<PAGE> 1
FORM 10-Q
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
(Mark One)
[X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended March 31, 2000 .
-------------------------------------------------
OR
[ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
For the transition period from ______________ to _____________________.
Commission file number 0-15190
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OSI Pharmaceuticals, Inc.
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(Exact name of registrant as specified in its charter)
Delaware 13-3159796
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(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification No.)
106 Charles Lindbergh Boulevard, Uniondale, New York 11553
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(Address of principal executive offices) (Zip Code)
516-222-0023
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(Registrant's telephone number, including area code)
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(Former name, former address and former fiscal year,
if changed since last report.)
Indicate by check mark whether the registrant (1) has filed all reports required
to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during
the preceding 12 months (or for such shorter period that the registrant was
required to file such reports), and (2) has been subject to such filing
requirements for the past 90 days. Yes X No
------ ------
APPLICABLE ONLY TO CORPORATE ISSUERS:
At April 30, 2000 the registrant had outstanding 26,419,659 shares of common
stock, $.01 par value.
<PAGE> 2
OSI PHARMACEUTICALS, INC. AND SUBSIDIARIES
CONTENTS
<TABLE>
<CAPTION>
Page No.
--------
<S> <C>
PART I - FINANCIAL INFORMATION.................................................. 1
Item 1. Financial Statements
Consolidated Balance Sheets
- March 31, 2000 (unaudited) and September 30, 1999................... 1
Consolidated Statements of Operations
- Three months ended March 31, 2000 and 1999 (unaudited).............. 2
Consolidated Statements of Operations
- Six months ended March 31, 2000 and 1999 (unaudited)................ 3
Consolidated Statements of Cash Flows
- Six months ended March 31, 2000 and 1999 (unaudited)................ 4
Notes to Consolidated Financial Statements (unaudited)................ 5
Item 2. Management's Discussion and Analysis of Financial
Condition and Results of Operations................................... 11
Item 3. Quantitative and Qualitative Disclosures about Market Risk............ 15
PART II - OTHER INFORMATION..................................................... 16
Item 1. Legal Proceedings..................................................... 16
Item 2. Changes in Securities and Use of Proceeds............................. 16
Item 3. Defaults Upon Senior Securities....................................... 16
Item 4. Submission of Matters to a Vote of Security Holders................... 16
Item 5. Other Information..................................................... 17
Item 6. Exhibits and Reports on Form 8-K...................................... 18
SIGNATURES...................................................................... 19
EXHIBIT INDEX................................................................... 20
</TABLE>
i
<PAGE> 3
PART I. FINANCIAL INFORMATION
ITEM 1. FINANCIAL STATEMENTS
OSI PHARMACEUTICALS, INC. AND SUBSIDIARIES
CONSOLIDATED BALANCE SHEETS
<TABLE>
<CAPTION>
March 31, September 30,
2000 1999
------------- -------------
Assets (unaudited)
- ------
<S> <C> <C>
Current assets:
Cash and cash equivalents.................................................... $ 76,295,360 $ 8,863,887
Investment securities........................................................ 10,249,963 9,997,967
Receivables, including amounts due from related parties of $363,580 at
September 30, 1999 and trade receivables of $93,898 and $236,067 at
March 31, 2000 and September 30, 1999, respectively....................... 844,479 1,033,917
Receivable from sale of Anaderm common stock................................. - 3,645,136
Interest receivable.......................................................... 237,431 171,340
Grants receivable............................................................ 103,483 343,509
Prepaid expenses and other................................................... 1,445,907 1,088,318
------------------- ------------------
Total current assets...................................................... 89,176,623 25,144,074
------------------- ------------------
Property, equipment and leasehold improvements - net......................... 9,136,128 10,915,589
Compound library assets - net................................................ 3,263,991 4,197,085
Other assets................................................................. 97,608 374,288
Intangible assets - net...................................................... 1,153,157 6,400,292
------------------- ------------------
$ 102,827,507 $ 47,031,328
=================== ==================
Liabilities and Stockholders' Equity
- ------------------------------------
Current liabilities:
Accounts payable and accrued expenses........................................ $ 5,369,551 $ 5,229,672
Unearned revenue - current, including amounts received in advance
from related parties of $699,761 and $524,636, as of March 31, 2000
and September 30, 1999, respectively 1,432,889 5,185,410
Loans payable - current...................................................... 166,656 166,656
------------------- ------------------
Total current liabilities................................................. 6,969,096 10,581,738
------------------- ------------------
Other liabilities:
Unearned revenue - long-term, all relating to related parties................ 369,048 404,762
Loans payable - long-term.................................................... 194,464 277,791
Deferred acquisition costs................................................... 345,778 711,037
Accrued postretirement benefit cost.......................................... 1,609,622 1,691,054
------------------- ------------------
Total liabilities......................................................... 9,488,008 13,666,382
------------------- ------------------
Stockholders' equity:
Preferred stock, $.01 par value; 5,000,000 shares authorized, no shares
issued at March 31, 2000 and September 30, 1999............................ - -
Common stock, $.01 par value; 50,000,000 shares authorized, 27,349,300
and 22,404,096 shares issued at March 31, 2000 and September 30,
1999, respectively......................................................... 273,493 224,041
Additional paid-in capital................................................... 166,963,905 105,173,158
Accumulated deficit.......................................................... (66,941,726) (65,640,618)
Accumulated other comprehensive losses ...................................... (523,471) (333,933)
------------------- ------------------
99,772,201 39,422,648
Less: treasury stock, at cost; 939,641 and 865,386 shares at March 31,
2000 and September 30, 1999, respectively .................................... (6,432,702) (6,057,702)
------------------- ------------------
Total stockholders' equity................................................ 93,339,499 33,364,946
------------------- ------------------
Commitments and contingencies
$ 102,827,507 $ 47,031,328
=================== ==================
</TABLE>
See accompanying notes to unaudited consolidated financial statements.
-1-
<PAGE> 4
OSI PHARMACEUTICALS, INC. AND SUBSIDIARIES
CONSOLIDATED STATEMENTS OF OPERATIONS
(UNAUDITED)
<TABLE>
<CAPTION>
Three Months Ended
March 31,
---------
2000 1999
---- ----
<S> <C> <C>
Revenues:
Collaborative program revenues,
principally from related parties............................. $ 5,836,654 $ 4,048,406
Sales of products and services.................................. 55,597 287,467
Other research revenue.......................................... 103,482 278,439
License revenue................................................. 100,000 2,000,000
------------------- ------------------
6,095,733 6,614,312
------------------- ------------------
Expenses:
Research and development........................................ 8,884,403 5,163,500
Production and service costs.................................... 249,680 485,742
Selling, general and administrative............................. 2,055,913 1,926,704
Amortization of intangibles..................................... 185,473 365,185
------------------- ------------------
11,375,469 7,941,131
------------------- ------------------
Loss from operations.......................... (5,279,736) (1,326,819)
Other income (expense):
Net investment income .......................................... 478,138 215,348
Other expense - net............................................. (15,236) (10,969)
------------------- --------------------
Net loss........................................................... $ (4,816,834) $ (1,122,440)
=================== ===================
Weighted average number of shares of
common stock outstanding 23,439,644 21,420,332
=================== ==================
Basic and diluted net loss per weighted average
share of common stock outstanding $ (.21) $ (.05)
=================== ===================
</TABLE>
See accompanying notes to unaudited consolidated financial statements.
-2-
<PAGE> 5
OSI PHARMACEUTICALS, INC. AND SUBSIDIARIES
CONSOLIDATED STATEMENTS OF OPERATIONS
(UNAUDITED)
<TABLE>
<CAPTION>
Six Months Ended
March 31,
---------
2000 1999
---- ----
<S> <C> <C>
Revenues:
Collaborative program revenues,
principally from related parties........................ $ 11,835,738 $ 8,040,684
Technology access fee..................................... 3,500,000 -
Sales of products and services............................ 309,760 598,417
Other research revenue.................................... 193,940 579,354
License revenue........................................... 125,000 2,050,000
------------------- ------------------
15,964,438 11,268,455
------------------- ------------------
Expenses:
Research and development.................................. 17,255,314 9,886,988
Production and service costs.............................. 471,419 851,150
Selling, general and administrative....................... 3,933,134 3,528,485
Amortization of intangibles............................... 498,814 730,370
------------------- ------------------
22,158,681 14,996,993
------------------- ------------------
Loss from operations.................... (6,194,243) (3,728,538)
Other income (expense):
Net investment income..................................... 1,201,860 446,666
Other expense - net....................................... (54,569) (32,733)
Gain on sale of diagnostics business...................... 3,745,844 -
------------------- ------------------
Net loss...................................................... $ (1,301,108) $ (3,314,605)
=================== ===================
Weighted average number of shares of
common stock outstanding 22,489,198 21,411,174
=================== ==================
Basic and diluted net loss per weighted average
share of common stock outstanding $ (.06) $ (.15)
=================== =================
</TABLE>
See accompanying notes to unaudited consolidated financial statements.
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<PAGE> 6
OSI PHARMACEUTICALS, INC. AND SUBSIDIARIES
CONSOLIDATED STATEMENTS OF CASH FLOWS
(UNAUDITED)
<TABLE>
<CAPTION>
Six Months Ended
March 31,
---------
2000 1999
---- ----
<S> <C> <C>
Cash flows from operating activities:
Net loss.................................................................... $ (1,301,108) $ (3,314,605)
Adjustments to reconcile net loss to net cash used in operating
activities:
Gain on sale of diagnostics business.................................. (3,745,844) -
Gain on sale of investments........................................... (487,594) -
Loss on sale of equipment and leasehold improvements.................. 60,547 -
Depreciation and amortization......................................... 1,466,159 978,872
Amortization of library assets........................................ 933,094 874,820
Amortization of intangibles assets.................................... 498,814 730,370
Accretion of deferred acquisition costs............................... 9,741 20,061
Changes in assets and liabilities, net of the effects of the sale of
diagnostics business:
Receivables........................................................... 3,830,055 (985,351)
Interest receivable................................................... (66,091) 125,663
Grants receivable..................................................... 240,026 51,063
Prepaid expenses and other............................................ (373,670) 37,298
Other assets.......................................................... 12,300 23,970
Accounts payable and accrued expenses................................. 209,460 (1,269,248)
Unearned revenue...................................................... (3,571,190) (346,497)
Accrued postretirement benefit cost................................... 150,000 120,000
-------------------- ------------------
Net cash used in operating activities........................................... (2,135,301) (2,953,584)
-------------------- -------------------
Cash flows from investing activities:
Net proceeds from sale of diagnostics business.............................. 8,636,104 -
Proceeds from sale of equipment and leasehold improvements.................. 375,000 -
Purchases of investments.................................................... (1,329,596) (7,289,636)
Maturities and sales of investments......................................... 1,737,599 12,122,970
Additions to property, equipment and leasehold improvements................. (827,159) (545,113)
-------------------- -------------------
Net cash provided by investing activities ...................................... 8,591,948 4,288,221
-------------------- ------------------
Cash flows from financing activities:
Net proceeds from issuance of common stock.................................. 52,802,259 -
Proceeds from exercise of stock options, employee stock
purchase plan, and other.................................................. 8,662,940 121,090
Payments on loan payable.................................................... (83,327) (35,905)
Purchase of treasury stock ................................................. (375,000) -
-------------------- -------------------
Net cash provided by financing activities....................................... 61,006,872 85,185
-------------------- ------------------
Net increase in cash and cash equivalents....................................... 67,463,519 1,419,822
Effect of exchange rate changes on cash and cash equivalents ................... (32,046) (53,814)
Cash and cash equivalents at beginning of period................................ 8,863,887 11,315,166
------------------- -------------------
Cash and cash equivalents at end of period ..................................... $ 76,295,360 $ 12,681,174
=================== ===================
Non-cash activities:
Issuance of common stock in satisfaction of deferred acquisition costs...... $ 375,000 $ -
=================== ==================
</TABLE>
See accompanying notes to unaudited consolidated financial statements.
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<PAGE> 7
OSI PHARMACEUTICALS, INC. AND SUBSIDIARIES
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS
(UNAUDITED)
(1) Basis of Presentation
In the opinion of management, the accompanying unaudited consolidated financial
statements contain all adjustments (consisting of only normal recurring
accruals) necessary to present fairly the financial position of OSI
Pharmaceuticals, Inc. and its subsidiaries, collectively referred to as the
Company, as of March 31, 2000 and September 30, 1999, their results of
operations for the three and six months ended March 31, 2000 and 1999 and their
cash flows for the six months ended March 31, 2000 and 1999. Certain
reclassifications have been made to the prior period consolidated financial
statements to conform them to the current presentation.
It is recommended that these consolidated financial statements be read in
conjunction with the consolidated financial statements and notes thereto in the
Company's annual report on Form 10-K, as amended, for the fiscal year ended
September 30, 1999. Results for interim periods are not necessarily indicative
of results for the entire year.
(2) Revenue Recognition
Collaborative revenues represent funding arrangements for the conduct of
research and development in the field of biotechnology and are recognized when
earned in accordance with the terms of the contracts and the related development
activities undertaken. Other research revenues are recognized pursuant to the
terms of grants, which provide reimbursement of certain expenses related to the
Company's other research and development activities. Collaborative and other
research revenues are accrued for expenses incurred in advance of the
reimbursement and deferred for cash payments received in advance of
expenditures. Such deferred revenues are recorded as revenue when earned.
License revenue includes patent license fees, maintenance fees and milestone
payments. Patent license fees received upon the signing of an agreement are
generally recognized upon the inception of the license term. Maintenance fees
are recognized as revenue in the period stipulated in the license agreements.
All related milestone and royalty payments are recognized as revenue when earned
in accordance with the terms of the corresponding agreement.
License revenue for the six months ended March 31, 2000 represented a $100,000
patent license fee received pursuant to the R.W. Johnson Research Institute
agreement and $25,000 of maintenance fees from another licensee.
-5-
<PAGE> 8
OSI PHARMACEUTICALS, INC. AND SUBSIDIARIES
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS (CONTINUED)
(UNAUDITED)
(3) Comprehensive Loss
In October 1998, the Company adopted Statement of Financial Accounting Standards
130, "Reporting Comprehensive Income", or SFAS 130. SFAS 130 establishes rules
for the reporting and display of comprehensive income and its components. SFAS
130 requires unrealized gains or losses on the Company's available-for-sale
securities (referred to as investment securities on the accompanying unaudited
consolidated balance sheets) and foreign currency translation adjustments, which
prior to adoption were reported separately in stockholders' equity, to be
included in other comprehensive income (loss).
Comprehensive loss for the three months ended March 31, 2000 and 1999 was as
follows:
<TABLE>
<CAPTION>
2000 1999
---- ----
<S> <C> <C>
Net loss $ (4,816,834) $ (1,122,440)
Other comprehensive loss:
Foreign currency translation adjustments (57,215) (86,378)
Unrealized holding losses arising during
period (43,230) (67,090)
------------------ -----------------
(100,445) (153,468)
------------------ -----------------
Total comprehensive loss $ (4,917,279) $ (1,275,908)
================= =================
</TABLE>
Comprehensive loss for the six months ended March 31, 2000 and 1999 was as
follows:
<TABLE>
<CAPTION>
2000 1999
---- ----
<S> <C> <C>
Net loss $ (1,301,108) $ (3,314,605)
Other comprehensive loss:
Foreign currency translation adjustments (111,938) (167,770)
Unrealized holding losses arising during
period (77,600) (100,750)
---------------- ----------------
(189,538) (268,520)
---------------- ----------------
Total comprehensive loss $ (1,490,646) $ (3,583,125)
================ ================
</TABLE>
-6-
<PAGE> 9
OSI PHARMACEUTICALS, INC. AND SUBSIDIARIES
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS (CONTINUED)
(UNAUDITED)
The components of accumulated other comprehensive losses were as follows:
<TABLE>
<CAPTION>
March 31, September 30,
2000 1999
---- ----
<S> <C> <C>
Cumulative foreign currency translation
adjustment $ (279,241) $ (167,303)
Unrealized losses on available-for-sale securities (244,230) (166,630)
------------- --------------
Accumulated other comprehensive losses $ (523,471) $ (333,933)
============= ==============
</TABLE>
(4) Cross-License with American Home Products Corporation and
American Cyanamid Company
Effective January 3, 2000, the Company entered into a worldwide, non-exclusive
cross license agreement with American Home Products Corporation and American
Cyanamid Company involving the Company's gene transcription patent estate and
patents covering yeast screening technologies developed by American Cyanamid.
The agreement provides the Company access to American Cyanamid's technology
covered in four issued U.S. patents which include claims for recombinant
expression of a variety of targets in yeast, including G-protein coupled
receptors, or GPCRs, hybrid GPCRs and orphan receptors for use in human
therapeutics. The agreement also allows American Cyanamid to retain exclusive
rights to the use of the Company's GPCR technologies in the agricultural field.
The duration of each license is to be coextensive with the life of the last to
expire of the patents underlying each license.
(5) License from Cadus Pharmaceutical Corporation
Effective February 15, 2000, Cadus Pharmaceutical Corporation granted to the
Company a non-exclusive, royalty-free, worldwide right and license (without the
right to sublicense) to use and practice Cadus' technology and patents involving
Cadus' yeast GPCR patent estate; to access various reagents; to use a library of
over 30,000 yeast strains; and to use Cadus' proprietary bi-informatics software
for the mining of genomic databases. Under the license agreement, the Company
may practice the Cadus technology and patents with third parties under
collaborative research programs so long as Company personnel conduct such
research at the Company's facilities. The cost of the license was $700,000 and
has been recorded in research and development expense in the accompanying
unaudited consolidated statement of operations for the three-month period ended
March 31, 2000. As part of this licensing arrangement, Cadus granted to the
Company a non-exclusive, non-transferable license to the use of certain of
Cadus' software related to its technology.
-7-
<PAGE> 10
OSI PHARMACEUTICALS, INC. AND SUBSIDIARIES
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS (CONTINUED)
(UNAUDITED)
(6) Private Placement
On February 28, 2000, the Company sold 3.325 million newly-issued shares of its
common stock to a select group of institutional investors for net proceeds of
approximately $53 million. The Company intends to use the proceeds from this
private placement to advance its research and development programs, particularly
its GPCR-directed drug development and functional genomics programs and its
proprietary cancer discovery programs, as well as for commercial development and
other general corporate purposes. The Company agreed to register the resale of
the shares of common stock issued in the private placement, and has filed a
registration statement on Form S-3 with the Securities and Exchange Commission
which has not yet become effective.
(7) Consolidation of Facilities
During fiscal 1999, the Company made the strategic decision to close down its
facilities in North Carolina and to consolidate its natural products operations
into its Tarrytown facility in New York. This close down occurred on March 31,
2000. The fungal extract libraries and certain equipment from the North Carolina
facility were relocated to the Tarrytown facility while a small facility is
being maintained in North Carolina. None of the employees in the North Carolina
facility will be relocating. Under the plan of relocation, 16 research and
administrative employees have received a severance package which included
continued payments of four months salary plus four months health insurance. The
Company has hired replacement staff at the Tarrytown facility. The Company
accrued an estimate of $535,000 for the estimated cost of closing this facility,
which is included in accrued expenses as of September 30, 1999. Over the six
months ended March 31, 2000, the Company incurred approximately $196,000 in
severance, relocation, and subleasing-related costs, including a $61,000 loss
resulting from the assumption of a lease and related leasehold improvements by a
third party. As of March 31, 2000, the Company has approximately $339,000
remaining in its accrual, and, by the end of the fiscal year, expects to use an
estimated $250,000 for severance costs, and the balance for other
facility-closing related costs.
(8) Sale of Diagnostics Business
On November 30, 1999, the Company completed the sale of assets of its
diagnostics business to The Bayer Corporation including the assets of the
Company's wholly-owned U.S. subsidiary, Oncogene Science Diagnostics, Inc., or
OSDI, based in Cambridge, Massachusetts. The assets sold include certain
contracts, equipment and machinery, files and records, intangible assets,
intellectual property, inventory, prepaid expenses and other assets primarily
related to the operations of the Company's diagnostics business. The Company
recorded a gain on the sale of approximately $3.7 million during the quarter
ended December 31, 1999. The net gain was calculated as follows (in thousands):
-8-
<PAGE> 11
OSI PHARMACEUTICALS, INC. AND SUBSIDIARIES
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS (CONTINUED)
(UNAUDITED)
<TABLE>
<CAPTION>
<S> <C>
Cash received from Bayer $9,151
Accrued expenses assumed by Bayer 599
Net book value of fixed assets sold (611)
Net book value of patent costs (intangibles) (4,748)
Professional and legal fees incurred (172)
Commission costs paid (315)
Other related costs (158)
--------
Gain on sale of diagnostics business $3,746
======
</TABLE>
In connection with the sale, the Company and OSDI entered into certain
agreements with Bayer including an assignment and assumption of the lease with
respect to the OSDI facility located in Cambridge to Bayer and certain patent
assignment and license agreements. Certain employees of the Company and OSDI
entered into employment agreements with Bayer. Under the terms of the agreement,
Bayer may make additional contingent payments of $1.25 million if certain
conditions are met in the future.
(9) Collaborative Research and License Agreement with Tanabe Seiyaku
Co., Ltd.
As more fully discussed in Note 5(c) to the Company's consolidated
financial statements in the Company's annual report on Form 10-K, as amended,
for the fiscal year ended September 30, 1999, the Company entered into a
Collaborative Research and License Agreement, effective as of October 1, 1999,
with Tanabe Seiyaku Co., Ltd. The collaboration is focused on discovering and
developing novel pharmaceutical products to treat diabetes. The agreement is for
a term of four years, with the option to extend for an additional two-year
period. Tanabe, however, has the right to terminate the agreement after two
years under certain circumstances. On the effective date of the agreement,
Tanabe was required to pay the Company a non-refundable technology access fee of
$3.5 million and to fund the Company's research and development activities
during the term of the agreement. On September 28, 1999, the Company received
$4,312,500 from Tanabe, which represented advanced funding of the technology
access fee of $3.5 million and research funding of $812,500 for the first
quarter of fiscal year 2000. This amount had been recorded in unearned revenue
in the accompanying consolidated balance sheet as of September 30, 1999 and has
been fully recognized as revenue over the first six months of fiscal year 2000.
During the first quarter ended December 31, 1999, the Company recognized as
revenue the technology access fee of $3.5 million in accordance with its
accounting policy. Under the agreement, the Company is responsible for
identification of targets (subject to Tanabe's approval), assay development,
screening of compounds from the Company's library and Tanabe's library against
identified targets, identification of seed compounds meeting certain criteria
specified in the agreement, optimization of such seed compounds, and
identification of lead compounds meeting certain criteria specified in the
agreement. Tanabe maintains responsibility for further development and marketing
of a lead compound in exchange for milestone and royalty payments to the
Company. Concurrent with execution of the Tanabe agreement, the Company and
Tanabe entered into an Amended and Restated Collaborative Research, License, and
-9-
<PAGE> 12
OSI PHARMACEUTICALS, INC. AND SUBSIDIARIES
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS (CONTINUED)
(UNAUDITED)
Alliance Agreement with Vanderbilt University. Vanderbilt will assist the
Company in fulfilling its obligations under the Tanabe/OSI research program by
providing access to Vanderbilt's drug discovery resources, including
laboratories and assays. During the quarter ended December 31, 1999, the Company
paid a one-time success fee of $500,000 to Vanderbilt as well as other direct
costs of $250,000 in connection with the Company entering into the Tanabe
agreement, both amounts of which are included in research and development
expenses in the accompanying unaudited statement of operations for the six
months ended March 31, 2000.
(10) Staff Accounting Bulletin No. 101
On December 3, 1999, the Securities and Exchange Commission, or SEC, issued
Staff Accounting Bulletin No. 101, "Revenue Recognition in Financial
Statements," or SAB No. 101. SAB No. 101 provides the SEC staff's views on the
recognition of revenue including nonrefundable technology access fees received
by biotechnology companies in connection with research collaborations with third
parties. SAB No. 101 states that in certain circumstances the SEC staff believes
that up-front fees, even if nonrefundable, should be deferred and recognized
systematically over the term of the research arrangement. SAB No. 101 requires
registrants to adopt the accounting guidance contained therein by no later than
the first fiscal quarter of the fiscal year beginning after December 15, 1999
(fiscal year ending September 30, 2001 for the Company). The Company is
currently assessing the requirements of SAB No. 101, particularly as it relates
to the technology access fee from Tanabe recognized in the first quarter of
fiscal year 2000. The Company will not retroactively restate prior period
financial statements but rather report the effect, if any, of adopting the
provisions of the SAB as a change in accounting principle as of October 1, 2000
in accordance with APB No. 20.
(11) Adoption of the 1999 Incentive and Non-Qualified Stock Option Plan
On June 23, 1999, the Board of Directors adopted the 1999 Incentive and
Non-Qualified Stock Option Plan which was approved by the stockholders at the
annual meeting of stockholders on March 15, 2000. Under the plan, the Company
may grant incentive stock options and non-qualified stock options. Participation
in the plan is limited to directors, officers, employees and consultants of the
Company or a parent or subsidiary of the Company. The plan also continues
the automatic, formula-based grants of non-qualified stock options to
directors who are not employees of the Company. The Company has reserved
2,000,000 shares of its common stock for issuance pursuant to the exercise of
options granted under the plan.
-10-
<PAGE> 13
ITEM 2. MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND
RESULTS OF OPERATIONS FOR THE THREE AND SIX MONTHS ENDED MARCH 31,
2000 AND 1999
REVENUES
Revenues for the three and six months ended March 31, 2000 were approximately
$6.1 million and $16.0 million, respectively, representing a decrease of $0.5
million or 8% and an increase of $4.7 million or 42%, respectively, compared to
revenues of $6.6 million and $11.3 million for the three and six months ended
March 31, 1999, respectively. Collaborative research and development agreements
with Pfizer Inc., Anaderm Research Corporation, Aventis Pharmaceuticals Inc.
(formerly Hoechst Marion Roussel, Inc.), Sankyo Company Ltd., Tanabe Seiyaku
Co., Ltd., and Solvay Pharmaceuticals, B.V. accounted for substantially all of
the Company's collaborative program revenues. Total collaborative revenues of
$5.8 million and $11.8 million for the three and six months ended March 31,
2000, respectively, increased approximately $1.8 million or 44% and $3.8 million
or 47%, respectively, compared to the three and six months ended March 31, 1999.
The three and six-month increases were primarily due to increased funding for
the Pfizer/Anaderm program for the discovery and development of cosmeceuticals.
The balance of the increase resulted from a research agreement with Solvay,
assumed by the Company on July 30, 1999 with the acquisition of certain assets
from Cadus Pharmaceutical Corporation, and a collaborative research agreement
with Tanabe, initiated on October 1, 1999. The Solvay program is directed toward
G-protein coupled receptor, or GPCR, drug discovery, and the Tanabe program is
directed toward the discovery and development of small molecule drugs for the
treatment of non-insulin dependent, or Type 2, diabetes mellitus. Increases in
collaborative revenues for the three and six-month periods were partially offset
by the termination of the diagnostics collaboration with The Bayer Corporation
upon the sale of the Company's diagnostics business to Bayer in November 1999,
as more fully described in Note 8 to the accompanying unaudited consolidated
financial statements, and, to a lesser extent, the conclusion of the Company's
funded collaborative research agreement with Helicon Therapeutics, Inc. in June
1999.
The Company recognized a technology access fee of $3.5 million in October 1999
from Tanabe in conjunction with the new collaborative research agreement, as
more fully described in Note 9 to the accompanying unaudited consolidated
financial statements.
Sales of products and services derived from pharmaceutical services of the
Company's UK subsidiary, OSI Pharmaceuticals, UK Ltd., or OSI-UK (formerly known
as Aston Molecules Ltd.), and from diagnostic sales of the Company's U.S.
subsidiary, Oncogene Science Diagnostics Inc., or OSDI, decreased approximately
$232,000 or 81% and $289,000 or 48% for the three and six months ended March
31, 2000, respectively, compared to the three and six months ended March 31,
1999. The decreases were due to a shift in focus of pharmaceutical services from
external sales to internal programs and to the sale of the Company's diagnostics
business to Bayer in November 1999.
-11-
<PAGE> 14
Other research revenues, representing primarily government grants and other
research grants, decreased $175,000 or 63% and $385,000 or 67% for the three and
six months ended March 31, 2000, respectively, compared to the three and six
months ended March 31, 1999. The decreases were due to a reduction in the number
of government grant applications submitted, in an effort to focus the Company's
research and development resources on a smaller number of targets.
License revenues decreased $1.9 million or 95% and $1.925 million or 94% for the
three and six months ended March 31, 2000, respectively, compared to the three
and six months ended March 31, 1999. The decreases were primarily due to the
receipt of a license fee of $2 million from BioChem Pharma, Inc. during the six
months ended March 31, 1999. License revenues for the six months ended March 31,
2000 represented a patent license fee of $100,000 paid by R.W. Johnson Research
Institute and maintenance fees of $25,000 from another licensee.
EXPENSES
Operating expenses increased approximately $3.4 million or 43% and $7.2 million
or 48% for the three and six months ended March 31, 2000, respectively, compared
to the three and six months ended March 31, 1999. Research and development
expenses for the three and six-month periods increased $3.7 million or 72% and
$7.4 million or 75%, respectively, compared to the three and six months ended
March 31, 1999. The increases were related, in part, to the acquisition of
certain assets from Cadus on July 30, 1999, which included the assumption of
operations of Cadus' fully-equipped research facility in Tarrytown, New York and
the retention of 47 employees. The Company has increased its investment in its
proprietary drug discovery programs and expects to continue to do so in the
future. This includes its GPCR-directed drug discovery programs which were
included in the Cadus asset acquisition, as well as its proprietary cancer
program. The Company also expanded its collaboration with Anaderm for the
discovery and development of novel compounds to treat pigmentation disorders,
wrinkles and baldness which included the expansion of the Company's medicinal
chemistry facility at OSI-UK to accommodate increased chemistry efforts.
Increases in research and development expenses were also attributable to the
initiation of the agreement with Tanabe. The following also contributed to the
increase in research and development expenses: (i) the Company's payment of
$700,000 in February 2000 to Cadus for the non-exclusive, royalty-free worldwide
right and license to use and practice Cadus' technology and patents involving
Cadus' GPCR patent estate, as more fully described in Note 5 to the accompanying
unaudited consolidated financial statements; and (ii) a one-time fee of $500,000
paid to Vanderbilt University in October 1999 in respect of the Company entering
into the research agreement with Tanabe.
Production and service costs decreased approximately $236,000 or 49% and
$380,000 or 45% for the three and six months ended March 31, 2000, respectively,
compared to the three and six months ended March 31, 1999. The decreases were
primarily related to the sale of the Company's diagnostics business to Bayer in
November 1999.
-12-
<PAGE> 15
Selling, general and administrative expenses for the three and six months ended
March 31, 2000 increased by $129,000 or 7% and $405,000 or 11%, respectively,
compared to the three and six months ended March 31, 1999. The increases were
primarily related to the additional administration expenses associated with the
acquired operations in Tarrytown, New York from the Cadus asset acquisition, the
expansion of the chemistry facility at OSI-UK, and the Company's current
corporate development activities.
Amortization of intangibles for the three and six months ended March 31, 2000
decreased $180,000 or 49% and $232,000 or 32%, respectively, compared to the
three and six months ended March 31, 1999. The decreases were related to the
inclusion of the Company's diagnostic patent estate in the sale of the
diagnostics business to Bayer, which eliminated the related amortization expense
effective November 30, 1999.
OTHER INCOME AND EXPENSE
Net investment income increased approximately $263,000 or 122% and $755,000 or
169% for the three and six months ended March 31, 2000, respectively, compared
to the three and six months ended March 31, 1999. This increase is largely due
to investment of the approximately $9 million of net proceeds from the Company's
sale of its diagnostics assets to Bayer in November 1999 and the approximately
$53 million of net proceeds from the private sale of the Company's common stock
in February 2000, as more fully described in Note 6 of the accompanying
unaudited consolidated financial statements.
LIQUIDITY AND CAPITAL RESOURCES
At March 31, 2000, the Company had cash, cash equivalents and investment
securities of approximately $86.5 million compared to $18.9 million at September
30, 1999. This increase resulted primarily from: (i) the closing of a private
placement of 3,325,000 shares of common stock in February 2000, for net proceeds
of approximately $53 million; (ii) the exercise of options for approximately
1,400,000 shares of common stock by management and employees during the three
months ended March 31, 2000, for net proceeds to the Company of approximately $9
million; and (iii) cash received from the sale of the Company's diagnostics
business in November 1999, for approximately $9 million.
The Company intends to use its greater cash resources to expand its internal
proprietary drug discovery programs including the early clinical development of
selected drug candidates and to enhance its drug discovery technology. The
Company believes that the anticipated funding from its collaborative research
programs and its existing cash resources will be sufficient to support its
operations in the foreseeable future.
The Company anticipates incurring additional losses over at least the next
several years as it increases its investment in internal proprietary programs.
To achieve profitability, the Company, alone or with others, must successfully
develop and commercialize its technologies and products, conduct pre-clinical
studies and clinical trials, obtain required regulatory
-13-
<PAGE> 16
approvals and obtain adequate assistance to successfully manufacture, introduce
and market such technologies and products. The time required to reach
profitability is highly uncertain.
NEW ACCOUNTING PRONOUNCEMENTS
On December 3, 1999, the Securities and Exchange Commission, or SEC, issued
Staff Accounting Bulletin No. 101, "Revenue Recognition in Financial
Statements," or SAB No. 101. SAB No. 101 provides the SEC staff's views on the
recognition of revenue including nonrefundable technology access fees received
by biotechnology companies in connection with research collaborations with third
parties. SAB No. 101 states that in certain circumstances the SEC staff believes
that up-front fees, even if nonrefundable, should be deferred and recognized
systematically over the term of the research arrangement. SAB No. 101 requires
registrants to adopt the accounting guidance contained therein by no later than
the first fiscal quarter of the fiscal year beginning after December 15, 1999
(fiscal year ending September 30, 2001 for the Company). The Company is
currently assessing the requirements of SAB No. 101, particularly as it relates
to the technology access fee from Tanabe recognized in the first quarter of
fiscal year 2000. The Company will not retroactively restate prior period
financial statements but rather report the effect, if any, of adopting the
provisions of the SAB as a change in accounting principle as of October 1, 2000
in accordance with APB No. 20.
In June 1998, the Financial Accounting Standards Board issued Statement of
Financial Accounting Standards No. 133, "Accounting for Derivative Instruments
and Hedging Activities," or SFAS 133, which is effective for all fiscal quarters
of all fiscal years beginning after June 15, 2000, as amended by SFAS 137. SFAS
133 establishes accounting and reporting standards for derivative instruments,
including certain derivative instruments embedded in other contracts, and for
hedging activities. In accordance with SFAS 133, an entity is required to
recognize all derivatives as either assets or liabilities in the statement of
financial position and measure those instruments at fair value. SFAS 133
requires that changes in the derivative's fair value be recognized currently in
earnings unless specific hedge accounting criteria are met. Special accounting
for qualifying hedges allows a derivative's gain and losses to offset related
results on the hedged item in the income statement and requires that a company
formally document, designate and assess the effectiveness of transactions that
receive hedge accounting. The Company does not believe that the implementation
of SFAS 133 will have a material effect on its results of operations and
financial position.
FORWARD-LOOKING STATEMENTS
Certain of the matters and subject areas discussed in this report that are not
statements of current or historical fact are "forward-looking statements" that
convey information about potential future circumstances and developments. These
forward-looking statements are necessarily based on various assumptions, involve
known and unknown risks and generally are subject to the inherent risks and
uncertainties surrounding expectations regarding future occurrences. As a
result, the Company's actual future experience may differ materially from the
results, achievements or performance described or implied in such statements.
Factors that might cause the Company's actual future experience to differ
materially from the forward-
-14-
<PAGE> 17
looking statements include, but are not limited to, (i) the Company's absence of
commercialized drug products, (ii) the Company's dependence, to an extent, on
third parties for clinical development and commercialization of potential
products, (iii) the potential failure of the Company's lead compounds currently
in clinical trials to progress successfully through clinical development, (iv)
the potential failure of any drug candidates that emerge from the Company's
discovery operations to progress successfully to or through clinical
development, (v) competition, (vi) government regulation, and (vii)
pharmaceutical pricing. Certain of these and additional factors that may cause
the Company's actual future experience to differ materially from the
forward-looking statements contained in this report are discussed in the
Company's annual report on Form 10-K, as amended, for the fiscal year ended
September 30, 1999.
ITEM 3. QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK
The Company's cash flow and earnings are subject to fluctuations due to changes
in interest rates in its investment portfolio of debt securities, to the fair
value of equity instruments held, and, to an immaterial extent, to foreign
currency exchange rates. The Company maintains an investment portfolio of
various issuers, types and maturities. These securities are generally classified
as available-for-sale and, consequently, are recorded on the balance sheet at
fair value with unrealized gains or losses reported as a component of
accumulated other comprehensive losses included in stockholders' equity. The
Company's investments in certain biotechnology companies are carried on the
equity method of accounting. Other-than-temporary losses are recorded against
earnings in the same period the loss was deemed to have occurred. The Company
does not currently hedge this exposure and it is uncertain whether
other-than-temporary losses will not be detrimental to the Company's results of
operations in the future.
-15-
<PAGE> 18
PART II. OTHER INFORMATION
ITEM 1. LEGAL PROCEEDINGS
Not applicable.
ITEM 2. CHANGES IN SECURITIES AND USE OF PROCEEDS
On February 28, 2000, the Company sold 3,325,000 newly-issued shares of its
common stock to a select group of institutional investors. The purchase price of
the shares was $17.00 per share, or an aggregate of $56,525,000 in gross cash
proceeds. The Company engaged FleetBoston Robertson Stephens Inc. to act as
placement agent for the private placement. Prudential Vector Healthcare Group, a
unit of Prudential Securities, Incorporated and Lazard Freres & Co. served as
financial advisors with respect to the private placement. The placement agent
and the two other investment banking firms received from the Company a total of
6.0% of the gross proceeds of the sale of the shares. The private placement was
exempt from registration under Section 4(2) of the Securities Act of 1933. The
Company agreed to register the resale of the shares of common stock issued in
the private placement, and has filed a registration statement on Form S-3 with
the Securities and Exchange Commission which has not yet become effective.
ITEM 3. DEFAULTS UPON SENIOR SECURITIES
Not applicable.
ITEM 4. SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS
The Company's annual meeting of stockholders was held on March 15, 2000. The
following ten directors were elected:
Votes For Votes Withheld
--------- --------------
1. Gary E. Frashier 17,516,000 80,540
2. Edwin A. Gee, Ph.D. 17,514,220 82,320
3. Colin Goddard, Ph.D. 17,527,607 68,933
4. G. Morgan Browne 17,527,507 69,033
5. John H. French II 17,517,140 79,400
6. Daryl K. Granner, M.D. 17,527,292 69,248
7. Walter M. Lovenberg, Ph.D. 17,527,120 69,420
8. Viren Mehta 17,527,320 69,220
9. Steve M. Peltzman 17,428,577 167,963
10. John P. White 17,512,965 83,575
-16-
<PAGE> 19
In addition, the following matters were voted upon: (i) a proposal to adopt the
Company's 1999 Incentive and Non-Qualified Stock Option Plan was approved
(7,531,006 shares voted in favor, 1,268,533 shares voted against, 135,819 shares
abstained and there were 8,661,182 broker non-votes); and (ii) the appointment
of KPMG LLP as auditors for fiscal year ended September 30, 2000 was ratified
(17,500,940 shares voted in favor, 61,998 shares voted against, 33,602 shares
abstained and there were no broker non-votes).
ITEM 5. OTHER INFORMATION
Cross-License with American Home Products Corporation and American
Cyanamid Company
Effective January 3, 2000, the Company entered into a worldwide, non-exclusive
cross license agreement with American Home Products Corporation and American
Cyanamid Company involving the Company's gene transcription patent estate and
patents covering yeast screening technologies developed by American Cyanamid.
The agreement provides the Company access to American Cyanamid's technology
covered in four issued U.S. patents which include claims for recombinant
expression of a variety of targets in yeast, including G-protein coupled
receptors, or GPCRs, hybrid GPCRs and orphan receptors for use in human
therapeutics. The agreement also allows American Cyanamid to retain exclusive
rights to the use of the Company's GPCR technologies in the agricultural field.
The duration of each license is to be coextensive with the life of the last to
expire of the patents underlying each license.
License from Cadus Pharmaceutical Corporation
Effective February 15, 2000, Cadus Pharmaceutical Corporation granted to the
Company a non-exclusive, royalty-free, worldwide right and license (without the
right to sublicense) to use and practice Cadus' technology and patents involving
Cadus' yeast GPCR patent estate; to access various reagents; to use a library of
over 30,000 yeast strains; and to use Cadus' proprietary bi-informatics software
for the mining of genomic databases. Under the license agreement, the Company
may practice the Cadus technology and patents with third parties under
collaborative research programs so long as Company personnel conduct such
research at the Company's facilities. The cost of the license was $700,000 and
has been recorded in research and development expense in the accompanying
unaudited consolidated statement of operations for the three-month period ended
March 31, 2000. As part of this licensing arrangement, Cadus granted to the
Company a non-exclusive, non-transferable license to the use of certain of
Cadus' software related to its technology.
-17-
<PAGE> 20
ITEM 6. EXHIBITS AND REPORTS ON FORM 8-K
(a) EXHIBITS
3.1 Certificate of Incorporation, as amended (1)
3.2 Amended and Restated By-Laws (2)
*10.1 License Agreement, dated as of January 3, 2000,
by and between the Company and American Home
Products Corporation and American Cyanamid Company
10.2 Yeast Technology Agreement, dated as of February
15, 2000, by and between the Company and Cadus
Pharmaceutical Corporation
27 Financial Data Schedule
-----------------------------
(1) Included as an exhibit to the Company's quarterly
report on Form 10-Q for the quarter ended March 31,
1999, filed on May 14, 1999, and incorporated herein
by reference.
(2) Included as an exhibit to the Company's current report
on Form 8-K, filed on January 8, 1999, and incorporated
herein by reference.
* Portions of this exhibit have been redacted and are the
subject of a confidential treatment request filed with
the Secretary of the Securities and Exchange Commission
pursuant to Rule 24b-2 under the Securities Exchange Act
of 1934, as amended.
(b) REPORTS ON FORM 8-K
The Company filed a current report on Form 8-K on March 1,
2000 with the Securities and Exchange Commission via EDGAR,
pertaining to the private sale of 3.325 million shares of
common stock. The earliest event covered by the report
occurred on February 25, 2000.
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<PAGE> 21
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934,
as amended, the registrant has duly caused this report to be signed on its
behalf by the undersigned thereunto duly authorized.
OSI PHARMACEUTICALS, INC.
------------------------------------------
(Registrant)
Date: May 15, 2000 /s/ Colin Goddard, Ph.D.
------------------------------------------
Colin Goddard, Ph.D.
President and Chief Executive Officer
Date: May 15, 2000 /s/ Robert L. Van Nostrand
------------------------------------------
Robert L. Van Nostrand
Vice President and Chief Financial Officer
(Principal Financial Officer)
<PAGE> 22
EXHIBIT INDEX
<TABLE>
<CAPTION>
Exhibit No. Description
----------- -----------
<S> <C>
3.1 Certificate of Incorporation, as amended (1)
3.2 Amended and Restated By-Laws (2)
*10.1 License Agreement, dated as of January 3, 2000, by and between the
Company and American Home Products Corporation and American
Cyanamid Company
10.2 Yeast Technology Agreement, dated as of February 15, 2000, by and
between the Company and Cadus Pharmaceutical Corporation
27 Financial Data Schedule
------------------------------
(1) Included as an exhibit to the Company's quarterly report on Form 10-Q for the quarter ended
March 31, 1999, filed on May 14, 1999, and incorporated herein by reference.
(2) Included as an exhibit to the Company's current report on Form 8-K, filed on January 8,
1999, and incorporated herein by reference.
* Portions of this exhibit have been redacted and are the subject of a confidential treatment
request filed with the Secretary of the Securities and Exchange Commission pursuant to Rule
24b-2 under the Securities Exchange Act of 1934, as amended.
</TABLE>
<PAGE> 1
EXHIBIT 10.1
Portions of Exhibit 10.1 have been redacted and are the subject of a
confidential treatment request filed with the Secretary of the Securities and
Exchange Commission.
<PAGE> 2
LICENSE AGREEMENT
AGREEMENT made this 3rd day of January, 2000 (the "Effective Date") by
and between OSI Pharmaceuticals, Inc. ("OSI"), a Delaware corporation with
principal offices at 106 Charles Lindbergh Boulevard, Uniondale, New York
11553-3649, American Home Products Corporation ("AHPC"), a Delaware corporation
with principal offices at Five Giralda Farms, Madison, New Jersey 07940, and
American Cyanamid Company ("ACC"), a Maine corporation and wholly-owned
subsidiary of AHPC with principal offices at One Campus Drive, Parsippany, New
Jersey 07054.
W I T N E S S E T H:
WHEREAS, OSI is the owner of certain gene transcription patents and is
willing to grant a license under such patents to AHPC and its Affiliates,
including ACC; and
WHEREAS, AHPC and its Affiliates, including ACC, are the owners of
certain patents relating to yeast screening assays and AHPC and its Affiliates,
including ACC, are willing to grant a license under such patents to OSI; and
WHEREAS, OSI and AHPC desire to cross license their respective
patents, according to the terms contained herein.
NOW, THEREFORE, in consideration of the covenants and premises
contained herein, the Parties agree as follows:
1. DEFINITIONS
1.1 "Affiliate" means any corporation, company, partnership, joint
venture and/or firm which controls, is controlled by or is under
common control with a Party. For purposes of this Section 1.1,
"control" means (a) in the case of corporate entities, direct or
indirect ownership of at least 50% of the stock or shares entitled
to vote for the election of directors; and (b) in the case of
non-corporate entities, direct or indirect ownership of at least
50% of the equity interest with the power to direct the management
and policies of such non-corporate entities.
1.2 **
1.3 "AHPC Licensed Compound" means any compounds or other molecules,
and any compounds or other molecules derived therefrom, the
identification, development, manufacture, use, importation or sale
of which in a specific
- ---------------------
** This portion has been redacted pursuant to a request for confidential
treatment.
<PAGE> 3
country would, in the absence of this Agreement, infringe an
issued or granted claim in an AHPC Licensed Patent.
1.4 "AHPC Licensed Patents" means the U.S. patents and patent
applications listed on Exhibit A hereto, any patent applications
filed prior or subsequent to the Effective Date that claim the
benefit of the filing date of any patent application listed on
Exhibit A and any reissues, extensions, substitutions,
confirmations, re-registrations, re-examinations, continuations,
divisionals or continuations-in-part of the foregoing patents and
patent applications, as well as all foreign counterparts thereof.
1.5 "AHPC Licensed Product" means any product for sale by OSI or its
Affiliates to a Third Party in the OSI Field of Use which contains
an AHPC Licensed Compound.
1.6 "Confidential Information" means all information received by a
Party from another Party pursuant to this Agreement, which is
deemed confidential by the disclosing Party and is designated
confidential at the time the information is disclosed, subject to
the exceptions set forth in Section 6.
1.7 "Cosmeceuticals" means compounds, or assays for discovering
compounds, useful for (a) stimulation or control of hair growth,
(b) prevention or reversal of wrinkling of the skin, and (c)
alteration of skin or hair pigmentation.
1.8 "Licensed Patent" means an AHPC Licensed Patent or an OSI Licensed
Patent.
1.9 "Licensed Product" means an AHPC Licensed Product or an OSI
Licensed Product.
1.10 "OSI Field of Use" means the internal research and development by
OSI and its Third Party collaborators, without the right to
sublicense, of products for human therapeutic purposes.
1.11 "OSI Licensed Compound" means any compounds or other molecules,
and any compounds or other molecules derived therefrom, the
identification, development, manufacture, use, importation or sale
of which in a specific country would, in the absence of this
Agreement, infringe an issued or granted claim in an OSI Licensed
Patent.
1.12 "OSI Licensed Patents" means the U.S. patents and patent
applications listed on Exhibit B hereto, any patent applications
filed prior or subsequent to the Effective Date that claim the
benefit of the filing date of any patent application listed on
Exhibit B and any reissues, extensions, substitutions,
confirmations, re-registrations, re-examinations, continuations,
divisionals or continuations-in-part of the foregoing patents and
patent applications, as well as all foreign counterparts thereof.
2
<PAGE> 4
1.13 "OSI Licensed Product" means any product for sale by AHPC or its
Affiliates to a Third Party in the AHPC Field of Use which
contains an OSI Licensed Compound.
1.14 "Party" means any of AHPC, ACC or OSI and "Parties" means AHPC,
ACC and OSI, collectively.
1.15 "Person" means any individual, corporation, limited liability
company, cooperative, partnership, trust, unincorporated
association or any other entity which possesses a juridical
personality, including any governmental authorities or body of
competent jurisdiction; pronouns, when referring to a Person,
shall have a similar extended meaning.
1.16 "Third Party" means any entity other than AHPC or its Affiliates,
including ACC, or OSI or its Affiliates.
2. LICENSE GRANT
2.1 By OSI.
2.1.1 OSI hereby grants to AHPC and its Affiliates, including
ACC, for the AHPC Field of Use, a nonexclusive,
nontransferable (other than as permitted by Section 8.1),
worldwide, ** license under the OSI Licensed Patents to
make, have made, use, sell, offer for sale, import, export,
or otherwise exploit OSI Licensed Products.
2.1.2 OSI agrees that commencing **
2.2 By AHPC. Each of AHPC and ACC hereby grants to OSI and its
Affiliates, for the OSI Field of Use, a nonexclusive,
nontransferable, world-wide, ** license under the AHPC License
Patents owned by it to make, have made, use, sell, offer for sale,
import, export or otherwise exploit AHPC Licensed Products,
provided that the foregoing license shall not include the right
for OSI to sell any compositions or methodologies used in the
discovery or development of such AHPC Licensed Products, ** , to a
Third Party or otherwise provide Third Parties (other than OSI's
collaborators) with access to same.
3. PATENT RIGHTS AND INFRINGEMENT
3.1 OSI shall have complete control, at its expense and within its
sole discretion, over the prosecution, maintenance and enforcement
of the OSI Licensed Patents.
- ---------------------
** This portion has been redacted pursuant to a request for confidential
treatment.
3
<PAGE> 5
When information comes to the attention of AHPC or its Affiliates,
including ACC, that an OSI Licensed Patent has been or is
threatened to be infringed by a Third Party, AHPC shall promptly
bring such infringement or threatened infringement to the
attention of OSI. OSI shall have the right (but not the
obligation), in its sole discretion, at its own risk and expense,
and using counsel of its choice, to take such action as it may
deem necessary to prosecute or prevent such infringement.
3.2 AHPC shall have complete control, at its expense and within its
sole discretion, over the prosecution, maintenance and enforcement
of the AHPC Licensed Patents. When information comes to the
attention of OSI that an AHPC Licensed Patent has been or is
threatened to be infringed by a Third Party, OSI shall promptly
bring such infringement or threatened infringement to the
attention of AHPC. AHPC shall have the right (but not the
obligation), in its sole discretion, at its own risk and expense,
and using counsel of its choice, to take such action as it may
deem necessary to prosecute or prevent such infringement.
3.3 If AHPC or any of its customers shall be sued by a Third Party for
infringement of a patent because of the research, development,
manufacture, use or sale of OSI Licensed Products, AHPC shall
promptly notify OSI in writing of the institution of such suit.
OSI shall have all authority over such suit (including the right
to exclusive control of the defense of any such suit, action, or
proceeding and the exclusive right to compromise, litigate,
settle, or otherwise dispose of any such suit, action, or
proceeding). AHPC and its Affiliates shall provide information and
assistance necessary to defend or settle any such suit, action or
proceeding at OSI's expense. If OSI does not elect to manage the
defense against such infringement action or fails to take
appropriate and diligent action with respect to such defense, then
AHPC shall have the right to assume such defense, at its own cost
and expense.
3.4 If OSI or any of its customers shall be sued by a Third Party for
infringement of a patent because of the research, development,
manufacture, use or sale of AHPC Licensed Products, OSI shall
promptly notify AHPC in writing of the institution of such suit.
AHPC shall have all authority over such suit (including the right
to exclusive control of the defense of any such suit, action, or
proceeding and the exclusive right to compromise, litigate,
settle, or otherwise dispose of any such suit, action, or
proceeding). OSI shall provide information and assistance
necessary to defend or settle any such suit, action or proceeding
at AHPC's expense. If AHPC does not elect to manage the defense
against such infringement action or fails to take appropriate and
diligent action with respect to such defense, then OSI shall have
the right to assume such defense, at its own cost and expense.
4
<PAGE> 6
4. REPRESENTATIONS AND WARRANTIES
4.1 Representations and Warranties of AHPC, ACC and OSI. As of the
Effective Date, each Party hereby represents and warrants that:
4.1.1 Corporate Power. Such Party is duly organized and validly
existing and in good standing under the laws of the state
of its incorporation and has all requisite corporate power
and authority to enter into this Agreement and to carry out
the provisions hereof.
4.1.2 Due Authorization. Such Party is duly authorized to execute
and deliver this Agreement and to perform its obligations
hereunder.
4.1.3 Binding Agreement. This Agreement is a legal and valid
obligation binding upon it and enforceable in accordance
with its terms. The execution, delivery and performance of
this Agreement by such Party does not conflict with any
agreement, instrument or understanding, oral or written, to
which it is a party or by which it may be bound, nor
violate any law or regulation of any court, governmental
body or administrative or other agency having jurisdiction
over it.
4.1.4 Patents. Such Party acknowledges and agrees that nothing in
this Agreement shall be construed as a warranty or
representation that any Licensed Product is, or will be,
free from infringement of patents of Third Parties.
4.1.5 Right to License. Such Party owns all right, title and
interest in and to the Licensed Patents licensed by it
hereunder.
4.1.6 Patents. There are no pending or, to its knowledge,
threatened suits, claims, or proceedings including
interferences or opposition proceedings relating to the
Licensed Patents licensed by it hereunder, other than
normal patent prosecution proceedings.
5. INDEMNITY
5.1 AHPC shall indemnify and hold harmless OSI, its Affiliates
and all directors, officers, employees and agents of OSI
and its Affiliates from and against any and all claims,
demands, actions, liabilities, judgments, costs and
expenses of whatever kind, whether based on contract,
negligence, strict liability or statutory liability,
including, without limitation, attorneys' fees and costs of
defense, arising out of or related in any way to the
clinical testing or use, production, sale, offer to sell,
import, export or other exploitation of OSI Licensed
Products by AHPC or its Affiliates under this Agreement,
other than such as arise out of or are related to OSI's
gross negligence or intentional misconduct.
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<PAGE> 7
5.2 OSI shall indemnify and hold harmless AHPC, its Affiliates
and all directors, officers, employees and agents of AHPC
and its Affiliates from and against any and all claims,
demands, actions, liabilities, judgments, costs and
expenses of whatever kind, whether based on contract,
negligence, strict liability or statutory liability,
including, without limitation, attorneys' fees and costs of
defense, arising out of or related in any way to the
clinical testing or use, production, sale, offer to sell,
import, export or other exploitation of AHPC Licensed
Products by OSI or its Affiliates under this Agreement,
other than such as arise out of or are related to AHPC's
gross negligence or intentional misconduct.
5.3 Each of AHPC and OSI shall indemnify and hold the other and
the other's Affiliates harmless with respect to any injury,
loss or cost resulting from the breach of any
representation or warranty provided pursuant to Section 4
hereof.
6. CONFIDENTIALITY
6.1 Confidential Information. Except as expressly provided
herein, the Parties agree that the receiving Party shall
keep completely confidential and shall not publish or
otherwise disclose to another Party and shall not use for
any purpose other than to perform the purposes contemplated
by this Agreement any Confidential Information furnished to
it by the disclosing Party hereto pursuant to this
Agreement, except to the extent that it can be established
by the receiving Party by competent proof that such
Confidential Information (a) was already known to the
receiving Party, other than under an obligation of
confidentiality, at the time of disclosure; (b) was
generally available to the public or otherwise part of the
public domain at the time of its disclosure to the
receiving Party; (c) became generally available to the
public or otherwise part of the public domain after its
disclosure and other than through any act or omission of
the receiving Party in breach of this Agreement; (d) was
lawfully disclosed to the receiving Party by a person other
than a Party hereto; or (e) was independently developed by
the receiving Party.
6.2 Permitted Use and Disclosures. Each Party hereto may use or
disclose Confidential Information disclosed to it by
another Parry to the extent such use or disclosure is
reasonably necessary in filing or prosecuting patent
applications, prosecuting or defending litigation,
complying with applicable law, governmental regulation or
court order, submitting information to tax or other
governmental authorities, or otherwise exercising its
rights hereunder, provided that if a Party is required to
make any such disclosure of another Party's Confidential
Information, it will give reasonable advance notice to the
latter Party of such disclosure and, save to the extent
inappropriate in the case of patent applications, will use
reasonable efforts to secure confidential treatment of such
information prior to its disclosure (whether through
protective orders or otherwise).
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<PAGE> 8
6.3 Confidential Terms. Except as expressly provided herein,
each Party agrees not to disclose any terms of this
Agreement to a Third Party without the consent of the other
Parties; provided, however, that each Party reserves the
right to make reasonable disclosures as required by
securities or other applicable laws, or to actual or
prospective investors or corporate partners, or to
accountants, attorneys and other professional advisors on a
need-to-know basis under circumstances that reasonably
ensure the confidentiality thereof, or to the extent
required by law. If such Confidential Information is to
become public information by such disclosure the disclosing
Party must obtain the written consent of the non-disclosing
Parties in order to obtain protection of the Confidential
Information if necessary.
6.4 Press Release. Notwithstanding the foregoing, the Parties
shall agree upon a press release to announce the execution
of this Agreement. Thereafter, OSI, AHPC and ACC may each
disclose to Third Parties the information contained in such
press release without the need for further approval by the
other.
7. TERM AND TERMINATION
7.1 This Agreement is effective as of the Effective Date and
shall continue in full force and effect, with respect to a
Party, on a country by country basis until the last
expiration date of all patents encompassed within the
Licensed Patents licensed to such Party hereunder.
7.2 If a Party shall fail in any material respect to perform or
observe any term, covenant or understanding contained in
this Agreement or in any of the other documents or
instruments delivered pursuant to, or concurrently with,
this Agreement, and any such failure shall remain
unremedied for ** days after written notice to the
defaulting Party, the Party not responsible may, by notice
to the defaulting Party, terminate the license granted by
such Party to the defaulting Party.
7.3 OSI shall have the right to terminate the Agreement if
either AHPC or ACC makes an assignment for the benefit of
its creditors, becomes insolvent, files a petition in
bankruptcy, petitions or applies to any tribunal for the
appointment of a custodian, receiver or any trustee for it
or a substantial part of its assets, or commences any
proceeding under any bankruptcy, reorganization,
arrangement, readjustment of debt, dissolution or
liquidation law or statute of any jurisdiction, whether now
or hereafter in effect; or if there has been filed any such
petition or application against either AHPC or ACC, or any
such proceeding has been commenced against it, in which an
order for relief is entered or which remains
- ---------------------
** This portion has been redacted pursuant to a request for confidential
treatment.
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undismissed for a period of 60 days or more; or if either
AHPC or ACC, by any act or omission, indicates its consent
to, approval of or acquiescence in, any such petition,
application or proceeding or order for relief or the
appointment of a custodian, receiver or any trustee for it
or any substantial part of any of its properties, or is the
subject of any such custodianship, receivership or
trusteeship that continues undischarged for a period of 60
days or more.
7.4 AHPC and ACC shall have the right to terminate the
Agreement if OSI makes an assignment for the benefit of its
creditors, becomes insolvent, files a petition in
bankruptcy, petitions or applies to any tribunal for the
appointment of a custodian, receiver or any trustee for it
or a substantial part of its assets, or commences any
proceeding under any bankruptcy, reorganization,
arrangement, readjustment of debt, dissolution or
liquidation law or statute of any jurisdiction, whether now
or hereafter in effect; or if there has been filed any such
petition or application against OSI, or any such proceeding
has been commenced against it, in which an order for relief
is entered or which remains undismissed for a period of 60
days or more; or if OSI, by any act or omission, indicates
its consent to, approval of or acquiescence in, any such
petition, application or proceeding or order for relief or
the appointment of a custodian, receiver or any trustee for
it or any substantial part of any of its properties, or is
the subject of any such custodianship, receivership or
trusteeship that continues undischarged for a period of 60
days or more.
8. MISCELLANEOUS
8.1 Binding Effect; Assignment. This Agreement shall be binding
upon the Parties' respective successors and permitted
assigns. Neither Party may assign this Agreement or any of
its rights or obligations hereunder without the prior
written consent of the other Party (not to be unreasonably
withheld) except that either Party may assign this
Agreement as part of a merger or consolidation in which the
surviving entity assumes all of the Party's rights and
obligations hereunder or a sale of substantially all of the
assets of such Party to which this Agreement relates. In
addition, if AHPC sells to a Third Party all of the stock
of ACC or if ACC sells all or substantially all of its
assets to a Third Party, AHPC or ACC, as the case may be,
may assign the license granted by OSI in Section 2.1 to
such Third Party purchaser, without the consent of OSI,
only to the extent that such license is for the ** (i.e.,
subsection (b) of Section 1.1), provided that such Third
Party purchaser assumes the obligations of AHPC or ACC, as
the case
- ---------------------
** This portion has been redacted pursuant to a request for confidential
treatment.
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<PAGE> 10
may be, to grant the license set forth in Section 2.2. In
the event of such a sale, the license granted in Section
2.1 to AHPC shall remain in effect as to AHPC and its
Affiliates only with respect to the research and
development of ** (i.e., subsection (a) of Section 1.1).
8.2 Effect of Waiver. No waiver of any default, condition,
provisions or breach of this Agreement shall be deemed to
imply or constitute a waiver of any other default,
condition, provision or breach of this Agreement.
8.3 Force Majeure. No Party shall lose any rights hereunder or
be liable to the other Parties for damages or losses
(except for payment obligations) on account of failure of
performance by the defaulting Party if the failure is
occasioned by war, strike, fire, acts of God, earthquake,
flood, lockout, embargo, governmental acts or orders or
restrictions, failure of suppliers, or any other reason
where failure to perform is beyond the reasonable control
and not caused by the negligence or intentional conduct or
misconduct of the nonperforming Party, and such Party has
exerted all reasonable efforts to avoid or remedy such
force majeure; provided, however, that in no event shall a
Party be required to settle any labor dispute or
disturbance.
8.4 Amendment. No modification, supplement to or waiver of this
Agreement or any of the provisions hereof or any Exhibit
hereto shall be binding upon a Party hereto unless made in
writing and duly signed by an authorized representative of
OSI, AHPC or ACC.
8.5 Entire Agreement. This Agreement, including the Exhibits
attached hereto, sets forth the entire understanding and
agreement of the Parties as to the subject matter hereof,
and there are no other understandings, representations or
promises, written or verbal, not set forth herein on which
a Party has relied.
8.6 Notices. All notices under this Agreement shall be given in
writing and shall be addressed to the Parties at the
following addresses:
For OSI: OSI Pharmaceuticals, Inc.
106 Charles Lindbergh Blvd.
Uniondale, NY 11553
Attn: Chief Executive Officer
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** This portion has been redacted pursuant to a request for confidential
treatment.
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For AHPC: American Home Products
c/o Wyeth-Ayerst Research
87 Cambridge Park Drive
Cambridge, MA 02140
Attn: Vice President, Law
For ACC: American Cyanamid Corporation
One Campus Drive
Parsippany, NJ 07054
Attn: Director, Technology Assessment and
Acquisition
Notices shall be in writing and shall be deemed delivered
when received, if delivered by hand, courier or overnight
delivery service, or on the second business day following
mailing, if sent by first-class certified or registered
mail, postage prepaid, and return receipt requested.
8.7 Governing Law; Jurisdiction. This Agreement shall be
governed by and construed in accordance with the laws of
the State of New York, applicable to agreements made in New
York except that the federal laws of the United States
shall apply to questions regarding the validity or
infringement or enforceability of United States federal
patents. The parties hereto agree that the state and
federal courts sitting in the state and city of New York
shall be the proper forums for any legal controversy
arising in connection with this Agreement and the parties
irrevocably and unconditionally consent to the
non-exclusive jurisdiction of such courts for such
purposes.
8.8 Severability. This Agreement is intended to be severable.
If any provision of this Agreement is or becomes invalid,
is ruled illegal by a court of competent jurisdiction or is
deemed unenforceable under the current applicable law from
time to time in effect during the term hereof, it is the
intention of the Parties that the remainder of this
Agreement shall not be affected thereby and shall continue
to be construed to the maximum extent permitted by law at
such time. It is further the intention of the Parties that
in lieu of each such provision which is invalid, illegal,
or unenforceable, there shall be substituted or added as
part of this Agreement by such court of competent
jurisdiction a provision which shall be as similar as
possible in terms of the economic and business objectives
intended by the Parties, to such invalid, illegal or
unenforceable provision, but shall be valid, legal and
enforceable.
8.9 Independent Contractors. The Parties hereto are acting as
independent contractors and shall not be considered
partners, joint venturers or agents of the other. Except as
expressly provided herein, no Party shall have the right to
act on behalf of, or to bind, the other.
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<PAGE> 12
8.10 Headings; Counterparts. Captions and paragraph headings are
for convenience only and shall not form an interpretative
part of this Agreement. This Agreement may be executed in
two or more counterparts, each of which will be deemed an
original.
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<PAGE> 13
IN WITNESS WHEREOF, the Parties have executed this Agreement as of the
date first above written.
OSI PHARMACEUTICALS, INC.
By: /s/ Colin Goddard
-------------------------------------------
Name: Colin Goddard, Ph.D.
Title: President and Chief Executive
Officer
AMERICAN HOME PRODUCTS CORPORATION
By: /s/ Gerald A. Jibilian
-------------------------------------------
Name: Gerald A. Jibilian
Title: Vice President and Associate
General Counsel
AMERICAN CYANAMID COMPANY
By: /s/ Gerald A. Jibilian
-------------------------------------------
Name: Gerald A. Jibilian
Title: Vice President and Associate
General Counsel
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<PAGE> 14
EXHIBIT A
**
- -------------------
** This portion has been redacted pursuant to a request for confidential
treatment.
<PAGE> 15
EXHIBIT B
**
- ---------------------
** This portion has been redacted pursuant to a request for confidential
treatment.
<PAGE> 1
EXHIBIT 10.2
YEAST TECHNOLOGY LICENSE AGREEMENT
YEAST TECHNOLOGY LICENSE AGREEMENT (the "Agreement"), dated as of
February 15, 2000, by and between Cadus Pharmaceutical Corporation, a Delaware
corporation with offices at 767 Fifth Avenue, New York, New York 10153
("CADUS") and OSI Pharmaceuticals, Inc., a Delaware corporation with offices at
106 Charles Lindbergh Boulevard, Uniondale, New York 11533 ("OSI").
WITNESSETH:
WHEREAS, CADUS is the owner of, or has acquired the rights to, CADUS
Technology; and
WHEREAS, OSI desires to obtain a non-exclusive license for the use and
practice of CADUS Technology, and CADUS is willing to grant such non-exclusive
license, upon the terms and conditions hereinafter set forth;
NOW, THEREFORE, in consideration of the foregoing recitals and the mutual
covenants and agreements of the Parties contained in this Agreement, the
Parties agree as follows:
1. DEFINITIONS
For the purposes of this Agreement, the following terms shall have the
meanings set forth in this Section 1:
"CADUS Patents" shall mean all patents and patent applications to the
extent they claim CADUS Technology, which are or become owned by CADUS or to
which CADUS otherwise has, now or in the future, the right to grant licenses.
Included within the definition of CADUS Patents are all continuations,
continuations-in-part, divisions, patents of addition, reissues, renewals,
extensions, registrations, confirmations, re-examinations thereof and any
provisional applications.
"CADUS Technology" shall mean all proprietary inventions, improvements,
discoveries, claims, formulae, processes, trade secrets and technologies owned
by CADUS or to which CADUS has the right to grant licenses or sublicenses as of
the Effective Date, relating to technology involving the transfection,
expression and functional coupling of Targets into yeast cells and mammalian
cell lines and the development of such yeast cells and mammalian cell lines as
screening assays for the discovery of human diagnostics and therapeutics.
"CADUS Technology" shall include, without limitation, the bioinformatics
databases owned by CADUS required to fully utilize and develop the CADUS
Technology.
<PAGE> 2
"Covered Material" means a Hybrid Yeast Cell, a Plasmid, a Mammalian Cell
Line or any material that is a Derivative of it. "Covered Material" includes a
Derivative of a Derivative of a Hybrid Yeast Cell, a Plasmid or a Mammalian
Cell Line.
"Derivative" shall mean any of the following: (1) any substance derived
from or expressed or modified by a Hybrid Yeast Cell, a Plasmid or a Mammalian
Cell Line; (ii) any substance that contains or incorporates a Hybrid Yeast
Cell, a Plasmid or a Mammalian Cell Line; or (iii) any fragment of any of the
foregoing.
"Effective Date" shall mean the date of this Agreement as set forth at
the beginning of this Agreement.
"Hybrid Yeast Cells" shall mean genetically modified yeast cells, which
are owned by CADUS.
"Injunction" shall mean the injunction, dated February 23, 1999, issued
by the United States District Court for the Southern District of California in
the SIBIA Litigation.
"Mammalian Cell Lines" shall mean mammalian cell lines which are owned by
CADUS.
"Party" shall mean CADUS or OSI and, when used in the plural, shall mean
CADUS and OSI.
"Person" shall mean any natural person, corporation, firm, business
trust, joint venture, association, university, organization, company,
partnership or other business entity, or any government or any agency or
political subdivision thereof.
"Plasmid" shall mean plasmids which are owned by CADUS.
"Product" shall mean any compound, formulation or composition whose
utility is identified using CADUS Technology.
"Proprietary" shall mean, with respect to intellectual property,
intellectual property that is (in whole or in part) not in the public domain at
the time of transfer to the other party.
"SIBIA Litigation" shall mean SIBIA Neurosciences, Inc. v. Cadus
Pharmaceutical Corporation, Civil Action Number 961231 lEG POR.
"Target" shall mean any biological molecular entity that provides a
specific interaction with compounds, extracts, broths or other screening
samples.
"Third Party" shall mean any Person who or which is neither a Party nor
an affiliate of a Party.
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<PAGE> 3
2. REPRESENTATIONS AND WARRANTIES
2.1 Representations and Warranties of Both Parties. Each Party
represents and warrants to the other Party that: (i) it is free to enter into
this Agreement; (ii) in so doing, it will not violate any other agreement to
which it is a party; (iii) it has taken all corporate action necessary to
authorize the execution and delivery of this Agreement and the performance of
its obligations under this Agreement; and (iv) this Agreement constitutes a
valid and binding obligation of such Party and is enforceable against it in
accordance with its terms.
2.2 Representations and Warranties of CADUS. CADUS hereby
represents and warrants to OSI that:
(a) It is the owner, or a licensee, of the CADUS
Technology and CADUS Patents and has the right to grant licenses therefor; and
(b) During the term of this Agreement, it shall
maintain its licenses to Cadus Technology licensed to it.
3. GRANT OF LICENSE
3.1 License Grant. Subject to the terms and conditions of this
Agreement, CADUS hereby grants to OSI, a non-exclusive, royalty-free, worldwide
right and license to use and practice the CADUS Technology and CADUS Patents
other than to identify and select compounds in a method that infringes any of
the claims of United States Patent No. 5,401,629 so long as any such claim
remains outstanding and in effect.
3.2 No Violation of Injunction. OSI acknowledges that it has
reviewed the Injunction and covenants that, in practicing the CADUS Technology
and CADUS Patents, OSI
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<PAGE> 4
will not violate the terms of the Injunction or cause CADUS to be in violation
of the terms of the Injunction so long as the Injunction remains outstanding
and in effect.
3.3 No Right to Sublicense. OSI shall not have the right to
sublicense its rights hereunder. During the term of this Agreement, OSI may
practice the CADUS Technology and CADUS Patents in connection with assay
development and screening for Third Parties pursuant to collaborative research
programs with such Third Parties ("Third Party Collaborators"), provided that
such assay development and screening takes place at OSI's facilities and is
conducted by OSI personnel. In addition, a Third Party Collaborator may utilize
assays developed by OSI using CADUS Technology to test compounds solely during
the term and in furtherance of its collaboration with OSI.
3.4 Reservation of Rights. CADUS is retaining all rights to the
CADUS Technology and CADUS Patents that are not specifically being licensed to
OSI pursuant to Section 3.1 hereof.
3.5 Ownership of CADUS Technology. The Parties acknowledge and
agree that all CADUS Technology is now and shall be solely owned or licensed by
CADUS and that OSI shall have no right, title or interest therein except as
explicitly set forth in this Agreement.
3.6 Provision of Access to CADUS Technology. Subject to the
confidentiality provisions of Section 10.1, CADUS shall provide to OSI: (i) an
electronic copy of its database of Covered Material, (ii) an electronic copy of
its database of G protein-coupled receptors that are not proprietary to any
Third Party and (iii) an electronic copy of the bioinformatics databases owned
by CADUS required to fully utilize and develop the CADUS Technology.
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<PAGE> 5
4. ACCESS TO COVERED MATERIAL.
4.1 Access to Covered Material. On or prior to the date hereof,
CADUS has delivered to OSI an aliquot of each Covered Material listed on
Exhibit A annexed hereto. During the term of this Agreement, CADUS shall
provide to OSI an aliquot of each Covered Material not listed on Exhibit A
annexed hereto that is requested by OSI in accordance with the procedure set
forth below. OSI may request a Covered Material by sending to Dr. James Broach
at Department of Molecular Biology, Lewis Thomas Laboratory, Princeton
University, Washington Road, Princeton, New Jersey 08544 (or to such other
person at such other place as CADUS may hereafter designate) a written request
for such Covered Material. OSI shall pay to Dr. James Broach or such other
person the incremental cost of retrieval and shipment of such Covered Material
promptly after the receipt of an invoice therefor. CADUS shall ship such
Covered Material to OSI within 15 days of its receipt of such written request.
OSI shall have the right to use Covered Material only during the term of this
Agreement.
4.2 No Transfer of Covered Material. OSI shall not provide any
Covered Material to any Third Party other than a contract research organization
or Third Party Collaborator that has executed a confidentiality agreement with
respect to the Covered Material containing provisions similar to Section 10
hereof. OSI shall promptly destroy all Covered Material in its possession upon
the termination of this Agreement. OSI will not take or send Covered Material
to any location other than the facilities of OSI or a contract research
organization or Third Party Collaborator that has executed a confidentiality
agreement with respect to the Covered Material containing provisions similar to
Section 10 hereof without CADUS's prior written consent.
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<PAGE> 6
4.3 No Warranties As To Covered Material. Any Covered Material
delivered pursuant to this Agreement is understood to be experimental in nature
and may have hazardous properties. It is supplied AS IS. CADUS MAKES NO
REPRESENTATIONS AND EXTENDS NO WARRANTIES OF ANY KIND, EITHER EXPRESS OR
IMPLIED. THERE ARE NO EXPRESS OR IMPLIED WARRANTIES OF MERCHANTABILITY OR
FITNESS FOR A PARTICULAR PURPOSE, OR THAT THE USE OF THE COVERED MATERIAL WILL
NOT INFRINGE ANY PATENT, COPYRIGHT, TRADEMARK, OR OTHER PROPRIETARY RIGHTS.
4.4 Compliance with Laws. OSI agrees to use the Covered Material
in compliance with all applicable statutes and regulations including, for
example, those relating to research involving the use of animals or recombinant
DNA.
5. LICENSE AND MAINTENANCE FEES
5.1 License and Access Fees. In consideration of the license
granted to OSI by CADUS pursuant to Section 3.1 hereof, OSI shall pay to CADUS
a license fee of $100,000 payable on the Effective Date. In consideration of
the access to CADUS Technology (Section 3.6) and to Covered Material (Section
4.1), OSI shall pay to CADUS an access fee of $600,000 payable on the Effective
Date.
5.2 Maintenance Fee. OSI shall also pay to CADUS an annual
maintenance fee of $100,000 payable on each of the first ten anniversaries of
the Effective Date during the term of this Agreement.
5.3 Special Fee. If the Injunction is lifted or dissolved, OSI
shall pay to CADUS a supplemental license fee of $250,000 within ten (10) days
after the receipt of notice of the lifting or dissolution of the Injunction.
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<PAGE> 7
5.4 No Refunds. None of the fees paid by OSI to CADUS pursuant to
Section 5 shall be refundable for any reason whatsoever.
6. PATENTS
6.1 No Obligation to Prosecute or Maintain Patents. CADUS shall
not have any obligation to prosecute or maintain CADUS Patents. Notwithstanding
the foregoing, CADUS shall not abandon any of the United States patent
applications constituting CADUS Patents set forth on Exhibit B until such time
as (i) the corresponding foreign patent application has been published or (ii)
CADUS has taken the appropriate steps with the United States Patent and
Trademark Office to dedicate such patent application to the public.
6.2 Infringement. OSI shall give CADUS prompt written notice of
any claim or allegation received by it that the use of CADUS Technology
constitutes an infringement of a Third Party patent or patents. OSI shall have
the primary right to control the defense of any such claim against OSI with
counsel of its own choosing. CADUS agrees to cooperate with OSI, at OSI's
expense, in any reasonable manner deemed by OSI to be necessary in defending
such action. Notwithstanding the foregoing, CADUS shall, in its own discretion
and at its own cost, be entitled to participate through counsel of its own
choosing in any such action.
6.3 Patent Enforcement.
(a) With respect to any alleged infringement
involving a claim(s) of any patents covering CADUS Technology, CADUS shall have
the first right, but not the duty, to institute patent infringement actions
against third parties. If CADUS does not institute an infringement proceeding
against an offending third party, OSI shall have the right, but not the duty,
to institute such an action.
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(b) The costs and expenses of any action instituted
pursuant to this Section 6.3 (including fees of attorneys and other
professionals) shall be borne by the Party instituting the action, or, if the
Parties elect to cooperate in instituting and maintaining such action, such
costs and expenses shall be borne by the Parties in such proportions as they
may agree in writing. Each Party shall execute all necessary and proper
documents and take such actions as shall be appropriate to allow the other
Party to institute and prosecute such infringement actions (if such other Party
has the right to institute and prosecute such infringement actions pursuant to
this Section 6.3). Any award paid by Third Parties as a result of such an
infringement action (whether by way of settlement or otherwise) shall be paid
to the Party who instituted and maintained such action, or, if both Parties
instituted and maintained such action, such award shall be allocated among the
Parties in proportion to their respective contributions to the costs and
expenses incurred in such action, or as they may have otherwise agreed.
Notwithstanding the above, CADUS shall receive 25% of any such award by way of
settlement or otherwise after deducting legal and other reasonable expenses.
7. TERM AND TERMINATION
7.1 Term. This Agreement shall become effective as of the
Effective Date and shall remain in full force and effect until terminated as
provided in this Section 7.
7.2 Termination by OSI. OSI may terminate this Agreement at any
time by giving CADUS thirty (30) days prior written notice of termination.
7.3 Termination for Breach. Failure by either Party to comply
with any of the obligations contained in this Agreement shall entitle the other
Party to give to the defaulting Party notice specifying the nature of the
default and requiring it to cure such default. If such default is not cured
within 30 days after the receipt of such notice, the notifying Party shall be
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<PAGE> 9
entitled, without prejudice to any of its other rights conferred on it by this
Agreement, in addition to any other remedies available to it by law or in
equity, to terminate this Agreement by giving written notice to take effect
immediately upon delivery of such notice. The right of either Party to
terminate this Agreement shall not be affected in any way by its waiver or
failure to take action with respect to any previous default.
7.4 Termination for Bankruptcy. CADUS may terminate this
Agreement if, at any time, OSI shall file in any court or agency pursuant to
any statute or regulation of any state or country, a petition in bankruptcy or
insolvency or for reorganization or for an arrangement or for the appointment
of a receiver or trustee of OSI or of its assets, or if OSI proposes a written
agreement of composition or extension of its debts, or if OSI shall be served
with an involuntary petition against it, filed in any insolvency proceeding,
and such petition shall not be dismissed within sixty (60) days after the
filing thereof, or if OSI shall propose or be a party to any dissolution or
liquidation, or if OSI shall make an assignment for the benefit of creditors.
7.5 No Termination in Event of CADUS Bankruptcy. CADUS and OSI
acknowledge that this Agreement and the license granted herein comes within
Section 365(n) of Title 11, United States Code (the "Bankruptcy Code"). CADUS
acknowledges that if CADUS, as a debtor in possession, or a trustee in
bankruptcy in a case under the Bankruptcy Code, rejects the Purchase Agreement
or this Agreement, OSI may elect to retain its rights under this Agreement as
provided in Section 365(n) of the Bankruptcy Code. Upon written request of OSI
to CADUS or the bankruptcy trustee, CADUS shall not interfere with the rights
of OSI as provided in this Agreement.
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<PAGE> 10
7.6 Survival of Certain Provisions. The following provisions of
this Agreement will survive the termination of this Agreement: Sections 2.1,
3.5, 4.2, 4.3, 4.4, 8, 9, 10 and 11.
8. DISPUTE RESOLUTION
8.1 Dispute Resolution. If one of the Parties hereto declares
that a dispute between the Parties has arisen related to this Agreement, such
dispute shall, in the first instance, be the subject of good faith negotiations
between the Parties to resolve such dispute. Should the negotiations not lead
to a settlement of the dispute within thirty (30) days of the date of the
meeting, the Parties shall refer the dispute to a mutually acceptable mediation
service to resolve the dispute. The mediation shall be attended by individuals
from within each Party who have decision-making authority with respect to the
matter in question. If the mediation does not lead to a settlement of the
dispute within thirty (30) days of the date of the meeting, then the Parties
shall submit the issue to arbitration before a panel of arbitrators under the
commercial rules of the American Arbitration Association. Unless the Parties
otherwise agree, the arbitration will be held in New York, New York. The panel
of arbitrators shall consist of three parties: one selected by each Party, as
well as a disinterested third party that the two arbitrators shall name. The
third arbitrator shall be a person who has had experience in the business of
biotechnology licensing. If a qualified person in this field cannot be found
and agreed upon, the two arbitrators shall use their own discretion and select
a third arbitrator with qualifications as they deem appropriate. The three
arbitrators shall be given full power to hear and finally determine and dispose
of all disputes between the parties that may arise from or that are related to
this Agreement. The arbitrator will make their ruling in writing no later than
thirty (30) days after the hearing. The decision of two of the three
arbitrators will be binding
10
<PAGE> 11
on the Parties. No Party has a right to appeal the ruling, to any court or
otherwise. Judgment upon the decision rendered may be entered in any court
having jurisdiction or application may be made to such court of a judicial
acceptance of the award and an order of enforcement, as the case may be. Each
Party shall pay its own attorney's fees. All fees and expenses payable with
respect to the mediation and arbitration proceedings shall be shared by both
Parties during the course of the mediation and arbitration proceedings, but, in
the case of arbitration, shall be reimbursed in favor of the prevailing Party
after the arbitration ruling is rendered. Notwithstanding this Section 8.1,
CADUS shall have the right to seek injunctive relief pursuant to Section 11.12
hereof.
9. INDEMNITY. INSURANCE AND REPRESENTATIONS
9.1 Indemnity. OSI agrees to indemnify, hold harmless and defend
CADUS, its directors, officers, employees and agents against any and all
claims, suits, losses, damages, costs, fees and expenses, including attorney
fees, resulting from or arising out of the exercise of this license, including
from OSI's use, storage or disposal of the Covered Material or manufacture,
distribution or sale or Product(s), unless such losses, damages, costs, fees
and expenses arise from the use of CADUS Technology constituting an
infringement of a Third Party patent or patents. CADUS shall not be responsible
for the negligence or intentional wrongdoing of OSI.
9.2 Insurance. At the time of its sale of Product(s), OSI shall
maintain in force at its sole cost and expense, with reputable insurance
companies, general liability insurance and products liability insurance
coverage that names CADUS as a beneficiary and protects against liability under
Section 9.1 above in such amount as is customary in the
11
<PAGE> 12
industry. CADUS shall have the right to ascertain from time to time that such
coverage exists, such right to be exercised in a reasonable manner.
9.3 Warranties and Representations. Nothing in this Agreement
shall be deemed to be a representation or warranty by CADUS of the validity of
any of the CADUS Patents or the accuracy, safety, efficacy or usefulness for
any purpose of any technology licensed hereunder. CADUS shall have no
obligation, express or implied, to supervise, monitor, review or otherwise
assume responsibility for the production, manufacture, testing, marketing or
sale of any Product(s), and CADUS shall have no liability whatsoever to OSI or
any Third Parties for or on account of any injury, loss or damage, of any kind
or nature, sustained by, or any damage assessed or asserted against, or any
other liability incurred by or imposed upon OSI, its affiliates or
sublicensees, or any other person or entity arising out of or in connection
with or resulting from: (i) the production, use or sale of any Product(s); (ii)
the use of any CADUS Technology; or (iii) any advertising or other promotional
activities with respect to any of the foregoing.
10. CONFIDENTIALITY
10.1 CADUS Technology. All CADUS Technology and Covered Material
that is disclosed or provided to OSI shall be maintained by OSI in confidence
and shall not be disclosed to any other person, firm or agency, governmental or
private, or used for purposes other than those set forth in this Agreement,
without the prior written consent of CADUS, except to the extent that such
information:
(i) is known at the time of its receipt by OSI as
documented by written records dated prior to such disclosure;
12
<PAGE> 13
(ii) is in the public domain other than through the
fault of OSI;
(iii) is subsequently disclosed to OSI by a Third
Party who may lawfully do so and who is not under an obligation of
confidentiality to CADUS; or
(iv) is required to be disclosed in a judicial or
administrative proceeding after legal remedies for maintaining the subject
matter in confidence have been exhausted.
10.2 Duration of Confidentiality Obligation. OSI's obligations of
confidentiality shall continue during the term of this Agreement and for a
period of five years thereafter.
11. MISCELLANEOUS
11.1 Relationship of Parties. Nothing in this Agreement is
intended or shall be deemed to constitute a partnership, agency,
employer-employee or joint venture relationship between the Parties. No Party
shall incur any debts or make any commitments for the other.
11.2 Assignment. Neither Party shall be entitled to assign its
rights or transfer its obligations hereunder without the express written
consent of the other Party hereto, except that CADUS may assign its rights and
transfer its obligations hereunder to a purchaser of CADUS Technology and OSI
may assign its rights and transfer its obligations hereunder to any assignee of
all or substantially all of its assets. No assignment and transfer shall be
valid and effective unless and until the assignee/transferee shall agree in
writing to be bound by the provisions of this Agreement.
13
<PAGE> 14
11.3 Further Actions. Each Party agrees to execute, acknowledge
and deliver such further instruments, and to do all such other acts, as may be
necessary or appropriate in order to carry out the purposes and intent of this
Agreement.
11.4 Notice. Any notice or request required or permitted to be
given under or in connection with this Agreement (other than requests pursuant
to Section 4.1 hereof) shall be deemed to have been sufficiently given in
writing and personally delivered or sent by registered or certified mail
(return receipt requested), facsimile transmission (receipt verified), express
courier service (signature required), or telegram, prepaid, to the Party for
which such notice is intended, at the address set forth for such Party below:
(a) In the case of OSI, to:
OSI Pharmaceuticals, Inc.
106 Charles Lindbergh Boulevard
Uniondale, New York 11533
Attention: President
Facsimile No.: (516) 745-6429
with a copy to:
Squadron, Ellenoff, Plesent & Sheinfeld, LLP
551 Fifth Avenue New York, New York 10176
Attention: Joel I. Papernik, Esq.
Facsimile No.: (212) 697-6686
(b) In the case of CADUS, to:
Cadus Pharmaceutical Corporation
767 Fifth Avenue
New York, New York 10153
Attention: President
Facsimile No.: (212) 750-5841
14
<PAGE> 15
With a copy to:
Morrison Cohen Singer & Weinstein, LLP
750 Lexington Avenue
New York, New York 10022
Attention: Salomon R. Sassoon, Esq.
Facsimile No.: (212) 735-8708
or to such other address for such Party as it shall have specified by like
notice to the other Party, provided that notices of a change of address shall be
effective only upon receipt thereof. If sent by mail, facsimile transmission,
express courier service, or telegram, the date of mailing or transmission shall
be deemed to be the date on which such notice or request has been given.
11.5 Use of Name. Except as otherwise provided herein, neither
Party shall have any right, express or implied, to use in any manner the name
or other designation of the other Party or any other trade name or trademark of
the other Party for any purpose in connection with the performance of this
Agreement.
11.6 Waiver. A waiver by either Party of any of the terms and
conditions of this Agreement in any instance shall not be deemed or construed
to be a waiver of such term or condition for the future, or of any subsequent
breach hereof. All rights, remedies, undertakings, obligations and agreements
contained in this Agreement shall be cumulative and none of them shall be in
limitation of any other remedy, right, undertaking, obligation or agreement of
either Party.
11.7 Export Control Laws. OSI agrees to abide by all laws and
regulations of the United States controlling the export of technical data,
computer software, biological materials, laboratory prototypes and other
commodities and technology.
15
<PAGE> 16
11.8 Severability. When possible, each provision of this
Agreement will 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 prohibited
by or invalid under applicable law, such provision will be ineffective only to
the extent of such prohibition or invalidity, without invalidating the
remainder of this Agreement, and the Parties shall negotiate in good faith to
modify this Agreement to preserve (to the extent possible) their original
intent.
11.9 Amendment. No amendment, modification or supplement of any
provisions of this Agreement shall be valid or effective unless made in writing
and signed by a duly authorized officer of each Party.
11.10 Governing Law. This Agreement shall be governed by, and
construed and enforced in accordance with, the laws of the State of New York,
without regard to its choice of law principles.
11.11 Entire Agreement. This Agreement sets forth the entire
agreement and understanding between the Parties as to the subject matter hereof
and supercedes any previous agreements and understandings between the Parties
with respect to the subject matter hereof including without limitation the
Technology License Agreement between the Parties dated as of July 30, 1999.
11.12 Injunctive Relief. OSI acknowledges that, in the event of
its breach or threatened breach of any of the provisions of this Agreement,
CADUS would sustain great and irreparable injury and damage. Therefore, in
addition to any other remedies which CADUS may have under this Agreement or
otherwise, CADUS shall be entitled to an injunction issued by any court of
competent jurisdiction restraining such breach or threatened breach. This
16
<PAGE> 17
Section 11.12 shall not, however, be construed as a waiver of any of the rights
which CADUS may have for damages or otherwise.
11.13 Counterparts. This Agreement may be executed simultaneously
in any number of counterparts, any one of which need not contain the signature
of more than one Party but all such counterparts taken together shall
constitute one and the same agreement.
11.14 Descriptive Headings. The descriptive headings of this
Agreement are for convenience only and shall be of no force or effect in
construing or interpreting any of the provisions of this Agreement.
IN WITNESS WHEREOF, each of the Parties has caused this Agreement
to be executed by its duly authorized officer as of the date first above
written.
CADUS PHARMACEUTICAL CORPORATION
By: /s/ Charles Woler
-----------------------------
Charles Woler, President
OSI PHARMACEUTICALS, INC.
By: /s/ Colin Goddard
-----------------------------
Colin Goddard, President
and Chief Executive Officer
17
<PAGE> 18
EXHIBIT A
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
STRAIN_ID MATINGTYPE GENOTYPENEW P1NAME P2NAME P3NAME
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
1141 @ FUS1p-HIS3 can1 far1*1442 gpa1(41)-G@i2 his3 leu2 lys2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
1316 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
1455 a FUS1p-HIS3 bar1::hisG far1-1 his3 leu2 ste14::TRP1
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
1892 a FUS1p-HIS3 bar1::hisG his3 leu2 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
4600 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
ste14::trp1::LYS2 ste3*1156 ste4*2393 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
6259 a FUS1p-HIS3 bar1::hisG far1-1 his3 leu2 lys2
ste14::trp1::LYS2 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
6492 a FUS1p-HIS3 bar1::hisG far1*1442 his3 leu2 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
6550 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
npr2::nFUS1p-CAN1 ste14::trp1::LYS2 ste3*1156 tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
7967 @ FUS1p-HIS3 can1 far1*1442 gpa1(41)-G@i3 his3 leu2 lys2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
8342 @ FUS1p-HIS3 can1 far1*1442 gpa1p-rG@sE10K his3 leu2 lys2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
8344 @ FUS1p-HIS3 can1 far1*1442 gpa1p-rG@sE10K;D229S his3 leu2
lys2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
</TABLE>
A-1
<PAGE> 19
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
STRAIN_ID MATINGTYPE GENOTYPENEW P1NAME P2NAME P3NAME
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
8350 @ FUS1p-HIS3 can1 far1*1442 gpa1p-rG@sD229S his3 leu2 lys2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
8362 @ FUS1p-HIS3 can1 far1*1442 gpa1p-rG@sE10K his3 leu2 lys2 CP1584 CP1766
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
8719 @ FUS1p-HIS3 ade2*3447 ade8*3457 can1 far1*1442
gpa1(41)-G@i2 his3 leu2 lys2 ste14::trp1::LYS2 ste3*1156
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
9034 @ FUS1p-HIS3 can1 far1*1442 gpa1(41)-G@16(S270P) his3 leu2
lys2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
9434 @ FUS1p-HIS3 can1 cyh2 far1*1442 gpa1(41)-G@i2 his3 leu2
lys2 ste14::trp1::LYS2 ste18g6-3841 ste3*1156 tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
9438 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
ste14::trp1::LYS2 ste18g6-3841 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
9571 @ FUS1p-HIS3 GPA1-3907 can1 far1*1442 his3 leu2 lys2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
9595 @ FUS1p-HIS3 can1 far1*1442 gpa1(41)-G@i2 his3 lys2 CP1584 CP3776
ste14::trp1::LYS2 ste3*1156 tbt1-1 ura3
- --------------------------------------------------------------------------------------------------------------------------
9603 @ D314) FUS1p-HIS3 L291, can1 far1*1442
gpa1(41)-G@16(S270P, his3 leu2 lys2 ste14::trp1::LYS2
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
9664 a FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
9791 @ FUS1p-HIS3 ade2*3447 ade8*3457 can1 far1*1442 gpa1*1163
his3 leu2 lys2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
</TABLE>
A-2
<PAGE> 20
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
STRAIN_ID MATINGTYPE GENOTYPENEW P1NAME P2NAME P3NAME
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
9805 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2 CP3390 CP4110
ste14::trp1::LYS2 ste18g6-3841 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
9863 @ FUS1p-HIS3 ade2*3447ade8*3457 can1 far1*1442
gpa1(41)-G@16(S270P) his3 leu2 lys2 ste14::trp1::LYS2
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
9875 @ FUS1p-HIS3 ade2*3447 ade8*3457 can1 far1*1442
gpa1p-rG@sE10K his3 leu2 lys2 ste14::trp1::LYS2
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
9881 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2 CP1947 CP3390 CP4110
ste14::trp1::LYS2 ste18g6-3841 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
10091 @ FUS1p-HIS3 ade2*3447 ade8*3457 can1 far1*1442 gpa1*1163
his3 leu2 lys2 ste14::trp1::LYS2 ste18g6-3841 ste3*1156
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
10097 trp1-289
- --------------------------------------------------------------------------------------------------------------------------
10098 gal4
- --------------------------------------------------------------------------------------------------------------------------
10099 ade
- --------------------------------------------------------------------------------------------------------------------------
10100 leu
- --------------------------------------------------------------------------------------------------------------------------
10101 lys
- --------------------------------------------------------------------------------------------------------------------------
10103 @ FUS1p-HIS3 ade2*3447 ade8*3457 can1 cyh2 far1*1442
gpa1(41)-G@i2 his3 leu2 lys2 ste14::trp1::LYS2
ste18g6-3841 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
</TABLE>
A-3
<PAGE> 21
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
STRAIN_ID MATINGTYPE GENOTYPENEW P1NAME P2NAME P3NAME
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
10106 @ FUS1p-HIS3 ade2*3447 ade8*3457 can1 far1*1442
gpa1p-rG@sE10K;D229S his3 leu2 lys2 ste14::trp1::LYS2
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
10131 @ FUS1p-HIS3 GPA1-3907 ade2*3447 ade8*3457 can1 far1*1442
his3 leu2 lys2 ste14::trp1::LYS2 ste18g6-3841 ste3*1156
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
10132 @ FUS1p-HIS3 ade2*3447 ade8*3457 can1 far1*1442
gpa1(41)-G@16(S270P) his3 leu2 lys2 ste14::trp1::LYS2
ste18g6-3841 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
10151 @ FUS1p-HIS3 GPA1p-G@sD229S ade2*3447 ade8*3457 can1
far1*1442 his3 leu2 lys2 ste14::trp1::LYS2 ste18g6-3841
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
10175 @ FUS1p-HIS3 ade2*3447 ade8*3457 can1 far1*1442
gpa1p-rG@sD229S his3 leu2 lys2 ste14::trp1::LYS2
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
10199 ura
- --------------------------------------------------------------------------------------------------------------------------
10319 @ FUS1p-HIS3 ade2*3447 ade8*3457 can1 far1*1442
gpa1(41)-G@i3 his3 leu2 lys2 ste14::trp1::LYS2
ste18g6-3841 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
10519 @ FUS1p-HIS3 GPA1p-G@sE10K ade2*3447 ade8*3457 can1
far1*1442 his3 leu2 lys2 ste14::trp1::LYS2 ste18g6-3841
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
10560 @ FUS1p-HIS3 GPA1-3907 ade2*3447 ade8*3457 can1 far1*1442
his3 leu2 lys2 sst2*1056 ste14::trp1::LYS2 ste18g6-3841
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
10562 @ FUS1p-HIS3 S270P can1 far1*1442 gpa1(41)-G@16 his3 leu2
lys2 ste14::trp1::LYS2 ste18g6-3841 ste3*1156 tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
10565 @ FUS1p-HIS3 GPA1p-G@sD229S can1 far1*1442 his3 leu2 lys2
ste14::trp1::LYS2 ste18g6-3841 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
</TABLE>
A-4
<PAGE> 22
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
STRAIN_ID MATINGTYPE GENOTYPENEW P1NAME P2NAME P3NAME
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
10652 @ FUS1p-HIS3 GPA1p-ratG@i1 ade2*3447 ade8*3457 can1
far1*1442 his3 leu2 lys2 ste14::trp1::LYS2 ste18g6-3841
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
10734 a FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
ste14::trp1::LYS2 ste2* ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
10771 a ade1 cdc24-1 his2 leu2 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
10772 a ade1 cdc42-1 his2 leu2 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
10942 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
ste14::trp1::LYS2 ste18g601-4060 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
10981 @ FUS1p-HIS3 GPA1-3907 can1 far1*1442 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
11063 @ FUS1p-HIS3 GPA1p-G@sE10K can1 far1*1442 his3 leu2 lys2
ste14::trp1::LYS2 ste18g6-3841 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
11066 @ FUS1p-HIS3 GPA1p-G@sE10K;D229S ade2*3447 ade8*3457 can1
far1*1442 his3 leu2 lys2 ste14::trp1::LYS2 ste18g6-3841
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
11067 @ FUS1p-HIS3 GPA1p-G@sE10K;D229S can1 far1*1442 his3 leu2
lys2 ste14::trp1::LYS2 ste18g6-3841 ste3*1156 tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
11366 a FUS1p-HIS3 GPA1-3907 can1 far1*1442 his3 leu2 lys2
ste14::trp1::LYS2 ste2* ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
11368 a FUS1p-HIS3 can1 far1*1442 gpa1p-G@sD229S his3 leu2 lys2
ste14::trp1::LYS2 ste2* ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
</TABLE>
A-5
<PAGE> 23
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
STRAIN_ID MATINGTYPE GENOTYPENEW P1NAME P2NAME P3NAME
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
11647 a FUS1p-HIS3 can1 far1*1442 gpa1(41)-G@i2 his3 leu2 lys2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
11714 @ FUS1p-HIS3 can1 far1*1442 gpa1p-rG@sG226A his3 leu2 lys2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
11715 @ FUS1p-HIS3 can1 far1*1442 gpa1p-rG@sQ227L his3 leu2 lys2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
11777 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2 CP1947 CP3390 CP4421
ste14::trp1::LYS2 ste18g601-4060 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
11778 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2 CP1179 CP1947 CP4261
sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
11845 @ FUS1p-HIS3 ade2*3447 ade8*3457 can1 far1*1442 gpa1*1163
his3 leu2 lys2 sst2*1056 ste14::trp1::LYS2 ste18g6-3841
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
12025 @ FUS1p-HIS3 GPA1p-G@sD229S can1 far1*1442 leu2 lys2
ste14::trp1::LYS2 ste3*1156 stp22::TRP1ste18g6-3841
tbt1-1 trp1his3ade2*3447ade8*3457 ura3
- --------------------------------------------------------------------------------------------------------------------------
12201 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
ste14::trp1::LYS2 ste18g6-3841 ste3*1156 stp22::hisG
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
12220 a FUS1p-HIS3 can1 far1*1442 gpa1(41)-G@i2 his3 leu2 lys2
ste14::trp1::LYS2 ste2*1154 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
12357 @ FUS1p-HIS3 GPA1-3907 can1 far1*1442 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste3*1156 stp22::hisG tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
12444 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
ste14::trp1::LYS2 ste3*1156 ste5 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
</TABLE>
A-6
<PAGE> 24
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
STRAIN_ID MATINGTYPE GENOTYPENEW P1NAME P2NAME P3NAME
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
12660 @ FUS1p-HIS3 can1 far1*1442 gpa1(41)-G@i3 his3 leu2 lys2 CP1584 CP5095
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
12670 @ FUS1p-HIS3 GPA1p-G@sN254D can1 far1*1442 his3 leu2 lys2
ste14::trp1::LYS2 ste18g6-3841 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
12872 @ FUS1p-HIS3 can1 far1*1442 gpa1(41)-G@i2A235T his3 leu2
lys2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
12946 @ FUS1p-HIS3 GPA1G@i2(5) can1 far1*1442 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
12949 @ FUS1p-HIS3 GPA1-G@12(5) can1 far1*1442 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
12950 @ FUS1p-HIS3 GPA1-G@q(5) can1 far1*1442 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
12952 @ FUS1p-HIS3 GPA1-G@s(5) can1 far1*1442 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
12954 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste18*2377 ste3*1156 tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
12970 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
ste14::trp1::LYS2 ste20::KanR ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
12971 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
ste14::trp1::LYS2 ste20::KanR ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
13189 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2 CP1947 CP3390 CP5116
ste14::trp1::LYS2 ste18g6-3841 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
</TABLE>
A-7
<PAGE> 25
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
STRAIN_ID MATINGTYPE GENOTYPENEW P1NAME P2NAME P3NAME
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
13193 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste18g6-3841 ste3*1156 tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
13385 @ FUS1p-HIS3 GPA1G@i2(5) ade2*3447 ade8*3457 can1
far1*1442 his3 leu2 lys2 sst2*1056 ste14::trp1::LYS2
ste18g6-3841 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
13387 @ FUS1p-HIS3 GPA1G@12(5) ade2*3447 ade8*3457 can1
far1*1442 his3 leu2 lys2 sst2*1056 ste14::trp1::LYS2
ste18g6-3841 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
13389 @ FUS1p-HIS3 GPA1G@q(5) ade2*3447 ade8*3457 can1 far1*1442
his3 leu2 lys2 sst2*1056 ste14::trp1::LYS2 ste18g6-3841
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
13391 @ FUS1p-HIS3 GPA1G@s(5) ade2*3447 ade8*3457 can1 far1*1442
his3 leu2 lys2 sst2*1056 ste14::trp1::LYS2 ste18g6-3841
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
13393 @ FUS1p-HIS3 GPA1G@i2(5) can1 far1*1442 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste18g6-3841 ste3*1156 tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
13395 @ FUS1p-HIS3 GPA1G@12(5) can1 far1*1442 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste18g6-3841 ste3*1156 tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
13397 @ FUS1p-HIS3 GPA1G@q(5) can1 far1*1442 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste18g6-3841 ste3*1156 tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
13399 @ FUS1p-HIS3 GPA1G@s(5) can1 far1*1442 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste18g6-3841 ste3*1156 tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
13771 @ FUS1p-HIS3 can1 far1*1442 gpa1(41)-G@16 his3 leu2 lys2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
13934 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2 CP1947 CP4259 CP5298
ste14::trp1::LYS2 ste18g6-3841 ste3*1156 tbt1-1 trp1
ura3
</TABLE>
A-8
<PAGE> 26
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
STRAIN_ID MATINGTYPE GENOTYPENEW P1NAME P2NAME P3NAME
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
- --------------------------------------------------------------------------------------------------------------------------
13937 @ FUS1p-HIS3 can1 cyh2 far1*1442 gpa1(41)-G@i2 his3 leu2
lys2 ste14::trp1::LYS2 ste18g26-5261 ste3*1156 tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
13947 @ FUS1p-HIS3 STE18g26-5363 can1 far1*1442 gpa1*1163 his3
leu2 lys2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
14011 @ FUS1p-HIS3 GPA1p-G@sE10K can1 far1*1442 his3 leu2 lys2 CP1584 CP5396
ste14::trp1::LYS2 ste18g6-3841 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
14012 @ FUS1p-HIS3 GPA1p-G@sD229S can1 far1*1442 leu2 lys2 CP1947 CP5394
ste14::trp1::LYS2 ste3*1156 stp22::TRP1ste18g6-3841
tbt1-1 trp1his3ade2*3447ade8*3457 ura3
- --------------------------------------------------------------------------------------------------------------------------
14016 @ FUS1p-HIS3 can1 far1*1442 gpa1::klURA3 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste18g6-3841 ste3*1156 tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
14078 @ FUS1p-HIS3 ade2*3447 ade8*3457 can1 cyh2 far1*1442
gpa1(41)-G@i2 his3 leu2 lys2 ste14::trp1::LYS2
ste18g6-3841 ste3*1156 ste5*4276 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
14637 @ E10K FUS1p-HIS3 GPA1p-G@s can1 far1*1442 his3 leu2 lys2
pho3*4602 pho4::KAN ste14::trp1::LYS2 ste3*1156 tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
14638 @ E10K;A249T FUS1p-HIS3 GPA1p-G@s can1 cyh2 far1*1442 his3
leu2 lys2 ste14::trp1::LYS2 ste18g6-3841 ste3*1156
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
14640 @ FUS1p-HIS3 GPA1p-GPA1-G@z(5) can1 cyh2 far1*1442 his3
leu2 lys2 ste14::trp1::LYS2 ste18g6-3841 ste3*1156
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
14706 @ ste18g6-3841 GPA+3907 sst2*2 far1*1442 tbt1-1 fus1-HIS3
can1 ste14::trp1::LYS2 ste3*1156 lys2 ura3 leu2 trp1 his3
- --------------------------------------------------------------------------------------------------------------------------
15070 @ FUS1p-HIS3 GPA1G@z(5) STE18g6-3841 can1 far1*1442 his3
leu2 lys2 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
</TABLE>
A-9
<PAGE> 27
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
STRAIN_ID MATINGTYPE GENOTYPENEW P1NAME P2NAME P3NAME
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
15072 @ FUS1p-HIS3 GPA1G@16(6) STE18g6-3841 can1 far1*1442 his3
leu2 lys2 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
15074 @ FUS1p-HIS3 GPA1G@13(5) STE18g6-3841 can1 far1*1442 his3
leu2 lys2 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
15203 a lys9
- --------------------------------------------------------------------------------------------------------------------------
15204 @ lys9
- --------------------------------------------------------------------------------------------------------------------------
15347 @ FUS1p-HIS3 GPA1G@z(5) can1 far1*1442 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
15349 @ FUS1p-HIS3 GPA1G@13(5) can1 far1*1442 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
15351 @ FUS1p-HIS3 GPA1G@16(6) can1 far1*1442 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
15427 @ E10K FUS1p-HIS3 GPA1p-G@s can1 far1*1442 his3 leu2 lys2 CP1766 CP5223
pho3*4602 pho4::KAN ste14::trp1::LYS2 ste3*1156 tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
15659 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste3*1156 stp22::hisG tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
15836 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2 CP1930 CP1947 CP5042
sst2*2 ste14::trp1::LYS2 ste3*1156 stp22::hisG tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
16160 @ FUS1p-HIS3 GPA1-3907 can1 far1*1442 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste18g26-5363 ste3*1156 tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
</TABLE>
A-10
<PAGE> 28
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
STRAIN_ID MATINGTYPE GENOTYPENEW P1NAME P2NAME P3NAME
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
16463 @ FUS1p-HIS3 GPA1p-G@sD229S can1 far1*1442 his3 leu2 lys2
ste14::trp1::LYS2 ste18g26-5363 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
16637 @ FUS1p-HIS3 GPA1-3907 can1 far1*1442 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1
trp1::TRP1::nFUS1p-GFPS65T ura3::URA3::nFUS1p-GFPS65T
- --------------------------------------------------------------------------------------------------------------------------
16961 @ FUS1p-HIS3 GPA1p-G@sD229S STE18g6-3841 ade2*3447
ade8*3457 can1 far1*1442 his3 leu2 lys2
ste14::trp1::LYS2 ste3*1156 stp22::hisG tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17002 @ FUS1p-HIS3 G@q(1-11)-GPA1(6-467)-G@q(5) STE18g6-3841
can1 far1*1442 his3 leu2 lys2 sst2*2 ste14::trp1::LYS2
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17004 @ FUS1p-HIS3 STE18g6-3841 can1 far1*1442 his3 leu2 lys2
ratG@sE10K-G@q(6) sst2*2 ste14::trp1::LYS2 ste3*1156
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17007 @ FUS1p-HIS3 STE18g6-3841 can1 far1*1442 his3 leu2 lys2
ratG@sD229S-G@q(6) sst2*2 ste14::trp1::LYS2 ste3*1156
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17008 @ FUS1p-HIS3 GPA1-G@s(6) STE18g6-3841 can1 far1*1442 his3
leu2 lys2 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
17010 @ FUS1p-HIS3 G@q(1-21)-GPA1(24-467)-G@q(5) STE18g6-3841
can1 far1*1442 his3 leu2 lys2 sst2*2 ste14::trp1::LYS2
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17012 @ FUS1p-HIS3 G@q(1-11)-GPA1(6-467)-G@q(5) can1 far1*1442
his3 leu2 lys2 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17014 @ FUS1p-HIS3 can1 far1*1442 his3 leu2 lys2
ratG@sE10K-G@q(6) sst2*2 ste14::trp1::LYS2 ste3*1156
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17016 @ FUS1p-HIS3 can1 far1*1442 his3 leu2 lys2
ratG@sD229S-G@q(6) sst2*2 ste14::trp1::LYS2 ste3*1156
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
</TABLE>
A-11
<PAGE> 29
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
STRAIN_ID MATINGTYPE GENOTYPENEW P1NAME P2NAME P3NAME
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
17018 @ FUS1p-HIS3 GPA1-G@s(6) can1 far1*1442 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17020 @ FUS1p-HIS3 G@q(1-21)-GPA1(24-467)-G@q(5) can1 far1*1442
his3 leu2 lys2 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17062 @ FUS1p-HIS3 GPA1-G@i2(5) can1 far1*1442 his3 leu2 lys2
pho3*4602 pho4::KAN sst2*1056 ste14::trp1::LYS2
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17063 @ FUS1p-HIS3 GPA1-G@q(5) can1 far1*1442 his3 leu2 lys2
pho3*4602 pho4::KAN sst2*1056 ste14::trp1::LYS2
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17426 @ FUS1p-HIS3 his3 lys2 sst2*2 GPA1G@q(5) can1 far1*1442
leu2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
STE18g26-5363
- --------------------------------------------------------------------------------------------------------------------------
17549 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 kre1::HisG leu2
lys2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17551 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 kre1::HisG leu2
lys2 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17553 @ FUS1p-HIS3 STE18g6-3841 can1 far1*1442 gpa1*1163 his3
kre1::HisG leu2 lys2 ste14::trp1::LYS2 ste3*1156 tbt1-1
trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17555 @ FUS1p-HIS3 STE18g6-3841 can1 far1*1442 gpa1*1163 his3
kre1::HisG leu2 lys2 sst2*2 ste14::trp1::LYS2 ste3*1156
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17624 a FUS1p-HIS3 GPA1-3907 can1 far1*1442 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17625 @ FUS1p-HIS3 GPA1-3907 can1 far1*1442 his3 leu2 lys2
nap-16 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
</TABLE>
A-12
<PAGE> 30
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
STRAIN_ID MATINGTYPE GENOTYPENEW P1NAME P2NAME P3NAME
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
17626 @ FUS1p-HIS3 GPA1-3907 can1 far1*1442 his3 leu2 lys2
nap-17 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
17627 @ FUS1p-HIS3 GPA1-3907 can1 far1*1442 his3 leu2 lys2
nap-39 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
17628 @ FUS1p-HIS3 GPA1-3907 can1 far1*1442 his3 leu2 lys2
nap-43 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
17629 @ FUS1p-HIS3 GPA1-3907 can1 far1*1442 his3 leu2 lys2
nap-61 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
17630 @ FUS1p-HIS3 GPA1-3907 can1 far1*1442 his3 leu2 lys2
nap-63 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
17631 @ FUS1p-HIS3 GPA1-3907 can1 far1*1442 his3 leu2 lys2
nap-64 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
17632 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
nap-16 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
17633 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
nap-17 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
17634 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
nap-39 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
17635 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
nap-43 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
17636 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
nap-61 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
</TABLE>
A-13
<PAGE> 31
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
STRAIN_ID MATINGTYPE GENOTYPENEW P1NAME P2NAME P3NAME
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
17637 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
nap-63 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
17638 @ FUS1p-HIS3 can1 far1*1442 gpa1*1163 his3 leu2 lys2
nap-64 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
17749 @ FUS1p-HIS3 GPA1G@s(5) STE18g6-3841 can1 far1*1442 his3 CP1584 CP1947 CP6281
leu2 lys2 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
17750 @ FUS1p-HIS3 GPA1G@s(5) STE18g6-3841 can1 far1*1442 his3 CP1584 CP1947 CP6281
leu2 lys2 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
17751 @ FUS1p-HIS3 GPA1-G@i2(5) can1 dap2*6253 far1*1442 his3
leu2 lys2 sst2*2 ste13*6077 ste14::trp1::LYS2 ste3*1156
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17843 a FUS1p-HIS3 bar1::hisG far1*1442 gpa1*1163 his3 leu2
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17879 @ FUS1p-HIS3 GPA1-3907 can1 far1*1442 his3
leu2::LEU2::PGKp-A2aR lys2 sst2*2 ste14::trp1::LYS2
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
17880 a FUS1p-HIS3 bar1::hisG his3 leu2 sst2*1056 ste2*1154
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
18039 @ FUS1p-HIS3 GPA1p-G@sD229S STE18g6-3841 ade2*3447 CP1584 CP1947 CP4111
ade8*3457 can1 far1*1442 his3 leu2 lys2
ste14::trp1::LYS2 ste3*1156 stp22::hisG tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
18043 @ FUS1p-HIS3 GPA1G@o(5) STE18g6-3841 can1 far1*1442 his3
leu2 lys2 sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1
ura3
- --------------------------------------------------------------------------------------------------------------------------
18045 @ FUS1p-HIS3 GPA1G@o(5) can1 far1*1442 his3 leu2 lys2
sst2*2 ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
</TABLE>
A-14
<PAGE> 32
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
STRAIN_ID MATINGTYPE GENOTYPENEW P1NAME P2NAME P3NAME
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
18158 @ FUS1p-HIS3 GPA1-3907 can1 far1*1442 his3 leu2 lys2
nap-16 sst2*2 ste14::trp1::LYS2 ste3*1156 stp22::hisG
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
18189 @ FUS1p-HIS3 GPA1-3907 can1 far1*1442 his3 leu2 lys2
nap-16 sst2*2 ste14::trp1::LYS2 ste3*1156 stp22::hisG
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
18190 @ FUS1p-HIS3 GPA1G@z(5) STE18g6-3841 can1 far1*1442 his3
kre1::hisG leu2 lys2 sst2*2 ste14::trp1::LYS2 ste3*1156
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
18222 @ FUS1p-HIS3 GPA1G@z(5) STE18g6-3841 can1 far1*1442 his3 CP1947 CP6131
kre1::hisG leu2 lys2 sst2*2 ste14::trp1::LYS2 ste3*1156
tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
18774 @ FUS1p-HIS3 lys2 can1 far1*1442 his3 leu2 pho3*4602
pho4::KAN sst2*1056 ste14::trp1::LYS2 ste3*1156 tbt1-1
trp1 ura3 GPA1p-GPA1-G@s(6)
- --------------------------------------------------------------------------------------------------------------------------
19029 @ FUS1p-HIS3 G@q(1-21)-GPA1(24-467)-G@q(5) STE18g6-3841
can1 far1*1442 his3 kre1::HisG leu2 lys2 sst2*2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
19039 @ FUS1p-HIS3 GPA1p-GPA1-G@s(6) can1 far1*1442 his3 leu2 CP5226 CP6281
lys2 pho3*4602 pho4::KAN sst2*1056 ste14::trp1::LYS2
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
19055 @ FUS1p-HIS3 GPA1p-GPA1-G@s(6) can1 far1*1442 his3 leu2 CP5226 CP1766
lys2 pho3*4602 pho4::KAN sst2*1056 ste14::trp1::LYS2
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
19063 @ FUS1p-HIS3 GPA1-G@q(5) GPA1G@q(5) can1 far1*1442 his3 CP6513 CP1930
leu2 lys2 pho3*4602 pho4::KAN sst2*1056
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
19493 @ FUS1p-HIS3 his3 lys2 sst2*2 can1 far1*1442 leu2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
GPA1p-G@11(1-11)-GPA1(6-467)-G@q(355-359)-GPA1t
- --------------------------------------------------------------------------------------------------------------------------
19496 @ FUS1p-HIS3 his3 lys2 GPA1G@q(5) can1 cyh2 far1*1442 leu2
pho3*4602 pho4::KANMX2 sst2*1056 ste14::trp1::LYS2
ste3*1156 tbt1-1 ura3
trp1::TRP1::STE12p-SV40NLS(MGAPPKKKRKVA)-PHO4(228-312)-
STE12(1-587,EAS,670-688)-ADH1t
- --------------------------------------------------------------------------------------------------------------------------
</TABLE>
A-15
<PAGE> 33
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
STRAIN_ID MATINGTYPE GENOTYPENEW P1NAME P2NAME P3NAME
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
19507 @ FUS1p-HIS3 his3 lys2 sst2*2 can1 far1*1442 leu2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
GPA1p-G@q(1-24)-GPA1(27-467)-G@q(355-359)-GPA1t
- --------------------------------------------------------------------------------------------------------------------------
19509 @ FUS1p-HIS3 his3 lys2 sst2*2 can1 far1*1442 leu2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
GPA1p-G@q(1-32)-GPA1(35-467)-G@q(355-359)-GPA1t
- --------------------------------------------------------------------------------------------------------------------------
19511 @ FUS1p-HIS3 his3 lys2 sst2*2 can1 far1*1442 leu2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
STE18g6-3841
GPA1p-G@11(1-11)-GPA1(6-467)-G@q(355-359)-GPA1t
- --------------------------------------------------------------------------------------------------------------------------
19512 @ FUS1p-HIS3 his3 lys2 sst2*2 can1 far1*1442 leu2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
STE18g6-3841
GPA1p-G@11(1-11)-GPA1(6-467)-G@q(355-359)-GPA1t
- --------------------------------------------------------------------------------------------------------------------------
19513 @ FUS1p-HIS3 his3 lys2 sst2*2 can1 far1*1442 leu2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
STE18g6-3841
- --------------------------------------------------------------------------------------------------------------------------
19514 @ FUS1p-HIS3 his3 lys2 sst2*2 can1 far1*1442 leu2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
STE18g6-3841
- --------------------------------------------------------------------------------------------------------------------------
19515 @ FUS1p-HIS3 his3 lys2 sst2*2 can1 far1*1442 leu2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
STE18g6-3841
GPA1p-G@q(1-32)-GPA1(35-467)-G@q(355-359)-GPA1t
- --------------------------------------------------------------------------------------------------------------------------
19598 @ FUS1p-HIS3 GPA1-G@i2(5) his3 lys2 can1 far1*1442 leu2 CP6555 CP5095
pho3*4602 pho4::KAN sst2*1056 ste14::trp1::LYS2
ste3*1156 tbt1-1 trp1 ura3
- --------------------------------------------------------------------------------------------------------------------------
19608 @ FUS1p-HIS3 lys2 can1 far1*1442 gpa1*1163 his3 leu2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
STE18g26-5363 GPA1-G@s(5)-5102
- --------------------------------------------------------------------------------------------------------------------------
19608 @ FUS1p-HIS3 lys2 can1 far1*1442 gpa1*1163 his3 leu2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3
STE18g26-5363 GPA1-G@s(5)-5102
- --------------------------------------------------------------------------------------------------------------------------
19625 @ FUS1p-HIS3 his3 lys2 GPA1G@q(5) can1 cyh2 far1*1442 leu2 CP1930
pho3*4602 pho4::KANMX2 sst2*1056 ste14::trp1::LYS2
ste3*1156 tbt1-1 ura3
trp1::TRP1::STE12p-SV40NLS(MGAPPKKKRKVA)-PHO4
(228-312)-STE12(1-587,EAS,670-688)-ADH1t
- --------------------------------------------------------------------------------------------------------------------------
</TABLE>
A-16
<PAGE> 34
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
STRAIN_ID MATINGTYPE GENOTYPENEW P1NAME P2NAME P3NAME
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
19888 @ FUS1p-HIS3 GPA1p-G@sD229S his3 lys2 ade2*3447 ade8*3457
can1 far1*1442 leu2 ste14::trp1::LYS2 ste18*2377
ste3*1156 stp22::hisG tbt1-1 trp1 ura3 ste18g26-5363
- --------------------------------------------------------------------------------------------------------------------------
19888 @ FUS1p-HIS3 GPA1p-G@sD229S his3 lys2 ade2*3447 ade8*3457
can1 far1*1442 leu2 ste14::trp1::LYS2 ste18*2377
ste3*1156 stp22::hisG tbt1-1 trp1 ura3 ste18g26-5363
- --------------------------------------------------------------------------------------------------------------------------
19889 @ FUS1p-HIS3 GPA1p-G@sD229S his3 lys2 ade2*3447 ade8*3457 CP6280 CP5899 CP6684
can1 far1*1442 leu2 ste14::trp1::LYS2 ste18*2377
ste3*1156 stp22::hisG tbt1-1 trp1 ura3 ste18g26-5363
- --------------------------------------------------------------------------------------------------------------------------
19910 @ FUS1p-HIS3 his3 lys2 sst2*2 can1 far1*1442 leu2
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3 GPA1G@z(5)
STE18g6-3841
- --------------------------------------------------------------------------------------------------------------------------
19928 @ FUS1p-HIS3 his3 lys2 sst2*2 can1 far1*1442 leu2 CP6490 CP1584
ste14::trp1::LYS2 ste3*1156 tbt1-1 trp1 ura3 GPA1G@16(6)
- --------------------------------------------------------------------------------------------------------------------------
</TABLE>
All Mammalian Cell Lines
A-17
<PAGE> 35
EXHIBIT B
-------------------------------------------------------------------------------
NOTE: US PROVISIONAL APPLICATIONS HAVE SERIAL NUMBERS STARTING WITH "60" AND
DOCKET NUMBER ENDING IN "-1"
-------------------------------------------------------------------------------
NOTE: FOREIGN APPLICATIONS ARE SHOWN IN BOLD W/SHADING
<TABLE>
<CAPTION>
Docket No. Serial No. Title Filing Status
Date
<S> <C> <C> <C> <C>
CPI-012CP9 09/201,396 Methods and Compositions for Identifying 11/30/98 PENDING
Receptor Effectors
CPI-12CP9PC PCT/US99/27909 Methods and Compositions for Identifying 11/24/99 PENDING
Receptor Effectors
CPI-088 09/378,046 Cells Having Amplified Signal Transduction 8/30/99 PENDING
Pathway Responses and Uses Therefor
CPI-091 09/305,923 Yeast Cells Having Mutations in STP22 and 5/5/99 PENDING
Uses Therefor
CPI-096 09/426,332 Yeast Cells Having Mutations in CAV1 and 10/25/99 PENDING
Uses Therefor
CPI-099 09/362,286 Expression of G Protein Coupled Receptors 7/27/99 PENDING
with Altered Ligand Binding and/or
Coupling Properties
CPI-102 09/241,888 Cell Based Signal Generation 2/1/99 PENDING
CPI-122-l 60/153,300 Yeast Alpha Agglutinins and Use Thereof as 9/10/99 PENDING
Indicators of Activation of the Yeast (Conversion
Pheromone Response Pathway date is
9/09/00)
CPI-123-l 60/139,021 Mating Factor Alpha System for Detection 6/14/99 PENDING
of a Functional Interaction Between A (Conversion
Compound and a Cellular Receptor date is
6/13/00)
</TABLE>
B-1
<TABLE> <S> <C>
<ARTICLE> 5
<S> <C>
<PERIOD-TYPE> 6-MOS
<FISCAL-YEAR-END> SEP-30-2000
<PERIOD-START> OCT-1-1999
<PERIOD-END> MAR-31-2000
<CASH> 76,295,360
<SECURITIES> 10,249,963
<RECEIVABLES> 871,768
<ALLOWANCES> 27,289
<INVENTORY> 0
<CURRENT-ASSETS> 89,176,623
<PP&E> 26,447,036
<DEPRECIATION> 17,310,908
<TOTAL-ASSETS> 102,827,507
<CURRENT-LIABILITIES> 6,969,096
<BONDS> 0
0
0
<COMMON> 273,493
<OTHER-SE> 93,066,006
<TOTAL-LIABILITY-AND-EQUITY> 102,827,507
<SALES> 309,760
<TOTAL-REVENUES> 15,964,438
<CGS> 471,419
<TOTAL-COSTS> 22,158,681
<OTHER-EXPENSES> 54,569
<LOSS-PROVISION> 0
<INTEREST-EXPENSE> 19,885
<INCOME-PRETAX> (1,301,108)
<INCOME-TAX> 0
<INCOME-CONTINUING> 0
<DISCONTINUED> 0
<EXTRAORDINARY> 0
<CHANGES> 0
<NET-INCOME> (1,301,108)
<EPS-BASIC> (0.06)
<EPS-DILUTED> (0.06)
</TABLE>
