AFFX » Topics » (d) Exhibits.

This excerpt taken from the AFFX 10-Q filed May 8, 2009.
ITEM 6. EXHIBITS

 

Exhibit
Number

 

Description of Document

 

 

 

31.1

 

Certification of Chief Executive Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

31.2

 

Certification of Chief Financial Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

32.1

 

Certification of Chief Executive Officer and Chief Financial Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

 

32



Table of Contents

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

By:

/s/ JOHN C. BATTY

 

Name:

John C. Batty

 

Title:

Executive Vice President and Chief Financial Officer

 

 

 

May 8, 2009

 

 

 

33



Table of Contents

 

AFFYMETRIX, INC.

EXHIBIT INDEX

MARCH 31, 2009

 

Exhibit
Number

 

Description of Document

 

 

 

31.1

 

Certification of Chief Executive Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

31.2

 

Certification of Chief Financial Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

32.1

 

Certification of Chief Executive Officer and Chief Financial Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

 

34


This excerpt taken from the AFFX 10-Q filed Aug 8, 2008.

ITEM 6. EXHIBITS

 

Exhibit
Number

 

Description of Document

 

 

 

10.17

 

Affymetrix, Inc. Amended and Restated 2000 Equity Incentive Plan

10.32

 

Affymetrix, Inc. Change of Control Plan

31.1

 

Certification of Chief Executive Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

31.2

 

Certification of Chief Financial Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

32.1

 

Certification of Chief Executive Officer and Chief Financial Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

 

36



Table of Contents

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

By:

/s/ JOHN C. BATTY

 

Name:

John C. Batty

 

Title:

Executive Vice President and Chief Financial Officer

 

 

 

August 8, 2008

 

 

 

37



Table of Contents

 

AFFYMETRIX, INC.

EXHIBIT INDEX

JUNE 30, 2008

 

Exhibit
Number

 

Description of Document

 

 

 

10.17

 

Affymetrix, Inc. Amended and Restated 2000 Equity Incentive Plan

10.32

 

Affymetrix, Inc. Change of Control Plan

31.1

 

Certification of Chief Executive Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

31.2

 

Certification of Chief Financial Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

32.1

 

Certification of Chief Executive Officer and Chief Financial Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

 

38


This excerpt taken from the AFFX 10-Q filed May 12, 2008.
ITEM 6. EXHIBITS

 

Exhibit
Number

 

Description of Document

10.31(1)

 

Settlement and Release Agreement dated January 9, 2008 between the Company and Illumina, Inc.

31.1

 

Certification of Chief Executive Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

31.2

 

Certification of Chief Financial Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

32.1

 

Certification of Chief Executive Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

32.2

 

Certification of Chief Financial Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

 


(1)          Incorporated by reference to Registrant’s Form 10-K as filed on February 29, 2008 (File No. 000-28218)

 

38



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

By:

/s/ JOHN C. BATTY

 

Name:

John C. Batty

 

Title:

Executive Vice President and Chief Financial Officer

 

 

 

May 12, 2008

 

 

 

39



 

AFFYMETRIX, INC.

EXHIBIT INDEX

MARCH 31, 2008

 

Exhibit
Number

 

Description of Document

10.31(1)

 

Settlement and Release Agreement dated January 9, 2008 between the Company and Illumina, Inc.

31.1

 

Certification of Chief Executive Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

31.2

 

Certification of Chief Financial Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

32.1

 

Certification of Chief Executive Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

32.2

 

Certification of Chief Financial Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

 


(1)          Incorporated by reference to Registrant’s Form 10-K as filed on February 29, 2008 (File No. 000-28218)

 

40


This excerpt taken from the AFFX 8-K filed Nov 19, 2007.

(d)   Exhibits.

 

4.1

 

Indenture dated as of November 16, 2007 by and between Affymetrix, Inc. and The Bank of New York Trust Company, N.A., as trustee.

 

 

 

4.2

 

Form of 3.50% Convertible Notes Due 2038 (included in Exhibit 4.1).

 

 

 

99.1

 

Press Release of Affymetrix, Inc. dated November 13, 2007.

 

 

 

99.2

 

Press Release of Affymetrix, Inc. dated November 13, 2007.

 

 

 

99.3

 

Press Release of Affymetrix, Inc. dated November 16, 2007.

 

3



 

This excerpt taken from the AFFX 10-Q filed Nov 8, 2007.

ITEM 6. EXHIBITS

 

Exhibit
Number

 

Description of Document

31.1

 

Certification of Chief Executive Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

31.2

 

Certification of Chief Financial Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

32.1

 

Certification of Chief Executive Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

32.2

 

Certification of Chief Financial Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

 

37



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

 

By:

/s/ JOHN C. BATTY

 

 

 

Name:

John C. Batty

 

 

 

Title:

Executive Vice President, Chief Financial Officer,
Treasurer and Principal Financial Officer

 

 

 

 

 

Date: November 8, 2007

 

 

 

 

 

38



 

AFFYMETRIX, INC.

EXHIBIT INDEX

SEPTEMBER 30, 2007

 

Exhibit
Number

 

Description of Document

31.1

 

Certification of Chief Executive Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

31.2

 

Certification of Chief Financial Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

32.1

 

Certification of Chief Executive Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

32.2

 

Certification of Chief Financial Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

 

39


This excerpt taken from the AFFX 10-Q filed Aug 9, 2007.
ITEM 6. EXHIBITS

Exhibit
Number

 

Description of Document

10.1 (1)

 

Offer letter from the Company to John Batty dated May 16, 2007

31.1

 

Certification of Chief Executive Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

31.2

 

Certification of Chief Financial Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

32.1

 

Certification of Chief Executive Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

32.2

 

Certification of Chief Financial Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

 


(1)           Incorporated by reference to Registrant’s Form 8-K as filed on June 6, 2007 (File No. 666-28218).

37




SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

By:

/s/ JOHN C. BATTY

 

 

 

Name:

John C. Batty

 

 

 

Title:

Executive Vice President, Chief Financial Officer,
Treasurer and Principal Financial Officer

 

 

 

 

 

Date: August 9, 2007

 

 

 

 

 

38




AFFYMETRIX, INC.

EXHIBIT INDEX

JUNE 30, 2007

Exhibit
Number

 

Description of Document

10.1 (1)

 

Offer letter from the Company to John Batty dated May 16, 2007

31.1

 

Certification of Chief Executive Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

31.2

 

Certification of Chief Financial Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

32.1

 

Certification of Chief Executive Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

32.2

 

Certification of Chief Financial Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

 


(1)           Incorporated by reference to Registrant’s Form 8-K as filed on June 6, 2007 (File No. 666-28218).

39



This excerpt taken from the AFFX 10-Q filed May 10, 2007.
ITEM 6. EXHIBITS

Exhibit
Number

 

Description of Document

31.1

 

Certification of Chief Executive Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

31.2

 

Certification of Interim Principal Financial Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

32.1

 

Certification of Chief Executive Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

32.2

 

Certification of Interim Principal Financial Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

36




SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

By:

/s/ JAMES R. GIBSON

 

 

Name:

James R. Gibson

 

 

Title:

Interim Principal Financial Officer and
Principal Accounting Officer

 

 

 

 

 

May 10, 2007

 

 

 

 

37




AFFYMETRIX, INC.

EXHIBIT INDEX

MARCH 31, 2007

Exhibit
Number

 

Description of Document

31.1

 

Certification of Chief Executive Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

31.2

 

Certification of Interim Principal Financial Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002

32.1

 

Certification of Chief Executive Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

32.2

 

Certification of Interim Principal Financial Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002

 

38



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