EX-10.11 5 j4094_ex10d11.htm EX-10.11

Exhibit 10.11

COLLATERAL ASSIGNMENT OF
TRADEMARKS, TRADEMARK APPLICATIONS,
PATENTS AND PATENT APPLICATIONS

THIS COLLATERAL ASSIGNMENT OF TRADEMARKS, TRADEMARK APPLICATIONS, PATENTS AND PATENT APPLICATIONS is made as of December 7, 2001 by and among HAUSER, INC., a Delaware corporation, HAUSER TECHNICAL SERVICES, INC., a Delaware Corporation, BOTANICALS INTERNATIONAL EXTRACTS, INC., a Delaware corporation, ZETAPHARM, INC., a New York corporation, (each, an “Assignor” and collectively, the “Assignors”), and Wells Fargo Bank, National Association (the “Assignee”).

W I T N E S S E T H:

WHEREAS, Assignors are the owners of certain trademarks, trademark applications, patents and patent applications listed in Exhibit A attached to this document; and

WHEREAS, Assignors and Assignee have entered into that certain Amended and Restated Credit Agreement dated as of December 7, 2001 (as from time to time amended, modified or supplemented, the “Credit Agreement”), pursuant to which, upon the satisfaction by the Assignors of the terms and conditions contained therein, Assignee will make loans to Assignors; and

WHEREAS, pursuant to the Credit Agreement, Assignors have agreed to grant Assignee a security interest in all of their right, title and interest in and to the trademarks, trademark applications, patents and patent applications described in Exhibit A, and in and to the goodwill symbolized by such trademarks (the “Goodwill”), as collateral security for the Obligations as defined in the Credit Agreement; and

WHEREAS, except as noted on Exhibit A attached to this document, Assignors are the owners of the entire right, title and interest in the trademarks, trademark applications, patents and patent applications being assigned hereby.

NOW, THEREFORE, in consideration of the foregoing and other good and valuable consideration, Assignors hereby:

1.             Assign, pledge and grant to Assignee, as security for the Obligations, a security interest in and to the trademarks, trademark applications, patents and patent applications listed in Exhibit A attached to this document, and to the Goodwill, and a security interest in and to all trademarks, trademark applications, Goodwill, patents and patent applications acquired by Assignors after the date hereof.

 

 

 

2.             Authorize and request the Commissioner of Patents and Trademarks of the United States of America and the empowered officials of all other governments to note in the record the existence of the security interest granted hereunder with respect to each of the trademarks, trademark applications, patents and patent applications listed in Exhibit A attached to this document, and to the Goodwill, and to all trademarks, trademark applications, Goodwill, patents and patent applications acquired by Assignors after the date hereof.

3.             Acknowledge that notices and other communications shall be in writing and given as provided in Section 9.01 of the Credit Agreement. Communications and notices to any Assignor shall be given to it at its address set forth in Exhibit B attached to this document.

4.             Agree upon the request of Assignee and at the expense of Assignors to take any reasonable actions and execute any documents necessary to effectuate this assignment and the security interest created in the trademarks, trademark applications, patents and patent applications listed in Exhibit A to this document.

[Balance of Page Intentionally Left Blank]

 

 

IN WITNESS WHEREOF, Assignors have caused this Assignment to be signed by their respective authorized officers as of the day and year first above written.

 

ASSIGNEE:

 

 

 

WELLS FARGO BANK, NATIONAL

 

ASSOCIATION

 

 

By:

/s/  Art Brokx

 

Name:  Art Brokx

 

Title:  VP

 

 

 

ASSIGNORS:

 

 

 

HAUSER, INC.

 

 

By:

/s/  Kenneth C. Cleveland

 

Name:  Kenneth C. Cleveland

 

Title:  Chief Executive Officer

 

 

 

HAUSER TECHNICAL SERVICES, INC.

 

 

By:

/s/  Thomas W. Hanlon

 

Name:  Thomas W. Hanlon

 

Title:  Secretary and Treasurer

 

 

 

BOTANICALS INTERNATIONAL EXTRACTS, INC.

 

 

By:

/s/  Kenneth C. Cleveland

 

Name:  Kenneth C. Cleveland

 

Title:  Chief Executive Officer

 

 

 

 

ZETAPHARM, INC.

 

 

By:

/s/  Thomas W. Hanlon

 

Name:  Thomas W. Hanlon

 

Title:  Secretary and Treasurer

 

 

 

EXHIBIT A TO COLLATERAL ASSIGNMENT

ISSUED U.S. PATENTS

Title

 

Patent No.

 

Grant Date

 

OXIDATION PRODUCTS OF CEPHALOMANNINE

 

5,336,684

 

8/9/1994

 

 

 

 

 

 

 

ELECTROPLATING OF SUPERCONDUCTOR ELEMENTS

 

5,470,820

 

11/28/1995

 

 

 

 

 

 

 

ELECTROPLATING OF SUPERCONDUCTOR ELEMENTS

 

5,244,875

 

9/14/1993

 

 

 

 

 

 

 

OXIDATION OF GLYCOSIDE SUBSTITUTED TAXANES TO TAXOL OR TAXOL PRECURSORS AND NEW TAXANE COMPOUNDS FORMED AS INTERMEDIATES

 

5,412,116

 

5/2/1995

 

 

 

 

 

 

 

OXIDATION OF CEPHALOMANNINE WITH OZONE IN THE PRESENCE OF TAXOL

 

5,334.732

 

8/2/1994

 

 

 

 

 

 

 

PROCESS FOR SEPARATING CEPHALOMANNINE FROM TAXOL USING OZONE AND WATER-SOLUBLE HYDRAZINES OR HYDRAZIDES

 

5,364,947

 

11/15/1994

 

 

 

 

 

 

 

GIRARD DERIVATIVES OF TAXANES (AS AMENDED)

 

5,792,877

 

8/11/1998

 

 

 

 

 

 

 

PREPARATION OF 10-DEACETYLBACATIN III AND 7-PROTECTED-10-DEACETYLBACCATIN III DERIVATIVES FROM 10-DEACETYLETAXOL A, 10-DEACETYL TAXOL B, AND 10-DEACETYL TAXOL

 

5,449, 790

 

9/12/1995

 

 

 

 

 

 

 

CEPHALOMANNINE EXPOXIDE, ITS ANALOGUES A METHOD FOR PREPARING THE SAME

 

5,892,063

 

4/6/1999

 

 

 

 

 

 

 

7 —HEXANOL YL T AXOL AND METHOD FOR PREPARING THE SAME

 

6,136,988

 

10/24/2000

 

 

 

 

 

 

 

SELECTIVE PROCESS FOR THE DEACETYLATION OF TAXOL AND TAXANES

 

5,629,433

 

5/13/1997

 

 

 

 

 

 

 

PREPARATION OF TAXOL AND DOCETAXEL THROUGH PRIMARY AMINES

 

5,679,807

 

10/21/1997

 

 

 

 

 

Title

 

Patent No.

 

Grant Date

 

PREPARATION OF TAXOL AND DOCETAXEL THROUGH PRIMARY AMINES

 

5,808,113

 

9/15/1998

 

 

 

 

 

 

 

ARTEMISININ DIMER COMPOUNDS HAVING ANTICANCER ACTIVITY

 

5,677,468

 

10/14/1997

 

 

 

 

 

 

 

ARTEMISININ DIMER COMPOUNDS HAVING ANTICANCER ACTIVITY

 

5,856,351

 

1/5/1999

 

 

 

 

 

 

 

TRIOXANE DIMER COMPOUNDS HAVING ANTI PROLIFERATIVE AND ANTITUMOR ACTIVITIES

 

6,004,997

 

12/21/1999

 

 

 

 

 

 

 

STORAGE STABLE, CITRUS-FLAVORED COMPOSITIONS COMPRISING PLANT EXTRACTS

 

6,306,450

 

10/23/2001

 

 

 

 

 

 

 

C-10 CARBON-SUBSTITUTED ARTEMISININ-LiKE TRIOXANE COMPOUNDSHAVING ANTIMALARIAL, ANTIPROLIFERATIVE AND ANTITUMOR ACTIVITIES

 

6,156, 790

 

12/5/2000

 

 

 

 

 

 

 

C-10 CARBON-SUBSTITUTED ARTEMISININ-LiKE TRIOXANE COMPOUNDSHAVING ANTIMALARIAL, ANTI PROLIFERATIVE AND ANTITUMOR ACTIVITIES

 

6,160,004

 

12/12/2000

 

 

 

 

 

 

 

ARTEMISININ ANALOGS HAVING ANTIMALARIAL, ANTIPROLIFERATIVE,AND ANTITUMOR ACTIVITIES AND CHEMOSElECTIVE METHODS OF MAKING THE SAME

 

6,297,272

 

1 0/2/2001

 

 

 

 

 

 

 

HIGH MOLECULAR WEIGHT PRIMARY ALIPHATIC ALCOHOLS OBTAINED FROM BEESWAX AND PHARMACEUTICAL USE THEREOF

 

6,225,354

 

5/1/2001

 

 

 

A - 2

ISSUED EUROPEAN PATENTS

Title

 

Patent No.

 

Grant Date

 

ARTEMISININ DIMERS WITH ANTICANCER ACTIVITY

 

0882037

 

9/12/2001

 

 

 

 

 

 

 

ARTEMISININ DIMERS WITH ANTICANCER ACTIVITY

 

69615220.7-0

 

9/12/2001

 

 

A - 3

PENDING INTERNATIONAL PATENT APPLICATIONS

 

Title

 

Patent No.

 

Grant Date

 

METHOD FOR ISOLATION OF CAFFEINE-FREE CATECHINS FROM GREEN TEA

 

PCT/USOO/00282

 

2/1/2000

 

COMPOSITIONS COMPRISING NATURAL AGENTS FOR TREATMENT OF CANCER

 

PCT/US01/12096

 

4/13/2001

 

COMPOSITIONS COMPRISING ICARISIDE I AND ANHYDROICARITIN AND METHODS FOR MAKING THE SAME

 

PCT/US01/22700

 

7/19/2001

 

EFFICIENT METHOD FOR PRODUCING COMPOSITIONS ENRICHED IN ANTHOCYANINS

 

PCT/US01/27107

 

8/30/2001

 

 

A - 4

PENDING JAPANESE PATENT APPLICATIONS

 

Title

 

Patent No.

 

Grant Date

 

 

 

 

 

 

 

OXIDATION PRODUCTS OF CEPHALOMANNINE

 

524451/94

 

4/25/1994

 

 

 

 

 

 

 

OXIDATION OF GLYCOSIDE SUBSTITUTED TAXANES TO TAXOLORTAXOLPRECURSORS AND NEW TAXANE COMPOUNDS FORMED AS INTERMEDIATES

 

512190/94

 

11/2/1993

 

 

 

 

 

 

 

CEPHALOMANNINE EXPOXIDE, ITS ANALOGUES METHOD FOR PREPARING THE SAME

 

8-527756

 

3/8/1996

 

 

 

 

 

 

 

7-HEXANOL YL TAXOL AND METHODS FOR PREPARING THE SAME

 

2000-543447

 

4/9/1999

 

 

 

 

 

 

 

PREPARATION OF TAXOL AND DOCETAXEL THROUGH PRIMARY AMINES

 

8-523705

 

1/30/1996

 

 

 

 

 

 

 

TRIOXANE DIMERS HAVING ANTIPROLIFERATIVE AND ANTITUMOR ACTIVITIES

 

10-525676

 

12/1/1997

 

 

 

 

 

 

 

STORAGE STABLE, CITRUS-FLAVORED COMPOSITIONS COMPRISING PLANT EXTRACTS

 

11-504963

 

6/23/1998

 

 

 

 

 

 

 

C-10 CARBON-SUBSTITUTED ARTEMISININ-LiKE TRIOXANE COMPOUNDSHA VING ANTIMALARIAL, ANTI PROLIFERATIVE AND ANTITUMOR ACTIVITIES

 

PCT/US98/27717

 

12/30/1998

 

 

A - 5

PENDING OTHER FOREIGN PATENT APPLICATIONS

 

Title

 

Patent No.

 

Grant Date

 

OXIDATION PRODUCTS OF CEPHALOMANNINE

 

2,161,138

 

4/25/1994

 

OXIDATION OF GLYCOSIDE SUBSTITUTED TAXANES TO TAXOL OR TAXOL PRECURSORS AND NEW TAXANE COMPOUNDS FORMED AS INTERMEDIATES

 

2,148,943

 

11/2/1993

 

CEPHALOMANNINE EXPOXIDE, ITS ANALOGUES METHOD FOR PREPARING THE SAME

 

2,214,993

 

3/8/1996

 

7-HEXANOL YL TAXOL AND METHODS FOR PREPARING THE SAME

 

34888/99

 

4/9/1999

 

7-HEXANOL YL TAXOL AND METHODS FOR PREPARING THE SAME

 

2,327,791

 

4/9/1999

 

PREPARATION OF TAXOL AND DOCETAXEL THROUGH PRIMARY AMINES

 

2,211,799

 

1/30/1996

 

ARTEMISININ DIMER COMPOUNDS HAVING ANTICANCER ACTIVITY

 

2,234,731

 

6/27/1996

 

TRIOXANE DIMERS HAVING ANTI PROLIFERATIVE AND ANTITUMOR ACTIVITIES

 

2,273,374

 

12/1/1997

 

STORAGE STABLE, CITRUS-FLAVORED COMPOSITIONS COMPRISING PLANT EXTRACTS

 

2,294,458

 

6/23/1998

 

C-10 CARBON-SUBSTITUTED ARTEMISININ-LIKE TRIOXANE COMPOUNDSHAVING ANTIMALARIAL, ANTI PROLIFERATIVE AND ANTITUMOUR ACTIVITIES

 

20184/99

 

12/30/1998

 

C-10 CARBON-SUBSTITUTED ARTEMISININ-LIKE TRIOXANE COMPOUNDSHAVING ANTIMALARIAL, ANTI PROLIFERATIVE AND ANTITUMOR ACTIVITIES

 

2,317,112

 

12/30/1998

 

ARTEMISININ ANALOGS HAVING ANTIMALARIAL, ANTIPROLIFERATIVE,AND ANTITUMOR ACTIVITIES AND CHEMOSELECTIVE METHODS OF MAKING THE SAME

 

27239/00

 

1/11/2000

 

 

A - 6

 

ARTEMISININ ANALOGS HAVING ANTIMALARIAL, ANTIPROLIFERATIVE,AND ANTITUMOR ACTIVITIES AND CHEMOSELECTIVE METHODS OF MAKING THE SAME

 

XXXXXX

 

1/11/2000

 

 

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ISSUED OTHER FOREIGN PATENTS

 

Title

 

Patent No.

 

Grant Date

 

OXIDATION PRODUCTS OF CEPHALOMANNINE

 

685119

 

4/30/1998

 

PREPARATION OF TAXOL AND DOCETAXEL THROUGH PRIMARY AMINES

 

694,627

 

11/5/1998

 

ARTEMISININ DIMER COMPOUNDS HAVING ANTICANCER ACTIVITY

 

725724

 

10/19/2000

 

TRIOXANE DIMERS HAVING ANTIPROLIFERATIVE AND ANTITUMOR ACTIVITIES

 

730722

 

6/28/2001

 

 

A - 8

PENDING U.S. PATENT APPLICATIONS

 

Title

 

Patent No.

 

Grant Date

 

PROCESS OF CONVERTING OXO-10-DAXT INTO 10-DEACETYL BACCATIN III (CIP)

 

 

 

 

 

PROCESS OF CONVERTING BACCATIN III INTO 10-DEACETYL BACCATIN III

 

 

 

 

 

7-HEXANOYL TAXOL AND METHOD FOR PREPARING THE SAME

 

09/688,753

 

10/16/2000

 

TRIOXANE DIMERS HAVING ANTI PROLIFERATIVE AND ANTITUMOR ACTIVITIES

 

09/717,815

 

11/21/2000

 

STORAGE STABLE, CITRUS-FLAVORED COMPOSITIONS COMPRISING PLANT EXTRACTS

 

not yet assigned

 

10/19/2001

 

HIGH PURITY BETA-CAROTENE AND PROCESS FOR OBTAINING SAME

 

08/864,103

 

5/28/1997

 

ARTEMISININ ANALOGS HAVING ANTIMALARIAL, ANTIPROLIFERATIVE,AND ANTITUMOR ACTIVITIES AND CHEMOSELECTIVE METHODS OF MAKING THE SAME

 

09/887,922

 

6/22/2001

 

COMPOSITIONS COMPRISING NATURAL AGENTS FOR TREATMENT OF CANCER

 

09/550,436

 

4/17/2000

 

COMPOSITIONS COMPRISING ICARISIDE I AND ANHYDROICARITIN ANDMETHODS FOR MAKING THE SAME

 

09/638,367

 

8/15/2000

 

EFFICIENT METHOD FOR PRODUCING COMPOSITIONS ENRICHED IN ANTHOCYANINS

 

09/943, 158

 

8/30/2001

 

HIGH MOLECULAR WEIGHT PRIMARY ALIPHATIC ALCOHOLS OBTAINED FROM NATURAL PRODUCTS AND USES THEREOF

 

09/845,043

 

4/27/2001

 

HIGH MOLECULAR WEIGHT PRIMARY ALIPHATIC ALCOHOLS OBTAINED FROM NATURAL PRODUCTS AND USES THEREOF

 

09/949,285

 

9/7/2001

 

 

A - 9

PENDING EUROPEAN PATENT APPLICATIONS

Title

 

Patent No.

 

Grant Date

 

OXIDATION OF GLYCOSIDE SUBSTITUTED TAXANES TO TAXOL ORTAXOL PRECURSORS AND NEW TAXANE COMPOUNDS FORMED AS INTERMEDIATES

 

94900515.1

 

11/2/1993

 

7 —HEXANOL YL T AXOL AND METHODS FOR PREPARING THE SAME

 

99916599.6

 

4/9/1999

 

PREPARATION OF TAXOL AND DOCETAXEL THROUGH PRIMARY AMINES

 

96907021.8

 

1/30/1996

 

TRIOXANE DIMERS HAVING ANTI PROLIFERATIVE AND ANTITUMOR ACTIVITIES

 

97949655.1

 

12/1/1997

 

STORAGE STABLE, CITRUS-FLAVORED COMPOSITIONS COMPRISING PLANT EXTRACTS

 

98929112.5

 

6/23/1998

 

C-10 CARBON-SUBSTITUTED ARTEMISININ-LIKE TRIOXANE COMPOUNDSHA VING ANTIMALARIAL, ANTI PROLIFERATIVE AND ANTITUMOR ACTIVITIES

 

98964977.7

 

12/30/1998

 

PROCESS FOR REMOVING IMPURITIES FROM NATURAL PRODUCT EXTRACTS

 

99956616.9-

 

10/20/1999

 

ARTEMISININ ANALOGS HAVING ANTIMALARIAL, ANTIPROLIFERATIVE,AND ANTITUMOR ACTIVITIES AND CHEMOSElECTIVE METHODS OF MAKING THE SAME

 

00905584.9

 

1/11/2000

 

 

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REGISTERED TRADEMARKS

European Union

 

 

 

 

 

 

 

 

 

 

 

Mark

 

Number

 

Registration Date

 

NATURAL RATIO (Classes: 05)

 

001417674

 

02/14/01

 

 

PENDING TRADEMARKS

United States

 

 

 

 

 

 

 

 

 

 

 

Mark

 

Number

 

Filing Date

 

APISOL (Classes: 05)

 

76-193748

 

01/12/01

 

 

 

 

 

 

 

BIOENHANCE (Classes: 05)

 

76-193420

 

01/12/01

 

 

 

 

 

 

 

INVIGORA (Classes: 05)

 

76-089302

 

07/14/00

 

 

 

 

 

 

 

NATURAL RATIO (Classes: 05)

 

75-726748

 

06/11/99

 

 

 

 

 

 

 

NATURAL RATIO (Classes: 42)

 

75-726749

 

06/11/99

 

 

 

 

 

 

 

PREVENTIA (Classes: 05)

 

76-089329

 

07/14/00

 

 

NYC1 #431294 v1

 

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