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Ionis Pharmaceuticals Inc – ‘10-Q’ for 3/31/15 – ‘EX-10.2’

On:  Tuesday, 5/5/15, at 4:53pm ET   ·   For:  3/31/15   ·   Accession #:  874015-15-57   ·   File #:  0-19125

Previous ‘10-Q’:  ‘10-Q/A’ on 11/10/14 for 9/30/14   ·   Next:  ‘10-Q’ on 8/5/15 for 6/30/15   ·   Latest:  ‘10-Q’ on 5/7/24 for 3/31/24   ·   4 References:   

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  As Of               Filer                 Filing    For·On·As Docs:Size

 5/05/15  Ionis Pharmaceuticals Inc         10-Q        3/31/15   54:8M

Quarterly Report   —   Form 10-Q   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-Q        Isis Pharmaceuticals Inc 10-Q 3-31-2015             HTML    499K 
 2: EX-10.1     Material Contract                                   HTML    354K 
 3: EX-10.2     Material Contract                                   HTML     30K 
 4: EX-31.1     Certification -- §302 - SOA'02                      HTML     24K 
 5: EX-31.2     Certification -- §302 - SOA'02                      HTML     23K 
 6: EX-32.1     Certification -- §906 - SOA'02                      HTML     21K 
35: R1          Document and Entity Information                     HTML     45K 
25: R2          Condensed Consolidated Balance Sheets (Unaudited)   HTML    124K 
32: R3          Condensed Consolidated Balance Sheets (Unaudited)   HTML     42K 
                (Parenthetical)                                                  
37: R4          Condensed Consolidated Statements of Operations     HTML     68K 
                (Unaudited)                                                      
49: R5          Condensed Consolidated Statements of Comprehensive  HTML     34K 
                Loss (Unaudited)                                                 
26: R6          Condensed Consolidated Statements of Cash Flows     HTML    140K 
                (Unaudited)                                                      
31: R7          Condensed Consolidated Statements of Cash Flows     HTML     28K 
                (Unaudited) (Parenthetical)                                      
23: R8          Basis of Presentation                               HTML     25K 
17: R9          Significant Accounting Policies                     HTML    124K 
50: R10         Investments                                         HTML    160K 
39: R11         Fair Value Measurements                             HTML     77K 
38: R12         Income Taxes                                        HTML     25K 
43: R13         Collaborative Arrangements and Licensing            HTML     49K 
                Agreements                                                       
44: R14         Segment Information and Concentration of Business   HTML     46K 
                Risk                                                             
42: R15         Significant Accounting Policies (Policies)          HTML    159K 
45: R16         Significant Accounting Policies (Tables)            HTML     68K 
34: R17         Investments (Tables)                                HTML    162K 
36: R18         Fair Value Measurements (Tables)                    HTML     74K 
41: R19         Segment Information and Concentration of Business   HTML     44K 
                Risk (Tables)                                                    
54: R20         Significant Accounting Policies, Revenue            HTML    102K 
                Recognition (Details)                                            
47: R21         Significant Accounting Policies, Cash, Cash         HTML     29K 
                Equivalents and Short-term Investments, Inventory                
                Valuation, and Research, Development and Patent                  
                Expenses (Details)                                               
28: R22         Significant Accounting Policies, Consolidation of   HTML     25K 
                Variable Interest Entities (Details)                             
40: R23         Significant Accounting Policies, Accumulated Other  HTML     40K 
                Comprehensive Income (Details)                                   
30: R24         Significant Accounting Policies, Convertible Debt   HTML     32K 
                and Segment Information (Details)                                
15: R25         Significant Accounting Policies, Stock-Based        HTML     46K 
                Compensation Expense - Weighted-Average                          
                Assumptions (Details)                                            
48: R26         Significant Accounting Policies, Stock-Based        HTML     47K 
                Compensation Expense (Details)                                   
51: R27         Investments, Contract Maturity of                   HTML     36K 
                Available-for-Sale Securities (Details)                          
20: R28         Investments, Summary of Investments and             HTML    215K 
                Investments Temporarily Impaired (Details)                       
19: R29         Fair Value Measurements, Assets Measured at Fair    HTML    130K 
                Value on a Recurring Basis (Details)                             
21: R30         Fair Value Measurements, Investments Measured at    HTML     30K 
                Fair Value on a Recurring Basis Using Significant                
                Unobservable Inputs (Details)                                    
22: R31         Income Taxes (Details)                              HTML     25K 
24: R32         Collaborative Arrangements and Licensing            HTML     35K 
                Agreements, Traditional Pharmaceutical Alliances                 
                and Licensing - Bayer HealthCare (Details)                       
14: R33         Collaborative Arrangements and Licensing            HTML     45K 
                Agreements, Traditional Pharmaceutical Alliances                 
                and Licensing - Biogen Idec (Isis-Smn) (Details)                 
46: R34         Collaborative Arrangements and Licensing            HTML     33K 
                Agreements, Traditional Pharmaceutical Alliances                 
                and Licensing - Biogen Idec (Isis-Dmpk) (Details)                
27: R35         Collaborative Arrangements and Licensing            HTML     40K 
                Agreements, Traditional Pharmaceutical Alliances                 
                and Licensing - Biogen Idec (Neurology) (Details)                
29: R36         Collaborative Arrangements and Licensing            HTML     66K 
                Agreements, Traditional Pharmaceutical Alliances                 
                and Licensing - Biogen Idec (Strategic Neurology)                
                (Details)                                                        
16: R37         Collaborative Arrangements and Licensing            HTML     64K 
                Agreements, Traditional Pharmaceutical Alliances                 
                and Licensing - GlaxoSmithKline (Details)                        
53: R38         Segment Information and Concentration of Business   HTML     64K 
                Risk (Details)                                                   
52: XML         IDEA XML File -- Filing Summary                      XML     82K 
13: EXCEL       IDEA Workbook of Financial Reports                  XLSX    147K 
18: EXCEL       IDEA Workbook of Financial Reports (.xls)            XLS    998K 
 7: EX-101.INS  XBRL Instance -- isis-20150331                       XML   1.71M 
 9: EX-101.CAL  XBRL Calculations -- isis-20150331_cal               XML    141K 
10: EX-101.DEF  XBRL Definitions -- isis-20150331_def                XML    813K 
11: EX-101.LAB  XBRL Labels -- isis-20150331_lab                     XML   1.55M 
12: EX-101.PRE  XBRL Presentations -- isis-20150331_pre              XML    957K 
 8: EX-101.SCH  XBRL Schema -- isis-20150331                         XSD    165K 
33: ZIP         XBRL Zipped Folder -- 0000874015-15-000057-xbrl      Zip    172K

‘EX-10.2’   —   Material Contract

This Exhibit is an HTML Document rendered as filed.  [ Alternative Formats ]

 C: 
Confidential
CONFIDENTIAL TREATMENT REQUESTED
 
UNDER 17 C.F.R §§ 200.80(B)4, AND 240.24B-2

EXHIBIT 10.2

AMENDMENT #1 TO HTT RESEARCH, DEVELOPMENT, OPTION AND LICENSE AGREEMENT
 
This AMENDMENT #1 TO THE RESEARCH, DEVELOPMENT, OPTION AND LICENSE AGREEMENT (this “Amendment”) is entered into and made effective as of the 9th day of January, 2015 (the “Amendment Date”) by and between Isis Pharmaceuticals, Inc., a Delaware corporation, having its principal place of business at 2855 Gazelle Court, Carlsbad, CA 92010 (“Isis”), and F. Hoffmann-La Roche Ltd, a Swiss corporation, having its principal place of business at Grenzacherstrasse 124, 4070 Basel, Switzerland (“Roche Basel”) and Hoffmann-La Roche Inc.,  a New Jersey corporation, having its principal place of business at 150 Clove Road, Suite 8, Little Falls, New Jersey 07424 (“Roche Nutley”; Roche Basel and Roche Nutley are collectively referred to as “Roche”).  Isis and Roche are each referred to herein by name or as a “Party” or, collectively, as “Parties.”
 
RECITALS
 
Whereas, Isis and Roche are parties to the HTT Research, Development, Option and License Agreement dated April 8th, 2013, as amended (the “Agreement”);
 
Whereas, Isis and Roche desire to amend the Agreement to clarify its rights and obligations thereunder; and
 
Now, therefore, in consideration of the premises and mutual covenants herein contained, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Parties, intending to be legally bound, do hereby agree that Section 7.12 of the Agreement is amended by replaced with the following:
 
7.12. No Challenge. If, during the Agreement Term, solely with respect to rights to the [***] that are included (or, prior to Option exercise, are eligible to be included) in a license granted to Roche under Section 4.1.1, Roche, its Affiliates or Sublicensees, in the United States or any other country, (a) commence or otherwise voluntarily determine to participate in (other than as may be necessary or reasonably required to assert a cross-claim or a counter-claim or to respond to a court request or order or administrative law request or order) any action or proceeding, challenging or denying the enforceability or validity of any claim within an issued patent or patent application within such [***], or (b) direct, support or actively assist any other Person (other than as may be necessary or reasonably required to assert a cross-claim or a counter-claim or to respond to a court request or order or administrative law request or order) in bringing or prosecuting any action or proceeding challenging or denying the validity of any claim within an issued patent or patent application within such [***], then unless, within thirty (30) days after written notice from Isis, Roche rescinds any actions brought by Roche, its Affiliates, or Sublicensees, Isis may, to the extent permitted under Applicable Law, terminate this Agreement and the provisions of Section 10.4.1 and Section 10.4.2 will apply; [***].
 
1
Confidential

Capitalized terms not otherwise defined herein will have the meanings given in the Agreement.

* - * - * - *
 
[Signature page follows]
 
2
IN WITNESS WHEREOF, the Parties have caused this Amendment to be executed by their duly authorized representatives as of the Amendment Date.

Isis Pharmaceuticals, Inc.
    
 
By:
/s/ B. Lynne Parshall
    
Name:
B. Lynne Parshall
    
Title:
Chief Operating Officer
    
Date:
        
       
F. Hoffman-La Roche Ltd
    
 
By:
/s/ Dr. Christoph Sarry
By:
/s/ Stefan Arnold
Name:
Dr. Christoph Sarry
Name:
Stefan Arnold
Title:
Global Alliance Director
Title:
Head Legal Pharma
Date:
12 January 2015
    
       
Hoffman-La Roche Inc.
    
 
By:
/s/ John P Parise
    
Name:
John P Parise
    
Title:
Authorized Signatory
    
Date:
Jan 12, 2015
    
 
 
3
 

4 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/21/24  Ionis Pharmaceuticals Inc.        10-K       12/31/23  103:18M
 2/22/23  Ionis Pharmaceuticals Inc.        10-K       12/31/22  110:25M
 2/25/22  Ionis Pharmaceuticals Inc.        10-K       12/31/21  106:22M
 2/24/21  Ionis Pharmaceuticals Inc.        10-K       12/31/20  111:23M
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Filing Submission 0000874015-15-000057   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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