REORGANIZATION AGREEMENT Dated as of July 29, 2015

EX-10.1 4 s000995x1_ex10-1.htm REORGANIZATION AGREEMENT

Exhibit 10.1

 

 

 

 

 

REORGANIZATION AGREEMENT

 




Dated as of July 29, 2015

 

 

 

 

 

 
 

TABLE OF CONTENTS

 

Pages

 

Article I DEFINITIONS 1
1.1    Certain Defined Terms 1
1.2    Terms Defined Elsewhere in this Agreement 3
1.3    Other Definitional and Interpretative Provisions 3
Article II THE REORGANIZATION 4
2.1    Reorganization Transactions 4
2.2    Other Transactions 6
2.3    Consent to Transactions 7
2.4    No Liabilities in Event of Termination; Certain Covenants 7
Article III REPRESENTATIONS AND WARRANTIES 8
3.1    Representations and Warranties 8
Article IV MISCELLANEOUS 9
4.1   Amendments and Waivers 9
4.2   Successors and Assigns 9
4.3    Notices 9
4.4   Further Assurances 10
4.5    Entire Agreement 10
4.6    Governing Law 11
4.7    Jurisdiction 11
4.8    WAIVER OF JURY TRIAL 11
4.9    Severability 11
4.10    Enforcement 11
4.11    Counterparts; Facsimile Signatures 11
4.12    Expenses 11

 

Schedules 

Schedule 1        -           Contributed Assets 

Schedule 2        -           Employee Benefit Plans of vTvx I and vTvx II

 

i
 

REORGANIZATION AGREEMENT

 

THIS REORGANIZATION AGREEMENT (this “Agreement”), dated as of July 29, 2015, by and among vTv Therapeutics Inc., a Delaware corporation (“Pubco”), vTv Therapeutics LLC, a Delaware limited liability company (the “Company”), vTvx Holdings I LLC, a Delaware limited liability company (“vTvx I”), vTvx Holdings II LLC, a Delaware limited liability company (“vTvx II”), and vTv Therapeutics Holdings LLC, a Delaware limited liability company (“Holdings”).

 

RECITALS

 

WHEREAS, the Board of Directors of Pubco (the “Board”) has determined to effect an underwritten initial public offering (the “IPO”) of Pubco’s Class A Common Stock (as defined below);

 

WHEREAS, the parties hereto desire to effect the Transactions (as defined below), including the Reorganization Transactions (as defined below), in contemplation of the IPO; and

 

WHEREAS, in connection with the IPO, the applicable parties hereto intend to enter into the Transactions.

 

NOW, THEREFORE, in consideration of the foregoing recitals and of the mutual promises hereinafter set forth, the parties hereto hereby agree as follows:

 

Article I

 

DEFINITIONS

 

1.1              Certain Defined Terms. As used herein, the following terms shall have the following meanings:

 

“Business Day” means a day, other than Saturday, Sunday or other day on which commercial banks in New York, New York are authorized or required by applicable law to close.

 

“Class A Common Stock” shall mean Class A Common Stock, par value $0.01 per share, of Pubco, having the rights set forth in the Amended and Restated Certificate of Incorporation.

 

“Class B Common Stock” shall mean Class B Common Stock, par value $0.01 per share, of Pubco, having the rights set forth in the Amended and Restated Certificate of Incorporation.

 

“Class M Common Unit” shall mean the Class M Common Unit of the Company, having the rights set forth in the Amended and Restated Company LLC Agreement.

 

 
 

“Effective Time” means the date and time on which the Registration Statement becomes effective.

 

“Exchange Act” means the Securities Exchange Act of 1934, as amended.

 

“Existing Certificate of Incorporation” means the Certificate of Incorporation of Pubco, as filed with the Secretary of State of the State of Delaware on April 2, 2015.

 

“Existing Company LLC Agreement” means the Operating Agreement of the Company, dated as of April 15, 2015, by Holdings as the sole member.

 

“IPO Closing” means the initial closing of the sale of the Class A Common Stock in the IPO.

 

“IPO Price Per Share” means the per share public offering price for the Class A Common Stock.

 

“Nonvoting Common Units” shall mean Nonvoting Common Units of the Company, having the rights set forth in the Amended and Restated Company LLC Agreement.

 

“Person” means any individual, firm, corporation, partnership, limited liability company, trust, estate, joint venture, governmental authority or other entity.

 

“Pricing” means such date and time as the Board or the pricing committee thereof determines to price the IPO.

 

“Registration Statement” means the registration statement on Form S-1 (File No. 333-204951) filed by Pubco under the Securities Act with the SEC to register the IPO.

 

“Reorganization Documents” means the Amended and Restated Certificate of Incorporation, the Amended and Restated By-laws, the Amended and Restated Company LLC Agreement, the Exchange Agreement, the Investor Rights Agreement, the Tax Receivable Agreement, the 2015 Omnibus Incentive Plan and all other agreements and documents entered into in connection with the Transactions.

 

“SEC” means the Securities and Exchange Commission.

 

“Securities Act” means the Securities Act of 1933, as amended.

 

2
 

1.2              Terms Defined Elsewhere in this Agreement(a). Each of the following terms is defined in the Section set forth opposite such term:

 

Term Section
2015 Omnibus Incentive Plan 2.2(d)
Agreement Preamble
Amended and Restated Certificate of Incorporation 2.1(a)
Amended and Restated Company LLC Agreement 2.1(c)
Board Recitals
Company Preamble
Contributed Assets 2.1(d)(i)
e-mail 4.3
Employee Transfer 2.1(d)(ii)
Exchange Agreement 2.2(a)
Holdings Preamble
Holdings Membership Interests 2.1(d)(iii)
Investor Rights Agreement 2.2(b)
IPO Recitals
Proceeds 2.2(f)
Pubco Preamble
Reorganization Transaction 2.1
Reorganization Transactions 2.1
Tax Receivable Agreement 2.2(c)
Transaction 2.2
Transactions 2.2
vTvx I Preamble
vTvx II Preamble

 

1.3              Other Definitional and Interpretative Provisions. The words “hereof”, “herein” and “hereunder” and words of like import used in this Agreement shall refer to this Agreement as a whole and not to any particular provision of this Agreement. The captions herein are included for convenience of reference only and shall be ignored in the construction or interpretation hereof. References to Articles, Sections, and Schedules are to Articles, Sections, and Schedules of this Agreement unless otherwise specified. All Schedules annexed hereto or referred to herein are hereby incorporated in and made a part of this Agreement as if set forth in full herein. The Reorganization Documents referred to herein are hereby incorporated in and made a part of this Agreement as if set forth in full herein. Any capitalized terms used in any Schedule but not otherwise defined therein, shall have the meaning as defined in this Agreement. Any singular term in this Agreement shall be deemed to include the plural, and any plural term the singular. Whenever the words “include”, “includes” or “including” are used in this Agreement, they shall be deemed to be followed by the words “without limitation”, whether or not they are in fact followed by those words or words of like import. “Writing”, “written” and comparable terms refer to printing, typing and other means of reproducing words (including electronic media) in a visible form. References to any statute shall be deemed to refer to such statute as amended from time to time and to any rules or regulations promulgated thereunder. References to any agreement or contract are to that agreement or contract as amended, modified or supplemented from time to time in accordance with the terms hereof and thereof. References to any Person include the successors and permitted assigns of that Person. References from or through any date mean, unless otherwise specified, from and including or through and including, respectively.

 

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Article II

 

THE REORGANIZATION

 

2.1              Reorganization Transactions. Subject to the terms and conditions hereinafter set forth, and on the basis of and in reliance upon the representations, warranties, covenants and agreements set forth herein, the parties hereto shall take the actions described in this Section 2.1 (each, a “Reorganization Transaction” and, collectively, the “Reorganization Transactions”), which shall be effective as of immediately after the Effective Time:

 

(a)                Filing of Amended and Restated Certificate of Incorporation. Pubco shall adopt and file with the Secretary of State of the State of Delaware an amended and restated certificate of incorporation of Pubco, substantially in the form filed as Exhibit 3.1 to the Registration Statement (the “Amended and Restated Certificate of Incorporation”).

 

(b)               Adoption of Amended and Restated By-laws. The Board shall adopt amended and restated by-laws of Pubco, substantially in the form filed as Exhibit 3.2 to the Registration Statement (the “Amended and Restated By-laws”).

 

(c)                Adoption of Amended and Restated Company LLC Agreement. The Company shall adopt the amended and restated limited liability company agreement of the Company, substantially in the form filed as Exhibit 10.3 to the Registration Statement (the “Amended and Restated Company LLC Agreement”).

 

(d)               Contribution of Contributed Assets and Employee Transfer. Immediately following the Reorganization Transactions described in Sections 2.1(a) through (c):

 

(i)                 vTvx I and vTvx II hereby contribute, assign, transfer and convey to Holdings all of the respective right, title, interest and obligations of vTvx I and vTvx II in their respective tangible and intangible assets set forth on Schedule 1 hereof, free and clear of all liens (other than those liens to be released pursuant to Section 2.2(e)), including all goodwill related to such assets and all goodwill of the businesses of vTvx I and vTvx II (such contributed assets, the “Contributed Assets”).

 

(ii)               vTvx I and vTvx II hereby assign and transfer to Holdings the employment of all employees of vTvx I and vTvx II and (A) all employment-related rights and obligations, including each employment agreement between vTvx I or vTvx II, on the one hand, and each employee thereof, on the other hand, (B) noncompetition, nonsolicitation and nondisclosure agreements with respect to the employees and former employees of vTvx I and vTvx II and (C) all employee benefit plans set forth on Schedule 1 hereof (collectively, the “Employee Transfer”).

 

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(iii)             In consideration for the Contributed Assets and the Employee Transfer, Holdings hereby issues 95 of its membership interests (“Holdings Membership Interests”) to vTvx I and 5 Holdings Membership Interests to vTvx II.

 

(iv)             Holdings hereby acknowledges its right to receive the Contributed Assets from vTvx I and vTvx II and, for administrative convenience, hereby irrevocably directs vTvx I and vTvx II to contribute, assign, transfer and convey the Contributed Assets directly to the Company for and on behalf of Holdings in lieu of the Contributed Assets being contributed, assigned, transferred and conveyed to Holdings.

 

(v)               Holdings acknowledges its rights to receive the Employee Transfer from vTvx I and vTvx II and, for administrative convenience, hereby irrevocably directs vTvx I and vTvx II to contribute, assign, transfer and convey the Employee Transfer directly to the Company for and on behalf of Holdings in lieu of the Employee Transfer being contributed, assigned, transferred and conveyed to Holdings.  vTvx I, vTvx II and the Company acknowledge and agree that if the Company determines that in connection with the Employee Transfer, a transition service period not to exceed four months is necessary or desirable, then such employees shall be permitted to continue their participation in the employee benefit plans of vTvx I and vTvx II as set forth on Schedule 2 during such period and the Company, vTvx I and vTvx II will enter into a customary transition services agreement.

 

(vi)             The Company hereby accepts and acquires the Contributed Assets and the Employee Transfer and all of the respective right, title, interest and obligations of vTvx I and vTvx II in the Contributed Assets and the Employee Transfer. In consideration for its receipt of the Contributed Assets and the Employee Transfer, the Company hereby: (A) issues (x) to Holdings 25,000,000 Nonvoting Common Units and (B) to Pubco, a wholly owned subsidiary of Holdings, one Class M Common Unit; (B) assumes all liabilities of vTvx I and vTvx II with respect to the Contributed Assets and the Employee Transfer; (C) covenants and agrees to discharge, perform and comply with and to be bound by all the terms, conditions, provisions, obligations, covenants and duties of vTvx I and vTvx II under all contracts and agreements included in the Contributed Assets and the Employee Transfer as if the Company were an original party thereto; and (D) agrees to indemnify and hold harmless vTvx I and vTvx II for any and all liabilities of vTvx I or vTvx II, known or unknown, that currently exist or may arise in the future with respect to the Contributed Assets and the Employee Transfer.

 

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(e)                Issuance of Class B Common Stock to Holdings. In connection with the filing of the Amended and Restated Certificate of Incorporation, Pubco hereby issues to Holdings 25,000,000 shares of Class B Common Stock and all of the issued and outstanding common stock of Pubco held by MacAndrews & Forbes Incorporated pursuant to the Existing Certificate of Incorporation shall be cancelled.

 

2.2              Other Transactions. In connection with the Reorganization Transactions set forth above, the parties hereto shall, in connection therewith, take the following actions described in this Section 2.2 (together with the Reorganization Transactions, the “Transactions” and each a “Transaction”):

 

(a)                Exchange Agreement. In connection with the issuance of Class B Common Stock and Nonvoting Common Units to Holdings as provided in Section 2.1, Holdings, the Company and Pubco hereby enter into that certain Exchange Agreement, substantially in the form filed as Exhibit 10.4 to the Registration Statement (the “Exchange Agreement”).

 

(b)               Investor Rights Agreement. In connection with the issuance of Class B Common Stock and Nonvoting Common Units to Holdings as provided in Section 2.1, Holdings, Pubco, and the Company shall enter into an Investor Rights Agreement, substantially in the form filed as Exhibit 10.2 to the Registration Statement (the “Investor Rights Agreement”).

 

(c)                Tax Receivable Agreement. In connection with the issuance of Class B Common Stock and Nonvoting Common Units to Holdings as provided in Section 2.1, Pubco and Holdings shall enter into a Tax Receivable Agreement, substantially in the form filed as Exhibit 10.5 to the Registration Statement (the “Tax Receivable Agreement”).

 

(d)               2015 Omnibus Incentive Plan. Pubco hereby enters into the 2015 Omnibus Equity Incentive Plan, substantially in the form filed as Exhibit 10.11 to the Registration Statement (the “2015 Omnibus Incentive Plan”).

 

(e)                Intellectual Property Assignment Agreements and Lien Releases. Following the date hereof, vTvx I, vTvx II and the Company shall take all such steps and actions, and provide such cooperation and assistance to each such party and its respective successors, assigns and legal representatives, including the execution and delivery of any affidavits, declarations, oaths, exhibits, assignments, agreements, lien releases, powers of attorney, or other documents, as may be necessary to (i) release and terminate any and all liens and security interests filed against the patents, trademarks, copyrights, domain names (and any registrations or applications thereof) and any other intellectual property that is a Contributed Asset, or (ii) effect, evidence or perfect the transfer and assignment of the patents, trademarks, copyrights, domain names (and any registrations or applications thereof) and any other intellectual property that is a Contributed Asset from each of vTvx I and vTvx II to the Company or any assignee or successor thereto, including by executing and filing short-form intellectual property lien releases and/or short-form intellectual property assignment agreements in the United States Patent and Trademark Office, the United States Copyright Office and any applicable foreign intellectual property or equivalent office.

 

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(f)                Issuance of Nonvoting Common Units to Pubco. Immediately following the IPO Closing, Pubco shall use the net proceeds (after payment of all fees and expenses in connection with the IPO) from the IPO (the “Proceeds”) to purchase from the Company a number of Nonvoting Common Units equal to the number of shares of Class A Common Stock issued in the IPO. Upon receipt of the Proceeds from Pubco, the Company shall issue to Pubco the number of Nonvoting Common Units set forth in the immediately preceding sentence.

 

2.3              Consent to Transactions.

 

(a)                Each of the parties hereto hereby acknowledges, agrees and consents to all of the Transactions. Each of the parties hereto shall take all reasonable action necessary or appropriate in order to effect, or cause to be effected, to the extent within its control, each of the Transactions and the IPO.

 

(b)               The parties hereto shall deliver to each other, as applicable, prior to or at the Effective Time, each of the Reorganization Documents to which it is a party, together with any other documents and instruments necessary or appropriate to be delivered in connection with the Transactions.

 

2.4              No Liabilities in Event of Termination; Certain Covenants.

 

(a)                In the event that the IPO is abandoned or, unless the Board, the Company and Holdings otherwise agree, the IPO Closing has not occurred by September 30, 2015, (a) this Agreement shall automatically terminate and be of no further force or effect except for this Section 2.4 and Sections 4.1, 4.2, 4.3, 4.6, 4.7, 4.8, 4.9, 4.10, 4.11 and 4.12 and (b) there shall be no liability on the part of any of the parties hereto, except that such termination shall not preclude any party from pursuing judicial remedies for damages and/or other relief as a result of the breach by the other parties of any representation, warranty, covenant or agreement contained herein prior to such termination.

 

(b)               In the event that this Agreement is terminated for any reason after the consummation of any Transaction, but prior to the consummation of all of the Transactions, the parties agree, as applicable, to cooperate and work in good faith to execute and deliver such agreements and consents and amend such documents and to effect such transactions or actions as may be necessary to re-establish the rights, preferences and privileges that the parties hereto had prior to the consummation of the Transactions, or any part thereof, including, without limitation, voting any and all securities owned by such party in favor of any amendment to any organizational document and in favor of any transaction or action necessary to re-establish such rights, powers and privileges and causing to be filed all necessary documents with any governmental authority necessary to reestablish such rights, preferences and privileges.

 

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(c)                For the avoidance of doubt, each party hereto acknowledges and agrees that until the consummation of the Transactions: (i) the parties hereto shall not receive or lose any voting, governance or similar rights in connection with this Agreement or the Transactions and (ii) the rights of the parties hereto under the Existing Company LLC Agreement shall not be effected.

 

Article III

 

REPRESENTATIONS AND WARRANTIES

 

3.1              Representations and Warranties. Each party hereto hereby represents and warrants to all of the other parties hereto as follows:

 

(a)                The execution, delivery and performance by such party of this Agreement and of the applicable Reorganization Documents, to the extent a party thereto, has been or prior to the Effective Time will be duly authorized by all necessary action. If such party is not an individual, such party is duly organized, validly existing and in good standing under the laws of its jurisdiction of organization or incorporation;

 

(b)               Such party has or prior to the Effective Time will have the requisite power, authority, legal right and, if such party is an individual, legal capacity, to execute and deliver this Agreement and each of the Reorganization Documents, to the extent a party thereto, and to consummate the transactions contemplated hereby and thereby, as the case may be;

 

(c)                This Agreement and each of the Reorganization Documents to which it is a party has been (or when executed will be) duly executed and delivered by such party and constitutes the legal, valid and binding obligation of such party, enforceable against such party in accordance with its terms, subject to (i) the effects of bankruptcy, insolvency, fraudulent conveyance, reorganization, moratorium and other similar laws relating to or affecting creditors’ rights generally, (ii) general equitable principles (whether considered in a proceeding in equity or at law) and (iii) an implied covenant of good faith and fair dealing; and

 

(d)               Neither the execution, delivery and performance by such party of this Agreement and the applicable Reorganization Documents, to the extent a party thereto, nor the consummation by such party of the transactions contemplated hereby, nor compliance by such party with the terms and provisions hereof, will, directly or indirectly (with or without notice or lapse of time or both), (i) if such party is not an individual, contravene or conflict with, or result in a breach or termination of, or constitute a default under (or with notice or lapse of time or both, result in the breach or termination of or constitute a default under) the organizational documents of such party, (ii) constitute a violation by such party of any existing requirement of law applicable to such party or any of its properties, rights or assets or (iii) require the consent or approval of any Person, except, in the case of clauses (ii) and (iii), as would not reasonably be expected to result in, individually or in the aggregate, a material adverse effect on the ability of such party to consummate the transactions contemplated by this Agreement.

 

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Article IV

 

MISCELLANEOUS

 

4.1              Amendments and Waivers. This Agreement may be modified, amended or waived only with the written approval of Pubco, the Company, and Holdings; provided, however, that any modification, amendment or waiver that would affect any other party hereto in a manner materially and disproportionately adverse to such party shall be effective against such party so materially and adversely affected only with the prior written consent of such party, such consent not to be unreasonably withheld or delayed. The failure of any party to enforce any of the provisions of this Agreement shall in no way be construed as a waiver of such provisions and shall not affect the right of such party thereafter to enforce each and every provision of this Agreement in accordance with its terms. Notwithstanding anything to the contrary in this Section 4.1, nothing in this Section 4.1 shall be deemed to contradict the provisions of Section 2.4 hereof.

 

4.2              Successors and Assigns. This Agreement shall bind and inure to the benefit of and be enforceable by the parties hereto and their respective successors and permitted assigns. If and to the extent Holdings is dissolved or liquidated, MacAndrews & Forbes Incorporated and M&F TTP Holdings LLC and each of their respective affiliates (other than Pubco and its subsidiaries) holding shares of Pubco shall be the successors of Holdings, and references to “Holdings” herein shall be references to such successors of Holdings, collectively, and the Pubco shall (and shall cause its subsidiaries to) enter into such amendments and supplements hereto to effectuate the intent of this Section 4.2.

 

4.3              Notices. All notices, requests and other communications to any party hereunder shall be in writing (including facsimile transmission and electronic mail (“e-mail”) transmission, so long as a receipt of such e-mail is requested and not received by automated response). All such notices, requests and other communications shall be deemed received on the date of receipt by the recipient thereof if received prior to 5:00 p.m. on a Business Day in the place of receipt. Otherwise, any such notice, request or communication shall be deemed to have been received on the next succeeding Business Day in the place of receipt. All such notices, requests and other communications to any party hereunder shall be given to such party as follows:

 

If to Pubco or the Company addressed to it at:

Stephen L. Holcombe, President and CEO 

4170 Mendenhall Oaks Parkway 

High Point, NC 27265 

Facsimile: (336) 841-0310 

E-mail:   ***@***

 

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With copies (which shall not constitute notice) to:

Paul, Weiss, Rifkind, Wharton & Garrison LLP
1285 Avenue of the Americas
New York, NY 10019-6064
Facsimile No.: (212) 757-3990
Attention:  Angelo Bonvino 

                  Lawrence G. Wee
E-mail:       ***@*** 

                   ***@***

 

If to Holdings, vTvx I or vTvx II addressed to it at:

 

c/o MacAndrews & Forbes Incorporated 

35 East 62nd Street 

New York, NY 10065 

Attention: Paul G. Savas 

Facsimile: (212) 572-5695

 

With copies (which shall not constitute notice) to:

Paul, Weiss, Rifkind, Wharton & Garrison LLP
1285 Avenue of the Americas
New York, NY 10019-6064
Facsimile No.: (212) 757-3990
Attention:  Angelo Bonvino 

                  Lawrence G. Wee
E-mail:       ***@*** 

                   ***@***

 

4.4              Further Assurances. At any time or from time to time after the date hereof, the parties agree to cooperate with each other, and at the request of any other party, to execute and deliver any further instruments or documents and to take all such further action as the other party may reasonably request in order to evidence or effectuate the consummation of the transactions contemplated hereby and to otherwise carry out the intent of the parties hereunder.

 

4.5              Entire Agreement. Except as otherwise expressly set forth herein, this Agreement, together with the Reorganization Documents, embodies the complete agreement and understanding among the parties hereto with respect to the subject matter hereof and supersedes and preempts any prior understandings, agreements or representations by or among the parties, written or oral, that may have related to the subject matter hereof in any way.

 

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4.6              Governing Law. This Agreement shall be governed in all respects by the laws of the State of Delaware, without regard to the conflicts of law rules of such State that would result in the application of the laws of any other State.

 

4.7              Jurisdiction. The parties hereto agree that any suit, action or proceeding seeking to enforce any provision of, or based on any matter arising out of or in connection with, this Agreement or the transactions contemplated hereby (whether brought by any party or any of its affiliates or against any party or any of its affiliates) shall be brought in the Delaware Chancery Court or, if such court shall not have jurisdiction, any federal court located in the State of Delaware or other Delaware state court, and each of the parties hereby irrevocably consents to the jurisdiction of such courts (and of the appropriate appellate courts therefrom) in any such suit, action or proceeding and irrevocably waives, to the fullest extent permitted by law, any objection that it may now or hereafter have to the laying of the venue of any such suit, action or proceeding in any such court or that any such suit, action or proceeding brought in any such court has been brought in an inconvenient forum. Process in any such suit, action or proceeding may be served on any party anywhere in the world, whether within or without the jurisdiction of any such court. Without limiting the foregoing, each party agrees that service of process on such party as provided in Section 4.3 shall be deemed effective service of process on such party.

 

4.8              WAIVER OF JURY TRIAL. EACH OF THE PARTIES HERETO HEREBY IRREVOCABLY WAIVES ANY AND ALL RIGHT TO TRIAL BY JURY IN ANY LEGAL PROCEEDING ARISING OUT OF OR RELATED TO THIS AGREEMENT OR THE TRANSACTIONS CONTEMPLATED HEREBY.

 

4.9              Severability. Whenever possible, each provision of this Agreement shall be interpreted in such manner as to be effective and valid under applicable law, but if any provision of this Agreement is held to be invalid, illegal or unenforceable in any respect under any applicable law or rule in any jurisdiction, such invalidity, illegality or unenforceability shall not affect any other provision or any other jurisdiction, but this Agreement shall be reformed, construed and enforced in such jurisdiction as if such invalid, illegal or unenforceable provision had never been contained herein.

 

4.10           Enforcement. Each party hereto acknowledges that money damages would not be an adequate remedy in the event that any of the covenants or agreements in this Agreement are not performed in accordance with its terms, and it is therefore agreed that in addition to and without limiting any other remedy or right it may have, the non-breaching party will have the right to an injunction, temporary restraining order or other equitable relief in any court of competent jurisdiction enjoining any such breach and enforcing specifically the terms and provisions hereof.

 

4.11           Counterparts; Facsimile Signatures. This Agreement may be executed in any number of counterparts, each of which shall be an original, but all of which together shall constitute one instrument. This Agreement may be executed by facsimile, e-mail or .pdf format signature(s).

 

4.12           Expenses. Unless otherwise provided in the Reorganization Documents, all costs and expenses incurred in connection with the negotiation and execution of this Agreement and the transactions contemplated by this Agreement shall be paid by the party incurring such cost or expense.

 

[Signature Page Follows]

 

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

 

  VTV THERAPEUTICS INC.
       
  By: /s/ Stephen L. Holcombe
    Name: Stephen L. Holcombe
    Title: President and Chief Executive Officer
       
       
  VTV THERAPEUTICS LLC
       
  By: /s/ Stephen L. Holcombe
    Name: Stephen L. Holcombe
    Title: President and Chief Executive Officer
       
       
  VTV THERAPEUTICS HOLDINGS LLC
       
  By: /s/ Stephen L. Holcombe
    Name: Stephen L. Holcombe
    Title: President
       
       
  VTVX HOLDINGS I LLC
       
  By: /s/ Stephen L. Holcombe
    Name: Stephen L. Holcombe
    Title: President
       
       
  VTVX HOLDINGS II LLC
       
  By: /s/ Stephen L. Holcombe
    Name: Stephen L. Holcombe
    Title: President

 

[Signature Page to the Reorganization Agreement]

 

 
 

Schedule 1

 

Contributed Assets

 

(See attached.)

 

 
 

Schedule 1

 

Contributed Assets

 

Assets Transferred from vTvx Holdings I LLC

 

INDs and Similar Assets:

 

Program Compound IND / File # Holder
GK TTP355 CTA 9727-T1006-24C vTvx Holdings I LLC
GK TTP399 IND 78,649 vTvx Holdings I LLC
GK TTP547 IND 101,790 vTvx Holdings I LLC
GLP TTP054 IND 107,972; and CTA 9727-T1006-25C vTvx Holdings I LLC
GLP TTP273 IND 115,859 vTvx Holdings I LLC
RAGE TTP488 IND 68,445; and CTA 9427-T1538-21C vTvx Holdings I LLC
PTP1B TTP814 CTA 9427-T1006-23C vTvx Holdings I LLC
RAGE TTP4000 IND 108,330 vTvx Holdings I LLC
Factor IX TTP889 IND 62,132; and IND 101,833 vTvx Holdings I LLC
AgRP TTP435 IND 103,677; and CTA 9427-T1006-24C vTvx Holdings I LLC

 

Trademarks:

 

Trademark Applicant Application No. Status
TTPREDICT vTvx Holdings I LLC 76/406,330 Registered
TTP TRANSLATIONAL TECHNOLOGY vTvx Holdings I LLC 76/406,371 Registered
TTPSPACE vTvx Holdings I LLC 76/406,372 Registered
TTPOSTGENE vTvx Holdings I LLC 76/406,409 Registered
TTPSCREEN vTvx Holdings I LLC 76/406,412 Registered

 

Copyrights:

 

Author Title Copyright Year Registration Number Owner
Sawafta et al. TTPScreen Software Program 2002 TXU1-052-385 vTvx Holdings I LLC
Sawafta et al. TTPredict Software Program 2002 TXU1-040-852 vTvx Holdings I LLC

 

 
 

 

Domain Names:

 

Owner Domain Name Status
vTvx Holdings I LLC AZELIRAGON.BIZ Registered
vTvx Holdings I LLC AZELIRAGON.COM Registered
vTvx Holdings I LLC AZELIRAGON.INFO Registered
vTvx Holdings I LLC AZELIRAGON.NET Registered
vTvx Holdings I LLC LIVINGSTEADFAST.CO Registered
vTvx Holdings I LLC LIVINGSTEADFAST.COM Registered
vTvx Holdings I LLC LIVINGSTEADFAST.INFO Registered
vTvx Holdings I LLC LIVINGSTEADFAST.NET Registered
vTvx Holdings I LLC LIVINGSTEADFAST.ORG Registered
vTvx Holdings I LLC LIVINGSTEADFAST.US Registered
vTvx Holdings I LLC MYAGATA.COM Registered
vTvx Holdings I LLC MYAGATA.INFO Registered
vTvx Holdings I LLC MYAGATA.NET Registered
vTvx Holdings I LLC MYAGATA.ORG Registered
vTvx Holdings I LLC MYAGATA.US Registered
vTvx Holdings I LLC STEADFASTALZHEIMERS.CO Registered
vTvx Holdings I LLC STEADFASTALZHEIMERS.COM Registered
vTvx Holdings I LLC STEADFASTALZHEIMERS.INFO Registered
vTvx Holdings I LLC STEADFASTALZHEIMERS.NET Registered
vTvx Holdings I LLC STEADFASTALZHEIMERS.ORG Registered
vTvx Holdings I LLC STEADFASTALZHEIMERS.US Registered
vTvx Holdings I LLC TTPREDICT.XXX Registered
vTvx Holdings I LLC TTPSCREEN.XXX Registered
vTvx Holdings I LLC TTPSPACE.XXX Registered
vTvx Holdings I LLC TTPTRANSLATIONALTECHNOLOGY.XXX Registered
vTvx Holdings I LLC VTV.NET Registered
vTvx Holdings I LLC VTVTHERA.COM Registered
vTvx Holdings I LLC VTVTHERA.NET Registered
vTvx Holdings I LLC VTVTHERAPEUTICS.COM Registered
vTvx Holdings I LLC VTVTHERAPEUTICS.NET Registered
vTvx Holdings I LLC VTVT.NET Registered

 

 
 

 

Patents:

 

File No. Country Owner Application No. Patent No.
2001-04-US-B United States vTvx Holdings I LLC 12/901,133  
2002-04-US-A United States vTvx Holdings I LLC 10/411,568 7,146,384
0378.204-AU Australia vTvx Holdings I LLC 2013262895  
0378.204-BR Brazil vTvx Holdings I LLC BR1120140286221  
0378.204-CA Canada vTvx Holdings I LLC 2872021  
0378.204-CN China vTvx Holdings I LLC 201380024802.X  
0378.204-EA Eurasia vTvx Holdings I LLC 201492109  
0378.204-HK Hong Kong vTvx Holdings I LLC 15103235.2  
0378.204-IL Israel vTvx Holdings I LLC 235484  
0378.204-IN India vTvx Holdings I LLC 9554/DELNP/2014  
0378.204-JP Japan vTvx Holdings I LLC 2015-512779  
0378.204-KR South Korea vTvx Holdings I LLC 10 ###-###-####  
0378.204-MX Mexico vTvx Holdings I LLC MX/a/2014/013105  
0378.204-NZ New Zealand vTvx Holdings I LLC 701802  
0378.204-SG Singapore vTvx Holdings I LLC 11201406987U  
0378.204-US United States vTvx Holdings I LLC 14/071,976  
0378.204-ZA South Africa vTvx Holdings I LLC 2014/07864  
0378.205-EP Europe vTvx Holdings I LLC 13726933.8  
0379.204-PCT PCT Application vTvx Holdings I LLC PCT/US2014/019349  
2010-05-AU-A Australia vTvx Holdings I LLC 2011258460 2011258460
2010-05-BR-A Brazil vTvx Holdings I LLC BR1120120298445  
2010-05-CA-A Canada vTvx Holdings I LLC 2799591  
2010-05-CN-A China vTvx Holdings I LLC 201180025744.3 ZL201180025744.3
2010-05-EA-A Eurasia vTvx Holdings I LLC 201201617  
2010-05-EP-A Europe vTvx Holdings I LLC 11787250.7  
2010-05-GCC-A Gulf Cooperation Council vTvx Holdings I LLC GC 2011-18476  
2010-05-HK-A Hong Kong vTvx Holdings I LLC 13108290.5  
2010-05-IL-A Israel vTvx Holdings I LLC 223137  
2010-05-IN-A India vTvx Holdings I LLC 10658/CHENP/2012  
2010-05-JP-A Japan vTvx Holdings I LLC 2013-512164  
2010-05-KR-A South Korea vTvx Holdings I LLC 10 ###-###-####  
2010-05-MX-A Mexico vTvx Holdings I LLC MX/a/2012/013617  
2010-05-NZ-A New Zealand vTvx Holdings I LLC 603614 603614
2010-05-SG-A Singapore vTvx Holdings I LLC 201208508-0 185660
2010-05-TW-A Taiwan vTvx Holdings I LLC 100118368  
2010-05-US-A United States vTvx Holdings I LLC 13/114,964  
2010-05-ZA-A South Africa vTvx Holdings I LLC 2012/08834  
2013-02-PCT PCT Application vTvx Holdings I LLC PCT/US2014/019363  
 
 
File No. Country Owner Application No. Patent No.
6694.214-US United States vTvx Holdings I LLC 12/895,761 8,148,413
6808.205-BG Bulgaria vTvx Holdings I LLC 5700554.8 1723128
6808.205-CY Cyprus vTvx Holdings I LLC 5700554.8 1723128 (CY1113736)
6808.205-EE Estonia vTvx Holdings I LLC 5700554.8 1723128
6808.205-HK Hong Kong vTvx Holdings I LLC 7107531.4 HK1103074
6808.205-IS Iceland vTvx Holdings I LLC 5700554.8 1723128
6808.205-LT Lithuania vTvx Holdings I LLC 5700554.8 1723128
6808.205-LU Luxembourg vTvx Holdings I LLC 5700554.8 1723128
6808.205-MC Monaco vTvx Holdings I LLC 5700554.8 1723128
6808.205-RO Romania vTvx Holdings I LLC 5700554.8 1723128
6808.205-SI Slovenia vTvx Holdings I LLC 5700554.8 1723128
6808.205-SK Slovakia vTvx Holdings I LLC 5700554.8 1723128 (E13998 T3)
6937.204-MX Mexico vTvx Holdings I LLC MX/a/2007/006420 303022
6937.204-US United States vTvx Holdings I LLC 11/791,200 8,148,412
7112.204-AU Australia vTvx Holdings I LLC 2006268589 2006268589
7112.204-BR Brazil vTvx Holdings I LLC PI0612996-0  
7112.204-CA Canada vTvx Holdings I LLC 2615938 2,615,938
7112.204-CN China vTvx Holdings I LLC 200680033512.1 ZL200680033512.1
7112.204-IL Israel vTvx Holdings I LLC 188244 188244
7112.204-IN India vTvx Holdings I LLC 10025/DELNP/2007  
7112.204-KR South Korea vTvx Holdings I LLC 10 ###-###-#### 10-1446973
7112.204-MX Mexico vTvx Holdings I LLC MX/a/2008/000255 305666
7112.204-RU Russia vTvx Holdings I LLC 2007147046 2443691
7112.204-ZA South Africa vTvx Holdings I LLC 2008/00341 2008/00341
7112.205-HK Hong Kong vTvx Holdings I LLC 8112906 HK1121744
7127.204-US United States vTvx Holdings I LLC 12/298,840 8,211,925
7209.204-US United States vTvx Holdings I LLC 11/994,728 7,582,769
7563.204-AU Australia vTvx Holdings I LLC 2008-204530 2008204530
7563.204-CA Canada vTvx Holdings I LLC 2675111  
7563.204-IL Israel vTvx Holdings I LLC 199615  
7563.204-IN India vTvx Holdings I LLC 4486/DELNP/2009  
2008-03-AU-A Australia vTvx Holdings I LLC 2009221722 2009221722
2008-03-BR-A Brazil vTvx Holdings I LLC PI0910282-5  
2008-03-CA-A Canada vTvx Holdings I LLC 2716664  
2008-03-CN-A China vTvx Holdings I LLC 200980108115.X ZL200980108115.X
2008-03-EA-A Eurasia vTvx Holdings I LLC 201071045 18225
2008-03-EP-A Europe vTvx Holdings I LLC 9718287.7  
2008-03-HK-A Hong Kong vTvx Holdings I LLC 11102525.7  
2008-03-IL-A Israel vTvx Holdings I LLC 207570 207570
2008-03-IN-A India vTvx Holdings I LLC 6085/DELNP/2010  
 
 
File No. Country Owner Application No. Patent No.
2008-03-JP-A Japan vTvx Holdings I LLC 2010-549910 5382952
2008-03-KR-A South Korea vTvx Holdings I LLC 10 ###-###-####  
2008-03-ME-A Montenegro vTvx Holdings I LLC P-2010-143 1018
2008-03-MO-A Macau vTvx Holdings I LLC J/001523  
2008-03-MX-A Mexico vTvx Holdings I LLC MX/a/2010/009752 300256
2008-03-NZ-A New Zealand vTvx Holdings I LLC 587343 587343
2008-03-SG-A Singapore vTvx Holdings I LLC 201006155-4 164144 [WO 2009/111700]
2008-03-US-A United States vTvx Holdings I LLC 12/399,504 7,727,983
2008-03-US-B United States vTvx Holdings I LLC 12/759,010 7,790,714
2008-03-US-C United States vTvx Holdings I LLC 12/849,225 7,906,507
2008-03-US-D United States vTvx Holdings I LLC 12/872,580 8,524,708
2008-03-US-E United States vTvx Holdings I LLC 13/956,578 8,703,766
2008-03-US-F United States vTvx Holdings I LLC 14/197,771 8,933,222
2008-03-US-G United States vTvx Holdings I LLC 14/556,837  
2008-03-ZA-A South Africa vTvx Holdings I LLC 2010/06367 2010/06367
2008-06-US-A United States vTvx Holdings I LLC 12/936,434 8,718,994
2009-01-AU-A Australia vTvx Holdings I LLC 2010232750  
2009-01-BR-A Brazil vTvx Holdings I LLC PI1013579-0  
2009-01-CA-A Canada vTvx Holdings I LLC 2757084  
2009-01-CN-A China vTvx Holdings I LLC 201080015264.4 ZL201080015264.4
2009-01-EA-A Eurasia vTvx Holdings I LLC 201171197  
2009-01-EP-A Europe vTvx Holdings I LLC 10779665.8  
2009-01-HK-A Hong Kong vTvx Holdings I LLC 12104614.4  
2009-01-IL-A Israel vTvx Holdings I LLC 214822  
2009-01-IN-A India vTvx Holdings I LLC 6636/DELNP/2011  
2009-01-JP-A Japan vTvx Holdings I LLC 2012-503599  
2009-01-KR-A South Korea vTvx Holdings I LLC 10 ###-###-####  
2009-01-MO-A Macau vTvx Holdings I LLC J/001320 J/1320
2009-01-MX-A Mexico vTvx Holdings I LLC MX/a/2011/010347 320199
2009-01-SG-A Singapore vTvx Holdings I LLC 201106311-2 174205
2009-01-US-A United States vTvx Holdings I LLC 12/825,631 8,383,644
2009-01-US-B United States vTvx Holdings I LLC 13/707,265 8,987,295
2009-01-US-C United States vTvx Holdings I LLC 14/603,556  
2009-01-ZA-A South Africa vTvx Holdings I LLC 2011/06441  
2011-01-US-A United States vTvx Holdings I LLC 13/934,491  
2012-01-AU-A Australia vTvx Holdings I LLC 2013235167  
2012-01-BR-A Brazil vTvx Holdings I LLC BR1120140227438  
2012-01-CA-A Canada vTvx Holdings I LLC 2868033  
2012-01-CN-A China vTvx Holdings I LLC 201380015508.2  
2012-01-EA-A Eurasia vTvx Holdings I LLC 201491749  
 
 
File No. Country Owner Application No. Patent No.
2012-01-EP-A Europe vTvx Holdings I LLC 13765015.6  
2012-01-HK-A Hong Kong vTvx Holdings I LLC 14112910.6  
2012-01-IL-A Israel vTvx Holdings I LLC 234615  
2012-01-IN-A India vTvx Holdings I LLC 7867/DELNP/2014  
2012-01-JP-A Japan vTvx Holdings I LLC 2015-501876  
2012-01-KR-A South Korea vTvx Holdings I LLC 10 ###-###-####  
2012-01-MX-A Mexico vTvx Holdings I LLC MX/a/2014/010366  
2012-01-NZ-A New Zealand vTvx Holdings I LLC 629203  
2012-01-SG-A Singapore vTvx Holdings I LLC 11201405353V  
2012-01-US-A United States vTvx Holdings I LLC 14/489,890  
2012-01-ZA-A South Africa vTvx Holdings I LLC 2014/06521  
2013-01-AU-A Australia vTvx Holdings I LLC 2014207748  
2013-01-CA-A Canada vTvx Holdings I LLC    
2013-01-NZ-A New Zealand vTvx Holdings I LLC 709129  
2013-01-SG-A Singapore vTvx Holdings I LLC    
2000-02-US-A United States vTvx Holdings I LLC 09/799,152 6,908,741
2001-21-US-A United States vTvx Holdings I LLC 10/091,759 7,423,177
2002-01-AT-A Austria vTvx Holdings I LLC 3713918.5 1482931 (E529110)
2002-01-AU-A Australia vTvx Holdings I LLC 2003217943 2003217943
2002-01-AU-B Australia vTvx Holdings I LLC 2007202350 2007202350
2002-01-AU-C Australia vTvx Holdings I LLC 2009202814 2009202814
2002-01-BE-A Belgium vTvx Holdings I LLC 3713918.5 1482931
2002-01-CA-A Canada vTvx Holdings I LLC 2476594 2,476,594
2002-01-CH-A Switzerland vTvx Holdings I LLC 3713918.5 1482931
2002-01-CN-A China vTvx Holdings I LLC 3805204 ZL 03805204.0
2002-01-DE-A Germany vTvx Holdings I LLC 3713918.5 1482931 (60338810.8)
2002-01-DK-A Denmark vTvx Holdings I LLC 3713918.5 1482931 (DK/EP1482931)
2002-01-EP-A Europe vTvx Holdings I LLC 3713918.5 1482931
2002-01-ES-A Spain vTvx Holdings I LLC 3713918.5 1482931 (2373875)
2002-01-FR-A France vTvx Holdings I LLC 3713918.5 1482931
2002-01-GB-A United Kingdom vTvx Holdings I LLC 3713918.5 1482931
2002-01-HK-A Hong Kong vTvx Holdings I LLC 5103177.4 HK1069549
2002-01-IE-A Ireland vTvx Holdings I LLC 3713918.5 1482931
2002-01-IT-A Italy vTvx Holdings I LLC 3713918.5 1482931 (47615 BE/2012)
2002-01-JP-A Japan vTvx Holdings I LLC 2003-574195 4481011
2002-01-LU-A Luxembourg vTvx Holdings I LLC 3713918.5 1482931
2002-01-MC-A Monaco vTvx Holdings I LLC 3713918.5 1482931
2002-01-MO-A Macau vTvx Holdings I LLC J/000383 J/000383
2002-01-NL-A Netherlands vTvx Holdings I LLC 3713918.5 1482931
 
 
File No. Country Owner Application No. Patent No.
2002-01-SE-A Sweden vTvx Holdings I LLC 3713918.5 1482931
2002-01-US-A United States vTvx Holdings I LLC 10/382,203 7,361,678
2002-01-US-B United States vTvx Holdings I LLC 11/511,163 7,714,013
2002-01-US-C United States vTvx Holdings I LLC 11/800,085 7,737,285
2007-01-CA-A Canada vTvx Holdings I LLC 2681864  
2007-01-US-A United States vTvx Holdings I LLC 12/046,872 7,884,219
2007-01-US-B United States vTvx Holdings I LLC 12/982,775 8,372,988
2009-03-CA-A Canada vTvx Holdings I LLC 2772797  
2009-03-CH-A Switzerland vTvx Holdings I LLC 10757925.2 2470510
2009-03-DE-A Germany vTvx Holdings I LLC 10757925.2 2470510 (602010016110.2)
2009-03-EP-A Europe vTvx Holdings I LLC 10757925.2 2470510
2009-03-ES-A Spain vTvx Holdings I LLC 10757925.2 2470510
2009-03-FR-A France vTvx Holdings I LLC 10757925.2 2470510
2009-03-GB-A United Kingdom vTvx Holdings I LLC 10757925.2 2470510
2009-03-IE-A Ireland vTvx Holdings I LLC 10757925.2 2470510
2009-03-IT-A Italy vTvx Holdings I LLC 10757925.2 2470510 (69561 BE/2014)
2009-03-JP-A Japan vTvx Holdings I LLC 2012-532199  
2009-03-TW-A Taiwan vTvx Holdings I LLC 99132288  
2009-03-US-A United States vTvx Holdings I LLC 12/888,660 8,580,833
2009-03-US-B United States vTvx Holdings I LLC 14/049,261  
2010-01-CA-A Canada vTvx Holdings I LLC 2788355  
2010-01-CH-A Switzerland vTvx Holdings I LLC 11745116.1  
2010-01-DE-A Germany vTvx Holdings I LLC 11745116.1  
2010-01-EP-A Europe vTvx Holdings I LLC 11745116.1  
2010-01-ES-A Spain vTvx Holdings I LLC 11745116.1  
2010-01-FR-A France vTvx Holdings I LLC 11745116.1  
2010-01-GB-A United Kingdom vTvx Holdings I LLC 11745116.1  
2010-01-IE-A Ireland vTvx Holdings I LLC 11745116.1  
2010-01-IT-A Italy vTvx Holdings I LLC 11745116.1  
2010-01-JP-A Japan vTvx Holdings I LLC 2012-553968  
2010-01-TW-A Taiwan vTvx Holdings I LLC 100104976  
2010-01-US-A United States vTvx Holdings I LLC 13/028,036 8,431,575
2010-01-US-B United States vTvx Holdings I LLC 13/772,685 8,741,900
2010-01-US-C United States vTvx Holdings I LLC 14/225,837 9,045,461
2012-02-AU-A Australia vTvx Holdings I LLC 2013327450  
2012-02-BR-A Brazil vTvx Holdings I LLC BR1120150076416  
2012-02-CA-A Canada vTvx Holdings I LLC 2886785  
2012-02-CN-A China vTvx Holdings I LLC 201380051206  
2012-02-EA-A Eurasia vTvx Holdings I LLC 201590687  
 
 
File No. Country Owner Application No. Patent No.
2012-02-EP-A Europe vTvx Holdings I LLC    
2012-02-IL-A Israel vTvx Holdings I LLC 237730  
2012-02-IN-A India vTvx Holdings I LLC 3734/DELNP/2015  
2012-02-JP-A Japan vTvx Holdings I LLC    
2012-02-KR-A South Korea vTvx Holdings I LLC 10 ###-###-####  
2012-02-MX-A Mexico vTvx Holdings I LLC MX/a/2015/003732  
2012-02-NZ-A New Zealand vTvx Holdings I LLC 705813  
2012-02-SG-A Singapore vTvx Holdings I LLC 11201502210V  
2012-02-US-A United States vTvx Holdings I LLC 14/059,529  
2012-02-ZA-A South Africa vTvx Holdings I LLC 2015/01834  
2004-02-US-A United States vTvx Holdings I LLC 11/110,499 7,820,704
2008-07-US-A United States vTvx Holdings I LLC 12/547,018 8,563,742
2003-08-US-A United States vTvx Holdings I LLC 10/913,216 7,459,472
2003-07-US-A United States vTvx Holdings I LLC 10/913,882 7,501,538
2003-02-US-A United States vTvx Holdings I LLC 10/913,168 7,544,699
2001-14/16-US-A United States vTvx Holdings I LLC 10/274,546 6,933,303
2006-01-AU-A Australia vTvx Holdings I LLC 2007211319 2007211319
2006-01-CA-A Canada vTvx Holdings I LLC 2637024 2,637,024
2006-01-CN-A China vTvx Holdings I LLC 200780003942.3 ZL200780003942.3
2006-01-EA-A Eurasia vTvx Holdings I LLC 200870218 19385
2006-01-EP-A Europe vTvx Holdings I LLC 7763040.8  
2006-01-HK-A Hong Kong vTvx Holdings I LLC 9104978.9 HK1127342
2006-01-IL-A Israel vTvx Holdings I LLC 192557 192557
2006-01-JP-A Japan vTvx Holdings I LLC 2008-553332 5180099
2006-01-MO-A Macau vTvx Holdings I LLC J/000800 J/000800
2006-01-MX-A Mexico vTvx Holdings I LLC MX/a/2008/008929 316963
2006-01-NZ-A New Zealand vTvx Holdings I LLC 569329 569329
2006-01-SG-A Singapore vTvx Holdings I LLC 200804987-6 144278 [WO 2007/089857]
2006-01-US-A United States vTvx Holdings I LLC 11/699,780 7,723,369
2006-01-US-B United States vTvx Holdings I LLC 12/685,178 8,404,731
2006-01-ZA-A South Africa vTvx Holdings I LLC 2008/05648 2008/05648
2004-04-AU-A Australia vTvx Holdings I LLC 2005271452 2005271452
2004-04-CA-A Canada vTvx Holdings I LLC 2570324 2,570,324
2004-04-CH-A Switzerland vTvx Holdings I LLC 5778764 1781700
2004-04-CN-A China vTvx Holdings I LLC 200580025947.7  
2004-04-DE-A Germany vTvx Holdings I LLC 5778764 1781700 (602005043021.0)
2004-04-EA-A Eurasia vTvx Holdings I LLC 200700404 12082
2004-04-EP-A Europe vTvx Holdings I LLC 5778764 1781700
 
 
File No. Country Owner Application No. Patent No.
2004-04-ES-A Spain vTvx Holdings I LLC 5778764 1781700
2004-04-FR-A France vTvx Holdings I LLC 5778764 1781700
2004-04-GB-A United Kingdom vTvx Holdings I LLC 5778764 1781700
2004-04-HK-A Hong Kong vTvx Holdings I LLC 7108801.5  
2004-04-IE-A Ireland vTvx Holdings I LLC 5778764 1781700
2004-04-IL-A Israel vTvx Holdings I LLC 180554 180554
2004-04-IN-A India vTvx Holdings I LLC 0797/DELNP/2007 257473
2004-04-IT-A Italy vTvx Holdings I LLC 5778764 1781700
2004-04-JP-A Japan vTvx Holdings I LLC 2007-524978 5188804
2004-04-KR-A South Korea vTvx Holdings I LLC 10 ###-###-#### 10-1323411
2004-04-MX-A Mexico vTvx Holdings I LLC MX/a/2007/001559 293182
2004-04-NZ-A New Zealand vTvx Holdings I LLC 552128 552128
2004-04-SG-A Singapore vTvx Holdings I LLC 200700364-3 129082 [WO 2006/017647]
2004-04-US-A United States vTvx Holdings I LLC 11/197,038 7,901,688
2004-04-US-B United States vTvx Holdings I LLC 11/629,437 7,981,423
2004-04-US-C United States vTvx Holdings I LLC 12/983,604 8,877,192
2004-04-ZA-A South Africa vTvx Holdings I LLC 2007/00643 2007/00643
2004-04-ZA-B South Africa vTvx Holdings I LLC 2009/06459 2009/06459
2006-07-AU-A Australia vTvx Holdings I LLC 2007248784 2007248784
2006-07-CA-A Canada vTvx Holdings I LLC 2651348  
2006-07-EA-A Eurasia vTvx Holdings I LLC 200870502 17291
2006-07-EP-A Europe vTvx Holdings I LLC 7794379.3  
2006-07-JP-A Japan vTvx Holdings I LLC 2009-509615 5558810
2006-07-MX-A Mexico vTvx Holdings I LLC MX/a/2008/013863 307987
2006-07-NZ-A New Zealand vTvx Holdings I LLC 571692 571692
2006-07-US-A United States vTvx Holdings I LLC 11/789,637 7,981,424
2006-07-US-B United States vTvx Holdings I LLC 13/158,748 8,344,120
2006-07-ZA-A South Africa vTvx Holdings I LLC 2008/09394 2008/09394
2009-04-CA-A Canada vTvx Holdings I LLC 2757079 2,757,079
2009-04-EP-A Europe vTvx Holdings I LLC 10718284.2  
2009-04-JP-A Japan vTvx Holdings I LLC 2010-95600  
2009-04-US-A United States vTvx Holdings I LLC 13/265,132 9,034,341
2009-04-US-B United States vTvx Holdings I LLC 14/686,352  
2010-02-CA-A Canada vTvx Holdings I LLC 2789244  
2010-02-EP-A Europe vTvx Holdings I LLC 10773766  
2010-02-JP-A Japan vTvx Holdings I LLC 2012-553874  
2010-02-US-A United States vTvx Holdings I LLC 13/062,395  
77456-A United States Jointly owned by vTvx Holdings I LLC and The Trustees of Columbia University in the City of New York, each with a 1/2 undivided interest. 11/197,644  

 

 
 

 

Commercial Lease Transferred from vTvx Holdings I LLC:

 

·Lease Agreement, dated as of September 20, 1999, by and between Liberty Property Limited Partnership and TransTech Pharma, Inc., as amended by that certain First Amendment thereto dated as of March 6, 2000, that certain Second Amendment thereto dated as of March 22, 2000, that certain Third Amendment thereto dated as of December 5, 2001, that certain Fourth Amendment thereto dated as of March 18, 2004, and that certain Fifth Amendment thereto dated as of May 30, 2013, which Lease Agreement, as amended, relates to 4170 Mendenhall Oaks Pkwy, High Point, NC.

 

License Agreements and other Contracts Transferred from vTvx Holdings I LLC:

 

·New Exclusive License Agreement, dated May 14, 2015, by and between The Trustees of Columbia University in the City of New York and vTvx I Holdings LLC.

 

·Agreement Concerning Glucokinase Activator Project, dated February 20, 2007, by and between Novo Nordisk A/S and vTvx I Holdings LLC.

 

·License and Research Agreement, dated as of March 5, 2015, by and among Calithera Biosciences Inc., vTvx I Holdings LLC, and vTvx II Holdings LLC.

 

·Biological Program Termination Agreement, dated as of May 8, 2009, by and between Pfizer, Inc. and vTvx I Holdings LLC.

 

·Assignment of Patent Applications, dated as of July 17, 2013, by and between Pfizer, Inc. and vTvx I Holdings LLC.

 

·All other valid and ongoing licenses, contracts and other agreements entered into by vTvx Holdings I LLC, but excluding the agreements set forth or referenced in the Excluded Assets section below.

 

Personal Property Transferred from vTvx Holdings I LLC:

 

·All personal property owned by vTvx Holdings I LLC, including (without limitation) the following:

 

oLaboratory equipment

 

oLeasehold improvements

 

oComputers and hardware

 

oSoftware

 

oFurniture and office equipment

 

 
 

 

Transferred Employee Assets of vTvx Holdings I LLC:

 

The following employee benefit plans are, in respect of those employees of vTvx Holdings I LLC and vTvx Holdings II LLC whose employment is assigned and transferred to the Company and subject to any transition services period as set forth in Sections 2.1(d)(i) and 2.1(d)(v) of the Agreement, assigned and transferred to the Company.

 

·TransTech Pharma, LLC Retirement Plan

 

oDirected Trustee Agreement by and between TransTech Pharma, LLC and Mid Atlantic Trust Company, dated as of November 26, 2013

 

oInvestment Management Agreement by and between High Point Bank and Trust Company and TransTech Pharma, LLC & PharmaCore, Inc., dated as of November 26, 2013

 

oRecordkeeping and Investment Account Services Agreement by and between EPIC Advisors, Inc. and TransTech Pharma, LLC, dated as of November 26, 2013

 

·BlueOptions Medical Plan (BlueCross BlueShield of North Carolina)

 

·Delta Dental PPO Plus Premier (Dental Plan)

 

·COBRA Administration Arrangement with Flores & Associates, LLC

 

·Wingspan Cafeteria Plan (AFLAC supplemental insurance)

 

·Group Term Life Insurance (USAble Life)

 

·Group Voluntary Life Insurance (USAble Life)

 

·Group Accidental Death and Dismemberment Insurance (USAble Life)

 

·Group Long Term Disability Insurance (USAble Life)

 

·Group Short Term Disability Insurance (administered by USAble Life)

 

 
 

 

Assets Transferred from vTvx Holdings II LLC

 

INDs and Similar Assets:

 

Program Compound IND / File # Holder
BACH1 HPP971 IND 119,328 vTvx Holdings II LLC
PDE4 HPP737 IND 116,186 vTvx Holdings II LLC
PPAR HPP593 IND 122,225; and IND 107,545 vTvx Holdings II LLC
11-Beta HPP851 IND 110,923 vTvx Holdings II LLC
PPAR HPP5920 IND 73,189 vTvx Holdings II LLC
BACE HPP854 IND 105,195 vTvx Holdings II LLC
H3 HPP404 IND 103,863 vTvx Holdings II LLC

 

Patents:

 

File No. Country Owner Application No. Patent No.
3009.200-GCC Gulf Cooperation Council vTvx Holdings II LLC GC 2011-17799  
3009.200-JO Jordan vTvx Holdings II LLC 47/2011  
3009.200-LB Lebanon vTvx Holdings II LLC 1193 9286
3009.200-TW Taiwan vTvx Holdings II LLC 100105506  
3009.200-US United States vTvx Holdings II LLC 13/028,406 8,759,535
3009.204-AU Australia vTvx Holdings II LLC 2011218316  
3009.204-BR Brazil vTvx Holdings II LLC BR1120120207598  
3009.204-CA Canada vTvx Holdings II LLC 2789950  
3009.204-CN China vTvx Holdings II LLC 201180009915.3 ZL 201180009915.3
3009.204-HK Hong Kong vTvx Holdings II LLC 12112645  
3009.204-IL Israel vTvx Holdings II LLC 220906  
3009.204-IN India vTvx Holdings II LLC 6692/DELNP/2012  
3009.204-JP Japan vTvx Holdings II LLC 2012-553942  
3009.204-KR South Korea vTvx Holdings II LLC 10 ###-###-####  
3009.204-MO Macau vTvx Holdings II LLC J/001597  
3009.204-MX Mexico vTvx Holdings II LLC MX/a/2012/009628  
3009.204-NZ New Zealand vTvx Holdings II LLC 602395 602395
3009.204-SG Singapore vTvx Holdings II LLC 201205373-2 182629
3009.204-ZA South Africa vTvx Holdings II LLC 2012/05800  
3009.205-EA Eurasia vTvx Holdings II LLC 201290808  
3009.205-EP Europe vTvx Holdings II LLC 11745064.3  
3009.210-US United States vTvx Holdings II LLC 14/215,873  
3017.204-US United States vTvx Holdings II LLC 13/894,922  
3039.000-US United States vTvx Holdings II LLC 62/082,706  
 
 
File No. Country Owner Application No. Patent No.
3040.000-US United States vTvx Holdings II LLC 62/085,875  
3036.000-US United States vTvx Holdings II LLC 62/063,347  
3037.000-US United States vTvx Holdings II LLC 62/063,352  
3038.000-US United States vTvx Holdings II LLC 62/063,348  
CBH-02560 United States vTvx Holdings II LLC 62/171,051  
3004.204-AU Australia vTvx Holdings II LLC 2009206368 2009206368
3004.204-BR Brazil vTvx Holdings II LLC PI0906809-0  
3004.204-CA Canada vTvx Holdings II LLC 2711576  
3004.204-CN China vTvx Holdings II LLC 200980102961 ZL200980102961.0
3004.204-HK Hong Kong vTvx Holdings II LLC 11102132.2  
3004.204-IL Israel vTvx Holdings II LLC 206854 206854
3004.204-IN India vTvx Holdings II LLC 5151/DELNP/2010  
3004.204-JP Japan vTvx Holdings II LLC 2010-544436 5406215
3004.204-KR South Korea vTvx Holdings II LLC 10 ###-###-####  
3004.204-MO Macau vTvx Holdings II LLC J/001596  
3004.204-MX Mexico vTvx Holdings II LLC MX/a/2010/007768 313517
3004.204-NZ New Zealand vTvx Holdings II LLC 586695 586695
3004.204-SG Singapore vTvx Holdings II LLC 201005095-3 163680 [WO 2009/094528]
3004.204-US United States vTvx Holdings II LLC 12/532,861 7,964,608
3004.204-ZA South Africa vTvx Holdings II LLC 2010/04818 2010/04818
3004.205-CH Switzerland vTvx Holdings II LLC 9704760.9 2244574
3004.205-DE Germany vTvx Holdings II LLC 9704760.9 2244574 (DE 60 2009 026 929.1)
3004.205-EA Eurasia vTvx Holdings II LLC 201070884 18462
3004.205-EP Europe vTvx Holdings II LLC 9704760.9 2244574
3004.205-ES Spain vTvx Holdings II LLC 9704760.9 2244574
3004.205-FR France vTvx Holdings II LLC 9704760.9 2244574
3004.205-IE Ireland vTvx Holdings II LLC 9704760.9 2244574
3004.205-IT Italy vTvx Holdings II LLC 9704760.9 2244574 (IT 72239/BE/2014)
3004.205-UK United Kingdom vTvx Holdings II LLC 9704760.9 2244574
3004.214-US United States vTvx Holdings II LLC 13/040,382 8,853,226
3004.224-US United States vTvx Holdings II LLC 13/410,628 8,329,715
3004.234-US United States vTvx Holdings II LLC 14/477,302  
3025.200-US United States vTvx Holdings II LLC 14/478,594  
3025.204-PCT PCT Application vTvx Holdings II LLC PCT/US2014/054303  
5697.200-US United States vTvx Holdings II LLC 09/551,740 6,972,294
6134.210-US United States vTvx Holdings II LLC 10/370,856 6,867,218
6310.200-US United States vTvx Holdings II LLC 10/201,456 6,869,967
6569.200-US United States vTvx Holdings II LLC 10/693,161 7,129,268
 
 
File No. Country Owner Application No. Patent No.
6569.204-AU Australia vTvx Holdings II LLC 2003273783 2003273783
6569.204-CN China vTvx Holdings II LLC 200380102228.1 ZL200380102228.1
6569.204-IN India vTvx Holdings II LLC 1364/DELNP/2005 232024
6569.204-JP Japan vTvx Holdings II LLC 2005-501509 4708184
6569.204-MX Mexico vTvx Holdings II LLC PA/a/2005/004402 254995
6569.204-RU Russia vTvx Holdings II LLC 2005116243 2349582
6569.204-ZA South Africa vTvx Holdings II LLC 2005/02814 2005/02814
6569.205-BE Belgium vTvx Holdings II LLC 3757741.8 1558572
6569.205-CH Switzerland vTvx Holdings II LLC 3757741.8 1558572
6569.205-DE Germany vTvx Holdings II LLC 3757741.8 1558572 (60333211.0)
6569.205-EP Europe vTvx Holdings II LLC 3757741.8 1558572
6569.205-ES Spain vTvx Holdings II LLC 3757741.8 1558572 (2345882)
6569.205-FR France vTvx Holdings II LLC 3757741.8 1558572
6569.205-GB United Kingdom vTvx Holdings II LLC 3757741.8 1558572
6569.205-IE Ireland vTvx Holdings II LLC 3757741.8 1558572
6569.205-IT Italy vTvx Holdings II LLC 3757741.8 1558572 (27102 BE/2010)
7186.200-TW Taiwan vTvx Holdings II LLC 95123781 I371446
7186.204-AU Australia vTvx Holdings II LLC 2006265172 2006265172
7186.204-BR Brazil vTvx Holdings II LLC PI0612730-4  
7186.204-CA Canada vTvx Holdings II LLC 2613365 2,613,365
7186.204-IN India vTvx Holdings II LLC 9775/DELNP/2007  
7186.204-JP Japan vTvx Holdings II LLC 2008-519909 5052511
7186.204-KR South Korea vTvx Holdings II LLC 10 ###-###-#### 10-1333101
7186.204-MX Mexico vTvx Holdings II LLC MX/a/2007/016374 289941
7186.204-RU Russia vTvx Holdings II LLC 2007147050 2412935
7186.204-US United States vTvx Holdings II LLC 11/917,811 7,943,669
7186.205-CH Switzerland vTvx Holdings II LLC 6763966.6 1899302
7186.205-DE Germany vTvx Holdings II LLC 6763966.6 1899302 (602006025239.0)
7186.205-EP Europe vTvx Holdings II LLC 6763966.6 1899302
7186.205-ES Spain vTvx Holdings II LLC 6763966.6 1899302 (2372617)
7186.205-FR France vTvx Holdings II LLC 6763966.6 1899302
7186.205-GB United Kingdom vTvx Holdings II LLC 6763966.6 1899302
7186.205-IE Ireland vTvx Holdings II LLC 6763966.6 1899302
7186.205-IT Italy vTvx Holdings II LLC 6763966.6 1899302 (32046 BE/2011)
7186.214-MX Mexico vTvx Holdings II LLC MX/a/2011/008185 313342
7186.214-US United States vTvx Holdings II LLC 13/080,425 8,217,086
7186.215-CH Switzerland vTvx Holdings II LLC 10188181.1 2298742
7186.215-DE Germany vTvx Holdings II LLC 10188181.1 2298742 (602006040041.1)
 
 
File No. Country Owner Application No. Patent No.
7186.215-EP Europe vTvx Holdings II LLC 10188181.1 2298742
7186.215-ES Spain vTvx Holdings II LLC 10188181.1 2298742 (2449618)
7186.215-FR France vTvx Holdings II LLC 10188181.1 2298742
7186.215-GB United Kingdom vTvx Holdings II LLC 10188181.1 2298742
7186.215-IE Ireland vTvx Holdings II LLC 10188181.1 2298742
7186.215-IT Italy vTvx Holdings II LLC 10188181.1 2298742 (21081 BE/2014)
7186.224-US United States vTvx Holdings II LLC 13/466,191 8,426,473
7253.200-TW Taiwan vTvx Holdings II LLC 95148358 I389878
7253.204-AU Australia vTvx Holdings II LLC 2006327003 2006327003
7253.204-BR Brazil vTvx Holdings II LLC PI0620468-6  
7253.204-CA Canada vTvx Holdings II LLC 2631390 2,631,390
7253.204-IL Israel vTvx Holdings II LLC 191655 191655
7253.204-IN India vTvx Holdings II LLC 5418/DELNP/2008  
7253.204-JP Japan vTvx Holdings II LLC 2008-546470 5054028
7253.204-KR South Korea vTvx Holdings II LLC 10 ###-###-#### 10-1265078
7253.204-MX Mexico vTvx Holdings II LLC MX/a/2008/008098 294461
7253.204-NZ New Zealand vTvx Holdings II LLC 568488 568488
7253.204-US United States vTvx Holdings II LLC 12/097,564 7,943,613
7253.204-ZA South Africa vTvx Holdings II LLC 2008/04767 2008/04767
7253.205-AT Austria vTvx Holdings II LLC 6830789.1 1979311 (E561921)
7253.205-BE Belgium vTvx Holdings II LLC 6830789.1 1979311
7253.205-CH Switzerland vTvx Holdings II LLC 6830789.1 1979311
7253.205-DE Germany vTvx Holdings II LLC 6830789.1 1979311 (602006030230.4)
7253.205-EA Eurasia vTvx Holdings II LLC 200870103 15717
7253.205-EP Europe vTvx Holdings II LLC 6830789.1 1979311
7253.205-ES Spain vTvx Holdings II LLC 6830789.1 1979311 (2386734)
7253.205-FR France vTvx Holdings II LLC 6830789.1 1979311
7253.205-GB United Kingdom vTvx Holdings II LLC 6830789.1 1979311
7253.205-IE Ireland vTvx Holdings II LLC 6830789.1 1979311
7253.205-IT Italy vTvx Holdings II LLC 6830789.1 1979311
7253.214-CN China vTvx Holdings II LLC 201310097997.2  
7253.214-HK Hong Kong vTvx Holdings II LLC 14100388.4  
7253.214-US United States vTvx Holdings II LLC 13/079,460 8,362,016
7253.224-US United States vTvx Holdings II LLC 13/708,163 8,551,993
7253.234-US United States vTvx Holdings II LLC 14/016,442  
3006.204-AU Australia vTvx Holdings II LLC 2009316802 2009316802
3006.204-CA Canada vTvx Holdings II LLC 2744383  
3006.204-EA Eurasia vTvx Holdings II LLC 201170703 20496
 
 
File No. Country Owner Application No. Patent No.
3006.204-IN India vTvx Holdings II LLC 3778/DELNP/2011  
3006.204-KR South Korea vTvx Holdings II LLC 10 ###-###-####  
3006.204-ME Montenegro vTvx Holdings II LLC P-2011-89 1145
3006.204-MX Mexico vTvx Holdings II LLC MX/a/2011/005037 322321
3006.204-US United States vTvx Holdings II LLC 13/128,045 8,927,549
3006.204-ZA South Africa vTvx Holdings II LLC 2011/04551 2011/04551
3006.205-EP Europe vTvx Holdings II LLC 9828106.6  
3006.214-SG Singapore vTvx Holdings II LLC 201308611-1  
3015.200-US United States vTvx Holdings II LLC 13/189,640 8,513,430
6620.504-US United States vTvx Holdings II LLC 11/254,125 7,501,405
7533.204-US United States vTvx Holdings II LLC 12/528,227 8,334,305
7534.204-AU Australia vTvx Holdings II LLC 2008219326 2008219326
7534.204-CA Canada vTvx Holdings II LLC 2675669 2,675,669
7534.204-CN China vTvx Holdings II LLC 200880005896.5  
7534.204-IL Israel vTvx Holdings II LLC 199853  
7534.204-JP Japan vTvx Holdings II LLC 2009-550278 5243455
7534.204-KR South Korea vTvx Holdings II LLC 10 ###-###-#### 10-1487813
7534.204-MX Mexico vTvx Holdings II LLC MX/a/2009/008228 310901
7534.204-US United States vTvx Holdings II LLC 12/528,229 8,383,820
7534.204-ZA South Africa vTvx Holdings II LLC 2009/04916 2009/04916
7534.205-EA Eurasia vTvx Holdings II LLC 200970791 16951
7534.205-EP Europe vTvx Holdings II LLC 8709090.8  
7534.205-HK Hong Kong vTvx Holdings II LLC 10105670.4  
7534.214-US United States vTvx Holdings II LLC 13/739,408 8,809,540
7534.224-US United States vTvx Holdings II LLC 14/321,884 8,907,096
7545.204-CN China vTvx Holdings II LLC 200880019488.5 ZL200880019488.5
7545.204-US United States vTvx Holdings II LLC 12/597,129 8,383,683
7545.205-BE Belgium vTvx Holdings II LLC 8745501 2150109
7545.205-CH Switzerland vTvx Holdings II LLC 8745501 2150109
7545.205-DE Germany vTvx Holdings II LLC 8745501 2150109 (602008018859.0)
7545.205-EP Europe vTvx Holdings II LLC 8745501 2150109
7545.205-ES Spain vTvx Holdings II LLC 8745501 2150109 (2393230)
7545.205-FR France vTvx Holdings II LLC 8745501 2150109
7545.205-GB United Kingdom vTvx Holdings II LLC 8745501 2150109
7545.205-HK Hong Kong vTvx Holdings II LLC 10106495.5 HK1140377
7545.205-IE Ireland vTvx Holdings II LLC 8745501 2150109
7545.205-IT Italy vTvx Holdings II LLC 8745501 2150109 (52364 BE/2012)
3002.204-AU Australia vTvx Holdings II LLC 2006223070 2006223070
3002.204-CA Canada vTvx Holdings II LLC 2600570 2,600,570
 
 
File No. Country Owner Application No. Patent No.
3002.204-CN China vTvx Holdings II LLC 200680008417.6 ZL200680008417.6
3002.204-IL Israel vTvx Holdings II LLC 185541 185541
3002.204-MO Macau vTvx Holdings II LLC J/000923 J/000923
3002.204-MX Mexico vTvx Holdings II LLC MX/a/2007/011234 299183
3002.204-NZ New Zealand vTvx Holdings II LLC 561029 561029
3002.204-US United States vTvx Holdings II LLC 11/885,096 7,893,267
3002.205-AT Austria vTvx Holdings II LLC 6738139.2 1863771 (E582940)
3002.205-BE Belgium vTvx Holdings II LLC 6738139.2 1863771
3002.205-CH Switzerland vTvx Holdings II LLC 6738139.2 1863771
3002.205-DE Germany vTvx Holdings II LLC 6738139.2 1863771 (602006032907.5)
3002.205-EP Europe vTvx Holdings II LLC 6738139.2 1863771
3002.205-ES Spain vTvx Holdings II LLC 6738139.2 1863771 (2400287)
3002.205-FR France vTvx Holdings II LLC 6738139.2 1863771
3002.205-GB United Kingdom vTvx Holdings II LLC 6738139.2 1863771
3002.205-HK Hong Kong vTvx Holdings II LLC 8105884  
3002.205-IE Ireland vTvx Holdings II LLC 6738139.2 1863771
3002.205-IT Italy vTvx Holdings II LLC 6738139.2 1863771 (47770 BE/2013)
3002.214-US United States vTvx Holdings II LLC 12/950,718 8,598,353
3002.214-ZA South Africa vTvx Holdings II LLC 2009/03300 2009/03300
3002.224-US United States vTvx Holdings II LLC 14/064,737 8,946,259
3011.204-US United States vTvx Holdings II LLC 13/214,434 8,350,039
3013.200-US United States vTvx Holdings II LLC 13/052,544 8,450,354
3001.200-US United States vTvx Holdings II LLC 11/255,000 7,582,673
5390.200-US United States vTvx Holdings II LLC 09/548,081 6,908,926
6327.205-EP Europe vTvx Holdings II LLC 2742851.5 1421071
6446.204-MX Mexico vTvx Holdings II LLC PA/a/2004/007416 251269
6483.200-US United States vTvx Holdings II LLC 10/453,106 6,906,060
6739.204-AU Australia vTvx Holdings II LLC 2004259263 2004259263
6739.204-CA Canada vTvx Holdings II LLC 2532236 2,532,236
6739.204-CN China vTvx Holdings II LLC 200480021891.3 ZL200480021891.3
6739.204-MX Mexico vTvx Holdings II LLC PA/a/2006/001053 257494
6739.204-US United States vTvx Holdings II LLC 11/334,207 7,294,626
6739.205-BE Belgium vTvx Holdings II LLC 4738980.4 1651615
6739.205-CH Switzerland vTvx Holdings II LLC 4738980.4 1651615
6739.205-DE Germany vTvx Holdings II LLC 4738980.4 1651615 (602004026068.1)
6739.205-EP Europe vTvx Holdings II LLC 4738980.4 1651615
6739.205-ES Spain vTvx Holdings II LLC 4738980.4 1651615 (2342605)
6739.205-FR France vTvx Holdings II LLC 4738980.4 1651615
 
 
File No. Country Owner Application No. Patent No.
6739.205-GB United Kingdom vTvx Holdings II LLC 4738980.4 1651615
6739.205-IE Ireland vTvx Holdings II LLC 4738980.4 1651615
6739.205-IT Italy vTvx Holdings II LLC 4738980.4 1651615 (24463 BE/2010)
7213.204-AU Australia vTvx Holdings II LLC 2006264966 2006264966
7213.204-CA Canada vTvx Holdings II LLC 2614116  
7213.204-JP Japan vTvx Holdings II LLC 2008-519917 5121707
7213.204-KR South Korea vTvx Holdings II LLC 10 ###-###-#### 10-1286569
7213.204-MX Mexico vTvx Holdings II LLC MX/a/2007/015675 295147
7213.204-RU Russia vTvx Holdings II LLC 2007147044 2442775
7213.204-US United States vTvx Holdings II LLC 11/917,823 8,501,739
7213.214-RU Russia vTvx Holdings II LLC 2011142654 2499795
7213.214-US United States vTvx Holdings II LLC 13/472,090 8,846,677
7213.215-CH Switzerland vTvx Holdings II LLC 10166493.6 2233470
7213.215-DE Germany vTvx Holdings II LLC 10166493.6 2233470 (602006026313.9)
7213.215-EP Europe vTvx Holdings II LLC 10166493.6 2233470
7213.215-ES Spain vTvx Holdings II LLC 10166493.6 2233470 (2375929)
7213.215-FR France vTvx Holdings II LLC 10166493.6 2233470
7213.215-GB United Kingdom vTvx Holdings II LLC 10166493.6 2233470
7213.215-IE Ireland vTvx Holdings II LLC 10166493.6 2233470
7213.215-IT Italy vTvx Holdings II LLC 10166493.6 2233470 (19699 BE/2012)
7397.204-AU Australia vTvx Holdings II LLC 2007229492 2007229492
7397.204-CN China vTvx Holdings II LLC 200780010971.2 ZL200780010971.2
7397.204-KR South Korea vTvx Holdings II LLC 10 ###-###-#### 10-1280333
7397.204-MO Macau vTvx Holdings II LLC J/000709 J/000709
7397.204-MX Mexico vTvx Holdings II LLC MX/a/2008/011123 288665
7397.204-NZ New Zealand vTvx Holdings II LLC 570524 570524
7397.204-US United States vTvx Holdings II LLC 12/294,756 8,394,842
7397.204-ZA South Africa vTvx Holdings II LLC 2008/06985 2008/06985
7397.205-BE Belgium vTvx Holdings II LLC 7727226.8 1999120
7397.205-CH Switzerland vTvx Holdings II LLC 7727226.8 1999120
7397.205-DE Germany vTvx Holdings II LLC 7727226.8 1999120 (602007023602.9)
7397.205-EA Eurasia vTvx Holdings II LLC 200870376 15569
7397.205-EP Europe vTvx Holdings II LLC 7727226.8 1999120
7397.205-ES Spain vTvx Holdings II LLC 7727226.8 1999120
7397.205-FR France vTvx Holdings II LLC 7727226.8 1999120
7397.205-GB United Kingdom vTvx Holdings II LLC 7727226.8 1999120
7397.205-HK Hong Kong vTvx Holdings II LLC 9107300.1 HK1129102
 
 
File No. Country Owner Application No. Patent No.
7397.205-IE Ireland vTvx Holdings II LLC 7727226.8 1999120
7397.205-IT Italy vTvx Holdings II LLC 7727226.8 1999120 (28597 BE/2012)
7397.214-US United States vTvx Holdings II LLC 13/660,045 8,772,285
7435.204-US United States vTvx Holdings II LLC 12/301,919 8,318,927
7461.204-AU Australia vTvx Holdings II LLC 2007267197 2007267197
7461.204-CA Canada vTvx Holdings II LLC 2659570  
7461.204-EA Eurasia vTvx Holdings II LLC 200870586 16026
7461.204-IL Israel vTvx Holdings II LLC 194681 194681
7461.204-JP Japan vTvx Holdings II LLC 2009-512547 5694661
7461.204-MX Mexico vTvx Holdings II LLC MX/a/2008/014766 297339
7461.204-NZ New Zealand vTvx Holdings II LLC 571972 571972
7461.204-US United States vTvx Holdings II LLC 12/302,132 8,378,097
7461.204-ZA South Africa vTvx Holdings II LLC 2008/08730 2008/08730
7461.205-AL Albania vTvx Holdings II LLC 7729379.3 2079732
7461.205-AT Austria vTvx Holdings II LLC 7729379.3 2079732 (E538116)
7461.205-BA Bosnia & Herzegovina vTvx Holdings II LLC 7729379.3 2079732
7461.205-BE Belgium vTvx Holdings II LLC 7729379.3 2079732
7461.205-BG Bulgaria vTvx Holdings II LLC 7729379.3 2079732 (BG/EP2079732T3)
7461.205-CH Switzerland vTvx Holdings II LLC 7729379.3 2079732
7461.205-CY Cyprus vTvx Holdings II LLC 7729379.3 2079732 (CY1112455)
7461.205-CZ Czech Republic vTvx Holdings II LLC 7729379.3 2079732
7461.205-DE Germany vTvx Holdings II LLC 7729379.3 2079732 (602007019505.5)
7461.205-DK Denmark vTvx Holdings II LLC 7729379.3 2079732 (DK/EP2079732)
7461.205-EE Estonia vTvx Holdings II LLC 7729379.3 2079732
7461.205-EP Europe vTvx Holdings II LLC 7729379.3 2079732
7461.205-ES Spain vTvx Holdings II LLC 7729379.3 2079732
7461.205-FI Finland vTvx Holdings II LLC 7729379.3 2079732
7461.205-FR France vTvx Holdings II LLC 7729379.3 2079732
7461.205-GB United Kingdom vTvx Holdings II LLC 7729379.3 2079732
7461.205-GR Greece vTvx Holdings II LLC 7729379.3 2079732 (3077337)
7461.205-HR Croatia vTvx Holdings II LLC 7729379.3 2079732 (P20120227)
7461.205-HU Hungary vTvx Holdings II LLC 7729379.3 2079732 (E012931)
7461.205-IE Ireland vTvx Holdings II LLC 7729379.3 2079732
7461.205-IS Iceland vTvx Holdings II LLC 7729379.3 2079732
7461.205-IT Italy vTvx Holdings II LLC 7729379.3 2079732 (21629 BE/2012)
7461.205-LT Lithuania vTvx Holdings II LLC 7729379.3 2079732
7461.205-LU Luxembourg vTvx Holdings II LLC 7729379.3 2079732
 
 
File No. Country Owner Application No. Patent No.
7461.205-LV Latvia vTvx Holdings II LLC 7729379.3 2079732
7461.205-MC Monaco vTvx Holdings II LLC 7729379.3 2079732
7461.205-ME Montenegro vTvx Holdings II LLC 7729379.3 1302
7461.205-MK Macedonia vTvx Holdings II LLC 7729379.3 2079732 (P-403/11)
7461.205-MT Malta vTvx Holdings II LLC 7729379.3 2079732
7461.205-NL Netherlands vTvx Holdings II LLC 7729379.3 2079732
7461.205-PL Poland vTvx Holdings II LLC 7729379.3 2079732
7461.205-PT Portugal vTvx Holdings II LLC 7729379.3 2079732
7461.205-RO Romania vTvx Holdings II LLC 7729379.3 2079732
7461.205-RS Serbia vTvx Holdings II LLC 7729379.3 2079732 (P-78/12)
7461.205-SE Sweden vTvx Holdings II LLC 7729379.3 2079732
7461.205-SI Slovenia vTvx Holdings II LLC 7729379.3 2079732
7461.205-SK Slovakia vTvx Holdings II LLC 7729379.3 2079732 (E11259 T3)
7461.205-TR Turkey vTvx Holdings II LLC 7729379.3 2079732 (TR201201949T4)
7461.214-SG Singapore vTvx Holdings II LLC 201004699-3 163547 [WO 2007/137968]
7660.204-US United States vTvx Holdings II LLC 12/663,103 8,344,001

 

License Agreements and other Contracts Transferred from vTvx Holdings II LLC:

 

·License and Research Agreement, dated as of March 5, 2015, by and among Calithera Biosciences Inc., vTvx I Holdings LLC, and vTvx II Holdings LLC.

 

·All other valid and ongoing licenses, contracts and other agreements entered into by vTvx Holdings II LLC, but excluding the agreements set forth or referenced in the Excluded Assets section below.

 

Transferred Employee Assets of vTvx Holdings II LLC:

 

None.

 

Know-How Transferred from both vTvx Holdings I LLC and vTvx Holdings II LLC:

 

All know-how associated with any of the foregoing transferred intellectual and other property, including all programs and the “Translational Technology”, including without limitation the following programs:

 

·RAGE (TTP488) program

 

·GK (TTP399) program

 

·GLP (TTP273) program

 

·PPAR (HPP593) program

 

·BACH1 (HPP971) program

 

 
 

 

·HK2 program

 

·RAGE (TTP4000) program

 

·PDE4 program

 

·11beta program

 

·BACE program

 

·GalR1 program

 

·H3 program

 

 
 

 

Excluded Assets

 

List of vTvx Holdings I LLC assets that are NOT being assigned or transferred:

 

For the avoidance of doubt, the following assets are excluded from assignment or transfer by vTvx Holdings I LLC:

 

Category Items
Commercial Lease

Commercial Lease for 4160 Mendenhall Oaks Pkwy Building

 

Real Property

Lot 6 – 4130 Mendenhall Oaks Pkwy, High Point, NC (3.322 acres)

Lot 8 – 4150 Mendenhall Oaks Pkwy, High Point, NC (3.060 acres)

Lot 11-A – 4165 Mendenhall Oaks Pkwy, High Point, NC (10.346 acres)

 

Financial

1)      Note receivable from Former Officer plus any accrued interest

2)      Note receivable from PharmaCore, Inc. plus any accrued interest

3)      Restricted cash to secure letter of credit for 4160 Mendenhall Oaks lease

4)      Benefits and obligations described in the Letter Agreement with Former Officer dated December 31, 2014,   including, but not limited to, cash payments and perpetual securities.

5)      Note payable to M&F TTP Holdings LLC (“Uncommitted Advance Agreement”) plus any accrued interest

6)      Note payable to High Point Bank plus any accrued interest

7)      Accounts payable invoices to PharmaCore, Inc. prior to January 1, 2015 

 

Domain Names

TRANSTECHPHARMA.BIZ

TRANSTECHPHARMA.COM

TRANSTECHPHARMA.INFO

TRANSTECHPHARMA.NET

TRANSTECHPHARMA.ORG

TRANSTECHPHARMA.US

TRANSTECHPHARMA.XXX

TTPHARMA.BIZ

TT-PHARMA.BIZ

TTPHARMA.COM

TTPHARMA.INFO

TT-PHARMA.INFO

TTPHARMA.NET

TT-PHARMA.NET

TTPHARMA.ORG

TT-PHARMA.ORG

TTPHARMA.US

TT-PHARMA.US

 

     
 
 
     
Trademarks Trademark Application No.
TRANSTECH PHARMA 76/406,577
TRANSTECH PHARMA & DESIGN 76/406,579
AT THE FRONTIER OF TRANSLATING INNOVATIVE SCIENCE INTO MEDICINE 76/404,964
VTV THERAPEUTICS (Class 5) 86/594,084
VTV THERAPEUTICS (Class 42) 86/594,096
VTV THERAPEUTICS (Class 44) 86/594,102

 

List of vTvx Holdings II LLC assets that are NOT being assigned or transferred:

 

For the avoidance of doubt, the following assets are excluded from assignment or transfer by vTvx Holdings II LLC:

 

Category Items
Financial

1)      Benefits and obligations described in the Letter Agreement with Former Officer dated December 31, 2014,   including, but not limited to, cash payments and perpetual securities.

2)      Note payable to M&F TTP Holdings LLC (“Uncommitted Advance Agreement”) plus any accrued interest

3)      Accounts payable invoices to PharmaCore, Inc. prior to January 1, 2015

 

Domain Names

HIGHPOINTPHARMACUTICALS.COM

HPPHARMA.COM

HPPHARMACEUTICAL.COM

HIGHPOINTPHARMA.BIZ

HIGHPOINTPHARMA.COM

HIGHPOINTPHARMA.INFO

HIGHPOINTPHARMA.NET

HIGHPOINTPHARMA.ORG

HIGHPOINTPHARMA.US

HIGHPOINTPHARMACEUTICAL.COM

HIGHPOINTPHARMACEUTICALS.BIZ

HIGHPOINTPHARMACEUTICALS.COM

HIGHPOINTPHARMACEUTICALS.NET

HPPHARMACEUTICALS.COM

 

 

 
 

 

Schedule 2

 

Employee Benefit Plans of vTvx I and vTvx II

 

(See attached.)

 

 
 

 

Schedule 2

 

Employee Benefit Plans of vTvx I and vTvx II

 

Employees of vTvx Holdings I LLC and vTvx Holdings II LLC whose employment is assigned and transferred pursuant to Sections 2.1(d)(ii) and 2.1(d)(v) of the Agreement may continue to participate in the following employee benefit plans of vTvx Holdings I LLC and vTvx Holdings II LLC, as applicable, for a period not to exceed four months pursuant to the terms of a customary transition services agreement.

 

·BlueOptions Medical Plan (BlueCross BlueShield of North Carolina)

 

·Delta Dental PPO Plus Premier (Dental Plan)

 

·COBRA Administration Arrangement with Flores & Associates, LLC

 

·Wingspan Cafeteria Plan (AFLAC supplemental insurance)

 

·Group Term Life Insurance (USAble Life)

 

·Group Voluntary Life Insurance (USAble Life)

 

·Group Accidental Death and Dismemberment Insurance (USAble Life)

 

·Group Long Term Disability Insurance (USAble Life)

 

·Group Short Term Disability Insurance (administered by USAble Life)