or more stringent review than drugs or biologicals derived from other technologies.
|
·
|
A product that is approved may be subject to restrictions on use.
|
·
|
The FDA can recall or withdraw approval of a product if problems arise.
|
·
|
We will face similar regulatory issues in foreign countries.
|
·
|
delays in securing clinical investigators or trial sites for our clinical trials;
|
·
|
delays in obtaining Institutional Review Board (“IRB”) and other regulatory approvals to commence a clinical trial;
|
·
|
slower than anticipated rates of patient recruitment and enrollment, or failing to reach the targeted number of patients due to competition for patients from other trial;
|
·
|
limited or no availability of coverage, reimbursement and adequate payment from health maintenance organizations and other third party payers for the use of agents used in our clinical trials;
|
·
|
negative or inconclusive results from clinical trials;
|
·
|
unforeseen side effects interrupting, delaying or halting clinical trials of our product candidates and possibly resulting in the FDA or other regulatory authorities denying approval of our product candidates;
|
·
|
unforeseen safety issues;
|
·
|
uncertain dosing issues;
|
·
|
approval and intro introduction of new therapies or changes in standards of practice or regulatory guidance that render our clinical trial endpoints or the targeting of our proposed indications obsolete;
|
·
|
inability to monitor patients adequately during or after treatment or problems with investigator or patient compliance with the trial protocols;
|
·
|
inability to replicate in large controlled studies safety and efficacy data obtained from a limited number of patients in uncontrolled trials;
|
·
|
inability or unwillingness of medical investigators to follow our clinical protocols; and
|
·
|
unavailability of clinical trial supplies. |
·
|
Government-imposed bans or restrictions on the use of embryos or hES cells in research and development in the U.S. and abroad could generally constrain stem cell research, thereby limiting the market and demand for our products. During March 2009, President Obama lifted certain restrictions on federal funding of research involving the use of hES cells, and in accordance with President Obama’s Executive Order, the NIH has adopted new guidelines for determining the eligibility of hES cell lines for use in federally funded research. The central focus of the proposed guidelines is to assure that hES cells used in federally funded research were derived from human embryos that were created for reproductive purposes, were no longer needed for this purpose, and were voluntarily donated for research purposes with the informed written consent of the donors. The hES cells that were derived from embryos created for research purposes rather than reproductive purposes, and other hES cells that were not derived in compliance with the guidelines, are not eligible for use in federally funded research.
|
·
|
California law requires that stem cell research be conducted under the oversight of a stem cell research oversight committee (“SCRO”). Many kinds of stem cell research, including the derivation of new hES cell lines, may only be conducted in California with the prior written approval of the SCRO. A SCRO could prohibit or impose restrictions on the research that we plan to do.
|
·
|
The use of hES cells gives rise to religious, moral, and ethical issues regarding the appropriate means of obtaining the cells and the appropriate use and disposal of the cells. These considerations could lead to more restrictive government regulations or could generally constrain stem cell research, thereby limiting the market and demand for our products.
|
·
|
Our success will depend in part on our ability to obtain and enforce patents and maintain trade secrets in the United States and in other countries. If we are unsuccessful at obtaining and enforcing patents, our competitors could use our technology and create products that compete with our products, without paying license fees or royalties to us.
|
·
|
The preparation, filing, and prosecution of patent applications can be costly and time consuming. Our limited financial resources may not permit us to pursue patent protection of all of our technology and products throughout the world.
|
·
|
Even if we are able to obtain issued patents covering our technology or products, we may have to incur substantial legal fees and other expenses to enforce our patent rights in order to protect our technology and products from infringing uses. We may not have the financial resources to finance the litigation required to preserve our patent and trade secret rights.
|
·
|
We have filed patent applications for technology that we have developed, and we have obtained licenses for a number of patent applications covering technology developed by others, that we believe will be useful in producing new products, and which we believe may be of commercial interest to other companies that may be willing to sublicense the technology for fees or royalty payments. In the future, we may also file additional new patent applications seeking patent protection for new technology or products that we develop ourselves or jointly with others. However, there is no assurance that any of our licensed patent applications, or any patent applications that we have filed or that we may file in the future covering our own technology, either in the United States or abroad, will result in the issuance of patents.
|
·
|
In Europe, the European Patent Convention prohibits the granting of European patents for inventions that concern “uses of human embryos for industrial or commercial purposes.” The European Patent Office is presently interpreting this prohibition broadly, and is applying it to reject patent claims that pertain to human embryonic stem cells. However, this broad interpretation is being challenged through the European Patent Office appeals system. As a result, we do not yet know whether or to what extent we will be able to obtain patent protection for our human embryonic stem cell technologies in Europe.
|
·
|
The recent Supreme Court decision in
Mayo
Collaborative
Services
v.
Prometheus
Laboratories,
Inc.
, will need to be considered in determining whether certain diagnostic methods can be patented, since the Court denied patent protection for the use of a mathematical correlation of the presence of a well-known naturally occurring metabolite as a means of determining proper drug dosage. Our subsidiary OncoCyte is developing
PanC-D
x
™ as a cancer diagnostic test, based on the presence of certain genetic markers for a variety of cancers. Because
PanC-D
x
™ combines an innovative methodology with newly discovered compositions of matter, we are hopeful that this Supreme Court decision will not preclude the availability of patent protection for OncoCyte’s new product. However, like other developers of diagnostic products, we are evaluating this new Supreme Court decision and new guidelines issued by the United States Patent and Trademark Office (the “PTO”) for the patenting of products that test for biological substances.
|
·
|
The preparation and filing of patent applications, and the maintenance of patents that are issued, may require substantial time and money.
|
·
|
A patent interference proceeding may be instituted with the PTO for patents or applications filed before March 16, 2013 when more than one person files a patent application covering the same technology, or if someone wishes to challenge the validity of an issued patent. At the completion of the interference proceeding, the PTO may determine which competing applicant is entitled to the patent, or whether an issued patent is valid. Patent interference proceedings are complex, highly contested legal proceedings, and the PTO’s decision is subject to appeal. This means that if an interference proceeding arises with respect to any of our patent applications, we may experience significant expenses and delay in obtaining a patent, and if the outcome of the proceeding is unfavorable to us, the patent could be issued to a competitor rather than to us.
|
·
|
After March 16, 2013 a derivation proceeding may be instituted by the PTO or an inventor alleging that a patent or application was derived from the work of another inventor.
|
·
|
Post Grant Review under the new America Invents Act will make available after March 16, 2013 opposition-like proceedings in the United States. As with the PTO interference proceedings, Post Grant Review proceedings will be very expensive to contest and can result in significant delays in obtaining patent protection or can result in a denial of a patent application.
|
·
|
Oppositions to the issuance of patents may be filed under European patent law and the patent laws of certain other countries. As with the PTO interference proceedings, these foreign proceedings can be very expensive to contest and can result in significant delays in obtaining a patent or can result in a denial of a patent application
|
·
|
We might not be able to obtain any additional patents, and any patents that we do obtain might not be comprehensive enough to provide us with meaningful patent protection.
|
·
|
There will always be a risk that our competitors might be able to successfully challenge the validity or enforceability of any patent issued to us.
|
·
|
In addition to interference proceedings, the PTO can re-examine issued patents at the request of a third party seeking to have the patent invalidated. This means that patents owned or licensed by us may be subject to re-examination and may be lost if the outcome of the re-examination is unfavorable to us. As of September 16, 2012 our patents may be subject to inter partes review (replacing the inter partes reexamination proceeding), a proceeding in which a third party can challenge the validity of one of our patents.
|
·
|
The market price of our shares, like that of the shares of many biotechnology companies, has been highly volatile.
|
·
|
The price of our shares may rise rapidly in response to certain events, such as the commencement of clinical trials of an experimental new product, even though the outcome of those trials and the likelihood of ultimate FDA approval remain uncertain.
|
·
|
Similarly, prices of our shares may fall rapidly in response to certain events such as unfavorable results of clinical trials or a delay or failure to obtain FDA approval.
|
·
|
The failure of our earnings to meet analysts’ expectations could result in a significant rapid decline in the market price of our common shares.
|
Item 2. | Unregistered Sales of Equity Securities and Use of Proceeds. |
Item 3. | Default Upon Senior Securities. |
Item 4. | Mine Safety Disclosures |
Item 5. | Other Information. |
Item 6. | Exhibits |
Exhibit
|
|
Numbers
|
Description
|
|
|
2.1
|
Asset Contribution Agreement, dated January 4, 2013, by and among BioTime, Inc., BioTime Acquisition Corporation, and Geron Corporation. (1)
|
|
|
3.1
|
Articles of Incorporation with all amendments. (2)
|
|
|
3.2
|
By-Laws, As Amended. (3)
|
|
|
4.1
|
Warrant Agreement between BioTime, Inc. and Romulus Films, Ltd. (4)
|
|
|
4.2
|
Form of Warrant. (included in Exhibit 4.1) (4)
|
|
|
4.3
|
Form of Warrant Issued June 2013. (5)
|
|
|
4.4
|
Warrant Agreement, dated as of October 1, 2013, between BioTime, Inc. and American Stock Transfer & Trust Company, LLC as Warrant Agent for the benefit of Asterias Biotherapeutics, Inc. (6)
|
|
|
4.5
|
Warrant Issued October 1, 2013 to Asterias Biotherapeutics, Inc. (included in Exhibit 4.4) (6)
|
|
|
10.1
|
Royalty Agreement, dated October 1, 2013, between Asterias Biotherapeutics, Inc. and Geron Corporation. *
|
|
|
10.2
|
Exclusive Sublicense Agreement, dated October 1, 2013, between Geron Corporation and Asterias Biotherapeutics, Inc.*
|
|
|
10.3
|
Exclusive License Agreement, dated February 20, 2003, and First Amendment thereto dated September 7, 2004, between The Regents of the University of California and Geron Corporation*
|
|
|
10.4
|
Non-Exclusive License Agreement, dated as of October 7, 2013, between the Wisconsin Alumni Research Foundation and Asterias Biotherapeutics, Inc. (Portions of this exhibit have been omitted pursuant to a request for confidential treatment) *
|
|
|
10.5
|
Employment Agreement, dated August 15, 2013, between BioTime, Inc. and Lesley Stoltz*
|
|
|
10.6
|
Equity Incentive Plan*
|
|
|
10.7
|
Form of Employee Incentive Stock Option Agreement*
|
|
|
10.8
|
Form of Non-employee Director Stock Option Agreement*
|
|
|
31
|
Rule 13a-14(a)/15d-14(a) Certification.*
|
32
|
Section 1350 Certification.*
|
|
|
101
|
Interactive Data File
|
|
|
101.INS
|
XBRL Instance Document *
|
|
|
101.SCH
|
XBRL Taxonomy Extension Schema *
|
|
|
101.CAL
|
XBRL Taxonomy Extension Calculation Linkbase *
|
|
|
101.LAB
|
XBRL Taxonomy Extension Label Linkbase *
|
|
|
101.PRE
|
XBRL Taxonomy Extension Presentation Linkbase *
|
|
|
101.DEF
|
XBRL Taxonomy Extension Definition Document *
|
(1)
|
Incorporated by reference to BioTime’s Form 8-K filed with the Securities and Exchange Commission on January 8, 2013.
|
(2)
|
Incorporated by reference to BioTime’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2013.
|
(3)
|
Incorporated by reference to Registration Statement on Form S-1, File Number 33-48717 and Post-Effective Amendment No. 1 thereto filed with the Securities and Exchange Commission on June 22, 1992, and August 27, 1992, respectively.
|
(4)
|
Incorporated by reference to BioTime’s Form 10-K for the year ended December 31, 2012
|
(5)
|
Incorporated by reference to BioTime’s Current Report on Form 8-K filed with the Securities and Exchange Commission on June 3, 2013.
|
(6)
|
Incorporated by reference to BioTime’s Current Report on Form 8-K filed with the Securities and Exchange Commission on October 1, 2013.
|
*
|
Filed herewith.
|
|
BIOTIME, INC. |
|
|
Date: November 12, 2013
|
/s/ Michael D. West
|
|
Michael D. West, Chief Executive Officer
|
|
|
Date: November 12, 2013
|
/s/ Robert W. Peabody
|
|
Robert W. Peabody, Chief Financial Officer
|
Rule 13a-14(a)/15d-14(a) Certification.*
|
Section 1350 Certification.*
|
|
|
|
101
|
Interactive Data File
|
|
|
101.INS
|
XBRL Instance Document *
|
|
|
101.SCH
|
XBRL Taxonomy Extension Schema *
|
|
|
101.CAL
|
XBRL Taxonomy Extension Calculation Linkbase *
|
|
|
101.LAB
|
XBRL Taxonomy Extension Label Linkbase *
|
|
|
101.PRE
|
XBRL Taxonomy Extension Presentation Linkbase *
|
|
|
101.DEF
|
XBRL Taxonomy Extension Definition Document *
|
(1)
|
Incorporated by reference to BioTime’s Form 8-K filed with the Securities and Exchange Commission on January 8, 2013.
|
(2)
|
Incorporated by reference to BioTime’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2013.
|
(3)
|
Incorporated by reference to Registration Statement on Form S-1, File Number 33-48717 and Post-Effective Amendment No. 1 thereto filed with the Securities and Exchange Commission on June 22, 1992, and August 27, 1992, respectively.
|
(4)
|
Incorporated by reference to BioTime’s Form 10-K for the year ended December 31, 2012
|
(5)
|
Incorporated by reference to BioTime’s Current Report on Form 8-K filed with the Securities and Exchange Commission on June 3, 2013.
|
(6)
|
Incorporated by reference to BioTime’s Current Report on Form 8-K filed with the Securities and Exchange Commission on October 1, 2013.
|
*
|
Filed herewith.
|
ASTERIAS BIOTHERAPEUTICS, INC.
|
||
|
|
|
By:
|
s/Thomas Okarma
|
|
|
Thomas Okarma, Chief Executive Officer
|
|
|
|
|
GERON CORPORATION
|
|
|
|
|
|
By:
|
s/John Scarlett
|
|
|
John Scarlett, Chief Executive Officer
|
|
|
TITLE
|
COUNTRY
|
APPLICATION NUMBER
|
FILING DATE
|
PATENT NUMBER
|
ISSUE DATE
|
STATUS
|
ADDL. ASSIGNEE / JOINT OWNER
|
061/005
|
Methods and Materials for the Growth of Primate-Derived Primordial Stem Cells in Feeder-Free Culture
|
US
|
09/530,346
|
24-Apr-00
|
6,800,480
|
5-Oct-04
|
Issued
|
|
061/006D
|
Feeder-Free Culture Method for Embryonic Stem Cells
|
US
|
10/330,873
|
24-Dec-02
|
7,413,902
|
19-Aug-08
|
Issued
|
|
061/235AU
|
Methods and Materials for the Growth of Primate-Derived Primordial Stem Cells in Feeder-Free Culture
|
AU
|
12771/99
|
23-Oct-98
|
729377
|
17-May-01
|
Issued
|
|
061/236CA
|
Methods and Materials for the Growth of Primate-Derived Primordial Stem Cells in Feeder-Free Culture
|
CA
|
2307807
|
23-Oct-98
|
2,307,807
|
2-Sep-08
|
Issued
|
|
061/237EP
|
Methods and Materials for the Growth of Primate-Derived Primordial Stem Cells in Feeder-Free Culture
|
EP
|
98956192.3
|
23-Oct-98
|
|
|
Pending
|
|
061/238JP
|
Methods and Materials for the Growth of Primate-Derived Primordial Stem Cells in Feeder-Free Culture
|
JP
|
2000-517062
|
23-Oct-98
|
3880795
|
17-Nov-06
|
Issued
|
|
061/239JP D
|
Methods and Materials for the Growth of Primate-Derived Primordial Stem Cells in Feeder-Free Culture
|
JP
|
2000-185486
|
23-Oct-98
|
3880778
|
17-Nov-06
|
Issued
|
|
061/241HK
|
Methods and Materials for the Growth of Primate-Derived Primordial Stem Cells
|
HK
|
01100775
|
23-Oct-98
|
|
|
Pending
|
|
081/002C
|
Dendritic Cell Vaccine Containing Telomerase Reverse Transcriptase for the Treatment of Cancer
|
US
|
09/675,321
|
29-Sep-00
|
6,440,735
|
27-Aug-02
|
Issued
|
|
081/003P
|
Method for Identifying and Killing Cancer Cells
|
US
|
10/208,243
|
30-Jul-02
|
7,402,307
|
22-Jul-08
|
Issued
|
|
081/004D
|
Cellular Telomerase Vaccine and Its Use for Treating Cancer
|
US
|
11/413,838
|
27-Apr-06
|
7,824,849
|
2-Nov-10
|
Issued
|
|
081/202CA
|
Dendritic Cell Vaccine Containing Telomerase Reverse Transcriptase for the Treatment of Cancer
|
CA
|
2347067
|
30-Mar-99
|
|
|
Pending
|
|
081/206CH
|
Methods and Compositions for Eliciting an Immune Response to a Telomerase Antigen
|
CH
|
999161938
|
30-Mar-99
|
1068296
|
10-Aug-11
|
Issued
|
|
081/207DE
|
Methods and Compositions for Eliciting an Immune Response to a Telomerase Antigen
|
DE
|
999161938
|
30-Mar-99
|
1068296
|
10-Aug-11
|
Issued
|
|
081/208FR
|
Methods and Compositions for Eliciting an Immune Response to a Telomerase Antigen
|
FR
|
999161938
|
30-Mar-99
|
1068296
|
10-Aug-11
|
Issued
|
|
081/209GB
|
Methods and Compositions for Eliciting an Immune Response to a Telomerase Antigen
|
GB
|
999161938
|
30-Mar-99
|
1068296
|
10-Aug-11
|
Issued
|
|
081/210IT
|
Methods and Compositions for Eliciting an Immune Response to a Telomerase Antigen
|
IT
|
999161938
|
30-Mar-99
|
1068296
|
10-Aug-11
|
Issued
|
|
090/004D
|
Use of TGF Beta Superfamily Antagonists to Make Dopaminergic Neurons from Embryonic Stem Cells
|
US
|
11/010,230
|
10-Dec-04
|
7,560,281
|
14-Jul-09
|
Issued
|
|
090/005C
|
Neural Cell Populations from Primate Pluripotent Stem Cells
|
US
|
12/477,726
|
3-Jun-09
|
8,252,586
|
28-Aug-12
|
Issued
|
|
090/006C
|
Use of TGF Beta Superfamily Antagonists and Neurotrophins to Make Neurons from Embryonic Stem Cells
|
US
|
12/500,998
|
10-Jul-09
|
8,153,428
|
10-Apr-12
|
Issued
|
|
090/007C
|
Neural Cell Populations from Primate Pluripotent Stem Cells
|
US
|
13/561,296
|
30-Jul-12
|
|
|
Pending
|
|
091/004
|
cDNA Libraries Reflecting Gene Expression During Growth and Differentiation of Human Pluripotent Stem Cells
|
US
|
09/688,031
|
10-Oct-00
|
6,667,176
|
23-Dec-03
|
Issued
|
|
091/009C
|
Use of Human Embryonic Stem Cells for Drug Screening and Toxicity Testing
|
US
|
10/039,956
|
23-Oct-01
|
7,041,438
|
9-May-06
|
Issued
|
|
091/011P
|
Embryonic Stem Cells Having Genetic Modifications
|
US
|
10/948,956
|
24-Sep-04
|
7,413,904
|
19-Aug-08
|
Issued
|
|
091/030P
|
Culture System for Rapid Expansion of Human Embryonic Stem Cells
|
US
|
10/235,094
|
4-Sep-02
|
7,410,798
|
12-Aug-08
|
Issued
|
|
091/031D
|
Medium for Growing Human Embryonic Stem Cells
|
US
|
10/873,922
|
21-Jun-04
|
7,297,539
|
20-Nov-07
|
Issued
|
|
091/033P
|
Medium for Growing Human Embryonic Stem Cells
|
US
|
10/949,181
|
24-Sep-04
|
7,455,983
|
25-Nov-08
|
Issued
|
|
091/037C
|
Culture System for Rapid Expansion of Human Embryonic Stem Cells
|
US
|
12/170,219
|
9-Jul-08
|
|
|
Pending
|
|
091/207CA
|
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells
|
CA
|
2388811
|
10-Jan-01
|
2,388,811
|
6-Oct-09
|
Issued
|
|
091/209EP
|
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells
|
EP
|
01900997.6
|
10-Jan-01
|
|
|
Pending
|
|
091/211HK
|
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells
|
HK
|
03107166
|
10-Jan-01
|
|
|
Pending
|
|
091/212IL D
|
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells
|
IL
|
177324
|
10-Jan-01
|
177324
|
30-Mar-12
|
Issued
|
|
091/217IN D2
|
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells
|
IN
|
4588/CHENP/2006
|
10-Jan-01
|
238318
|
28-Jan-10
|
Issued
|
|
091/218CN D
|
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells
|
CN
|
200910129670.2
|
10-Jan-01
|
|
|
Pending
|
|
091/219EP D
|
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells
|
EP
|
10175090.9
|
10-Jan-01
|
|
|
Pending
|
|
091/220HK
|
Techniques for Growth and Differentiation of Human Pluripotent Stem Cells
|
HK
|
11106881.6
|
10-Jan-01
|
|
|
Pending
|
|
091/301AU
|
Culture System for Rapid Expansion of Human Embryonic Stem Cells
|
AU
|
2002323593
|
5-Sep-02
|
2002323593
|
11-Oct-07
|
Issued
|
|
091/303UK
|
Culture System for Rapid Expansion of Human Embryonic Stem Cells
|
GB
|
0404910.2
|
5-Sep-02
|
2394723
|
20-Jul-05
|
Issued
|
|
091/304EP
|
Culture System for Rapid Expansion of Human Embryonic Stem Cells
|
EP
|
02757586.9
|
5-Sep-02
|
|
|
Pending
|
|
091/305IL
|
Culture System for Rapid Expansion of Human Embryonic Stem Cells
|
IL
|
160403
|
5-Sep-02
|
160403
|
17-Sep-10
|
Issued
|
|
091/306JP
|
Culture System for Rapid Expansion of Human Embryonic Stem Cells
|
JP
|
2003-525623
|
5-Sep-02
|
|
|
Pending
|
|
091/307SG
|
Culture System for Rapid Expansion of Human Embryonic Stem Cells
|
SG
|
200400924-7
|
5-Sep-02
|
102946
|
31-May-06
|
Issued
|
|
091/314EP D
|
Culture System for Rapid Expansion of Human Embryonic Stem Cells
|
EP
|
10174954.7
|
5-Sep-02
|
|
|
Pending
|
|
091/315IL D
|
Culture System for Rapid Expansion of Human Embryonic Stem Cells
|
IL
|
204178
|
5-Sep-02
|
|
|
Pending
|
|
091/316JP D
|
Culture System for Rapid Expansion of Human Embryonic Stem Cells
|
JP
|
2009-271501
|
5-Sep-02
|
|
|
Pending
|
|
091/317HK
|
Culture System for Rapid Expansion of Human Embryonic Stem Cells
|
HK
|
11106437.5
|
5-Sep-02
|
|
|
Pending
|
|
091/402EP
|
Medium for Growing Human Embryonic Stem Cells
|
EP
|
05775294.1
|
13-Jul-05
|
|
|
Pending
|
|
091/403AU
|
Medium for Growing Human Embryonic Stem Cells
|
AU
|
2005271723
|
13-Jul-05
|
2005271723
|
31-Mar-11
|
Issued
|
|
091/404UK
|
Medium for Growing Human Embryonic Stem Cells
|
GB
|
0702793.1
|
13-Jul-05
|
2431165
|
1-Apr-09
|
Issued
|
|
091/405IL
|
Medium for Growing Human Embryonic Stem Cells
|
IL
|
180447
|
13-Jul-05
|
180447
|
1-Feb-12
|
Issued
|
|
091/406SG
|
Medium for Growing Human Embryonic Stem Cells
|
SG
|
200700160-5
|
13-Jul-05
|
128950
|
30-Jun-09
|
Issued
|
|
091/407HK
|
Medium for Growing Human Embryonic Stem Cells
|
HK
|
07110996.6
|
13-Jul-05
|
1103106
|
17-Jul-09
|
Issued
|
|
091/408EP D
|
Medium for Growing Human Embryonic Stem Cells
|
EP
|
10180759.2
|
13-Jul-05
|
|
|
Pending
|
|
091/501AU
|
Suspension Culture of Human Embryonic Stem Cells
|
AU
|
2006262369
|
20-Jun-06
|
2006262369
|
18-Oct-12
|
Issued
|
|
091/502CA
|
Suspension Culture of Human Embryonic Stem Cells
|
CA
|
2613369
|
20-Jun-06
|
|
|
Pending
|
|
091/503EP
|
Suspension Culture of Human Embryonic Stem Cells
|
EP
|
06785185.7
|
20-Jun-06
|
|
|
Pending
|
|
091/504GB
|
Suspension Culture of Human Embryonic Stem Cells
|
GB
|
0800365.9
|
20-Jun-06
|
2441488
|
29-Sep-10
|
Issued
|
|
091/505IL
|
Suspension Culture of Human Embryonic Stem Cells
|
IL
|
188264
|
20-Jun-06
|
188264
|
30-Mar-12
|
Issued
|
|
091/506IN
|
Suspension Culture of Human Embryonic Stem Cells
|
IN
|
81/CHENP/2008
|
20-Jun-06
|
|
|
Pending
|
|
091/507JP
|
Suspension Culture of Human Embryonic Stem Cells
|
JP
|
2008-518312
|
20-Jun-06
|
|
|
Pending
|
|
091/508KR
|
Suspension Culture of Human Embryonic Stem Cells
|
KR
|
10-2008-7001755
|
20-Jun-06
|
|
|
Pending
|
|
091/509SG
|
Suspension Culture of Human Embryonic Stem Cells
|
SG
|
200718866-7
|
20-Jun-06
|
138384
|
30-Nov-10
|
Issued
|
|
091/510CN
|
Suspension Culture of Human Embryonic Stem Cells
|
CN
|
200680027460.7
|
20-Jun-06
|
|
|
Pending
|
|
091/511HK
|
Suspension Culture of Human Embryonic Stem Cells
|
HK
|
08102719.8
|
20-Jun-06
|
1122836
|
26-Nov-10
|
Issued
|
|
091/512AU D
|
Suspension Culture of Human Embryonic Stem Cells
|
AU
|
2012203350
|
20-Jun-06
|
|
|
Pending
|
|
092/002
|
Conditioned Media for Propagating Human Pluripotent Stem Cells
|
US
|
09/900,752
|
6-Jul-01
|
6,642,048
|
4-Nov-03
|
Issued
|
|
093/002
|
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells
|
US
|
09/718,308
|
20-Nov-00
|
6,458,589
|
1-Oct-02
|
Issued
|
|
093/206IN
|
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells
|
IN
|
IN/PCT/2002/01764/CHE
|
26-Apr-01
|
208929
|
16-Aug-07
|
Issued
|
|
093/207IL
|
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells
|
IL
|
152481
|
26-Apr-01
|
152481
|
1-Mar-11
|
Issued
|
|
093/208JP
|
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells
|
JP
|
2001-578620
|
26-Apr-01
|
|
|
Pending
|
|
093/209SG
|
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells
|
SG
|
200206520-9
|
26-Apr-01
|
92,561
|
31-Mar-05
|
Issued
|
|
093/210GB
|
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells
|
GB
|
0227573.3
|
26-Apr-01
|
2,380,490
|
29-Dec-04
|
Issued
|
|
093/211AU D
|
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells
|
AU
|
2004205306
|
26-Apr-01
|
2004205306
|
14-Apr-05
|
Issued
|
|
093/211HK
|
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells
|
HK
|
03108081
|
26-Apr-01
|
|
|
Pending
|
|
093/213CN D
|
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells
|
CN
|
201010528128.7
|
26-Apr-01
|
|
|
Pending
|
|
093/214EP D
|
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells
|
EP
|
010175113.9
|
26-Apr-01
|
|
|
Pending
|
|
093/215KR D
|
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells
|
KR
|
2007-7003241
|
26-Apr-01
|
10-0868473
|
6-Nov-08
|
Issued
|
|
093/216IN D
|
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells
|
IN
|
437/CHENP/2007
|
26-Apr-01
|
238673
|
17-Feb-10
|
Issued
|
|
093/218JP D
|
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells
|
JP
|
2012-139735
|
26-Apr-01
|
|
|
Pending
|
|
093/221AU D
|
Hepatocyte Lineage Cells Derived from Pluripotent Stem Cells
|
AU
|
2004205307
|
26-Apr-01
|
2004205307
|
7-Apr-05
|
Issued
|
|
093/401EP
|
Differentiation of Primate Pluripotent Cells to Hepatocyte-Lineage Cells
|
EP
|
07795625.8
|
1-Jun-07
|
|
|
Pending
|
Univ. Edinburgh (CONSENT REQUIRED)
|
093/402UK
|
Differentiation of Primate Pluripotent Cells to Hepatocyte-Lineage Cells
|
GB
|
0823060.9
|
1-Jun-07
|
2453074
|
22-Jun-11
|
Issued
|
Univ. Edinburgh (CONSENT REQUIRED)
|
094/004D
|
Making Neural Cells for Human Therapy or Drug Screening from Human Embryonic Stem Cells
|
US
|
09/872,183
|
31-May-01
|
6,833,269
|
21-Dec-04
|
Issued
|
|
094/005C
|
Neural Progenitor Cell Populations
|
US
|
11/281,040
|
16-Nov-05
|
8,148,148
|
3-Apr-12
|
Issued
|
|
094/006C
|
Neural Progenitor Cell Populations
|
US
|
12/332,783
|
11-Dec-08
|
8,252,585
|
28-Aug-12
|
Issued
|
|
094/007C
|
Neural Progenitor Cell Populations
|
US
|
13/558,078
|
25-Jul-12
|
|
|
Pending
|
|
094/011P
|
Screening Small Molecule Drugs Using Neural Cells Differentiated from Human Embryonic Stem Cells
|
US
|
10/157,288
|
28-May-02
|
7,250,294
|
31-Jul-07
|
Issued
|
|
094/013D
|
Use of Cyclic AMP and Ascorbic Acid to Produce Dopaminergic Neurons from Embryonic Stem Cells
|
US
|
11/009,504
|
10-Dec-04
|
7,763,463
|
27-Jul-10
|
Issued
|
|
094/201IN
|
A Medical Composition Comprising Neural Cells
|
IN
|
397/MAS/2001
|
16-May-01
|
231156
|
3-Mar-09
|
Issued
|
|
094/202AU
|
Neural Progenitor Cell Populations
|
AU
|
2001263199
|
16-May-01
|
2001263199
|
16-Sep-04
|
Issued
|
|
094/203CA
|
Neural Progenitor Cell Populations
|
CA
|
2409698
|
16-May-01
|
2,409,698
|
26-Oct-10
|
Issued
|
|
094/204CN
|
Neural Progenitor Cell Populations
|
CN
|
01809662.X
|
16-May-01
|
100580079
|
13-Jan-10
|
Issued
|
|
094/205EP
|
Neural Progenitor Cell Populations
|
EP
|
01937463.6
|
16-May-01
|
|
|
Pending
|
|
094/206IL
|
Neural Progenitor Cell Populations
|
IL
|
152741
|
16-May-01
|
152741
|
1-May-11
|
Issued
|
|
094/207JP
|
Neural Progenitor Cell Populations
|
JP
|
2001-585312
|
16-May-01
|
|
|
Pending
|
|
094/208KR
|
Neural Progenitor Cell Populations
|
KR
|
2002-7015192
|
16-May-01
|
903755
|
12-Jun-09
|
Issued
|
|
094/209SG
|
Neural Progenitor Cell Populations
|
SG
|
200206677-7
|
16-May-01
|
92,904
|
30-Dec-04
|
Issued
|
|
094/210GB
|
Neural Progenitor Cell Populations
|
GB
|
0229369.4
|
16-May-01
|
2,379,447
|
29-Dec-04
|
Issued
|
|
094/211HK
|
Neural Progenitor Cell Populations
|
HK
|
03108154.2
|
16-May-01
|
1055765
|
30-Sep-10
|
Issued
|
|
094/212JP D
|
Neural Progenitor Cell Populations
|
JP
|
2012-260896
|
16-May-01
|
|
|
Pending
|
|
094/221AU D
|
Neural Progenitor Cell Populations
|
AU
|
2004214542
|
16-May-01
|
2004214542
|
16-Aug-07
|
Issued
|
|
094/301AU
|
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease
|
AU
|
2002322270
|
20-Jun-02
|
2002322270
|
1-Oct-09
|
Issued
|
|
094/303CN
|
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease
|
CN
|
02815144.5
|
20-Jun-02
|
100384986
|
30-Apr-08
|
Issued
|
|
094/304EP
|
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease
|
EP
|
02756248.7
|
20-Jun-02
|
|
|
Pending
|
|
094/305GB
|
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease
|
GB
|
0400167.3
|
20-Jun-02
|
2,393,733
|
14-Sep-05
|
Issued
|
|
094/306IN
|
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease
|
IN
|
2018/CHENP/2003
|
20-Jun-02
|
224902
|
24-Oct-08
|
Issued
|
|
094/307IL
|
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease
|
IL
|
159324
|
20-Jun-02
|
159324
|
31-Jul-12
|
Issued
|
|
094/308JP
|
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease
|
JP
|
2003-507255
|
20-Jun-02
|
4526265
|
11-Jun-10
|
Issued
|
|
094/309KR
|
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease
|
KR
|
2003-7016718
|
20-Jun-02
|
|
|
Pending
|
|
094/310SG
|
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease
|
SG
|
200307601-5
|
20-Jun-02
|
101,708
|
30-Dec-05
|
Issued
|
|
094/311HK
|
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease
|
HK
|
05107808.2
|
20-Jun-02
|
1075673
|
6-Feb-09
|
Issued
|
|
094/312CN D
|
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease
|
CN
|
200610101371.4
|
20-Jun-02
|
101029302
|
30-Mar-11
|
Issued
|
|
094/316IN D
|
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease
|
IN
|
5529/CHENP/2007
|
20-Jun-02
|
247544
|
18-Apr-11
|
Issued
|
|
094/318JP D
|
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease
|
JP
|
2010-009966
|
20-Jun-02
|
|
10-Dec-12
|
Issued
|
|
094/319JP D2
|
Dopaminergic Neurons and Proliferation-Competent Precursor Cells for Treating Parkinson's Disease
|
JP
|
2012-246396
|
20-Jun-02
|
|
|
Pending
|
|
096/003
|
Differentiated Cells Suitable For Human Therapy
|
US
|
09/783,203
|
13-Feb-01
|
6,576,464
|
10-Jun-03
|
Issued
|
|
096/004
|
Selective Antibody Targeting of Undifferentiated Stem Cells
|
US
|
09/995,419
|
26-Nov-01
|
6,921,665
|
26-Jul-05
|
Issued
|
Univ. Edinburgh (CONSENT REQUIRED)
|
096/007C
|
Differentiated Cells Suitable For Human Therapy
|
US
|
11/359,341
|
21-Feb-06
|
|
|
Pending
|
|
096/201AU
|
Differentiated Stem Cells Suitable for Human Therapy
|
AU
|
2002237681
|
26-Nov-01
|
2002237681
|
22-Mar-07
|
Issued
|
|
096/202CA
|
Differentiated Stem Cells Suitable for Human Therapy
|
CA
|
2434760
|
26-Nov-01
|
|
|
Pending
|
|
096/204EP
|
Differentiated Stem Cells Suitable for Human Therapy
|
EP
|
01986488.3
|
26-Nov-01
|
|
|
Pending
|
|
096/205GB
|
Differentiated Stem Cells Suitable for Human Therapy
|
GB
|
0313389.9
|
26-Nov-01
|
2,386,120
|
9-Mar-05
|
Issued
|
|
096/207IL
|
Differentiated Cells Suitable for Human Therapy
|
IL
|
155695
|
26-Nov-01
|
155695
|
1-Feb-08
|
Issued
|
|
096/208IN
|
Differentiated Stem Cells Suitable for Human Therapy
|
IN
|
00782/CHENP/2003
|
26-Nov-01
|
229151
|
13-Feb-09
|
Issued
|
|
096/211SG
|
Differentiated Stem Cells Suitable for Human Therapy
|
SG
|
200302425-4
|
26-Nov-01
|
96,763
|
31-Jul-06
|
Issued
|
|
096/213CN D
|
Differentiated Stem Cells Suitable for Human Therapy
|
CN
|
200910224980.2
|
26-Nov-01
|
|
|
Pending
|
|
096/218IN D
|
A Modified Population of Cells Differentiated from Primate Pluripotent Stem (pPS) Cells
|
IN
|
1873/CHENP/2003
|
26-Nov-01
|
|
|
Pending
|
|
096/300GB
|
Selective Antibody Targeting of Undifferentiated Stem Cells
|
GB
|
0128409
|
27-Nov-01
|
2,374,076
|
25-Feb-04
|
Issued
|
Univ. Edinburgh (CONSENT REQUIRED)
|
097/201AU
|
Tolerizing Allografts of Pluripotent Stem Cells
|
AU
|
2002239294
|
21-Nov-01
|
2002239294
|
28-Aug-06
|
Issued
|
|
097/205GB
|
Tolerizing Allografts of Pluripotent Stem Cells
|
GB
|
0313387.3
|
21-Nov-01
|
2,386,125
|
23-Feb-05
|
Issued
|
|
097/211SG
|
Tolerizing Allografts of Pluripotent Stem Cells
|
SG
|
200302419-7
|
21-Nov-01
|
96,450
|
31-Jul-07
|
Issued
|
|
098/201AU
|
Mesenchymal Cells and Osteoblasts from Human Embryonic Stem Cells
|
AU
|
2002322379
|
3-Jul-02
|
2002322379
|
15-Feb-07
|
Issued
|
|
098/202CA
|
Mesenchymal Cells and Osteoblasts from Human Embryonic Stem Cells
|
CA
|
2453068
|
3-Jul-02
|
|
|
Pending
|
|
098/204EP
|
Mesenchymal Cells and Osteoblasts from Human Embryonic Stem Cells
|
EP
|
02756367.5
|
3-Jul-02
|
|
|
Pending
|
|
098/205GB
|
Osteoblasts Derived from Human Embryonic Stem Cells
|
GB
|
0400481.8
|
3-Jul-02
|
2,392,674
|
10-Aug-05
|
Issued
|
|
098/206IL
|
Mesenchymal Cells and Osteoblasts from Human Embryonic Stem Cells
|
IL
|
159578
|
3-Jul-02
|
159578
|
1-Mar-11
|
Issued
|
|
098/209SG
|
Mesenchymal Cells and Osteoblasts from Human Embryonic Stem Cells
|
SG
|
200400102
|
3-Jul-02
|
102,198
|
29-Sep-06
|
Issued
|
|
098/213CN D
|
Mesenchymal Cells and Osteoblasts from Human Embryonic Stem Cells
|
CN
|
200910152133.X
|
10-Jul-09
|
|
|
Pending
|
|
098/214HK D
|
Mesenchymal Cells and Osteoblasts from Human Embryonic Stem Cells
|
HK
|
10107815.6
|
3-Jul-02
|
|
|
Pending
|
|
098/217IN D
|
Mesenchymal Cells and Osteoblasts from Human Embryonic Stem Cells
|
IN
|
2634/CHENP/2005
|
3-Jul-02
|
236883
|
25-Nov-09
|
Issued
|
|
099/003
|
Cardiomyocyte Precursors from Human Embryonic Stem Cells
|
US
|
10/193,884
|
12-Jul-02
|
7,425,448
|
16-Sep-08
|
Issued
|
|
099/004P
|
Process for Making Transplantable Cardiomyocytes from Human Embryonic Stem Cells
|
US
|
10/805,099
|
19-Mar-04
|
7,732,199
|
8-Jun-10
|
Issued
|
|
099/006D
|
Differentiation Protocol for Making Human Cardiomyocytes
|
US
|
11/040,691
|
21-Jan-05
|
7,763,464
|
27-Jul-10
|
Issued
|
|
099/031
|
Direct Differentiation Method for Making Cardiomyocytes from Human Embryonic Stem Cells
|
US
|
11/086,709
|
21-Mar-05
|
7,452,718
|
18-Nov-08
|
Issued
|
|
099/032C
|
Direct Differentiation Method for Making Cardiomyocytes from Human Embryonic Stem Cells
|
US
|
12/210,779
|
15-Sep-08
|
7,897,389
|
1-Mar-11
|
Issued
|
|
099/033C
|
Differentiation Protocol for Making Human Cardiomyocytes
|
US
|
12/234,916
|
22-Sep-08
|
7,851,167
|
14-Dec-10
|
Issued
|
|
099/041
|
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells
|
US
|
11/471,916
|
20-Jun-06
|
|
|
Pending
|
|
099/201AU
|
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells
|
AU
|
2002313670
|
12-Jul-02
|
2002313670
|
30-Jul-09
|
Issued
|
|
099/202CA
|
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells
|
CA
|
2453438
|
12-Jul-02
|
|
|
Pending
|
|
099/203CN
|
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells
|
CN
|
02813927.5
|
12-Jul-02
|
|
|
Pending
|
|
099/204EP
|
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells
|
EP
|
02753376.9
|
12-Jul-02
|
|
|
Pending
|
|
099/205GB
|
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells
|
GB
|
0400570.8
|
12-Jul-02
|
2,393,734
|
27-Jul-05
|
Issued
|
|
099/206IL
|
Cells of the Cardiomyocyte Lineage Produced from Human Pluripotent Stem Cells
|
IL
|
159580
|
12-Jul-02
|
159,580
|
8-Nov-08
|
Issued
|
|
099/308JP
|
Method for Making High Purity Cardiomyocyte Preparations Suitable for Regenerative Medicine
|
JP
|
2007-504142
|
18-Mar-05
|
4971131
|
13-Apr-12
|
Issued
|
|
099/309SG
|
Method for Making High Purity Cardiomyocyte Preparations Suitable for Regenerative Medicine
|
SG
|
200606477-8
|
18-Mar-05
|
125692
|
31-Mar-09
|
Issued
|
|
099/401AU
|
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells
|
AU
|
2006262329
|
20-Jun-06
|
2006262329
|
7-Apr-11
|
Issued
|
|
099/402CA
|
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells
|
CA
|
2611809
|
20-Jun-06
|
|
|
Pending
|
|
099/403CN
|
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells
|
CN
|
200680022866.6
|
20-Jun-06
|
|
|
Pending
|
|
099/404EP
|
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells
|
EP
|
06785229.3
|
20-Jun-06
|
|
|
Pending
|
|
099/405GB
|
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells
|
GB
|
0800264.4
|
20-Jun-06
|
2441718
|
6-Oct-10
|
Issued
|
|
099/406IL
|
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells
|
IL
|
187611
|
20-Jun-06
|
|
|
Allowed
|
|
099/407IN
|
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells
|
IN
|
9175/DELNP/2007
|
20-Jun-06
|
|
|
Pending
|
|
099/408JP
|
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells
|
JP
|
2008-518339
|
20-Jun-06
|
|
|
Pending
|
|
099/409KR
|
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells
|
KR
|
10-2008-7001452
|
20-Jun-06
|
|
|
Pending
|
|
099/410SG
|
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells
|
SG
|
200718867-5
|
20-Jun-06
|
138693
|
30-Nov-10
|
Issued
|
|
099/411HK
|
Differentiation of Primate Pluripotent Stem Cells to Cardiomyocyte-Lineage Cells
|
HK
|
08103905
|
20-Jun-06
|
1109913
|
3-Dec-10
|
Issued
|
|
131/011P
|
Using Undifferentiated Embryonic Stem Cells to Control the Immune System
|
US
|
10/949,702
|
24-Sep-04
|
7,799,324
|
21-Sep-10
|
Issued
|
Univ. Western Ontario
|
131/201AU
|
Hematopoietic Cells from Human Embryonic Stem Cells
|
AU
|
2002366603
|
6-Dec-02
|
2002366603
|
15-Jan-09
|
Issued
|
Univ. Western Ontario
|
131/204EP
|
Hematopoietic Cells from Human Embryonic Stem Cells
|
EP
|
02804740.5
|
6-Dec-02
|
|
|
Pending
|
Univ. Western Ontario
|
131/205GB
|
Hematopoietic Cells from Human Embryonic Stem Cells
|
GB
|
0414957.1
|
6-Dec-02
|
2399572
|
7-Jun-06
|
Issued
|
Univ. Western Ontario
|
131/206IL
|
Hematopoietic Cells from Human Embryonic Stem Cells
|
IL
|
162130
|
6-Dec-02
|
162130
|
1-Sep-10
|
Issued
|
Univ. Western Ontario
|
131/208JP
|
Hematopoietic Cells from Human Embryonic Stem Cells
|
JP
|
2003-551273
|
6-Dec-02
|
|
|
Pending
|
Univ. Western Ontario
|
131/210SG
|
Hematopoietic Cells from Human Embryonic Stem Cells
|
SG
|
200403341-1
|
6-Dec-02
|
104768
|
31-Jul-06
|
Issued
|
Univ. Western Ontario
|
131/212AU D
|
Hematopoietic Cells from Human Embryonic Stem Cells
|
AU
|
2008243182
|
6-Dec-02
|
|
|
Pending
|
Univ. Western Ontario
|
131/213CN D
|
Hematopoietic Cells from Human Embryonic Stem Cells
|
CN
|
200910174800.4
|
6-Dec-02
|
|
|
Pending
|
Univ. Western Ontario
|
131/214EP D
|
Hematopoietic Cells from Human Embryonic Stem Cells
|
EP
|
10175120.4
|
6-Dec-02
|
|
|
Pending
|
Univ. Western Ontario
|
131/215GB D
|
Use of Undifferentiated Embryonic Stem Cells To Induce Immune Tolerance and Improve Allograft Acceptance
|
GB
|
0503865.8
|
6-Dec-02
|
2412379
|
29-Mar-06
|
Issued
|
Univ. Western Ontario
|
131/216IL D
|
Hematopoietic Cells from Human Embryonic Stem Cells
|
IL
|
200768
|
6-Dec-02
|
200768
|
1-Feb-12
|
Issued
|
Univ. Western Ontario
|
131/217KR D
|
Hematopoietic Cells from Human Embryonic Stem Cells
|
KR
|
2010-7024253
|
6-Dec-02
|
|
|
Pending
|
Univ. Western Ontario
|
131/218JP D
|
Hematopoietic Cells from Human Embryonic Stem Cells
|
JP
|
2009-265829
|
6-Dec-02
|
|
|
Pending
|
Univ. Western Ontario
|
131/219HK
|
Hematopoietic Cells from Human Embryonic Stem Cells
|
HK
|
11109490.3
|
6-Dec-02
|
|
|
Pending
|
Univ. Western Ontario
|
131/220AU D2
|
Hematopoietic Cells from Human Embryonic Stem Cells
|
AU
|
|
6-Dec-02
|
|
|
Pending
|
Univ. Western Ontario
|
132/002
|
Islet Cells from Human Embryonic Stem Cells
|
US
|
10/313,739
|
6-Dec-02
|
7,033,831
|
25-Apr-06
|
Issued
|
|
132/003D
|
Endoderm Cells from Human Embryonic Stem Cells
|
US
|
11/262,633
|
31-Oct-05
|
7,326,572
|
5-Feb-08
|
Issued
|
|
132/004C
|
Islet Cells from Human Embryonic Stem Cells
|
US
|
11/960,477
|
19-Dec-07
|
|
|
Pending
|
|
132/005C
|
Islet Cells from Human Embryonic Stem Cells
|
US
|
12/262,536
|
31-Oct-08
|
|
|
Pending
|
|
132/006C
|
Islet Cells from Human Embryonic Stem Cells
|
US
|
12/543,875
|
19-Aug-09
|
|
|
Pending
|
|
132/007C
|
Drug Screening Using Islet Cells and Islet Cell Progenitors from Human Embryonic Stem Cells
|
US
|
12/762,676
|
19-Apr-10
|
|
|
Pending
|
|
132/008C
|
Drug Screening Using Islet Cells and Islet Cell Progenitors from Human Embryonic Stem Cells
|
US
|
12/947,605
|
16-Nov-10
|
|
|
Pending
|
|
132/031
|
Differentiation and Enrichment of Islet-Like Cells from Human Pluripotent Stem Cells
|
US
|
12/303,895
|
8-Dec-08
|
|
|
Allowed
|
|
132/201AU
|
Islet Cells from Human Embryonic Stem Cells
|
AU
|
2002364143
|
6-Dec-02
|
2002364143
|
5-Jun-08
|
Issued
|
|
132/202CA
|
Islet Cells from Human Embryonic Stem Cells
|
CA
|
2470539
|
6-Dec-02
|
2,470,539
|
4-Oct-11
|
Issued
|
|
132/203CN
|
Islet Cells from Human Embryonic Stem Cells
|
CN
|
02824367.6
|
6-Dec-02
|
1602351
|
30-Mar-11
|
Issued
|
|
132/204EP
|
Islet Cells from Human Embryonic Stem Cells
|
EP
|
02799217.1
|
6-Dec-02
|
|
|
Pending
|
|
132/205GB
|
Islet Cells from Human Embryonic Stem Cells
|
GB
|
0414958.9
|
6-Dec-02
|
2,399,823
|
15-Feb-06
|
Issued
|
|
132/206IL
|
Islet Cells from Human Embryonic Stem Cells
|
IL
|
162131
|
6-Dec-02
|
162131
|
31-Mar-11
|
Issued
|
|
132/207IN
|
Islet Cells from Human Embryonic Stem Cells
|
IN
|
1795/DELNP/2004
|
6-Dec-02
|
|
|
Pending
|
|
132/208JP
|
Islet Cells from Human Embryonic Stem Cells
|
JP
|
2003-551271
|
6-Dec-02
|
4666567
|
21-Jan-11
|
Issued
|
|
132/209KR
|
Islet Cells from Human Embryonic Stem Cells
|
KR
|
2004-7008713
|
6-Dec-02
|
1089591
|
29-Nov-11
|
Issued
|
|
132/210SG
|
Islet Cells from Human Embryonic Stem Cells
|
SG
|
200403559-8
|
6-Dec-02
|
104,854
|
31-Aug-06
|
Issued
|
|
132/211GB D
|
Islet Cells from Human Embryonic Stem Cells
|
GB
|
0517624.3
|
6-Dec-02
|
2415432
|
6-Sep-06
|
Issued
|
|
132/212HK
|
Islet Cells from Human Embryonic Stem Cells
|
HK
|
05106662.9
|
6-Dec-02
|
1074218
|
2-Dec-11
|
Issued
|
|
132/213CN D
|
Islet Cells from Human Embryonic Stem Cells
|
CN
|
200710307353.6
|
6-Dec-02
|
|
|
Pending
|
|
132/214HK
|
Islet Cells from Human Embryonic Stem Cells
|
HK
|
09100086.6
|
6-Dec-02
|
|
|
Pending
|
|
132/215AU D
|
Islet Cells from Human Embryonic Stem Cells
|
AU
|
2007254644
|
6-Dec-02
|
2007254644
|
22-Apr-10
|
Issued
|
|
132/216IL D
|
Islet Cells from Human Embryonic Stem Cells
|
IL
|
188472
|
6-Dec-02
|
188472
|
31-Mar-11
|
Issued
|
|
132/217IN D
|
Islet Cells from Human Embryonic Stem Cells
|
IN
|
6576/DELNP/2009
|
6-Dec-02
|
|
|
Pending
|
|
132/218JP D
|
Islet Cells from Human Embryonic Stem Cells
|
JP
|
2008-040781
|
6-Dec-02
|
4917559
|
3-Feb-12
|
Issued
|
|
132/219KR D
|
Islet Cells from Human Embryonic Stem Cells
|
KR
|
2008-7002476
|
6-Dec-02
|
10-0008868
|
11-Jan-11
|
Issued
|
|
132/220AU D2
|
Islet Cells from Human Embryonic Stem Cells
|
AU
|
2010200610
|
6-Dec-02
|
|
|
Pending
|
|
132/221CA D
|
Islet Cells from Human Embryonic Stem Cells
|
CA
|
2692325
|
6-Dec-02
|
|
|
Pending
|
|
132/222EP D
|
Islet Cells from Human Embryonic Stem Cells
|
EP
|
10174969.5
|
6-Dec-02
|
|
|
Pending
|
|
132/223HK
|
Islet Cells from Human Embryonic Stem Cells
|
HK
|
11106412.4
|
6-Dec-02
|
|
|
Pending
|
|
132/224JP D2
|
Islet Cells from Human Embryonic Stem Cells
|
JP
|
2011-258931
|
6-Dec-02
|
|
|
Pending
|
|
132/225KR D2
|
Islet Cells from Human Embryonic Stem Cells
|
KR
|
|
|
|
|
Unfiled
|
|
133/003C
|
Chondrocyte Precursors Derived from Human Embryonic Stem Cells
|
US
|
11/345,878
|
1-Feb-06
|
7,906,330
|
15-Mar-11
|
Issued
|
|
135/201EP
|
Genes That Are Up- or Down-Regulated During Differentiation of Human Embryonic Stem Cells
|
EP
|
04757690.5
|
13-Mar-04
|
|
|
Pending
|
|
135/202SG
|
Genes That Are Up- or Down-Regulated During Differentiation of Human Embryonic Stem Cells
|
SG
|
200505876-3
|
13-Mar-04
|
115,079
|
31-Oct-07
|
Issued
|
|
135/203GB
|
Genes That Are Up- or Down-Regulated During Differentiation of Human Embryonic Stem Cells
|
GB
|
0520847.5
|
13-Mar-04
|
2415781
|
18-Jul-07
|
Issued
|
|
135/212SG D
|
Genes That Are Up- or Down-Regulated During Differentiation of Human Embryonic Stem Cells
|
SG
|
200708419-7
|
13-Mar-04
|
151119
|
29-May-09
|
Issued
|
|
135/213GB D
|
Genes That Are Up- or Down-Regulated During Differentiation of Human Embryonic Stem Cells
|
GB
|
0708707.5
|
13-Mar-04
|
2434867
|
7-Nov-07
|
Issued
|
|
138/202GB
|
Dendritic Cell Vaccines Made from Embryonic Stem Cells for Treating Cancer
|
GB
|
0703122.2
|
10-Aug-05
|
2431582
|
23-Dec-09
|
Issued
|
|
138/204HK
|
Dendritic Cell Vaccines for Treating Cancer Made from Embryonic Stem Cells
|
HK
|
07110697.8
|
10-Aug-05
|
1105429
|
23-Apr-10
|
Issued
|
|
151/003
|
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells
|
US
|
12/412,183
|
26-Mar-09
|
8,093,049
|
10-Jan-12
|
Issued
|
|
151/004C
|
Systems for Differentiating Pluripotent Stem Cells into Hematopoietic Lineage Cells
|
US
|
13/312,349
|
6-Dec-11
|
|
|
Pending
|
|
151/201AU
|
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells
|
AU
|
2009228215
|
26-Mar-09
|
|
|
Pending
|
|
151/202CA
|
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells
|
CA
|
2718438
|
26-Mar-09
|
|
|
Pending
|
|
151/203CN
|
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells
|
CN
|
200980116566.8
|
26-Mar-09
|
|
|
Pending
|
|
151/204EP
|
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells
|
EP
|
09724052.7
|
26-Mar-09
|
|
|
Pending
|
|
151/206IL
|
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells
|
IL
|
208116
|
26-Mar-09
|
|
|
Pending
|
|
151/207IN
|
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells
|
IN
|
6087/CHENP/2010
|
26-Mar-09
|
|
|
Pending
|
|
151/208JP
|
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells
|
JP
|
2011-502069
|
26-Mar-09
|
|
|
Pending
|
|
151/209KR
|
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells
|
KR
|
2010-7021271
|
26-Mar-09
|
|
|
Pending
|
|
151/210SG
|
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells
|
SG
|
201006607-4
|
26-Mar-09
|
|
|
Pending
|
|
151/211HK
|
Differentiation of Primate Pluripotent Stem Cells to Hematopoietic Lineage Cells
|
HK
|
11105528.7
|
26-Mar-09
|
|
|
Pending
|
|
161/002
|
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes
|
US
|
12/362,190
|
29-Jan-09
|
8,241,907
|
14-Aug-12
|
Issued
|
|
161/003C
|
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes
|
US
|
13/546,381
|
11-Jul-12
|
|
|
Pending
|
|
161/201AU
|
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes
|
AU
|
2009209157
|
29-Jan-09
|
|
|
Pending
|
|
161/202CA
|
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes
|
CA
|
2712891
|
29-Jan-09
|
|
|
Pending
|
|
161/203CN
|
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes
|
CN
|
200980103922.2
|
29-Jan-09
|
|
|
Pending
|
|
161/204EP
|
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes
|
EP
|
09705923.2
|
29-Jan-09
|
|
|
Pending
|
|
161/205IL
|
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes
|
IL
|
207083
|
29-Jan-09
|
|
|
Pending
|
|
161/206IN
|
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes
|
IN
|
5135/CHENP/2010
|
29-Jan-09
|
|
|
Pending
|
|
161/207JP
|
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes
|
JP
|
2010-545155
|
29-Jan-09
|
|
|
Pending
|
|
161/208KR
|
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes
|
KR
|
2010-7019066
|
29-Jan-09
|
|
|
Pending
|
|
161/209SG
|
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes
|
SG
|
201005466-6
|
29-Jan-09
|
|
|
Pending
|
|
161/210HK
|
Synthetic Surfaces for Culturing Stem Cell Derived Cardiomyocytes
|
HK
|
11106743.4
|
29-Jan-09
|
|
|
Pending
|
|
162/002
|
Synthetic Surfaces for Culturing Stem Cell Derived Oligodendrocyte Progenitor Cells
|
US
|
12/362,250
|
29-Jan-09
|
|
|
Pending
|
|
162/201AU
|
Synthetic Surfaces for Culturing Stem Cell Derived Oligodendrocyte Progenitor Cells
|
AU
|
2009209167
|
29-Jan-09
|
|
|
Pending
|
|
162/202CA
|
Synthetic Surfaces for Culturing Stem Cell Derived Oligodendrocyte Progenitor Cells
|
CA
|
2714010
|
29-Jan-09
|
|
|
Pending
|
|
162/203CN
|
Synthetic Surfaces for Culturing Stem Cell Derived Oligodendrocyte Progenitor Cells
|
CN
|
200980103921.8
|
29-Jan-09
|
|
|
Pending
|
|
162/204EP
|
Synthetic Surfaces for Culturing Stem Cell Derived Oligodendrocyte Progenitor Cells
|
EP
|
09705909.1
|
29-Jan-09
|
|
|
Pending
|
|
165/003C
|
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes
|
US
|
13/679,663
|
16-Nov-12
|
|
|
Pending
|
|
165/201AU
|
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes
|
AU
|
2010266016
|
25-Jun-10
|
|
|
Pending
|
|
165/202CA
|
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes
|
CA
|
2766164
|
25-Jun-10
|
|
|
Pending
|
|
165/203CN
|
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes
|
CN
|
201080032011.8
|
25-Jun-10
|
|
|
Pending
|
|
165/204IL
|
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes
|
IL
|
217061
|
25-Jun-10
|
|
|
Pending
|
|
165/205IN
|
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes
|
IN
|
47/CHENP/2012
|
25-Jun-10
|
|
|
Pending
|
|
165/206JP
|
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes
|
JP
|
2012-517776
|
25-Jun-10
|
|
|
Pending
|
|
165/207KR
|
Differentiated Pluripotent Stem Cell Progeny Depleted of Extraneous Phenotypes
|
KR
|
2012-7001572
|
25-Jun-10
|
|
|
Pending
|
|
FILE NO.
|
TITLE
|
COUNTRY
|
APPLICATION NUMBER
|
FILING DATE
|
PATENT NUMBER
|
ISSUE DATE
|
STATUS
|
ASSIGNEE
|
131/004C
|
Reconstructing Hematopoietic Cell Function Using Human Embryonic Stem Cells
|
US
|
10/862,625
|
7-Jun-04
|
|
|
Pending
|
Univ. Western Ontario
|
134/002
|
Method of Producing Oligodendrocytes from Human Embryonic Stem Cells for Drug Screening or Treatment of Spinal Cord Injury
|
US
|
10/406,817
|
4-Apr-03
|
7,285,415
|
23-Oct-07
|
Issued
|
Regents Univ. California
|
134/004C
|
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury
|
US
|
11/637,632
|
11-Dec-06
|
7,579,188
|
25-Aug-09
|
Issued
|
Regents Univ. California
|
134/005D
|
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury
|
US
|
12/357,244
|
21-Jan-09
|
|
|
Pending
|
Regents Univ. California
|
134/201AU
|
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury
|
AU
|
2003250477
|
11-Jul-03
|
2003250477
|
3-Jul-08
|
Issued
|
Regents Univ. California
|
134/202CA
|
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury
|
CA
|
2489203
|
11-Jul-03
|
|
|
Pending
|
Regents Univ. California
|
134/203CN
|
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury
|
CN
|
03816184.2
|
11-Jul-03
|
|
|
Pending
|
Regents Univ. California
|
134/204EP
|
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury
|
EP
|
03764084.4
|
11-Jul-03
|
|
|
Pending
|
Regents Univ. California
|
134/205GB
|
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury
|
GB
|
0502774.3
|
11-Jul-03
|
2,407,822
|
22-Feb-06
|
Issued
|
Regents Univ. California
|
134/206IL
|
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury
|
IL
|
165645
|
11-Jul-03
|
165645
|
1-Mar-11
|
Issued
|
Regents Univ. California
|
134/207IN
|
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury
|
IN
|
4091/DELNP/2004
|
11-Jul-03
|
|
|
Pending
|
Regents Univ. California
|
134/208JP
|
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury
|
JP
|
2005-505090
|
11-Jul-03
|
4823689
|
24-Nov-11
|
Issued
|
Regents Univ. California
|
134/209SG
|
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury
|
SG
|
200407816-8
|
11-Jul-03
|
108,775
|
31-Jan-07
|
Issued
|
Regents Univ. California
|
134/210HK
|
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury
|
HK
|
06113936.4
|
19-Dec-06
|
|
|
Pending
|
Regents Univ. California
|
134/211EP D
|
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury
|
EP
|
10175854.8
|
11-Jul-03
|
|
|
Pending
|
Regents Univ. California
|
134/212JP D
|
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury
|
JP
|
2011-047716
|
11-Jul-03
|
|
|
Pending
|
Regents Univ. California
|
134/213IN D
|
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury
|
IN
|
4057/DELNP/2011
|
11-Jul-03
|
|
|
Pending
|
Regents Univ. California
|
134/214HK
|
Oligodendrocytes Derived from Human Embryonic Stem Cells for Remyelination and Treatment of Spinal Cord Injury
|
HK
|
11105339.6
|
11-Jul-03
|
|
|
Pending
|
Regents Univ. California
|
136/002
|
Chondrogenic Progenitor Cells, Protocol for Derivation of Cells and Uses Thereof
|
US
|
13/082,727
|
8-Apr-11
|
|
|
Pending
|
Univ. Edinburgh
|
136/201AU
|
Chondrogenic Progenitor Cells, Protocol for Derivation of Cells and Uses Thereof
|
AU
|
|
8-Apr-11
|
|
|
Pending
|
Univ. Edinburgh
|
136/202CA
|
Chondrogenic Progenitor Cells, Protocol for Derivation of Cells and Uses Thereof
|
CA
|
|
8-Apr-11
|
|
|
Unfiled
|
Univ. Edinburgh
|
136/203CN
|
Chondrogenic Progenitor Cells, Protocol for Derivation of Cells and Uses Thereof
|
CN
|
|
8-Apr-11
|
|
|
Pending
|
Univ. Edinburgh
|
136/204EP
|
Chondrogenic Progenitor Cells, Protocol for Derivation of Cells and Uses Thereof
|
EP
|
11718764.1
|
8-Apr-11
|
|
|
Pending
|
Univ. Edinburgh
|
136/205IN
|
Chondrogenic Progenitor Cells, Protocol for Derivation of Cells and Uses Thereof
|
IN
|
9325/CHENP/2012
|
8-Apr-11
|
|
|
Pending
|
Univ. Edinburgh
|
136/206IL
|
Chondrogenic Progenitor Cells, Protocol for Derivation of Cells and Uses Thereof
|
IL
|
222292
|
8-Apr-11
|
|
|
Pending
|
Univ. Edinburgh
|
136/207JP
|
Chondrogenic Progenitor Cells, Protocol for Derivation of Cells and Uses Thereof
|
JP
|
|
8-Apr-11
|
|
|
Pending
|
Univ. Edinburgh
|
136/208SG
|
Chondrogenic Progenitor Cells, Protocol for Derivation of Cells and Uses Thereof
|
SG
|
201207371-4
|
8-Apr-11
|
|
|
Pending
|
Univ. Edinburgh
|
150/001C
|
Method for Producing Dendritic Cells
|
US
|
09/849,499
|
4-May-01
|
7,247,480
|
24-Jul-07
|
Issued
|
Isis Innovation, Ltd.
|
150/003C
|
Method for Producing Dendritic Cells
|
US
|
11/789,669
|
24-Apr-07
|
7,473,556
|
6-Jan-09
|
Issued
|
Isis Innovation, Ltd.
|
800/002C
|
Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA
|
US
|
09/073,819
|
6-May-98
|
6,306,388
|
23-Oct-01
|
Issued
|
Duke Univ.
|
800/003C
|
Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA
|
US
|
09/875,264
|
7-Jun-01
|
7,101,705
|
5-Sep-06
|
Issued
|
Duke Univ.
|
800/010P
|
Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA
|
US
|
09/171,916
|
16-Feb-99
|
7,105,157
|
12-Sep-06
|
Issued
|
Duke Univ.
|
800/011D
|
RNA-loaded Antigen Presenting Cells
|
US
|
09/667,319
|
22-Sep-00
|
6,670,186
|
30-Dec-03
|
Issued
|
Duke Univ.
|
800/012C
|
Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA
|
US
|
11/250,546
|
17-Oct-05
|
7,601,343
|
13-Oct-09
|
Issued
|
Duke Univ.
|
800/013D
|
Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA
|
US
|
12/585,028
|
1-Sep-09
|
8,263,066
|
11-Sep-12
|
Issued
|
Duke Univ.
|
800/014C
|
Methods for Treating Cancers and Pathogen Infections Using Antigen-presenting Cells Loaded with RNA
|
US
|
13/554,938
|
20-Jul-12
|
|
|
Pending
|
Duke Univ.
|
800/020P
|
Method of Identifying Tumor Antigens that Elicit a T-cell Response
|
US
|
09/302,329
|
30-Apr-99
|
6,387,701
|
14-May-02
|
Issued
|
Duke Univ.
|
821/001
|
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells
|
US
|
10/362,715
|
24-Feb-03
|
|
|
Allowed
|
Gerold Schuler
|
821/002C
|
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells
|
US
|
13/479,612
|
24-May-12
|
|
|
Pending
|
Gerold Schuler
|
821/206JP
|
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells
|
JP
|
522234/02
|
24-Aug-01
|
4610847
|
22-Oct-10
|
Issued
|
Gerold Schuler
|
821/215AT
|
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells
|
AT
|
19607084
|
24-Aug-01
|
1311658
|
15-Oct-08
|
Issued
|
Gerold Schuler
|
821/216BE
|
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells
|
BE
|
19607084
|
24-Aug-01
|
1311658
|
15-Oct-08
|
Issued
|
Gerold Schuler
|
821/217DK
|
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells
|
DK
|
19607084
|
24-Aug-01
|
1311658
|
15-Oct-08
|
Issued
|
Gerold Schuler
|
821/218FR
|
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells
|
FR
|
|
24-Aug-01
|
1311658
|
15-Oct-08
|
Issued
|
Gerold Schuler
|
821/219IT
|
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells
|
IT
|
19607084
|
24-Aug-01
|
1311658
|
15-Oct-08
|
Issued
|
Gerold Schuler
|
821/220NL
|
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells
|
NL
|
19607084
|
24-Aug-01
|
1311658
|
15-Oct-08
|
Issued
|
Gerold Schuler
|
821/221SE
|
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells
|
SE
|
19607084
|
24-Aug-01
|
1311658
|
15-Oct-08
|
Issued
|
Gerold Schuler
|
821/222UK
|
Method for Producing Ready to Use, Antigen Loaded or Unloaded, Cryoconserved Mature Dendritic Cells
|
GB
|
019607084
|
24-Aug-01
|
1311658
|
15-Oct-08
|
Issued
|
Gerold Schuler
|
822/002C
|
CD4+ CD25+ Regulatory T Cells from Human Blood
|
US
|
13/530,488
|
22-Jun-12
|
|
|
Pending
|
Argos Therapeutics, Inc.
|
822/201AU
|
CD4+CD25+ Regulatory T Cells from Human Blood
|
AU
|
2002257648
|
12-Mar-02
|
2,002,257,648
|
17-Jan-08
|
Issued
|
Argos Therapeutics, Inc.
|
822/202BR
|
CD4+CD25+ Regulatory T Cells from Human Blood
|
BR
|
0208076.1
|
12-Mar-02
|
|
|
Pending
|
Argos Therapeutics, Inc.
|
822/203CA
|
CD4+CD25+ Regulatory T Cells from Human Blood
|
CA
|
2441213
|
12-Mar-02
|
|
|
Pending
|
Argos Therapeutics, Inc.
|
822/204CN
|
CD4+ CD25+ Regulatory T Cells from Human Blood
|
CN
|
02809777.7
|
12-Mar-02
|
|
|
Pending
|
Argos Therapeutics, Inc.
|
822/206JP
|
CD4+CD25+ Regulatory T Cells from Human Blood
|
JP
|
571855/02
|
12-Mar-02
|
|
|
Pending
|
Argos Therapeutics, Inc.
|
822/207KR
|
CD4+CD25+ Regulatory T Cells from Human Blood
|
KR
|
2003-7011970
|
12-Mar-02
|
|
|
Pending
|
Argos Therapeutics, Inc.
|
822/208DE
|
CD4+CD25+ Regulatory T Cells from Human Blood
|
DE
|
|
12-Mar-02
|
1379625
|
30-Jun-10
|
Issued
|
Argos Therapeutics, Inc.
|
822/209FR
|
CD4+CD25+ Regulatory T Cells from Human Blood
|
FR
|
027273978
|
12-Mar-02
|
1379625
|
30-Jun-10
|
Issued
|
Argos Therapeutics, Inc.
|
822/210IE
|
CD4+CD25+ Regulatory T Cells from Human Blood
|
IE
|
027273978
|
12-Mar-02
|
1379625
|
30-Jun-10
|
Issued
|
Argos Therapeutics, Inc.
|
822/211NL
|
CD4+CD25+ Regulatory T Cells from Human Blood
|
NL
|
027273978
|
12-Mar-02
|
1379625
|
30-Jun-10
|
Issued
|
Argos Therapeutics, Inc.
|
822/212SE
|
CD4+CD25+ Regulatory T Cells from Human Blood
|
SE
|
027273978
|
12-Mar-02
|
1379625
|
30-Jun-10
|
Issued
|
Argos Therapeutics, Inc.
|
822/213UK
|
CD4+CD25+ Regulatory T Cells from Human Blood
|
GB
|
027273978
|
12-Mar-02
|
1379625
|
30-Jun-10
|
Issued
|
Argos Therapeutics, Inc.
|
830/004C
|
Method for In Vitro Proliferation of Dendritic Cell Precursors and Their Use to Produce Immunogens
|
US
|
08/458,230
|
2-Jun-95
|
5,851,756
|
22-Dec-98
|
Issued
|
Rockefeller Univ. and Argos
|
830/005D
|
Method for In Vitro Proliferation of Dendritic Cell Precursors and Their Use to Produce Immunogens
|
US
|
09/073,596
|
6-May-98
|
|
|
Pending
|
Rockefeller Univ. and Argos
|
830/010P
|
Method for In Vitro Proliferation of Dendritic Cell Precursors and Their Use to Produce Immunogens
|
US
|
08/261,537
|
17-Jun-94
|
5,994,126
|
30-Nov-99
|
Issued
|
Rockefeller Univ. and Argos
|
830/201AU
|
Method for In Vitro Proliferation of Dendritic Cell Precursors and Their Use to Produce Immunogens
|
AU
|
40461/93
|
1-Apr-93
|
687733
|
5-Mar-98
|
Issued
|
Rockefeller Univ. and Argos
|
830/202CA
|
Method for In Vitro Proliferation of Dendritic Cell Precursors and Their Use to Produce Immunogens
|
CA
|
2133409
|
1-Apr-93
|
2,133,409
|
24-May-11
|
Issued
|
Rockefeller Univ. and Argos
|
830/204JP
|
Method for In Vitro Proliferation of Dendritic Cell Precursors and Their Use to Produce Immunogens
|
JP
|
517738/1993
|
1-Apr-93
|
3649335
|
18-May-05
|
Issued
|
Rockefeller Univ. and Argos
|
830/312MN
|
Method for In Vitro Proliferation of Dendritic Cell Precursors and Their Use to Produce Immunogens
|
MN
|
93911581.2
|
1-Apr-93
|
633,929
|
3-Mar-04
|
Issued
|
Rockefeller Univ. and Argos
|
1.1 | “ Affiliate ” means, with respect to a Party, any other entity that as of the date of the Agreement or as of any subsequent date, directly or indirectly, through one or more intermediaries, controls, is controlled by or is under common control with such specified Party. |
1.2 | “ Allowed Sales Deductions ” means deductions for (i) import, export, excise, sales, value added and use taxes, custom duties, freight and insurance invoiced to and/or paid by the purchaser of a Licensed Product; (ii) rebates and trade discounts off of the invoiced purchase price customarily and actually allowed; and (iii) credits for returns, allowances or trades, actually granted. |
1.3 | “ Colorado Telomerase License ” means that certain Intellectual Property License Agreement, dated December 9, 1996, as amended, by and between Geron and UTC. |
1.4 | “ Commercially Reasonable Efforts ” means the expenditure of efforts and resources (including the obtaining of any necessary financing) consistent with the usual practice of a third party of similar size and capability in pursuing, in a reasonably timely manner, the development, approval, commercialization and marketing of its own pharmaceutical products that are of significant market potential and strategic value |
1.5 | “ Confidential Information ” means any and all information that is contained in any report under Section 5.1 or any written disclosure of an Invention under Section 8.1 (which information shall be deemed Licensee’s Confidential Information), or disclosed by a Party to the other Party or its Representatives or obtained by a Party or its Representatives from the other Party in connection with any audit under Section 5.2. |
1.6 | “ Field of Use ” means use of telomerase as an antigen in an immunotherapeutic product for use in humans wherein the telomerase antigen is delivered using (i) patient monocyte-derived dendritic cells, or other patient blood or bone marrow-derived antigen presenting cells, (ii) human embryonic stem cell derived dendritic cells or other antigen presenting cells, or (iii) induced pluripotent stem cell derived dendritic cells or other antigen presenting cells. |
1.7 | “ GRNVAC ” means the technology acquired by the Licensee under the Asset Contribution Agreement pertaining to the presentation of one or more antigens to the immune system using patient monocyte-derived (VAC-1) or dendritic cells or human embryonic stem cell-derived or induced pluripotent stem cell-derived antigen presenting cells (VAC-2). |
1.8 | “ Inventions ” means any discovery, modification, or improvement (whether or not protectable under state, federal, or foreign intellectual property laws) of the technology covered by the Licensed Patents. |
1.9 | “ Licensed Patents ” means the patents and patent applications that are (a) licensed to Geron and/or co-owned by Geron pursuant to the Colorado Telomerase License (b) related to telomerase, and (c) necessary for the development and commercialization of GRNVAC, as listed in Exhibit A. |
1.10 | “ Licensed Product ” means any product, or part thereof, that is sold, manufactured or used in the Territory and that is itself, or that is manufactured by a process that is, covered in whole or in part by an issued, unexpired Valid Claim within the Licensed Patents. |
1.11 | “ Net Sales ” means the total amount received by Licensee for the sale or other commercial disposition of Licensed Products by Licensee or its sublicensees, less the Allowed Sales Deductions incurred with respect to such sale or disposition. |
1.12 | “ Representatives ” means a Party’s Affiliates and its and their respective officers, directors, employees, agents, attorneys, accountants and advisors. |
1.13 | “ Territory ” means worldwide. |
1.14 | “ Third Party ” means any person or entity other than Geron or Licensee. |
1.15 | “ UTC ” means University Technology Corporation, a not-for-profit Colorado corporation having its principal place of business at 3101 Iris Ave, Suite 250, Boulder, Colorado, 80301 U.S.A. |
1.16 | “ Valid Claim " means an unexpired claim in the Licensed Patents, whether or not issued or granted, which has not been revoked or held unenforceable, unpatentable or invalid by a court of competent jurisdiction, or unappealable or unappealed within the time allowed for appeal; and which has not been rendered unenforceable. |
2. | License Grant . |
2.1 | License Grant by Geron . In consideration of payment by Licensee of the amounts set forth in Article 4 and subject to the terms and conditions of this Agreement, Geron hereby grants to Licensee and its Affiliates an exclusive, royalty-bearing sub-license under the Licensed Patents, including the right to grant further sublicenses in accordance with Section 2.3 hereof, solely to make, have made, use, import, sell, or have sold Licensed Products in the Territory under the Field of Use. Licensee acknowledges that this Agreement is subject to the Colorado Telomerase License, and that this Agreement must be consistent with the terms of the Colorado Telomerase License. |
2.2 | Retained Rights . The license granted to Licensee under Section 2.1 shall be subject to the retained right of UTC to use the Licensed Patents for noncommercial, research and educational purposes, as set forth in Section 2.4 of the Colorado Telomerase License. Further, Licensee agrees that Geron retains exclusively all rights to use, practice and exploit the Licensed Patents and all products based thereon for all uses outside the Field of Use. Licensee covenants that neither it, nor any of its Affiliates shall use, practice or exercise the Licensed Patents for any purpose outside the Field of Use licensed under Section 2.1. |
2.3 | Sublicense Rights . Licensee shall have the right to grant sublicenses of the rights granted to it under Section 2.1 solely to Third Parties engaged in research, development and marketing of Licensed Products in the Field of Use, and to contract service providers providing services to Licensee, and solely to the extent such sublicenses are reasonably needed for the research, development and/or commercialization of Licensed Products in the Field of Use. Each such sublicense shall be subject to the applicable terms and conditions of this Agreement, and shall require the sublicensee to diligently pursue the commercialization of the sublicensed technology, as set forth in a written, executed sublicense agreement between Licensee and each sublicensee. Licensee shall use commercially reasonable efforts to monitor and require compliance of its sublicensees with such diligence obligations. Licensee will provide Geron with a complete copy of each sublicense agreement within five (5) business days after its execution. |
3. | No Implied Licenses; Retained Rights . |
3.1 | No Implied Licenses . Except as expressly set forth in Section 2.1 with respect to Licensed Patents in the Field of Use, Licensee does not and shall not obtain by virtue of this Agreement any license or other intellectual property interest in, to, or under any patents, know-how or other intellectual property of Geron or UTC, by implication or otherwise. For the avoidance of doubt, no technical data, information or knowledge of UTC related to Licensed Products, or any process based on or covered by the Licensed Patents, or the manufacture, marketing, registration, purity, quality, potency, safety and efficacy of the Licensed Products, exists nor is any such technical data, information or knowledge conveyed or licensed in any way to Licensee under this Agreement. |
3.2 | Retained Rights . Geron retains all rights not explicitly granted to Licensee in Article 2. For the avoidance of doubt, Geron retains all rights under the Licensed Patents, and all other intellectual property owned or controlled by Geron, outside of the Field of Use as expressly defined herein. |
3.3 | Expiration of License granted by UTC to Geron . Licensee understands that the license rights granted by UTC to Geron under the Licensed Patents expire upon the end of the term of the Licensed Patents (or at such earlier date that the Colorado Telomerase License is terminated). |
4. | Consideration . |
4.1 | Upfront Fee . In consideration of the license granted to Licensee pursuant to Section 2.1, Licensee will pay to Geron a non-refundable, non-creditable upfront license fee of sixty-five thousand U.S. dollars ($65,000 USD) within thirty (30) calendar days after the Effective Date of this Agreement. |
4.2 | Annual License Maintenance Fee . In consideration of the license granted to Licensee pursuant to Section 2.1, commencing on the first anniversary of the Effective Date of this Agreement, and continuing thereafter during the Term, Licensee will pay to Geron an annual, non-refundable, non-creditable license maintenance fee, in each case, of ten thousand U.S. dollars ($10,000 USD)(each, a “ License Maintenance Payment ”). Licensee shall pay each License Maintenance Payment to Geron within thirty (30) calendar days after each anniversary of the Effective Date with respect to the immediately preceding annual period (each such period, a “ License Maintenance Period ”).If this Agreement expires or is terminated, Licensee will pay Geron a pro-rated License Maintenance Payment calculated by multiplying ten thousand U.S. dollars ($10,000 USD) by a fraction, the numerator of which is the number of days of the applicable License Maintenance Period that have elapsed as of the date of such expiration or termination, and the denominator of which is the total number of days in such License Maintenance Period. |
4.3 | Royalties . Licensee will pay to Geron earned royalties equal to one percent (1%) of Net Sales. Royalties due hereunder shall be paid to Geron quarterly within sixty (60) days after the close of each calendar quarter ended March 31, June 30, September 30, and December 31 during the Term. |
4.4 | Payments Generally . All payments shall be made in US Dollars by check to the following address: |
4.5 | Currency Conversion . All payments to be made by Licensee to Geron under this Agreement shall be made in United States dollars and may be paid by bank wire transfer in immediately available funds to such bank account in the United States as may be designated in writing by Geron from time to time. In the case of payments to be made based on sales which are other than in United States dollars, the rate of exchange to be used in computing the monthly amount of currency equivalent in United States dollars due Geron shall be made in accordance with the exchange rates quoted by the Wall Street Journal on the last day of the calendar quarter for in which such payment is due. Such payments will be without deduction of exchange, collection or other charges. |
5. | Royalty Reports; Audits . |
5.1 | Royalty Reports . Commencing at the end of the first quarter during which Licensee receives Net Sales, Licensee will submit to Geron a quarterly written report setting forth the Net Sales received by Licensee during the reporting period; the quantity of each Licensed Product sold by Licensee or its sublicensees during the reporting period and amounts due and payable with respect thereto; any applicable deductions; total royalties due to Geron hereunder; and the name and address of any sublicensees of Licensee. After the first such report, reports shall be made whether or not Licensee has received any Net Sales during said quarter. Licensee agrees to accompany each such report with full payment of all amounts due for the reported period. Licensee shall keep, and shall require its sublicensees to keep, complete and accurate records in sufficient detail to enable royalties due and payable hereunder to be determined. |
5.2 | Audit s . At the written request of Geron not more than once in each Calendar Year, Licensee shall permit an independent certified public accounting firm selected by Geron and reasonably acceptable to Licensee, at Geron’s expense, to have access during normal business hours to those records of Licensee as may be reasonably necessary to verify the accuracy of royalty reports submitted by Licensee hereunder. If such accounting firm identifies a discrepancy in royalties paid by Licensee, the discrepancy will be promptly corrected by a payment or a refund by the applicable Party. The fees charged by such accounting firm shall be paid by Geron, provided , however , that if such audit uncovers an underpayment of royalties by Licensee that exceeds five percent (5%) of the total royalties owed, then the fees of such accounting firm shall be paid by Licensee. Licensee shall include in each sublicense granted by it pursuant to this Agreement a provision requiring the sublicensee to grant access to such records by Geron’s independent accountant to the same extent required of Licensee under this Agreement. |
5.3 | Confidentiality of Audited Information . Geron shall treat all financial information subject to review under this Article 5 in accordance with the confidentiality and non-use provisions of this Agreement, and shall cause its accounting firm to enter into a reasonably acceptable confidentiality agreement with Licensee or any sublicensee obligating it to retain such information in confidence pursuant to such confidentiality agreement. |
5.4 | Taxes . All taxes imposed as a result of the existence of this Agreement or the performance hereunder shall be paid by the Party required to do so by applicable law, provided , however , that if required by applicable law, and solely to the extent required, Licensee shall withhold the amount of any such taxes and shall promptly effect payment thereof to the appropriate tax authorities. In that case, Licensee shall cooperate with Geron in obtaining a refund of any such taxes, and shall transmit to Geron official tax receipts or other evidence issued by such tax authorities sufficient to enable Geron to support a claim for the United States income tax credit in respect of any such taxes so withheld. |
6.
|
Development
.
|
7.
|
Government and Regulatory Approvals
.
|
8. | Intellectual Property . |
8.1 | Inventions . Licensee will promptly disclose in writing to Geron any Inventions that are conceived, made or reduced to practice by Licensee, alone or jointly with others, in the exercise of the license rights granted hereunder. Inventorship of such Inventions shall be determined in accordance with United States Patent law, and ownership shall be consistent with inventorship. Licensee, alone or with a sublicensee, will have the right to prepare, file and prosecute Inventions owned solely by Licensee or jointly with a sublicensee; any Inventions owned jointly by the Parties will be prepared, filed and prosecuted in collaboration by the Parties. |
8.2 | Filing, Prosecution and Maintenance of Licensed Patents . Geron shall use Commercially Reasonable Efforts to file, prosecute and maintain the Licensed Patents. All final decisions with respect to filing, prosecution and maintenance of the Licensed Patents shall be made by Geron. |
8.3 | Enforcement . Geron or UTC shall have the sole right, in their sole discretion and in accordance with the terms and conditions of the Colorado Telomerase License, to initiate a suit or other legal proceeding in their name or, if appropriate, in the names of Geron, UTC and Licensee, to enforce and defend the Licensed Patents with respect to any infringement or other unlawful use by a Third Party; provided , however , that neither Geron nor UTC shall have any obligation to bring such suit or other proceeding Licensee shall promptly notify Geron of any potential or actual infringement or unlawful use of the Licensed Products of which Licensee becomes aware. Licensee will assist Geron in any action taken or brought by Geron to enforce and defend the Licensed Patents, and will cooperate fully in such action, at Geron’s expense. Any recovery from such action will be retained by Geron, except that any recovery for infringement of Licensee’s rights in the Field of Use shall be allocated as follows: (a) first to Geron, pro rata with any recovery for infringement outside the Field of Use, until Geron has recovered its documented out of pocket costs of prosecuting the infringement in such action; (b) to any recovery in settlement of a claim or lawsuit, as damages for lost revenues or profits on the sale of a Licensed Product, shall belong to Licensee, and any amount awarded or paid in settlement of a claim or lawsuit, as damages for lost royalty revenues, shall belong to Geron. |
8.4 | Third Party Intellectual Property Rights . If Licensee receives any warning letter or other notice of infringement, or an action, suit or other proceeding is brought against Licensee alleging that any activity related to the Licensed Products infringes an intellectual property right of a Third Party, Licensee shall promptly notify Geron. |
9.
|
Confidentiality
.
|
9.1 | Confidentiality Obligations . During the term of the Agreement and for a period of three (3) years thereafter, each Party shall not disclose any Confidential Information received from the other Party to any Third Party (other than such Party’s Representatives who have a need to know such Confidential Information) or use such Confidential Information of the other Party to compete with the other Party; provided , however , that this Section 9.1 shall not restrict either Party from performing any obligation or exercising any right under this Agreement and shall not restrict the individual Representatives of either Party from using Residual Knowledge. For purposes of this Agreement, “ Residual Knowledge ” means ideas, concepts, know-how, or techniques related to the Confidential Information that are retained in the unaided memories of the receiving Party’s individual Representatives who have had access to the Confidential Information. An individual Representative’s memory is considered unaided if the employee has not intentionally memorized the relevant Confidential Information for the purpose of retaining and subsequently using or disclosing it. Neither Party shall direct any of its individual Representatives to use or practice any Residual Knowledge. In protecting the other Party’s Confidential Information from unauthorized disclosure to any Third Party, each Party shall use at least the same degree of care as it uses in preventing the unauthorized disclosure of its own confidential information. |
9.2 | Exceptions . Notwithstanding anything contained herein to the contrary, Confidential Information shall not include information that: |
9.3 | Disclosure Required by Law . Notwithstanding anything to the contrary contained herein, a Party shall be permitted to disclose Confidential Information of the other Party to the extent required by law or pursuant to the order or legal process of a court, administrative agency, or other governmental body (including by deposition, interrogatory, request for documents, subpoena, civil investigation, demand or similar process), or any rule, regulation, policy statement or other formal demand of any national securities exchange, market or automated quotation system; provided , that, to the extent permitted by applicable law or any order or requirement of a court, administrative agency or other governmental body, the receiving Party will, as promptly as practicable, provide the disclosing Party with prior written notice of such requirement so that the disclosing Party may seek a protective or other order at its sole expense, or waive compliance with the terms of this Agreement with respect to such disclosure. If such protective order is not timely obtained, or if the disclosing Party waives compliance with the provisions hereof or fails to promptly respond to the receiving Party’s written notice, the receiving Party will, without liability under this Agreement, furnish only that portion of the Confidential Information that it is advised by its outside legal counsel is legally required and will exercise commercially reasonable efforts to obtain assurance that confidential treatment, if available, will be accorded such Confidential Information. Notwithstanding anything to the contrary contained herein, each Party may disclose Confidential Information of the other Party to the extent required by federal or state securities laws or reporting obligations to the United States Securities and Exchange Commission. |
9.4 | Agreement and Terms Confidential . Except as required by law, including but not limited to federal and state securities laws or reporting obligations to the United States Securities and Exchange Commission, or pursuant to the order or requirement of a court, administrative agency or other governmental body (including by deposition, interrogatory, request for documents, subpoena, civil investigation, demand or similar process), or any rule, regulation, policy statement or other formal demand of any national securities exchange, market or automated quotation system, neither Party shall publicly disclose the terms and conditions of this Agreement unless expressly authorized to do so in writing by the other Party, which authorization shall not be unreasonably withheld. This restriction shall not apply with respect to any terms and conditions of this Agreement that are or become publicly available (other than through a breach of this Agreement). |
9.5 | Equitable Remedies . Each Party acknowledges and agrees that due to the unique nature of the Confidential Information, there may be no adequate remedy at law for any breach of its obligations hereunder, and therefore, that upon any breach hereof, the other Party shall be entitled to seek appropriate equitable relief in addition to whatever remedies it might have at law. |
10. | Publications; Press Releases . |
10.1 | Publications . Licensee shall have the right to publish the results of activities conducted in by Licensee or its sublicensees in the exercise of the license rights granted pursuant to this Agreement. Licensee shall submit proposed publications for Geron's review at least thirty (30) days prior to the date of submission for publication or public disclosure. Geron will complete its review within thirty (30) days of receipt of the proposed publication. Upon Geron's request, Licensee shall delete from proposed publications any reference to Geron's Confidential Information. If, during its thirty (30) day review period, Geron notifies Licensee that it desires patent applications to be filed on any Inventions disclosed or contained in the manuscripts, Licensee shall delay publications or other disclosure for a period, not to exceed ninety (90) days, sufficient to permit Geron or Licensee to file any desired patent applications, as provided by Section 8.1 above. |
10.2 | Press Releases . Except for disclosures permitted under Section 9.4 or Section 10.1, any press release related to any terms and conditions of this Agreement shall be subject to mutual agreement of the Parties; provided , however , that no such agreement shall be required with respect to any press release that references or discloses the existence of this Agreement or the sublicense of the Licensed Patents, or with respect to any information previously disclosed by the other Party or included in any press release approved by the other Party. |
11. | Representations and Warranties . |
11.1 | Each Party represents and warrants to the other that: (a) it is duly organized and validly existing under the laws of its state of incorporation and has full corporate power and authority to enter into this Agreement; (b) it is in good standing with all relevant governmental authorities; (c) it has taken all corporate actions necessary to authorize the execution and delivery of this Agreement and the performance of its obligations under this Agreement; and (d) its entry into and performance of the terms and conditions of this Agreement will not violate any agreements or obligations such Party may have to any other person or entity. |
11.2 | Geron represents and warrants as of the Effective Date the Colorado Telomerase License is current and in full force and effect. Geron agrees that in the event of the termination of the Colorado Telomerase License, Geron will give Asterias notice of such event within 30 days of its occurrence. |
11.3 | No Implied Warranties . Nothing in this Agreement is or shall be construed as: |
11.3.1 | A warranty or representation as to the validity or scope of the Licensed Patents; |
11.3.2 | A warranty or representation that anything made, used, or disposed of under this Agreement is or will be free from infringement of patents, copyrights, and other rights of third parties; |
11.3.3 | An obligation to bring or prosecute actions or suits against third parties for infringement of the Licensed Patents; or |
11.3.4 | Granting by implication, estoppel, or otherwise any licenses or rights under patents or other rights of Geron or Third Parties, other than expressly provided herein. |
11.4 | Disclaimer of Warranty; Limitation of Liability . Except as explicitly set forth herein, Geron makes no representation or warranty, express or implied, with respect to the Licensed Patents, including any warranty of merchantability, fitness for any particular purpose or that the practice of the Licensed Patents does not infringe any third party patents. EXCEPT WITH RESPECT TO CLAIMS FOR MATERIAL BREACH OF ARTICLE 9, IN NO EVENT WILL EITHER PARTY HERETO BE LIABLE FOR ANY SPECIAL, INCIDENTAL, CONSEQUENTIAL OR INDIRECT DAMAGES SUFFERED BY THE OTHER PARTY ARISING IN ANY WAY OUT OF THIS AGREEMENT, HOWEVER CAUSED AND ON ANY THEORY OF LIABILITY. THIS LIMITATION WILL APPLY EVEN IF THE PARTY HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGE. |
12. | Indemnification; Insurance . |
12.1 | Indemnification by Geron . Subject to Article 14, Geron hereby agrees at all times during the term of this Agreement to indemnify, defend and hold harmless Licensee and its Affiliates (collectively, the “Asterias Indemnified Parties”) from and against any Damages with respect to any claims and any Proceedings with respect to such claims (together, “Claims”) made by any Third Party and arising from or based on (a) a material breach of Geron’s representations and warranties contained in Section 11.2 or (b) the negligence or willful misconduct of Geron in the performance of its obligations or exercise of its rights under this Agreement; provided that such indemnification obligation shall not apply to Damages incurred by a Asterias Indemnified Party to the extent such Asterias Indemnified Party is adjudicated (in a final non-appealable judgment) to have acted in a negligent or willfully wrongful manner. |
12.2 | Indemnification by Licensee. Subject to Article 14, Licensee hereby agrees to defend, indemnify and hold harmless Geron and its Affiliates; the University of Colorado; University License Equity Holdings, Inc. (the successor to University Technology Corporation); and the Howard Hughes Medical Institute, and each of their directors, officers, employees, and agents (collectively, the “Geron Indemnified Parties”) from and against any Damages with respect to any Claims made by any Third Party and (a) arising from or based on a material breach of Licensee’s representations and warranties contained in Section 11.1; or (b) resulting from personal injury, product liability or property damage relating to or arising from: (i) the manufacture, use, promotion or sale of any Licensed Product by Licensee or its sublicensees; or (ii) the use by any person of a Licensed Product made, created, sold or otherwise transferred by Licensee or its sublicensees; or (c) based on or resulting from the breach of this Agreement by Licensee or the negligence or willful misconduct of Licensee or its sublicensee in the performance of their respective obligations or the exercise of their respective rights relating to this Agreement; provided that such indemnification obligation shall not apply to Damages incurred by a Geron Indemnified Party to the extent such Geron Indemnified Party is adjudicated (in a final non-appealable judgment) to have acted in a negligent or willfully wrongful manner. |
12.3 | Insurance . Asterias agrees to maintain insurance or self-insurance that is reasonably adequate to fulfill any potential obligation to the indemnified parties. Asterias shall continue to maintain such insurance or self-insurance during the term of this Agreement and after the expiration or termination of this Agreement for a period of five (5) years. The Licensee’s insurance shall name Geron, UTC, the University of Colorado and the Institute, and its and their employees, directors, and agents as additional named insureds. |
13. | Term and Termination . |
13.1 | Term and Expiration . The term of this Agreement shall commence upon the Effective Date and, unless terminated earlier pursuant to Sections 13.2, 13.3, 13.4, 13.5 or 13.6 below, shall continue in effect until expiration of all Valid Claims of the Licensed Patents hereunder (the “ Term ”). |
13.2 | Termination of Colorado Telomerase License . This Agreement shall terminate immediately upon any termination of the Colorado Telomerase License. In the event that the Colorado Telomerase License is terminated Geron will notify Licensee of such termination within 30 days. |
13.3 | Termination for Material Breach . Each Party shall have the right to terminate this Agreement for uncured material breach of the other Party, as follows: If a Party believes that the other Party is in material breach of its obligations under this Agreement, then such Party may provide written notice to the other Party setting forth a description of the asserted material breach. The Party against which such breach is asserted by such notice shall then either (1) cure such asserted material breach within sixty (60) days after actual receipt of such written notice (or such longer period as may be agreed by the Parties) or, if such Party disagrees that it is in material breach, (2) initiate dispute resolution pursuant to Article 14, whereupon the sixty (60) day cure period shall be tolled until the dispute is resolved. If a Party has materially breached its obligations under this Agreement and does not cure such breach by the end of the sixty (60) days period after the other Party provides notice of such breach as above, then the Party providing such notice may then terminate the Agreement immediately on written notice to the breaching Party. |
13.4 | Termination by Licensee . Licensee shall have the right to terminate this Agreement for any reason, with or without cause, upon ninety (90) days prior written notice to Geron. The termination shall become effective upon expiration of the ninety (90) day period. |
13.5 | Termination for Bankruptcy . A Party may terminate this Agreement upon written notice upon the filing or institution of bankruptcy, reorganization, liquidation or receivership proceedings, or upon an assignment of a substantial portion of the assets for the benefit of creditors by the other Party; provided , however , that in the case of any involuntary bankruptcy proceeding such right to terminate shall only become effective if the Party consents to the involuntary bankruptcy or such proceeding is not dismissed within ninety (90) days after the filing thereof (or such other period as the Parties may mutually agree in writing). |
13.6 | Effect of Termination . Upon any expiration pursuant to Section 13.1 or any termination pursuant to Sections 13.2, 13.3, 13.4, or 13.5, all obligations incurred by Licensee to Geron and all the rights granted to Licensee, including pursuant to Sections 2.1 and 2.3, shall immediately terminate (except as provided below), and any sublicenses granted by Licensee shall terminate. Upon any termination, Licensee shall immediately cease (and cause its sublicensees to cease) making, having made, using, selling, and having sold Licensed Products. Expiration or termination of this Agreement shall not relieve the Parties of any obligation accruing prior to such expiration or termination. Article 9 shall survive the expiration or termination of this Agreement and shall continue for the period of time set forth in Article 9. In addition, Articles 1, 5, 9, 10, 12, 14 and 15, and Sections 8.1, 11.2, 11.3, 13.6, shall survive expiration or termination of this Agreement. |
13.7 | In the event Geron receives any written notice from UTC alleging that Geron is in breach or default of Geron’s obligations under the Colorado Telomerase License, Geron shall: (a) promptly provide Licensee with notice of UTC’s alleged breach or default by Geron; and (b) use its Commercially Reasonable Efforts to cure such breach or default. |
14. | Dispute Resolution and Indemnification Procedures . |
14.1 | Notwithstanding anything to the contrary contained in this Agreement, the dispute resolution provisions of Schedule 10.10(b) of the Asset Contribution Agreement shall apply with full force and effect to any disputes with respect to the matters contemplated by this Agreement and the indemnification obligations between the parties under Article 12. Accordingly, the parties agree that any claim (other than a claim for injunctive or other equitable relief from a court of competent jurisdiction in accordance with Section 15.4) for any breach of Geron’s or Asterias’ obligations under this Agreement, or for indemnification under Article 12, shall be brought and resolved exclusively in accordance with the provisions of Schedule 10.10(b) of the Asset Contribution Agreement as if Geron or Asterias were bringing such claim as a Geron Indemnitee or Asterias Indemnitee, respectively, thereunder, and shall otherwise be governed by the applicable provisions of this Article 14; provided , however , that nothing in this Article 14 shall prevent any party from seeking injunctive and other equitable relief from a court of competent jurisdiction in accordance with Section 15.4. |
14.2 | In the event that any party to this Agreement becomes aware of any event or circumstance that would reasonably be expected to constitute or give rise to any claim contemplated by Section 14.1, the party having the right to bring such claim (“Claimant”) shall take all commercially reasonable efforts to mitigate and minimize all Damages that may result from the breach giving rise to the claim (it being understood that nothing in this Agreement shall limit such Claimant’s right to seek recovery from the other party with respect to any costs of such mitigation). Each Claimant shall use reasonable efforts to collect any amounts available under insurance coverage for any claim under this Agreement. The amount of any claim shall be net of any amounts recovered by the Claimant under insurance policies with respect to such claims in excess of the sum of: (i) reasonable out-of-pocket costs and expenses relating to collection under such policies; and (ii) any deductible associated therewith to the extent paid or by which insurance proceeds were reduced. |
14.3 | In the event of the assertion or commencement by any Third Party of any action or other proceeding (“Proceeding’) with respect to which any Asterias Indemnified Party or Geron Indemnified Party (each an “Indemnitee”) may be entitled to indemnification pursuant to Article 12 of this Agreement, the indemnifying party (“Indemnitor”) shall have the right, at its election and expense, to proceed with the defense of such Proceeding on its own with counsel reasonably satisfactory to the Indemnittee; provided, however, that the Indemnitor shall not settle or compromise any such Proceeding without the prior written consent of the Indemnitee(s), which consent shall not be unreasonably withheld, conditioned or delayed. The Indemnitee(s) shall give the Indemnitor prompt written notice after it becomes aware of the commencement of any such Proceeding against the Indemnitee(s); provided, however, any failure on the part of the Indemnitee(s) to so notify the Indemnitor shall not limit any of the obligations of the Indemnitor, or any of the rights of the Indemnitee(s), under this Section 14.3 (except to the extent such failure prejudices the defense of such Proceeding). If the Indemnitor elects to assume and control the defense of any such Proceeding: (a) at the request of the Indemnitor, the Indemnitee(s) shall make available to the Indemnitor any material documents and materials in the possession of the Indemnitee(s) that may be necessary to the defense of such Proceeding; (b) the Indemnitor shall keep the Indemnitee(s) reasonably informed of all material developments relating to such Proceeding; and (c) the Indemnitee(s) shall have the right to participate in the defense of such Proceeding at its own expense. If the Indemnitor does not elect to proceed with the defense of any such Proceeding, the Indemnitee(s) may proceed with the defense of such Proceeding with counsel reasonably satisfactory to the Indemnitor; provided, however, that the Indemnitee(s) may not settle or compromise any such Proceeding without the prior written consent of the Indemnitor (which consent may not be unreasonably withheld, conditioned or delayed). |
14.4 | Subject to any injunction or other equitable remedies that may be available to any party, a party shall not be liable or responsible in any manner whatsoever to the other party with respect to the matters contemplated by this Agreement (whether for indemnification or otherwise) other than for claims brought as provided in this Article 14 and subject to the limitations contained therein, and subject to the foregoing, this Article 14 provides the exclusive remedy and cause of action of Indemnitees against any Indemnitor with respect to any matter arising out of or in connection with this Agreement; provided, however, that no claim against a party for fraud by such party shall be subject to the limitations of this Article 14. |
15.
|
General Provisions
.
|
15.1 | Independent Contractors . The Parties are independent contractors and shall not be deemed to be partners, joint venturers or each other’s agents or employees, and neither Party shall have the right to act on behalf of or otherwise bind the other Party, except as is expressly set forth in this Agreement. |
15.2 | Entire Agreement . This Agreement sets forth the entire agreement and understanding between the Parties, and supersedes all previous agreements, promises, representations, understandings, and negotiations, whether written or oral between the Parties, with respect to the subject matter of this Agreement. There shall be no amendments or modifications to this Agreement, except by a written document signed by both Parties. |
15.3 | Assignment . This Agreement shall not be assigned by either Party without the prior written consent of the other Party, except that a Party may assign this Agreement, without such consent, to its successor in interest as part of a sale or transfer, by way of merger or otherwise, of all or substantially all of the business assets of such Party (or, if such Party is organized in divisions or other distinct business units, all of the business assets of a division or unit engaged in activities related to the Licensed Patents), or in the case of Geron, it assigns, transfers, or otherwise disposes of the Colorado Telomerase License in whole or in part, provided that the assignee agrees to be bound in writing by all the terms of this Agreement in place of the assignor. |
15.4 | Governing Law; Dispute Resolution . This Agreement and all claims or causes of action (whether in contract or tort or otherwise) based upon, arising out of or related to this Agreement or the transactions contemplated hereby shall be governed by and construed in accordance with the laws of the State of California without regard to conflict of laws principles that would result in the application of any law other than the laws of the State of California. Except as provided for in Article 14, each of Geron and Asterias: (a) consents to and submits to the exclusive jurisdiction and venue of the Superior Court of the State of California for the County of Santa Clara, or the United States District Court for the Northern District of California, in any Proceeding arising out of or relating to this Agreement or any of the transactions contemplated by this Agreement; (b) agrees that all claims in respect of any such Proceeding shall be heard and determined in any such court; (c) shall not attempt to deny or defeat such personal jurisdiction by motion or other request for leave from any such court; and (d) shall not bring any Proceeding arising out of or relating to this Agreement or any of the transactions contemplated by this Agreement in any other court. Each of Geron and Asterias waives any defense of inconvenient forum to the maintenance of any Proceeding so brought and waives any bond, surety or other security that might be required of any other Person with respect thereto. Each of Geron and Asterias hereby agrees that service of any process, summons, notice or document in accordance with the provisions of Section 15.7 shall be effective service of process for any Proceeding arising out of or relating to this Agreement or any of the transactions contemplated hereby. TO THE EXTENT PERMITTED BY APPLICABLE LAW, EACH OF THE PARTIES HERETO IRREVOCABLY WAIVES ANY AND ALL RIGHT TO TRIAL BY JURY IN ANY ACTION, SUIT OR OTHER LEGAL PROCEEDING ARISING OUT OF OR RELATED TO THIS AGREEMENT. |
15.5 | Severability . If any provision of this Agreement is finally held to be invalid, illegal or unenforceable by a court or agency of competent jurisdiction, that provision shall be severed or shall be modified by the Parties so as to be legally enforceable (and to the extent modified, it shall be modified so as to reflect, to the extent possible, the intent of the parties) and the validity, legality and enforceability of the remaining provisions shall not be affected or impaired in any way. |
15.6 | No Waiver . Any delay in enforcing a Party’s rights under this Agreement or any waiver as to a particular default or other matter shall not constitute a waiver of a Party’s right to the future enforcement of its rights under this Agreement. |
15.7 | Notices . Any notice required or permitted by this Agreement to be given to either Party shall be in writing and shall be deemed given when delivered personally, by confirmed fax to a fax number designated in writing by the Party to whom notice is given, or by registered, recorded or certified mail, return receipt requested, and addressed to the Party to whom such notice is directed, at: |
If to Geron: | Geron Corporation |
If to Licensee: | Asterias Biotherapeutics, Inc. |
15.8 | Force Majeure . If the performance of this Agreement or any obligations hereunder is prevented, restricted or interfered with by reason of fire or other casualty or accident, strikes or labor disputes, war or other violence, any law, order, proclamation, ordinance, demand or requirement of any government agency, or any other act or condition beyond the control of the Party (a “Force Majeure”), the Party so affected, upon giving prompt notice to the other Party, shall be excused from such performance (other than the obligation to pay money) during such prevention, restriction or interference, provided that such Party continues to perform all its obligations under this Agreement, to the extent it is able, and uses diligent, good faith efforts to perform any such prevented, restricted or interfered obligations as soon as practicable, after the effects of such Force Majeure no longer prevent such performance. Further, if a Party is prevented from performing any material obligation under this Agreement by a Force Majeure, for a period of 180 days, then the other Party may terminate this Agreement on notice. |
15.9 | Use of Names . Except as otherwise provided herein, no right, express or implied, is granted by either party to use in any manner the name of Geron or Licensee or any other trade name or trademark of the other party in connection with the performance of this Agreement. |
15.10 | Counterparts . This Agreement shall be fully executed in two (2) original counterparts, each of which shall be deemed an original. |
15.11 | Licenses of Intellectual Property; Bankruptcy Code . The Parties agree that the sublicenses granted to Licensee to use Licensed Patents constitute licenses of “intellectual property” as defined in the United States Bankruptcy Code (the “Bankruptcy Code”) and as used in Section 365(n) of the Bankruptcy Code. The Parties also agree that the payments of royalties on Net Sales required to be paid by Licensee to Geron under this Agreement constitute “royalties” under Section 365(n) of the Bankruptcy Code. |
By:
|
s/John Scarlett
|
|
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John Scarlett
|
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Title:
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Chief Executive Officer
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|
|
|
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ASTERIAS BIOTHERAPEUTICS, INC.
|
||
|
|
|
|
|
|
By:
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s/Thomas Okarma
|
|
018/225JP D2
|
Human Telomerase Catalytic Subunit
|
JP
|
2008-194208
|
1-Oct-97
|
4852576
|
28-Oct-11
|
Issued
|
018/226DE
|
Human Telomerase Catalytic Subunit
|
DE
|
69739497.2
|
1-Oct-97
|
69739497.2
|
15-Jul-09
|
Issued
|
018/227IE
|
Human Telomerase Catalytic Subunit
|
IE
|
|
1-Oct-97
|
1783139
|
15-Jul-09
|
Issued
|
018/228FR
|
Human Telomerase Catalytic Subunit
|
FR
|
|
1-Oct-97
|
1783139
|
15-Jul-09
|
Issued
|
018/229BE
|
Human Telomerase Catalytic Subunit
|
BE
|
|
1-Oct-97
|
1783139
|
15-Jul-09
|
Issued
|
018/230IT
|
Human Telomerase Catalytic Subunit
|
IT
|
|
1-Oct-97
|
1783139
|
15-Jul-09
|
Issued
|
018/231NL
|
Human Telomerase Catalytic Subunit
|
NL
|
49654/BE/2009
|
1-Oct-97
|
1783139
|
15-Jul-09
|
Issued
|
018/232CH
|
Human Telomerase Catalytic Subunit
|
CH
|
|
1-Oct-97
|
1783139
|
15-Jul-09
|
Issued
|
018/233GB
|
Human Telomerase Catalytic Subunit
|
GB
|
|
1-Oct-97
|
1783139
|
15-Jul-09
|
Issued
|
018/234CN D
|
Human Telomerase Catalytic Subunit
|
CN
|
201010150493.9
|
1-Oct-97
|
|
|
Pending
|
018/235HK
|
Human Telomerase Catalytic Subunit
|
HK
|
11111117.2
|
1-Oct-97
|
|
|
Pending
|
018/240FR
|
Human Telomerase Catalytic Subunit
|
FR
|
30754543
|
1-Oct-97
|
1333094
|
4-Apr-12
|
Issued
|
018/241DE
|
Human Telomerase Catalytic Subunit
|
DE
|
30754543
|
1-Oct-97
|
1333094
|
4-Apr-12
|
Issued
|
018/242IE
|
Human Telomerase Catalytic Subunit
|
IE
|
30754543
|
1-Oct-97
|
1333094
|
4-Apr-12
|
Issued
|
018/243NL
|
Human Telomerase Catalytic Subunit
|
NL
|
30754543
|
1-Oct-97
|
1333094
|
4-Apr-12
|
Issued
|
018/244CH
|
Human Telomerase Catalytic Subunit
|
CH
|
30754543
|
1-Oct-97
|
1333094
|
4-Apr-12
|
Issued
|
018/245GB
|
Human Telomerase Catalytic Subunit
|
GB
|
30754543
|
1-Oct-97
|
1333094
|
4-Apr-12
|
Issued
|
018/301AT
|
Human Telomerase Catalytic Subunit
|
AT
|
97307757.1
|
1-Oct-97
|
245194
|
16-Jul-03
|
Issued
|
018/302BE
|
Human Telomerase Catalytic Subunit
|
BE
|
97307757.1
|
1-Oct-97
|
841396
|
16-Jul-03
|
Issued
|
018/303CH
|
Human Telomerase Catalytic Subunit
|
CH
|
97307757.1
|
1-Oct-97
|
841396
|
16-Jul-03
|
Issued
|
018/304DE
|
Human Telomerase Catalytic Subunit
|
DE
|
69723531.9-08
|
1-Oct-97
|
841396
|
16-Jul-03
|
Issued
|
018/305ES
|
Human Telomerase Catalytic Subunit
|
ES
|
97307757.1
|
1-Oct-97
|
841396
|
16-Jul-03
|
Issued
|
018/306FR
|
Human Telomerase Catalytic Subunit
|
FR
|
97307757.1
|
1-Oct-97
|
841396
|
16-Jul-03
|
Issued
|
018/307GB
|
Human Telomerase Catalytic Subunit
|
GB
|
97307757.1
|
1-Oct-97
|
841396
|
16-Jul-03
|
Issued
|
018/308IE
|
Human Telomerase Catalytic Subunit
|
IE
|
97307757.1
|
1-Oct-97
|
841396
|
16-Jul-03
|
Issued
|
018/309IT
|
Human Telomerase Catalytic Subunit
|
IT
|
51975BE/2003
|
1-Oct-97
|
841396
|
16-Jul-03
|
Issued
|
018/310LU
|
Human Telomerase Catalytic Subunit
|
LU
|
97307757.1
|
1-Oct-97
|
841396
|
16-Jul-03
|
Issued
|
018/311SE
|
Human Telomerase Catalytic Subunit
|
SE
|
97307757.1
|
1-Oct-97
|
841396
|
16-Jul-03
|
Issued
|
Article No.
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Page No.
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BACKGROUND
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1
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1. DEFINITIONS
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2
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2. LIFE OF PATENT EXCLUSIVE GRANT
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5
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3. SUBLICENSES
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6
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4. PAYMENT TERMS
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6
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5. LICENSE-ISSUE FEE
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7
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6. PAYMENTS ON SUBLICENSES
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7
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7. EARNED ROYALTIES AND MINIMUM ANNUAL ROYALTIES
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8
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8. DUE DILIGENCE
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8
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9. PROGRESS AND ROYALTY REPORTS
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10
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10. BOOKS AND RECORDS
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12
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11. LIFE OF THE AGREEMENT
|
12
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12. TERMINATION BY THE REGENTS
|
13
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13. TERMINATION BY LICENSEE
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13
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14. DISPOSITION OF LICENSED PRODUCT ON HAND UPON TERMINATION
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13
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15. USE OF NAMES AND TRADEMARKS
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14
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16. LIMITED WARRANTY
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15
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17. PATENT PROSECUTION AND MAINTENANCE
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15
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18. PATENT MARKING
|
18
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19. PATENT INFRINGEMENT
|
18
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|
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20. INDEMNIFICATION
|
19
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21. NOTICES
|
20
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22. ASSIGNABILITY
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20
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23. NO WAIVER
|
21
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24. FAILURE TO PERFORM
|
21
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25. GOVERNING LAWS
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21
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|
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26. PREFERENCE FOR U.S. INDUSTRY
|
21
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27. GOVERNMENT APPROVAL OR REGISTRATION
|
22
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28. EXPORT CONTROL LAWS
|
22
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29. SECRECY
|
22
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30. MISCELLANEOUS
|
23
|
UC Case Number
|
U.S. Application Number or 1 U.S. Patent Number
|
Filing or Issue Date
|
2002-338-1
|
60/396,382
|
July 11, 2002
|
(a) | Continuing to fund the Sponsored Research Agreement and any extensions, amendments or renewals thereof; or |
(b) | Licensee and/or its Sublicensees spending at least $2,400,000 in the aggregate over a period of eight (8) years ("Minimum Spending Requirement") for research, development, manufacture, marketing and/or sale of Licensed Products (including, without limitation, direct and indirect expenditures on development and/or implementation of methods for making, qualifying, and scaling up undifferentiated human embryonic stem cells as source material for Licensed Products). Decision-making with respect to any amounts to be spent on a year-to-year basis shall be at the sole discretion of Licensee or its Sublicensees, provided that the aggregate total amount spent by License and/or its Sublicensees meets the Minimum Spending Requirement. |
(c) | If Licensee or its Sublicensees choose to rely upon Section 8.3(b) to satisfy the diligence obligations set forth under this Article 8, then upon expiration of the eight (8) year period set forth in Section 8.3(b), Licensee and/or its Sublicensees shall report to The Regents whether the Minimum Spending Requirement has been met. If the Minimum Spending Requirement has not been met, Licensee or its Sublicensees shall report to The Regents the amount by which Licensee's and/or its Sublicensees' spending fell below the Minimum Spending Requirement (the "Spending Shortfall"), and The Regents shall have the right and option to give written notice to Licensee of its intent to reduce Licensee's exclusive license to a non-exclusive license. Upon receipt of such written notice, Licensee and/or its Sublicensees shall have the right, for a period of sixty (60) days thereafter, to submit to The Regents a detailed development plan demonstrating Licensee's and/or its Sublicensees' intent to commence or otherwise conduct or have conducted research, development, manufacture, marketing and/or sale of Licensed Technology at a spending rate equal to the sum of the Spending Shortfall plus the amount of the Minimum Spending Requirement allocated evenly, from year-to-year, over the next eight (8) year period (the "Annual Spending Minimum"). If Licensee and/or its Sublicensees fail to submit such a development plan, or if, within twelve (12) months after providing such development plan to The Regents, Licensee and/or its Sublicensees have not met the Annual Spending Minimum, the Regents will be entitled, upon prior written notice to Licensee, to reduce the exclusive rights granted to Licensee to a non-exclusive license. If, for a period of an additional twelve (12) months after reduction of Licensee's rights to non-exclusive pursuant to the preceding sentence, Licensee and/or its Sublicensees have not met the Annual Spending Minimum, The Regents may terminate this Agreement pursuant to Article 12. |
9.2.1 | summary of work completed; |
9.2.2 | key scientific discoveries; |
9.2.3 | summary of work in progress; |
9.2.4 | current schedule of anticipated events or milestones; |
9.2.5 | market plans for introduction of Licensed Product; and |
9.2.6 | a summary of resources spent in the reporting period. |
9.5.1 | the gross sales and Net Sales and any Attributed Income due to Licensee during the most recently completed calendar quarter; |
9.5.2 | the number of each type of Licensed Product and Licensed Service sold; |
9.5.3 | the country in which the Licensed Technology was made, used or sold; |
9.5.4 | the Royalties and Revenue Share Payment, in U.S. dollars, payable with respect to Net Sales and Attributed Income, respectively; |
9.5.5 | the method used to calculate the Royalties and Revenue Share Payment; and |
9.5.6 | the exchange rates used, if any; |
9.5.7 | any other information determined by Licensee to be reasonably necessary to confirm Licensee's calculation of its royalty obligations hereunder. |
10.
|
BOOKS AND RECORDS
|
11.
|
LIFE OF THE AGREEMENT
|
Article 10 | Books and Records |
Article 14 | Disposition of Licensed Product on Hand Upon Termination |
Article 15 | Use of Names and Trademarks |
Article 20 | Indemnification |
Article 24 | Failure to Perform |
Article 30 | Secrecy |
12. | TERMINATION BY THE REGENTS |
13. | TERMINATION BY LICENSEE |
14. | DISPOSITION OF LICENSED PRODUCT ON HAND UPON TERMINATION |
15. | USE OF NAMES AND TRADEMARKS |
(a) | the disclosure is required by applicable securities laws or by the laws applicable to the regulatory approval of Licensed Technology; |
(b) | the disclosure is made to a third party for a proposed or consummated business transaction or relationship; provided that the third party agrees to maintain the information as confidential; or |
|
(c) | the disclosure is made to a third party for a public or private equity or other financing or corporate transaction such as a public offering, merger, acquisition, consolidation or asset transfer and the third party agrees to maintain such information as confidential. Any other disclosure of the existence of or terms and conditions of this Agreement by Licensee or The Regents shall require written agreement of the parties, which shall not be unreasonably withheld. |
16. | LIMITED WARRANTY |
16.4 | This Agreement does not: |
16.4.1 | express or imply a warranty or representation as to the validity or scope of any of Regents' Patent Rights; |
16.4.2 | express or imply a warranty or representation that anything made, used, sold, offered for sale or imported or otherwise disposed of under any license granted in this Agreement is or will be free from infringement of patents of third parties; |
16.4.3 | obligate The Regents to bring or prosecute actions or suits against third parties for patent infringement except as provided in Article 19 (Patent Infringement); |
16.4.4 | confer by implication, estoppel or otherwise any license or rights under any patents of The Regents other than Regents' Patent Rights as defined in this Agreement, regardless of whether those patents are dominant or subordinate to Regents' Patent Rights; or |
16.4.5 | obligate The Regents to furnish any know-how not provided in Regents' Patent Rights. |
17. | PATENT PROSECUTION AND MAINTENANCE |
18. | PATENT MARKING |
19. | PATENT INFRINGEMENT |
20. | INDEMNIFICATION |
- |
Each Occurrence $1,000,000
|
|
- |
Products/Completed Operations Aggregate $1,000,000 (increasing to $5,000,000 to be effective at the time of initiation of a human clinical trial sponsored by Licensee or its Sublicensees for the Licensed Technology)
|
|
- |
Personal and Advertising Injury $1,000,000 General
|
|
- |
Aggregate (commercial form only) $1,000,000
|
- |
Indicate that The Regents has been endorsed as an additional Insured under the coverage referred to under the above
.
|
|
- |
Include a provision that the coverage will be primary and will not participate with nor will be excess over any valid and collectable insurance or program of self-insurance carried or maintained by The Regents.
|
21. | NOTICES |
(a) | on the date of delivery if delivered in person; |
(b) | on the date of mailing if mailed by first-class certified mail, postage paid; or |
(c) | on the date of mailing if mailed by any global express carrier service that requires recipient to sign the documents demonstrating the delivery of such notice or payment. |
In the case of Licensee:
|
Geron Corporation
|
|
230 Constitution Drive
|
|
Menlo Park, California 94025
|
|
Attention: Director, Corporate Development
|
|
Telephone: (650) 473-7700
|
|
Facsimile: (650)566-7181
|
In the case of The Regents:
|
Office of Technology Transfer
|
|
1111 Franklin Street, 5th Floor
|
|
Oakland, CA 94607-5200
|
|
Attention: Executive Director
|
|
Research Administration and
|
|
Technology Transfer
|
|
RE: UC Case No. 2002-338-1
|
22. | ASSIGNABILITY |
23. | NO WAIVER |
24. | FAILURE TO PERFORM |
25. | NON-BINDING DISPUTE RESOLUTION |
26. | GOVERNING LAWS |
27. | PREFERENCE FOR U.S. INDUSTRY |
28. | GOVERNMENT APPROVAL OR REGISTRATION |
29. | EXPORT CONTROL LAWS |
30. | SECRECY |
30.1.1 | not to use the Confidential Information except for the sole purpose of performing its obligations or exercising its rights under the terms of this Agreement; |
30.1.2 | to safeguard Confidential Information against disclosure to or by others with the same degree of care as it exercises with its own data of a similar nature; |
30.1.3 | not to disclose Confidential Information to others except as necessary to perform its obligations or exercise its rights under this Agreement and then only to its employees, agents, consultants, or third parties who are bound by a like obligation of confidentiality without the express written permission of The Regents or Licensee, which permission shall not be unreasonably withheld. |
30.2.1 | Licensee's and The Regents' rights to use and disclose data, information, research results and research records arising or developed under the Sponsored Research Agreement and any extensions or renewals thereof shall continue to be governed by the terms and conditions of Article 7 of the Sponsored Research Agreement; and |
30.2.2 | Neither Licensee nor The Regents shall be prevented from using or disclosing any of the information that: |
30.2.2.1 | Licensee or The Regents can demonstrate by written records was known to it prior to disclosure hereunder by the other party; |
30.2.2.2 | is now or becomes in the future, public knowledge other than through wrongful acts or omissions of Licensee or The Regents; or |
30.2.2.3 | is lawfully obtained by Licensee or The Regents from sources independent of The Regents or Licensee, respectively; |
30.2.2.4 | is required to be disclosed to a governmental entity or agency in connection with seeking any governmental or regulatory approval, or pursuant to the lawful requirement or request of a governmental entity or agency (subject to the terms set forth in Section 15.2 with respect thereto); and/or |
30.2.2.5 | is developed independently by Licensee or The Regents without use of any Confidential Information received from the other party hereunder. |
31. | MISCELLANEOUS |
GERON CORPORATION |
THE REGENTS OF THE UNIVERSITY OF CALIFORNIA
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By : |
/s/ Melissa A. Kelly
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By :
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/s/ David G. Schetter
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(Signature)
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(Signature)
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Name: |
Melissa A. Kelly
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Name:
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David G. Schetter
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Title: |
Vice President, Corporate
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Title:
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Assistant Vice Chancellor
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Development, and General Manager,
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Research & Technology Alliances
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R&D Technologies
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Date: | February 4, 2003 | Date: | 2-20-03 |
Approved as to legal form: | P. Martin Simpson Jr. | ||
P. Martin Simpson Jr. | Date: 2-19-2003 | ||
University Counsel | |||
Office of General Counsel |
2
nd
Amendment to LA - Geron Corporation
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U.C. AGREEMENT CONTROL NUMBER 2003-04-0484C | Page 1 of 2 |
GERON CORPORATION |
THE REGENTS OF THE UNIVERSITY OF CALIFORNIA
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By:
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/s/ Bill Stempel
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By: |
/s/ David Schetter
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(Signature)
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(Signature)
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Name:
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Bill Stempel
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Name: |
David Schetter
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(Please Print)
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(Please Print)
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Title:
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General Counsel
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Title: |
Assistant Vice Chancellor
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(Please Print)
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(Please Print)
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Date: |
9/7/04
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Date: | 9/22/04 |
2
nd
Amendment to LA - Geron Corporation
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Page 2 of 2 |
Section 1. | Definitions . |
Section 2. | Grant . |
A. | License . |
B. | Restrictions and Limitations . |
C. | Sublicensing . |
D. | License to WARF . |
Section 3. | Reporting . |
Section 4. | Consideration . |
A. | License Fee . |
B. | Royalty . |
D. | Minimum Royalty . |
E. | Patent Fees and Costs . |
F. | Milestones. |
G. | Accounting; Payments . |
Section 5. | Certain Warranties . |
Section 6. | Recordkeeping . |
Section 7. | Term and Termination . |
Section 8. | Assignability; Change of Control; Affiliates . |
Section 9. | Contest of Validity . |
Section 10. | Enforcement . |
Section 11. | Indemnification and Insurance . |
Section 12. | Use of Names . |
Section 13. | Confidentiality . |
Section 14. | United States Government Interests . |
Section 15. | Patent Marking . |
Section 16. | Miscellaneous . |
Section 17. | Notices . |
(a) | Wisconsin Alumni Research Foundation |
Section 18. | Integration . |
Section 19. | Authority . |
K. | “Licensed Field” is limited to the field of Products. |
Licensee:
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Agreement No:
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Inventor:
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WARF Ref. #:
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P
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Period Covered:
From:
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Through:
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Prepared By:
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Date:
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Approved By:
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Date:
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Report Type:
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Single Product Line Report:
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Multiproduct Summary Report:
Page 1 of ______ Pages
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Product Line Detail.
Line:
Tradename:
Page:
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Report Currency:
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U. S. Dollars
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Other
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Gross
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* Less:
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Net
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Royalty
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Period Royalty Amount
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Country
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Sales
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Allowances
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Sales
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Rate
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This Year
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Last Year
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U.S.A.
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Canada
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Europe
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Japan
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Other
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TOTAL:
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A. | Date development plan initiated and time period covered by this report. |
B. | Development Report (4-8 paragraphs). |
C. | Future Development Activities (4-8 paragraphs). |
D. | Changes to initial development plan (2-4 paragraphs). |
E. | Items to be provided if applicable: |
(a) | intermix the Wisconsin Materials with an intact embryo, either human or nonhuman; |
(b) | implant the Wisconsin Materials or any products of the Wisconsin Materials in a uterus, including Derivative Materials derived from the Wisconsin Materials; |
(c) | attempting to make whole embryos by any method using the Wisconsin Materials. |
(d) | use the Wisconsin Materials for therapeutic purposes. |
s/Lesley Stolz
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Address:
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1369 De Soto Ave
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Burlingame, CA 94010
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By:
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s/Robert W. Peabody
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Title:
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COO and CFO
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Address: 1301 Harbor Bay Parkway, Suite100
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Alameda, California 94502
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· | Define and execute strategic initiatives focused on expanding BioTime’s product portfolio, market scope and reach, accelerating the Company’s entry into new markets, responding to competitive threats and maximizing shareholder value through mergers, acquisitions, joint ventures, and/or corporate partnerships. Develop a sophisticated and detailed understanding of the Company’s product portfolio, research pipeline, and Sales and Marketing infrastructure as the basis for these activities. |
· | In collaboration with senior leadership and other key stakeholders, identify and coordinate the evaluation of prospective deals with input from Research & Development, manufacturing, commercial, legal, finance, and accounting, and presentation of target opportunities to senior management. |
· | Serve as the primary point of contact and a key member of the negotiating team for all transactions approved by Management and the Board. |
· | Establish strong collaborative relationships with the Company’s operational units; act as an advisor or as a transactional partner when appropriate. |
(i) | Each Participant granted Restricted Stock shall execute and deliver to the Company an Award Agreement with respect to the Restricted Stock setting forth the applicable payment terms, if any, for the Restricted Stock, and restrictions and other terms and conditions applicable to such Restricted Stock. |
(ii) | Restricted Stock may be issued to a Participant without payment or without the delivery of a promissory note or instalment payment agreement only for services actually performed by the Participant prior to the issuance of the Restricted Stock. |
(iii) | In the case of Restricted Stock sold to a Participant on an instalment payment basis, the Company may require, as a condition of the grant, that the Participant execute and deliver to the Company a promissory note or instalment payment agreement and a stock pledge or security agreement, and a blank stock power with respect to the Restricted Stock, in such form and containing such terms as the Board or Committee may require. No Restricted Stock shall be sold to an Officer or Director on instalment payment terms that would constitute an extension of credit in violation of in violation of Section 402(a) of the Sarbanes-Oxley Act of 2002. |
(iv) | If the Committee determines that the Restricted Stock shall be held by the Company or in escrow rather than delivered to the Participant pending the release of the applicable restrictions, the Committee may require the Participant to additionally execute and deliver to the Company (A) an escrow agreement satisfactory to the Committee, if applicable and (B) the appropriate blank stock power with respect to the Restricted Stock covered by such agreement. |
(v) | If a Participant fails to execute an agreement evidencing an Award of Restricted Stock and, if applicable, a promissory note or instalment payment agreement, stock pledge or security agreement, escrow agreement, and stock power, the Award shall be null and void. Subject to the restrictions set forth in the Award, the Participant generally shall have the rights and privileges of a shareholder as to such Restricted Stock, including the right to vote such Restricted Stock and the right to receive dividends; provided that , any cash dividends and stock dividends with respect to the Restricted Stock shall be withheld by the Company for the Participant's account, and interest may be credited on the amount of the cash dividends withheld at a rate and subject to such terms as determined by the Board or Committee. The cash dividends or stock dividends so withheld and attributable to any particular share of Restricted Stock (and earnings thereon, if applicable) shall be distributed to the Participant in cash or, at the discretion of the Board or Committee, in shares of Common Stock having a Fair Market Value equal to the amount of such dividends, if applicable, upon the release of restrictions on such share and, if such share is forfeited, the Participant shall have no right to such dividends. |
(vi) | The terms and conditions of a grant of Restricted Stock Units shall be reflected in an Award Agreement. No shares of Common Stock shall be issued at the time a Restricted Stock Unit is granted, and the Company will not be required to set aside a fund for the payment of any such Award. A Participant shall have no voting rights with respect to any Restricted Stock Units granted hereunder. At the discretion of the Committee, each Restricted Stock Unit (representing one share of Common Stock) may be credited with cash and stock dividends paid by the Company in respect of one share of Common Stock (" Dividend Equivalents "). Dividend Equivalents shall be withheld by the Company for the Participant's account, and interest may be credited on the amount of cash Dividend Equivalents withheld at a rate and subject to such terms as determined by the Board or Committee. Dividend Equivalents credited to a Participant's account and attributable to any particular Restricted Stock Unit (and earnings thereon, if applicable) shall be distributed in cash or, at the discretion of the Board or Committee, in shares of Common Stock having a Fair Market Value equal to the amount of such Dividend Equivalents and earnings, if applicable, to the Participant upon settlement of such Restricted Stock Unit and, if such Restricted Stock Unit is forfeited, the Participant shall have no right to such Dividend Equivalents. |
(i) | Restricted Stock awarded to a Participant shall be subject to the following restrictions until the expiration of the Restricted Period, and to such other terms and conditions as may be set forth in the applicable Award Agreement: (A) if an escrow arrangement is used, the Participant shall not be entitled to delivery of the stock certificate; (B) the shares shall be subject to the restrictions on transferability set forth in the Award Agreement; (C) the shares shall be subject to forfeiture to the extent provided in the applicable Award Agreement; and (D) to the extent such shares are forfeited, the stock certificates shall be returned to the Company, and all rights of the Participant to such shares and as a shareholder with respect to such shares shall terminate without further obligation on the part of the Company. |
(ii) | Restricted Stock Units awarded to any Participant shall be subject to (A) forfeiture until the expiration of the Restricted Period, and satisfaction of any applicable Performance Goals during such period, to the extent provided in the applicable Award Agreement, and to the extent such Restricted Stock Units are forfeited, all rights of the Participant to such Restricted Stock Units shall terminate without further obligation on the part of the Company and (B) such other terms and conditions as may be set forth in the applicable Award Agreement. |
(iii) | The Board or Committee shall have the authority to remove any or all of the restrictions on the Restricted Stock and Restricted Stock Units whenever it may determine that, by reason of changes in Applicable Laws or other changes in circumstances arising after the date the Restricted Stock or Restricted Stock Units are granted, such action is appropriate. |
5. | Adjustments in Shares and Purchase Price. |
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(Signature)
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By
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Title
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EMPLOYEE:
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(Signature)
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(Please Print Name)
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4. | Adjustments in Shares and Purchase Price. |
6. | Restrictions on Transfer and Exercise. |
8. | Exercise of Option. |
Number of Option Shares Vesting | Vesting Date |
COMPANY:
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BIOTIME, INC.
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(Signature)
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By:
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Title:
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(Signature)
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By:
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Title:
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OPTIONEE:
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(Signature)
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(Print or type name)
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(a) | Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which the periodic reports are being prepared; |
(b) | Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles |
(c) | Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and |
(d) | Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting. |
(a) | All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize and report financial information; and |
(b) | Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting. |
Date: November 12, 2013
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s/ Michael D. West
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Michael D. West
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Chief Executive Officer
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(a) | Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which the periodic reports are being prepared; |
(b) | Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles |
(c) | Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and |
(d) | Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting. |
(a) | All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize and report financial information; and |
(b) | Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting. |
Date: November 12, 2013
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/s/ Robert W. Peabody
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Robert W. Peabody
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Chief Financial Officer
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1. | The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended; and |
2. | The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company. |
\s/ Michael D. West
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Michael D. West
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Chief Executive Officer
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s/ Robert W. Peabody
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Robert W. Peabody
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Chief Financial Officer
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