ICGN » Topics » ITEM 6 - EXHIBITS

This excerpt taken from the ICGN 8-K filed Nov 13, 2009.

(d) Exhibits

See Exhibit Index attached hereto.


SIGNATURE

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 hereunto duly authorized.

 

  ICAGEN, INC.
Date: November 13, 2009   By:   /S/    P. KAY WAGONER        
   

P. Kay Wagoner

President and Chief Executive Officer


EXHIBIT INDEX

 

Exhibit No.

  

Description

99.1

   Press Release entitled “Icagen Reports Receipt of Notification from NASDAQ Regarding Non-Compliance with Continued Listing Requirements” issued by the Company on November 13, 2009
This excerpt taken from the ICGN 10-Q filed May 7, 2009.

ITEM 6 – EXHIBITS

The exhibits filed herewith or incorporated by reference are set forth on the Exhibit Index attached hereto.

 

30


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.

 

ICAGEN, INC.
By:  

/s/ Richard D. Katz, M.D.

  Richard D. Katz, M.D.
 

Executive Vice President, Finance and Corporate

Development and Chief Financial Officer

  (Duly authorized officer and principal financial and accounting officer)

Date: May 7, 2009

 

31


Table of Contents

EXHIBIT INDEX

 

Exhibit
Number

 

Description

31.1   Certification of Chief Executive Officer pursuant to Exchange Act Rule 13a-14(a).
31.2   Certification of Chief Financial Officer pursuant to Exchange Act Rule 13a-14(a).
32.1   Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
32.2   Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

32

This excerpt taken from the ICGN 10-Q filed Nov 10, 2008.

ITEM 6 – EXHIBITS

The exhibits filed herewith or incorporated by reference are set forth on the Exhibit Index attached hereto.

 

31


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.

 

ICAGEN, INC.
By:  

/s/ Richard D. Katz, M.D.

  Richard D. Katz, M.D.
  Executive Vice President, Finance and Corporate Development and Chief Financial Officer
 

(Duly authorized officer and principal

financial officer)

Date: November 10, 2008

 

32


Table of Contents

EXHIBIT INDEX

 

Exhibit
Number

 

Description

31.1   Certification of Chief Executive Officer pursuant to Exchange Act Rule 13a-14(a).
31.2   Certification of Chief Financial Officer pursuant to Exchange Act Rule 13a-14(a).
32.1   Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
32.2   Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

33

This excerpt taken from the ICGN 10-Q filed Aug 6, 2008.

ITEM 6 – EXHIBITS

The exhibits filed herewith or incorporated by reference are set forth on the Exhibit Index attached hereto.

 

31


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.

 

ICAGEN, INC.
By:  

/s/ Richard D. Katz, M.D.

  Richard D. Katz, M.D.
  Executive Vice President, Finance and Corporate Development and Chief Financial Officer
  (Duly authorized officer and principal financial officer)

Date: August 6, 2008

 

32


Table of Contents

EXHIBIT INDEX

 

Exhibit
Number

 

Description

10.1+

  Master Services Agreement, dated June 25, 2008, between the Registrant and Quintiles, Inc.

31.1

  Certification of Chief Executive Officer pursuant to Exchange Act Rule 13a-14(a).

31.2

  Certification of Chief Financial Officer pursuant to Exchange Act Rule 13a-14(a).

32.1

  Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

32.2

  Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

+ Confidential treatment requested. Confidential materials omitted and filed separately with the Securities and Exchange Commission.

 

33

This excerpt taken from the ICGN 10-Q filed May 12, 2008.

ITEM 6 – EXHIBITS

The exhibits filed herewith or incorporated by reference are set forth on the Exhibit Index attached hereto.

 

28


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.

 

ICAGEN, INC.
By:  

/s/ Richard D. Katz, M.D.

  Richard D. Katz, M.D.
 

Executive Vice President, Finance and Corporate

Development and Chief Financial Officer

  (Duly authorized officer and principal financial officer)

Date: May 12, 2008

 

29


Table of Contents

EXHIBIT INDEX

 

Exhibit
Number

  

Description

31.1    Certification of Chief Executive Officer pursuant to Exchange Act Rule 13a-14(a).
31.2    Certification of Chief Financial Officer pursuant to Exchange Act Rule 13a-14(a).
32.1    Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
32.2    Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

30

This excerpt taken from the ICGN 10-Q filed Nov 5, 2007.

ITEM 6 – EXHIBITS

The exhibits filed herewith or incorporated by reference are set forth on the Exhibit Index attached hereto.

 

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.

 

ICAGEN, INC.
By:  

/s/ Richard D. Katz, M.D.

  Richard D. Katz, M.D.
  Senior Vice President, Finance and Corporate Development and Chief Financial Officer
 

(Duly authorized officer and principal

financial officer)

Date: November 5, 2007

 

33


Table of Contents

EXHIBIT INDEX

 

Exhibit
Number

 

Description

10.1†

  Collaborative Research & License Agreement, dated August 13, 2007, between the Registrant and Pfizer Inc.

31.1

  Certification of Chief Executive Officer pursuant to Exchange Act Rule 13a-14(a).

31.2

  Certification of Chief Financial Officer pursuant to Exchange Act Rule 13a-14(a).

32.1

  Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

32.2

  Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

Confidential treatment requested. Confidential materials omitted and filed separately with the Securities and Exchange Commission.

 

34

This excerpt taken from the ICGN 10-Q filed Aug 7, 2007.

ITEM 6 – EXHIBITS

The exhibits filed herewith or incorporated by reference are set forth on the Exhibit Index attached hereto.

 

30


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.

 

ICAGEN, INC.
By:  

/s/ Richard D. Katz, M.D.

  Richard D. Katz, M.D.
  Senior Vice President, Finance and Corporate Development and Chief Financial Officer
 

(Duly authorized officer and principal

financial officer)

Date: August 7, 2007

 

31


Table of Contents

EXHIBIT INDEX

 

Exhibit
Number
  

Description

  4.1    Stockholder Waiver, Amendment and Termination Agreement, dated as of July 10, 2007, among the Registrant and certain stockholders of the Registrant party to the Amended and Restated Stockholders’ Agreement dated as of April 16, 2004.
10.1†    Exclusive License Agreement, dated February 29, 2000, between the Registrant and Children’s Medical Center Corporation, as amended.
10.2    Form of Incentive Stock Option Agreement under the 2004 Stock Incentive Plan.
10.3    Form of Nonstatutory Stock Option Agreement under the 2004 Stock Incentive Plan.
10.4    Form of Nonstatutory Stock Option Agreement for Director Options under the 2004 Stock Incentive Plan.
10.5    Summary of Director Compensation.
31.1    Certification of Chief Executive Officer pursuant to Exchange Act Rule 13a-14(a).
31.2    Certification of Chief Financial Officer pursuant to Exchange Act Rule 13a-14(a).
32.1    Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
32.2    Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

† Confidential treatment requested. Confidential materials omitted and filed separately with the Securities and Exchange Commission.

 

32

This excerpt taken from the ICGN 10-Q filed May 9, 2007.

ITEM 6 – EXHIBITS

The exhibits filed herewith or incorporated by reference are set forth on the Exhibit Index attached hereto.

 

29


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.

 

ICAGEN, INC.

By:

  /s/ Richard D. Katz, M.D.
  Richard D. Katz, M.D.
  Senior Vice President, Finance and Corporate Development and Chief Financial Officer
  (Duly authorized officer and principal financial officer)

Date: May 9, 2007

 

30


Table of Contents

EXHIBIT INDEX

 

Exhibit
Number
  

Description

10.1    2004 Stock Incentive Plan, as amended.
31.1    Certification of Chief Executive Officer pursuant to Exchange Act Rule 13a-14(a).
31.2    Certification of Chief Financial Officer pursuant to Exchange Act Rule 13a-14(a).
32.1    Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
32.2    Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

31

This excerpt taken from the ICGN 10-Q filed Nov 14, 2006.

ITEM 6 – EXHIBITS

The exhibits filed herewith or incorporated by reference are set forth on the Exhibit Index attached hereto.

 

34


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.

 

ICAGEN, INC.
By:  

/s/ RICHARD D. KATZ, M.D.

  Richard D. Katz, M.D.
 

Senior Vice President, Finance and Corporate

Development and Chief Financial Officer

  (Duly authorized officer and principal financial officer)

Date: November 14, 2006

 

35


Table of Contents

EXHIBIT INDEX

 

Exhibit

Number

 

Description

10.1   Form of Incentive Stock Option Agreement under the 2004 Stock Incentive Plan for the Employee Retention Program Approved on September 27, 2006.
10.2   Form of Nonstatutory Stock Option Agreement under the 2004 Stock Incentive Plan for the Employee Retention Program Approved on September 27, 2006.
31.1   Certification of Chief Executive Officer pursuant to Exchange Act Rule 13a-14(a).
31.2   Certification of Chief Financial Officer pursuant to Exchange Act Rule 13a-14(a).
32.1   Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
32.2   Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

36

This excerpt taken from the ICGN 10-Q filed Aug 11, 2006.

ITEM 6 – EXHIBITS

The exhibits filed herewith or incorporated by reference are set forth on the Exhibit Index attached hereto.

 

33


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.

 

ICAGEN, INC.

By:

 

/s/ Richard D. Katz, M.D.

 

  Richard D. Katz, M.D.
  Senior Vice President, Finance and Corporate Development and Chief Financial Officer
  (Duly authorized officer and principal financial officer)

Date: August 11, 2006

 

34


Table of Contents

EXHIBIT INDEX

 

Exhibit
Number
  

Description

31.1    Certification of Chief Executive Officer pursuant to Exchange Act Rule 13a-14(a).
31.2    Certification of Chief Financial Officer pursuant to Exchange Act Rule 13a-14(a).
32.1    Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
32.2    Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

35

This excerpt taken from the ICGN 10-Q filed May 11, 2006.

ITEM 6 – EXHIBITS

The exhibits filed herewith or incorporated by reference are set forth on the Exhibit Index attached hereto.

 

30


Table of Contents

SIGNATURES

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

 

ICAGEN, INC.
By:  

/s/ Richard D. Katz, M.D.

  Richard D. Katz, M.D.
  Senior Vice President, Finance and Corporate Development and Chief Financial Officer
  (Duly authorized officer and principal financial officer)

Date: May 11, 2006

 

31


Table of Contents

EXHIBIT INDEX

 

Exhibit
Number
 

Description

10.1   Form of Incentive Stock Option Agreement under the 2004 Stock Incentive Plan.
10.2   Form of Nonstatutory Stock Option Agreement under the 2004 Stock Incentive Plan.
31.1   Certification of Chief Executive Officer pursuant to Exchange Act Rule 13a-14(a).
31.2   Certification of Chief Financial Officer pursuant to Exchange Act Rule 13a-14(a).
32.1   Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
32.2   Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

32

This excerpt taken from the ICGN 10-Q filed Nov 7, 2005.

ITEM 6 – EXHIBITS

 

The exhibits filed herewith or incorporated by reference are set forth on the Exhibit Index attached hereto.

 

- 34 -


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.

 

ICAGEN, INC.
By:   /s/    RICHARD D. KATZ, M.D.        
    Richard D. Katz, M.D.
   

Senior Vice President, Finance and Corporate

Development and Chief Financial Officer

    (Duly authorized officer and principal financial officer)

 

Date: November 7, 2005

 

- 35 -


Table of Contents

 

EXHIBIT INDEX

 

Exhibit Number

 

Description


31.1   Certification of Chief Executive Officer pursuant to Exchange Act Rule 13a-14(a).
31.2   Certification of Chief Financial Officer pursuant to Exchange Act Rule 13a-14(a).
32.1   Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
32.2   Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

- 36 -

This excerpt taken from the ICGN 10-Q filed May 16, 2005.

ITEM 6 – EXHIBITS

 

The exhibits filed herewith or incorporated by reference are set forth on the Exhibit Index attached hereto.

 

36


Table of Contents

SIGNATURES

 

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

 

ICAGEN, INC.
By:  

/s/ Richard D. Katz, M.D.


    Richard D. Katz, M.D.
    Senior Vice President, Finance and Corporate Development and Chief Financial Officer
    (Duly authorized officer and principal financial officer)

 

Date: May 16, 2005

 

37


Table of Contents

EXHIBIT INDEX

 

Exhibit
Number


  

Description


31.1    Certification of Chief Executive Officer pursuant to Exchange Act Rule 13a-14(a).
31.2    Certification of Chief Financial Officer pursuant to Exchange Act Rule 13a-14(a).
32.1    Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
32.2    Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

38

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