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continued-pretraining

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2.15 AbbVie Materials. ................................................................................................. 66
2.16 Program Activities and Efforts. ............................................................................ 67
2.17 Performance of Research Program and other Activities. ...................................... 67
2.18 Ophthalmology Research Program Costs. ............................................................ 69
2.19 Transferred Materials. ........................................................................................... 69
2.20 No Guarantee. ....................................................................................................... 69
2.21 Specific Performance. ........................................................................................... 70
ARTICLE 3 EXCLUSIVE OPTIONS.......................................................................................... 70
3.1 Option Grants. ....................................................................................................... 70
3.2 Delivery of Final Data Packages. .......................................................................... 70
3.3 Option Exercise. .................................................................................................... 71
3.4 Capsida Transition Obligations on Option Exercise. ............................................ 71
3.5 Allocation of Rights with Respect to Transferred Contracts. ............................... 73
3.6 HSR. ...................................................................................................................... 74
3.7 Non-Exercise of Options....................................................................................... 75
ARTICLE 4 DEVELOPMENT .................................................................................................... 77
4.1 Licensed Capsid Products and Licensed Ophthalmology Products. ..................... 77
4.2 ALS Product.......................................................................................................... 78
4.3 ALS Product Regulatory Activities. ..................................................................... 81
4.4 ALS Reversion Product. ....................................................................................... 82
4.5 Regulatory Support. .............................................................................................. 84
4.6 Shared Capsid Safety Information and Use. ......................................................... 84
4.7 Additional Disclosures to AbbVie. ....................................................................... 84
ARTICLE 5 MANUFACTURING............................................................................................... 84
5.1 Manufacturing Responsibilities Prior to Option Exercise. ................................... 84
5.2 Manufacturing After Option Exercise. ................................................................. 86
5.3 Manufacturing Technology Transfer and Continued Improvement. .................... 86
ARTICLE 6 COMMERCIALIZATION ...................................................................................... 90
6.1 General. ................................................................................................................. 90
6.2 Booking of Sales; Distribution. ............................................................................ 90
6.3 Commercialization of ALS Products. ................................................................... 90
6.4 Commercialization Reports. ................................................................................. 93
ARTICLE 7 MANAGEMENT OF THE COLLABORATION ................................................... 93
7.1 Joint Governance Committee. ............................................................................... 93
7.2 General Provisions Applicable to the JGCs. ......................................................... 95
7.3 Working Groups.................................................................................................... 98
7.4 Alliance Managers. ............................................................................................. 100
ARTICLE 8 GRANT OF RIGHTS; EXCLUSIVITY ................................................................ 100
8.1 Grants to AbbVie. ............................................................................................... 100
8.2 Grants to Capsida. ............................................................................................... 102
8.3 Sublicenses. ......................................................................................................... 103
8.4 In-License Agreements. ...................................................................................... 103
8.5 Section intentionally left blank. .......................................................................... 106
8.6 Retention of Rights. ............................................................................................ 106
8.7 Confirmatory Patent License. ............................................................................. 106
8.8 Exclusivity. ......................................................................................................... 106
ARTICLE 9 PAYMENTS AND RECORDS ............................................................................. 109
9.1 Upfront Payment and First Final Ophthalmology Data Package Payment......... 109
9.2 Equity Investment. .............................................................................................. 110
9.3 Option Exercise and Additional Capsid Program Payments. ............................. 110
9.4 α-syn and Tau Milestones. .................................................................................. 111
9.5 Final Selected Ophthalmology Target Milestones. ............................................. 114
9.6 AbbVie Royalties. ............................................................................................... 116
9.7 Third Party Payments. ......................................................................................... 118
9.8 Estimated Sales Levels. ...................................................................................... 119
9.9 Royalty Payments and Reports. .......................................................................... 119
9.10 Capsida ALS Reversion Product Milestones. ..................................................... 119
9.11 Capsida ALS Reversion Product Royalties. ....................................................... 120
9.12 Capsida ALS Reversion Product Third Party Payments..................................... 122
9.13 Profit Share for ALS Products in the Territory. .................................................. 123
9.14 Calculation and Payment of Co-Development Cost Share and Net Profit or Net Loss Share. ................................................................................................... 123
9.15 FTE Costs............................................................................................................ 124
9.16 Other Invoiced Amounts. .................................................................................... 124
9.17 Nonrefundability; Mode of Payment. ................................................................. 125
9.18 Taxes. .................................................................................................................. 125
9.19 Interest on Late Payments. .................................................................................. 126
9.20 Financial Records................................................................................................ 126
9.21 Audit. .................................................................................................................. 126
9.22 Right to Offset..................................................................................................... 127
9.23 Diagnostic or Veterinary Products. ..................................................................... 127
ARTICLE 10 INTELLECTUAL PROPERTY .......................................................................... 127
10.1 Ownership of Intellectual Property. .................................................................... 127
10.2 Maintenance and Prosecution of Patents. ........................................................... 130
10.3 Enforcement of Patents. ...................................................................................... 133
10.4 Invalidity or Unenforceability Defense or Actions. ............................................ 136
10.5 Infringement Claimed by Third Parties. ............................................................. 137
10.6 Third Party Licenses and Patents. ....................................................................... 138
10.7 Inventor's Remuneration. ................................................................................... 138
10.8 International Nonproprietary Name. ................................................................... 139
10.9 Common Interest. ................................................................................................ 139
10.10 Product Trademarks. ........................................................................................... 139
ARTICLE 11 CONFIDENTIALITY AND NON-DISCLOSURE ............................................ 140
11.1 Confidentiality Obligations. ................................................................................ 140
11.2 Permitted Disclosures. ........................................................................................ 142
11.3 Additional Permitted Disclosures. ...................................................................... 143
11.4 Use of Name. ...................................................................................................... 144
11.5 Public Announcements. ...................................................................................... 144
11.6 Publications. ........................................................................................................ 145
ARTICLE 12 REPRESENTATIONS AND WARRANTIES .................................................... 146
12.1 Mutual Representations and Warranties. ............................................................ 146
12.2 Representations, and Warranties of Capsida for the Neurology Program. ......... 147
12.3 Representations, and Warranties of Capsida for the Ophthalmology Program. .............................................................................................................. 151
12.4 Additional Representations and Warranties of Capsida as of the Option Bringdown Date. ................................................................................................. 156
12.5 Updated Disclosure Schedule and Bringdown. .................................................. 157
12.6 Mutual Covenants. .............................................................................................. 157
12.7 Additional Covenants of Capsida. ...................................................................... 158
12.8 Additional Representations and Warranties with respect to ALS Cargo and AbbVie Ophthalmology Cargo and AbbVie Obligations; Additional Acknowledgements. ............................................................................................ 160
12.9 Data Privacy and Security. .................................................................................. 161
12.10 DISCLAIMER OF WARRANTIES. .................................................................. 162
12.11 Anti-Bribery and Anti-Corruption Compliance. ................................................. 162