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SIGNATURES&aAin thousands except share and pz` unauditedt
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EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)
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Prothena Corp plc10Q
05/09/2018>6(Exact name of registrant as specified in its charter)
Ireland
981111119'(State or other jurisdiction of(I.R.S. Employer&incorporation or organization)Identification Number)
$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/(TocWK?;/#=PF0*8X>
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Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)
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Prothena Corp plc10Q
05/09/2018>6(Exact name of registrant as specified in its charter)
Adelphi PlazaUpper George's Street
D?n Laoghaire%
Co. Dublin, A96 T927, Ireland/'(Address of principal executive officesincluding Zip Code)$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/.ocWK?3eYM%=PF0*8X>
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EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)
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Prothena Corp plc10Q
05/09/2018NFRegistrant s telephone number, including area code: 01135312362500
Large accelerated filer
x
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oNonaccelerated filer7/o (Do not check if a smaller reporting company)!Smaller reporting company o
Emerging growth company
o3+If an emerging growth company that prepares.&its financial statements in accordance1)with U.S. GAAP, indicate by check mark if1)the registrant has elected not to use the0(extended transition period for complying4,with any new or revised financial accounting.&standards provided pursuant to Section$13(a) of the Exchange Act. o$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/:_SG;/uh6`.=PF0*8X>
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Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)
FINAL FORMAdditional Definitions (3)Additional Definitions (4)!Per Licensed Product Annual NetSales Milestone PaymentSignature Page FollowsFINAL FORM (1)
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Prothena Corp plc10Q
05/09/2018
SIGNATURES
Page%PART I. FINANCIAL INFORMATION~
0
(Item 1. Financial Statements (unaudited)~
%Condensed Consolidated Balance Sheets~
2*as of March 31, 2018 and December 31, 2017,$Condensed Consolidated Statements of~
3+Operations for the three months ended March31, 2018 and 2017,$Condensed Consolidated Statements of~
3+Cash Flows for the three months ended March31, 2018 and 20171)Notes to Condensed Consolidated Financial~
Statements4,Item 2. Management?s Discussion and Analysis~
b80of Financial Condition and Results of Operations80Item 3. Quantitative and Qualitative Disclosures~
~About Market Risk'Item 4. Controls and Procedures~
~"PART II. OTHER INFORMATION~
!Item 1. Legal Proceedings~
DmlwkS7g1a*
n2z !"#$%&'()*+,./ Item 1A. Risk Factors~
7!/Item 2. Unregistered Sales of Equity Securities~
!"and Use of Proceeds/#'Item 3. Defaults Upon Senior Securities~
#'$Item 4. Mine Safety Disclosures~
$!%Item 5. Other Information~
%&Item 6. Exhibits~
&''(
SIGNATURES~
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EXHIBIT INDEX~
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Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)
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Prothena Corp plc10Q
05/09/20187/(in thousands, except share and per share data)
March 31, 2018
December 31, 2017AssetsCurrent assets:!
Cash and cash equivalents~
/
~
R}
Receivable from Celgene~
Receivable from Roche~
2~
1)Prepaid expenses and other current assets~
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h~
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&p&.'&Commitments and contingencies (Note 7)'''(Shareholders? equity:(((0)(Euro deferred shares, ?22 nominal value: ))) ))/*'Authorized shares  10,000 at March 31,***"+2018 and December 31, 2017,,$Issued and outstanding shares  none,,,/'at March 31, 2018 and December 31, 2017).!Ordinary shares, $0.01 par value:~
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4644~
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345Accumulated deficit~
555~
5J5"6Total shareholders? equity~
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6V627*Total liabilities and shareholders? equity~
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Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)
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Prothena Corp plc10Q
05/09/2018(unaudited)
Three Months Ended March 31,~
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EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)
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Prothena Corp plc10Q
05/09/2018(unaudited)
$
Three Months Ended March 31,~
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Prothena Corp plc10Q
05/09/2018(unaudited)
$
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05/09/2018#Property and Equipment, net
March 31, 2018
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05/09/2018!Other Current Liabilities
March 31, 2018
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Prothena Corp plc10Q
05/09/2018!Other Current Liabilities
$
Three Months Ended March 31,~
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Prothena Corp plc10Q
05/09/2018!Other Current Liabilities
$
Three Months Ended March 31,~
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Prothena Corp plc10Q
05/09/2018Switzerland
Year Ended December 31,
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Prothena Corp plc10Q
05/09/2018Current SSF Facility
Year Ended December 31,
2
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Prothena Corp plc10Q
05/09/2018Other Commitments
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05/09/2018( Sharebased Compensation Expense
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Prothena Corp plc10Q
05/09/2018( Sharebased Compensation Expense
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Prothena Corp plc10Q
05/09/2018( Sharebased Compensation Expense
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Prothena Corp plc10Q
05/09/2018Revenue
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05/09/2018Operating Expenses
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05/09/2018)!Research and Development Expenses
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Prothena Corp plc10Q
05/09/2018Other Income (Expense)
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05/09/2018!Benefit from Income Taxes
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Prothena Corp plc10Q
05/09/2018Overview
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05/09/2018E=Cash Flows for the Three Months Ended March 31, 2018 and 2017
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Prothena Corp plc10Q
05/09/2018Contractual Obligations
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Prothena Corp plc10Q
05/09/2018
EXHIBIT INDEX
Previously Filed
ExhibitDescriptionFormFile No.Filing DateExhibit Filed HerewithNo.
10.1(a) ?
/
'License Agreement, dated as of November
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05/09/2018Fees and Royalties.
Amount
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05/09/2018Fees and Royalties.
Percentage
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Prothena Corp plc10Q
05/09/2018Correspondence. Notices:# Neotope Biosciences Limited
2528 North Wall QuayDublin 1 IrelandAttention: Director
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SIGNATURES!in thousands except share and p unaudited
unaudited (1)
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SwitzerlandCurrent SSF FacilityOther Commitments!Sharebased Compensation Expense!Sharebased Compensation Exp (1)!Sharebased Compensation Exp (2) RevenueOperating Expenses!Research and Development ExpensOther Income ExpenseBenefit from Income Taxes
Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)
FINAL FORMAdditional Definitions (3)Additional Definitions (4)!Per Licensed Product Annual NetSales Milestone PaymentSignature Page FollowsFINAL FORM (1)
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Prothena Corp plc10Q
05/09/2018EXECUTION VERSION
&MASTER COLLABORATION AGREEMENT
by and among$PROTHENA BIOSCIENCES LIMITEDAndCELGENE SWITZERLAND LLC"Dated as of March 20, 2018$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/BXpdXL"th\PD=PF0*8X>
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SIGNATURES!in thousands except share and p unaudited
unaudited (1)
unaudited (2)Property and Equipment netOther Current LiabilitiesOther Current Liabilities (1)Other Current Liabilities (2)
SwitzerlandCurrent SSF FacilityOther Commitments!Sharebased Compensation Expense!Sharebased Compensation Exp (1)!Sharebased Compensation Exp (2) RevenueOperating Expenses!Research and Development ExpensOther Income ExpenseBenefit from Income Taxes
Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional Definitions (1)Additional Definitions (2)
FINAL FORMAdditional Definitions (3)Additional Definitions (4)!Per Licensed Product Annual NetSales Milestone PaymentSignature Page FollowsFINAL FORM (1)
Valid ClaimValid Claim (1)!Per Licensed Product Annual (1)Sales Milestone Payment (1)Signature Page Follows (1)U }1}
2
Prothena Corp plc10Q
05/09/2018Additional Definitions
Definition:
Section:+#Active Immunotherapeutic Approaches
5.3.1 AgreementPreamble
Alliance Manager
4.1.3'Alternative End of Phase 1 Date{Gz?CelgenePreambleCelgene Indemniteesffffff$@ Celgene Phase 1 KnowHow
2.5.3%Celgene Phase 1 Portion Participation2.5.1(b)
RightCelgene Product
4.2.7Celgene Proposed Terms
5.3.2Clearance Date
3.2.2
Collaboration@%Collaboration NonSpecific IPffffff @1)Collaboration Material Transfer Agreement
2.9.1!Collaboration Specific IPffffff @Competing Compoundffffff@Confirmation Notice
2.4.1Cure Period11.2.1Disclosing Party333333 @Discovery Portion@Dmlwk_GI"wf:v0p !"#$%&'()*+,./01 Dispute 12.7.2!DOJ
!3.2.2"Effective Date"Preamble#Electronic Delivery#Q8(@$EMA$Q?%Excluded Claim% 12.7.3(d)&Exclusion Lists&(\?*'"Existing Confidentiality Agreement'Q8 @$(First Extended Research Term
(2.3.1)
Force Majeure)(@*FTC
*3.2.2+FDA+Q?
,Grant
,5.3.2.$/____________________________10)Created by Morningstar Document Research.01(http://documentresearch.morningstar.com/(9T\;f;=PF0*8X>
@1100//
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SIGNATURES!in thousands except share and p unaudited
unaudited (1)
unaudited (2)Property and Equipment netOther Current LiabilitiesOther Current Liabilities (1)Other Current Liabilities (2)
SwitzerlandCurrent SSF FacilityOther Commitments!Sharebased Compensation Expense!Sharebased Compensation Exp (1)!Sharebased Compensation Exp (2) RevenueOperating Expenses!Research and Development ExpensOther Income ExpenseBenefit from Income Taxes
Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (2)
FINAL FORMAdditional Definitions (3)Additional Definitions (4)!Per Licensed Product Annual NetSales Milestone PaymentSignature Page FollowsFINAL FORM (1)
Valid ClaimValid Claim (1)!Per Licensed Product Annual (1)Sales Milestone Payment (1)Signature Page Follows (1)U }$}y
9
Prothena Corp plc10Q
05/09/2018Additional Definitions
Definition:
Section:Grant Notice
5.3.2
HIPAAffffff?
HSR Act
?
HSR Filing
3.2.2Implementation Date
3.2.2
IND Option
3.1.1IND Option Exercise Fee
6.3.1"IND Option Exercise Notice3.1.3(a)
Indemnitee$@
Indemnitor$@Indirect Taxes6.4.2(b)Insolvency Event&@Investment Agreements@Joint Program IP
7.6.4Joint Program KnowHow
7.6.4Joint Program Patent
7.6.4JSC
4.2.1Manufacturing Committee
4.4.1 Material Receiving Party
2.9.1MHLWQ?Negotiation Period
5.3.2Dlwk_GToAO/ !"#$%&'()*+,./012345678
[***]
[***]!
Notice Period
!5.3.2" Officials"2.10.2#Option#@$$Participation Term Extension
$2.5.4%Party or Parties%Preamble&Patent Committee
&4.3.1'Patent Liaison
'4.1.4(Patent Strategy
(4.3.4)Payee Party)6.4.2(b)*Paying Party*6.4.2(b)+Payment+2.10.2!,Permitted Celgene Purpose
,2.9.1Phase 1 Data?#.Phase 1 Development Portion.@/Phase 1 Option
/3.1.2#0Phase 1 Option Exercise Fee
06.3.2&1Phase 1 Option Exercise Notice13.1.3(b)2Program Assets23.1.5(a)3Program KnowHow31.62(a)45$6____________________________17)Created by Morningstar Document Research.08(http://documentresearch.morningstar.com/64i0Q%g<i]Q)=PF0*8X>
@887766
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SIGNATURES!in thousands except share and p unaudited
unaudited (1)
unaudited (2)Property and Equipment netOther Current LiabilitiesOther Current Liabilities (1)Other Current Liabilities (2)
SwitzerlandCurrent SSF FacilityOther Commitments!Sharebased Compensation Expense!Sharebased Compensation Exp (1)!Sharebased Compensation Exp (2) RevenueOperating Expenses!Research and Development ExpensOther Income ExpenseBenefit from Income Taxes
Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)
FINAL FORMAdditional Definitions (3)Additional Definitions (4)!Per Licensed Product Annual NetSales Milestone PaymentSignature Page FollowsFINAL FORM (1)
Valid ClaimValid Claim (1)!Per Licensed Product Annual (1)Sales Milestone Payment (1)Signature Page Follows (1)U }*}y
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Prothena Corp plc10Q
05/09/2018Additional Definitions
Definition:
Section:Program Patents1.62(b)$Program Regulatory Materials2.6.1(a)
[***]
[***]ProthenaPreambleProthena Indemnitees333333$@Publishing Party
8.8.1Qualified Scientist
2.4.3Receiving Party333333 @ Regulatory Transfer Date2.6.1(b)"Right of First Negotiation
5.3.2Scientific Panel
2.4.3SEC8.4.1(a)Securities Regulators333333!@Subcommittee4.1.1(b)+#Subcontracting Essential Provisions@Tax Benefit6.4.2(c)Term333333&@&Transferred Prothena Materials
2.9.1Transferring Party
2.9.1Upfront Paymentffffff@D#lwk_Gh6 t=M" !"# $!____________________________1")Created by Morningstar Document Research.0#(http://documentresearch.morningstar.com/<=PF0*8X>
@##""!!
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SIGNATURES!in thousands except share and p unaudited
unaudited (1)
unaudited (2)Property and Equipment netOther Current LiabilitiesOther Current Liabilities (1)Other Current Liabilities (2)
SwitzerlandCurrent SSF FacilityOther Commitments!Sharebased Compensation Expense!Sharebased Compensation Exp (1)!Sharebased Compensation Exp (2) RevenueOperating Expenses!Research and Development ExpensOther Income ExpenseBenefit from Income Taxes
Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)Additional Definitions (3)Additional Definitions (4)!Per Licensed Product Annual NetSales Milestone PaymentSignature Page FollowsFINAL FORM (1)
Valid ClaimValid Claim (1)!Per Licensed Product Annual (1)Sales Milestone Payment (1)Signature Page Follows (1)U }1
Prothena Corp plc10Q
05/09/2018
FINAL FORM
GLOBAL LICENSE AGREEMENTby and among
$PROTHENA BIOSCIENCES LIMITEDandCELGENE SWITZERLAND LLC( Dated as of ___________ __, 20__$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/@Dwk_;/ui]1%=PF0*8X>
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SIGNATURES!in thousands except share and p unaudited
unaudited (1)
unaudited (2)Property and Equipment netOther Current LiabilitiesOther Current Liabilities (1)Other Current Liabilities (2)
SwitzerlandCurrent SSF FacilityOther Commitments!Sharebased Compensation Expense!Sharebased Compensation Exp (1)!Sharebased Compensation Exp (2) RevenueOperating Expenses!Research and Development ExpensOther Income ExpenseBenefit from Income Taxes
Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)
FINAL FORMAdditional Definitions (4)!Per Licensed Product Annual NetSales Milestone PaymentSignature Page FollowsFINAL FORM (1)
Valid ClaimValid Claim (1)!Per Licensed Product Annual (1)Sales Milestone Payment (1)Signature Page Follows (1)U }1}
9
Prothena Corp plc10Q
05/09/2018Additional Definitions
Definition:
Section:+#Active Immunotherapeutic Approaches
4.2.1 AgreementPreamble
Celgene
Preamble+#Celgene Acquired Competing Antibody
4.5.2 Celgene Exclusivity Term
4.5.1Celgene Indemniteesffffff"@Celgene Proposed Terms
4.2.2
Celgene Share
6.8.4$Celgene Third Party Payments
5.3.4Combination ProductRQ?Competing Antibody
4.5.1Competing Compoundffffff@Cure Period10.2.1Disclosing Partyffffff@Dispute11.7.2Electronic DeliveryQ8&@Effective DatePreambleEMAzG?Excluded Claim 11.7.3(d)%Existing Regulatory Materials
2.2.1FDAzG?DFlwk_GLPiD !"#$%&'()*+,./012345678
[***]
[***]!
Force Majeure!&@"GAAP"?
#Grant
#4.2.2$Grant Notice
$4.2.2
%HIPAA%?&IFRS&?'
Indemnitee'"@(
Indemnitor("@)Indirect Taxes)5.6.2(b)*Insolvency Event*$@+Joint IP
+6.6.4,Joint KnowHow
,6.6.4Joint Patent
6.6.4.Licensed Program Assets.333333@1/)Licensed Program Confidential Information/q=
ףp@"0Licensed Program Inventory
02.3.4!1Licensed Program KnowHow11.46(a)(2 Licensed Program NonSpecific IP2@ 3Licensed Program Patents31.46(b)45$6____________________________17)Created by Morningstar Document Research.08(http://documentresearch.morningstar.com/6!oF#U0`)pd<=PF0*8X>
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SIGNATURES!in thousands except share and p unaudited
unaudited (1)
unaudited (2)Property and Equipment netOther Current LiabilitiesOther Current Liabilities (1)Other Current Liabilities (2)
SwitzerlandCurrent SSF FacilityOther Commitments!Sharebased Compensation Expense!Sharebased Compensation Exp (1)!Sharebased Compensation Exp (2) RevenueOperating Expenses!Research and Development ExpensOther Income ExpenseBenefit from Income Taxes
Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)
FINAL FORMAdditional Definitions (3)!Per Licensed Product Annual NetSales Milestone PaymentSignature Page FollowsFINAL FORM (1)
Valid ClaimValid Claim (1)!Per Licensed Product Annual (1)Sales Milestone Payment (1)Signature Page Follows (1)U }a/}y
/
Prothena Corp plc10Q
05/09/2018Additional Definitions
Definition:
Section:$Licensed Program Specific IP@/'Licensed Program U.S. License AgreementRecitals&
Master Collaboration Agreement
RecitalsMHLWzG?Negotiation Period
4.2.2
[***]
[***]
Notice Period
4.2.2Ongoing Clinical Trial2.1.3(a)/'Ongoing Prothena Development Activities2.1.3(c)Party or PartiesPreamblePatent Liaison@Payee Party5.6.2(b)Paying Party5.6.2(b)%Per Licensed Product Annual Net Sales
5.3.1ProgramRecitalsProthenaPreamble,$Prothena Acquired Competing Compound@Prothena Indemnitees333333"@Prothena Licensor
8.3.3+#Prothena Ongoing Program Activities2.1.3(d)%Prothena Reversion Antibodies10.8.1Dlwk_G];CN'] !"#$%&'()*+,. Publishing Party
7.8.1!Receiving Party!ffffff@$"Regulatory Milestone Payment
"5.4.1"#Right of First Negotiation
#4.2.2$Sales Milestone Payment
$5.5.1%SEC%7.4.1(a)&Securities Regulators&ffffff@'Tax Benefit'5.6.2(c)(Term(10.1.1)Transition Plan
)2.3.6*+$,____________________________1)Created by Morningstar Document Research.0.(http://documentresearch.morningstar.com/"m6_3'=PF0*8X>
@..,,
l .X]
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SIGNATURES!in thousands except share and p unaudited
unaudited (1)
unaudited (2)Property and Equipment netOther Current LiabilitiesOther Current Liabilities (1)Other Current Liabilities (2)
SwitzerlandCurrent SSF FacilityOther Commitments!Sharebased Compensation Expense!Sharebased Compensation Exp (1)!Sharebased Compensation Exp (2) RevenueOperating Expenses!Research and Development ExpensOther Income ExpenseBenefit from Income Taxes
Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)
FINAL FORMAdditional Definitions (3)Additional Definitions (4)Sales Milestone PaymentSignature Page FollowsFINAL FORM (1)
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Prothena Corp plc10Q
05/09/2018%Per Licensed Product Annual Net Sales 1
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Royalty Rate4,a Given Licensed Product in a Given CalendarYear.
&Portion of Per Licensed Product Annual
[***]%0(Net Sales of a given Licensed Product in)!a given Calendar Year above [***].&Portion of Per Licensed Product Annual[***]%0(Net Sales of a given Licensed Product in)!a given Calendar Year above [***].&Portion of Per Licensed Product Annual[***]%0(Net Sales of a given Licensed Product in)!a given Calendar Year above [***].&Portion of Per Licensed Product Annual[***]%0(Net Sales of a given Licensed Product in)!a given Calendar Year above [***].&Portion of Per Licensed Product Annual[***]%0(Net Sales of a given Licensed Product in)!a given Calendar Year above [***].&Portion of Per Licensed Product Annual[***]%0(Net Sales of a given Licensed Product in)!a given Calendar Year above [***].&Portion of Per Licensed Product Annual[***]%Dlth\P8_+Yp<j& !"#$%&'()*+,0 (Net Sales of a given Licensed Product in)!!a given Calendar Year above [***]."&Portion of Per Licensed Product Annual"[***]%0#(Net Sales of a given Licensed Product in)$!a given Calendar Year above [***].%&Portion of Per Licensed Product Annual%[***]%0&(Net Sales of a given Licensed Product in)'!a given Calendar Year above [***].(&Portion of Per Licensed Product Annual([***]%0)(Net Sales of a given Licensed Product in)*!a given Calendar Year above [***]$+____________________________1,)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/ ['U=PF0*8X>
@,,++
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SIGNATURES!in thousands except share and p unaudited
unaudited (1)
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SwitzerlandCurrent SSF FacilityOther Commitments!Sharebased Compensation Expense!Sharebased Compensation Exp (1)!Sharebased Compensation Exp (2) RevenueOperating Expenses!Research and Development ExpensOther Income ExpenseBenefit from Income Taxes
Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)
FINAL FORMAdditional Definitions (3)Additional Definitions (4)!Per Licensed Product Annual NetSignature Page FollowsFINAL FORM (1)
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Prothena Corp plc10Q
05/09/2018Sales Milestone Payment
Sales Milestone Event
Sales Milestone Payment1
)First achievement of Per Licensed Product
[***] Dollars ($[***])1)Annual Net Sales of the Licensed Products3+in any single Calendar Year exceeding [***]Dollars ($[***])1)First achievement of Per Licensed Product[***] Dollars ($[***])1)Annual Net Sales of the Licensed Products3+in any single Calendar Year exceeding [***]Dollars ($[***])1)First achievement of Per Licensed Product[***] Dollars ($[***])1)Annual Net Sales of the Licensed Products3+in any single Calendar Year exceeding [***]Dollars ($[***])1)First achievement of Per Licensed Product[***] Dollars ($[***])1)Annual Net Sales of the Licensed Products3+in any single Calendar Year exceeding [***]Dollars ($[***])DNlvj^F^'s< Q5) !"# $!____________________________1")Created by Morningstar Document Research.0#(http://documentresearch.morningstar.com/<=PF0*8X>
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SIGNATURES!in thousands except share and p unaudited
unaudited (1)
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SwitzerlandCurrent SSF FacilityOther Commitments!Sharebased Compensation Expense!Sharebased Compensation Exp (1)!Sharebased Compensation Exp (2) RevenueOperating Expenses!Research and Development ExpensOther Income ExpenseBenefit from Income Taxes
Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)
FINAL FORMAdditional Definitions (3)Additional Definitions (4)!Per Licensed Product Annual NetSales Milestone PaymentFINAL FORM (1)
Valid ClaimValid Claim (1)!Per Licensed Product Annual (1)Sales Milestone Payment (1)Signature Page Follows (1)U }I"}U
Prothena Corp plc10Q
05/09/2018 [Signature Page Follows] $
PROTHENA BIOSCIENCES LIMITED
CELGENE SWITZERLAND LLC
By:By:
Name:
Name:Title:Title:$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/@+Dui]EdL*=PF0*8X>
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SIGNATURES!in thousands except share and p unaudited
unaudited (1)
unaudited (2)Property and Equipment netOther Current LiabilitiesOther Current Liabilities (1)Other Current Liabilities (2)
SwitzerlandCurrent SSF FacilityOther Commitments!Sharebased Compensation Expense!Sharebased Compensation Exp (1)!Sharebased Compensation Exp (2) RevenueOperating Expenses!Research and Development ExpensOther Income ExpenseBenefit from Income Taxes
Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)
FINAL FORMAdditional Definitions (3)Additional Definitions (4)!Per Licensed Product Annual NetSales Milestone PaymentSignature Page Follows
Valid ClaimValid Claim (1)!Per Licensed Product Annual (1)Sales Milestone Payment (1)Signature Page Follows (1)U }1
Prothena Corp plc10Q
05/09/2018
FINAL FORM
U.S. LICENSE AGREEMENTby and among
$PROTHENA BIOSCIENCES LIMITEDandCELGENE SWITZERLAND LLC( Dated as of ___________ __, 20__$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/@Dwk_=1
wk_3'=PF0*8X>
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SIGNATURES!in thousands except share and p unaudited
unaudited (1)
unaudited (2)Property and Equipment netOther Current LiabilitiesOther Current Liabilities (1)Other Current Liabilities (2)
SwitzerlandCurrent SSF FacilityOther Commitments!Sharebased Compensation Expense!Sharebased Compensation Exp (1)!Sharebased Compensation Exp (2) RevenueOperating Expenses!Research and Development ExpensOther Income ExpenseBenefit from Income Taxes
Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)
FINAL FORMAdditional Definitions (3)Additional Definitions (4)!Per Licensed Product Annual NetSales Milestone PaymentSignature Page FollowsFINAL FORM (1)Valid Claim (1)!Per Licensed Product Annual (1)Sales Milestone Payment (1)Signature Page Follows (1)U }1}
:
Prothena Corp plc10Q
05/09/2018Valid Claim
Definition:
Section:+#Active Immunotherapeutic Approaches
4.2.1 AgreementPreamble
Celgene
Preamble+#Celgene Acquired Competing Antibody
4.4.2 Celgene Exclusivity Term
4.4.1Celgene Indemniteesffffff"@Celgene Proposed Terms
4.2.2
Celgene Share6.8.2(d)$Celgene Third Party Payments
5.2.4%Clinical Trial Preliminary Activities%@Outside DateCombination ProductRQ?Competing Antibody
4.4.1Competing Compoundffffff@Cure Period11.2.1Disclosing Partyffffff@Dispute11.7.2Electronic DeliveryQ8(@Effective DatePreambleEMA
ףp=
?Excluded Claim 11.7.3(d)D>lvjR'W"XmD !"#$%&'()*+,./0123456789 FDA
ףp=
?
![***]
![***]"
Force Majeure"&@#GAAP#?
$Grant
$4.2.2%Grant Notice
%4.2.2
&HIPAA&?'IFRS'?(
Indemnitee("@)
Indemnitor)"@*Indirect Taxes*5.5.2(b)+Insolvency Event+$@,Joint IP
,6.6.4Joint KnowHow
6.6.4.
Joint Patents
.6.6.4/Licensed Program Assets/@10)Licensed Program Confidential Information0q=
ףp@!1Licensed Program KnowHow11.46(a)(2 Licensed Program NonSpecific IP2@ 3Licensed Program Patents31.46(b)$4Licensed Program Specific IP4@56$7____________________________18)Created by Morningstar Document Research.09(http://documentresearch.morningstar.com/8ZpN%b4>WK?=PF0*8X>
@998877
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SIGNATURES!in thousands except share and p unaudited
unaudited (1)
unaudited (2)Property and Equipment netOther Current LiabilitiesOther Current Liabilities (1)Other Current Liabilities (2)
SwitzerlandCurrent SSF FacilityOther Commitments!Sharebased Compensation Expense!Sharebased Compensation Exp (1)!Sharebased Compensation Exp (2) RevenueOperating Expenses!Research and Development ExpensOther Income ExpenseBenefit from Income Taxes
Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)
FINAL FORMAdditional Definitions (3)Additional Definitions (4)!Per Licensed Product Annual NetSales Milestone PaymentSignature Page FollowsFINAL FORM (1)
Valid Claim!Per Licensed Product Annual (1)Sales Milestone Payment (1)Signature Page Follows (1)U }a/}y
+
Prothena Corp plc10Q
05/09/2018Valid Claim
Definition:
Section:&Master Collaboration AgreementRecitalsMHLW
Negotiation Period
4.2.2
[***]
[***]
Notice Period
4.2.2/'Ongoing Prothena Development Activities
2.3.3Party or PartiesPreamblePatent Liaison@Payee Party5.5.2(b)Paying Party5.5.2(b)%Per Licensed Product Annual Net Sales
5.2.1ProgramRecitalsProthenaPreambleProthena Indemnitees333333"@Prothena Licensor
8.3.3+#Prothena Ongoing Program Activitiesffffff@%Prothena Reversion Antibodies10.10.1Publishing Party
8.8.1Receiving Partyffffff@$Regulatory Milestone Payment
5.3.1"Right of First Negotiation
4.2.2D]lvjR'R[j) !"#$%&'()* Sales Milestone Payment
5.4.1!SEC!8.4.1(a)"Securities Regulators"ffffff@#Tax Benefit#5.5.2(c)$Term$10.1.1%
Transfer Date%2.2.1(a)&'$(____________________________1))Created by Morningstar Document Research.0*(http://documentresearch.morningstar.com/vK)=PF0*8X>
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SIGNATURES!in thousands except share and p unaudited
unaudited (1)
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SwitzerlandCurrent SSF FacilityOther Commitments!Sharebased Compensation Expense!Sharebased Compensation Exp (1)!Sharebased Compensation Exp (2) RevenueOperating Expenses!Research and Development ExpensOther Income ExpenseBenefit from Income Taxes
Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)
FINAL FORMAdditional Definitions (3)Additional Definitions (4)!Per Licensed Product Annual NetSales Milestone PaymentSignature Page FollowsFINAL FORM (1)
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Prothena Corp plc10Q
05/09/2018%Per Licensed Product Annual Net Sales 1
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05/09/2018Sales Milestone Payment
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SIGNATURES!in thousands except share and p unaudited
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Overview!Cash Flows for the Three MonthsContractual Obligations
EXHIBIT INDEXFees and RoyaltiesFees and Royalties (1)CorrespondenceEXECUTION VERSIONAdditional DefinitionsAdditional Definitions (1)Additional Definitions (2)
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Prothena Corp plc10Q
05/09/2018 [Signature Page Follows] $
PROTHENA BIOSCIENCES LIMITED
CELGENE SWITZERLAND LLC
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