-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Gh5eGQwvdF/VoAOAAgzllRC0HWuz/aUNAHrAvclTSdIUxPQWC+67SEp2VfSnJP4j d0lTYZ6+S6T+vSwom2wGhA== 0000950123-09-014404.txt : 20090616 0000950123-09-014404.hdr.sgml : 20090616 20090616172047 ACCESSION NUMBER: 0000950123-09-014404 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20090521 ITEM INFORMATION: Other Events ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20090616 DATE AS OF CHANGE: 20090616 FILER: COMPANY DATA: COMPANY CONFORMED NAME: VERMILLION, INC. CENTRAL INDEX KEY: 0000926617 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826] IRS NUMBER: 330595156 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-31617 FILM NUMBER: 09894766 BUSINESS ADDRESS: STREET 1: 6611 DUMBARTON CIRCLE CITY: FREMONT STATE: CA ZIP: 94555 BUSINESS PHONE: 5105052100 MAIL ADDRESS: STREET 1: 6611 DUMBARTON CIRCLE CITY: FREMONT STATE: CA ZIP: 94555 FORMER COMPANY: FORMER CONFORMED NAME: CIPHERGEN BIOSYSTEMS INC DATE OF NAME CHANGE: 20000316 FORMER COMPANY: FORMER CONFORMED NAME: ABIOTIC SYSTEMS DATE OF NAME CHANGE: 19950407 8-K 1 f52754e8vk.htm FORM 8-K e8vk
Table of Contents

 
 
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
Form 8-K
 
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities
Exchange Act of 1934
Date of Report (Date of earliest event reported): June 16, 2009 (May 21, 2009)
 
Vermillion, Inc.
(Exact name of registrant as specified in its charter)
 
Commission File Number: 000-31617
     
Delaware   33-059-5156
(State or other jurisdiction
of incorporation)
  (IRS Employer
Identification No.)
47350 Fremont Blvd., Fremont, CA 94538
(Address of principal executive offices, including zip code)
510.226.2800
(Registrant’s telephone number, including area code)
(Former name or former address, if changed since last report)
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
o    Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o    Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o    Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o    Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 

 


TABLE OF CONTENTS

Item 8.01. Other Events.
Item 9.01. Financial Statements and Exhibits.
SIGNATURES
EXHIBIT INDEX
EX-99.1
EX-99.2
EX-99.3


Table of Contents

Item 8.01. Other Events.
FDA Response
Vermillion, Inc. (the “Company”) currently has a 510(k) pre-market notification pending before the FDA. In Feb 2009, and in March 2009, the FDA asked Vermillion for additional information regarding the submission. Following a number of constructive substantive discussions between Vermillion and the FDA, on June 11, 2009, Vermillion submitted information to the FDA that it believes responds to all questions raised by the FDA to date.
This statement regarding Vermillion’s response to the FDA may contain forward-looking statements that involve significant risks and uncertainties, including statements regarding Vermillion’s plans, objectives, expectations and intentions and risks and uncertainties. Such risks are discussed in Vermillion’s latest Form 10-K and Vermillion’s periodic reports on Form 10-Q and Form 8-K. These forward-looking statements are based on Vermillion’s current expectations. Vermillion is providing this information as of the date of the filing of this Current Report on Form 8-K and does not undertake any obligation to update any forward-looking statements as a result of new information, future events or otherwise. Forward-looking statements cannot be guaranteed and actual results may differ materially from Vermillion’s current expectations.
Monthly Operating Reports
On May 21, 2009, Vermillion, Inc. (the “Company”) filed its financial statements included in the Monthly Operating Report for the period from March 30, 2009 to April 30, 2009 (the “Monthly Operating Report”) with the United States Bankruptcy Court for the District of Delaware (the “Bankruptcy Court”) (Case No. 09-11091). A copy of the Monthly Operating Report is attached to this Current Report on Form 8-K as Exhibit 99.1 and incorporated in this report by reference.
Under the Exchange Act, the SEC issued Exchange Act release 9660 providing guidance for Exchange Act reporting companies in bankruptcy. Consistent with that release, in light of limitations on the Company’s liquidity and personnel, the Company is unable to continue filing periodic reports under the Exchange Act without unreasonable effort and expense because (i) the Company’s regular accounting staff has been reduced as a result of the bankruptcy filing and (ii) the cost of having an independent registered public accounting firm perform the requisite reviews and audits coupled with the cost of complying with the requirements of the Sarbanes-Oxley Act of 2002 is prohibitive. As a result, the Company hereafter intends to file with the SEC, under cover of current reports on Form 8-K, in lieu of filing Annual Reports on Form 10-K and Quarterly Reports on Form 10-Q, copies of the Company’s monthly operating reports required to be submitted to the Bankruptcy Court. In accordance with General Instructions B.2 and B.6 of Form 8-K, the Monthly Reports are, and any future such monthly operating reports will be, furnished for informational purposes only and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section, nor will such information be deemed incorporated by reference in any filing under the Exchange Act or the Securities Act, except as expressly set forth by specific reference in such a filing. The information set forth in this Item 9 also will not be deemed an admission as to the materiality of any information required to be disclosed solely to satisfy the requirements of Regulation FD.
The Company cautions investors and potential investors not to place undue reliance upon the information contained in the Monthly Operating Report, which was not prepared for the purpose of providing the basis for an investment decision relating to any of the securities of the Company. The Monthly Operating Report is limited in scope, covers a limited time period and has been prepared solely for the purpose of the Company’s compliance with the monthly reporting requirements of the Bankruptcy Court. The financial information in the Monthly Operating Report was not audited or reviewed by independent registered accountants and is not presented in accordance with U.S. Generally Accepted Accounting Principles (“GAAP”) and is in a format prescribed by applicable bankruptcy laws and is subject to future adjustment and reconciliation. There can be no assurance that, from the perspective of an investor or potential investor in the Company’s securities, the Monthly Operating Report is complete. The Monthly Operating Report also contains information for periods which may be shorter or otherwise different from those contained in reports required pursuant to the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and such information is likely not indicative of Company’s financial condition or operating results for the period that

 


Table of Contents

would be reflected in the periodic reports pursuant to the Exchange Act. The Monthly Operating Report does not include footnotes that would ordinarily be contained in the financial statements in our quarterly and annual reports pursuant to the Exchange Act. In addition, the income tax provision in the Monthly Operating Reports is difficult to ascertain as a result of many factors, including, among other things, our inability to predict taxable income that may be generated as a result of any cancellation of indebtedness that might occur as a result of the bankruptcy proceeding involving the Company. Results set forth in the Monthly Operating Reports should not be viewed as indicative of future results.
Bankruptcy Materials
On June 11, 2009, the Company filed a Statement of Financial Affairs and Schedules of Assets and Liabilities, which included Global Notes and Statement of Limitations, Methodology and Disclaimer Regarding Debtor’s Statements of Financial Affairs with Schedules (the “Global Notes”), a Statement of Financial Affairs (the “Statement”) and certain Schedules of Assets and Liabilities (the “Schedules” and with the Global Notes and Statement, the “Bankruptcy Materials”) with the Bankruptcy Court. The Bankruptcy Materials contain unaudited summary financial information relating to the Debtors’ assets and liabilities in the form required under the Bankruptcy Code and the rules and regulations thereunder. A copy of the Bankruptcy Reports is attached to this Current Report on Form 8-K as Exhibit 99.2 and incorporated in this report by reference.
The Company cautions investors and potential investors not to place undue reliance upon the information contained in the Bankruptcy Materials, which were not prepared for the purpose of providing the basis for an investment decision relating to any of the securities of the Company. The Bankruptcy Materials contain financial information that has not been audited or reviewed by independent registered accountants and is not presented in accordance with U.S. GAAP. The information contained in the Bankruptcy Materials has been prepared in accordance with the Bankruptcy Code and the rules and regulations thereunder and was not prepared for the purpose of providing a basis for an investment decision relating to any securities of the Company. The Bankruptcy Materials also contain information for periods that are shorter or otherwise different from those required by the periodic reporting requirements of the Exchange Act, and the rules and regulations thereunder, and such information may not be indicative of the Company’s financial condition or operating results for the period that would be reflected in its financial statements or in its reports pursuant to the Exchange Act or the rules and regulations thereunder. Results set forth in the Bankruptcy Materials should not be viewed as indicative of future results. There can be no assurance that the Bankruptcy Materials are complete. The Company may amend, supplement or otherwise change the information contained in the Bankruptcy Materials at a future date.
Cash Budget Through December, 2009
On June 16, 2009 the Board of Directors of the Company approved the Company’s Cash Budget through December, 2009 (the “Cash Budget”). A copy of the Cash Budget is attached to this Current Report on Form 8-K as Exhibit 99.3 and incorporated in this report by reference.
The Company cautions investors and potential investors not to place undue reliance upon the information contained in the Cash Budget, which was not prepared for the purpose of providing the basis for an investment decision relating to any of the securities of the Company. The Cash Budget contains financial information that has not been audited or reviewed by independent registered accountants and is not presented in accordance with U.S. GAAP. The information contained in the Cash Budget was not prepared for the purpose of providing a basis for an investment decision relating to any securities of the Company. The Cash Budget also contains information for periods that are shorter or otherwise different from those required by the periodic reporting requirements of the Exchange Act, and the rules and regulations thereunder, and such information may not be indicative of the Company’s financial condition or operating results for the period that would be reflected in its financial statements or in its reports pursuant to the Exchange Act or the rules and regulations thereunder. Results set forth in the Cash Budget should not be viewed as indicative of future results. There can be no assurance that the Cash Budget is complete. The Company may amend, supplement or otherwise change the information contained in the Cash Budget at a future date.

 


Table of Contents

Forward-Looking Statements
Certain matters discussed in this Current Report on Form 8-K and the exhibits hereto contain forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Exchange Act. These forward-looking statements may relate to, among other things, expectations of the business environment in which the Company operates, projections of future performance and projections of future expenses. These forward-looking statements are based upon current management expectations and may therefore involve risks and uncertainties. Certain of these forward-looking statements are only estimates of the anticipated cash and expenses of the Company, and of the operating requirements of the Company through December, 2009. The Company’s actual expenses may be affected by a wide range of factors, including, but not limited to: anticipated expenses may significantly increase; unanticipated or unforeseen expenses may arise; changes to FDA regulations, and any delay by or failure of the FDA to approve any of Vermillion’s diagnostic tests submitted to the FDA, may result in unanticipated expenses; the overall financial situation and needs of the Company or its research could change; and unanticipated litigation could arise and could result in increased expenses. The Company’s Chapter 11 filing may disrupt and distract management. Moreover, the Chapter 11 filing could result in unanticipated expenses or increases to estimated expenses, including respecting possible financing, sale of assets and/or a plan of reorganization, any one or all of which could be substantial. The Company’s actual results or performance may differ materially from those suggested, expressed, or implied by forward-looking statements due to a wide range of factors, and although the Company believes that its expectations and beliefs are based on reasonable assumptions, it can give no assurance that its goals will be achieved. The Company disclaims any obligation to subsequently revise or update any forward-looking statements to reflect events or circumstances after the date of such statements or to reflect the occurrence of anticipated or unanticipated events.
Item 9.01. Financial Statements and Exhibits.
             
(d)   Exhibit No.     Description.  
 
           
 
  99.1     Monthly Operating Report for the Period March 30, 2009 — April 30, 2009.
 
           
 
  99.2     Statement of Financial Affairs and Schedules of Assets and Liabilities.
 
           
 
  99.3     Cash Budget for Vermillion, Inc. through December, 2009.

 


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 hereunto duly authorized.
         
  Vermillion, Inc.
 
 
Date: June 16, 2009  By:   /s/ Gail S. Page    
    Gail S. Page   
    Executive Chair of the Board of Directors   

 


Table of Contents

         
EXHIBIT INDEX
     
Exhibit No.   Description
 
   
99.1
  Monthly Operating Report for the Period March 30, 2009 — April 30, 2009.
 
   
99.2
  Statement of Financial Affairs and Schedules of Assets and Liabilities.
 
   
99.3
  Cash Budget for Vermillion, Inc. through December, 2009.

 

EX-99.1 2 f52754exv99w1.htm EX-99.1 exv99w1
Exhibit 99.1
Monthly Operating Report for the period April 1, 2009 — May 31, 2009
UNITED STATES BANKRUPTCY COURT
                     DISTRICT OF                     
     
In re: Vermillion, Inc.
  Case No. 09-11091 (CSS)
Reporting Period: March 30, 2009 — April 30, 2009
MONTHLY OPERATING REPORT
File with Court and submit copy to United States Trustee within 20 days after end of month.
Submit copy of report to any official committee appointed in the case.
                         
        Document   Explanation     Affidavit/Supplement  
REQUIRED DOCUMENTS   Form No.   Attached   Attached     Attached  
Schedule of Cash Receipts and Disbursements
  MOR-1                    
Bank Reconciliation (or copies of debtor’s bank reconciliations)
  MOR-1a   exhibit 1&2                
Schedule of Professional Fees Paid
  MOR-1b                    
Copies of bank statements
      X                
Cash disbursements journals
      exhibit 3                
Statement of Operations
  MOR-2   exhibit 4                
Balance Sheet
  MOR-3   exhibit 5 & 6                
Status of Postpetition Taxes
  MOR-4   exhibit 7                
Copies of IRS Form 6123 or payment receipt
                       
Copies of tax returns filed during reporting period
                       
Summary of Unpaid Postpetition Debts
  MOR-4   Exhibit 8                
Listing of aged accounts payable
  MOR-4                    
Accounts Receivable Reconciliation and Aging
  MOR-5   N/A                
Debtor Questionnaire
  MOR-5   X                
I declare under penalty of perjury (28 U.S.C. Section 1746) that this report and the attached documents are true and correct to the best of my knowledge and belief.
         
/s/ Gail S. Page
       
Signature of Debtor
 
 
Date: May 21, 2009
   
 
       
 
Signature of Joint Debtor
 
 
Date
   
 
       
 
Signature of Authorized Individual*
 
 
Date
   
 
       
 
Printed Name of Authorized Individual
 
 
Title of Authorized Individual
   
 
*   Authorized individual must be an officer, director or shareholder if debtor is a corporation; a partner if debtor is a partnership; a manager or member if debtor is a limited liability company.
MOR
(04/07)

 


 

     
Vermillion, Inc.   MOR-1
     
In re: Vermillion, Inc.
  Case No. 09-11091 (CSS)
Debtor
  Reporting Period: March 30, 2009 — April 30, 2009
SCHEDULE OF CASH RECEIPTS AND DISBURSEMENTS
Amounts reported should be per the debtor’s books, not the bank statement. The beginning cash should be the ending cash from the prior month or, if this is the first report, the amount should be the balance on the date the petition was filed. The amounts reported in the “CURRENT MONTH - ACTUAL” column must equal the sum of the four bank account columns. The amounts reported in the “PROJECTED” columns should be taken from the SMALL BUSINESS INITIAL REPORT (FORM IR-1) . Attach copies of the bank statements and the cash disbursements journal. The total disbursements listed in the disbursements journal must equal the total disbursements reported on this page. A bank reconciliation must be attached for each account. [See MOR-1 (CON’T)]
                                                                 
    BANK ACCOUNTS   CURRENT MONTH   CUMULATIVE FILING TO DATE
    OPER.   PAYROLL   TAX   OTHER   ACTUAL   PROJECTED   ACTUAL   PROJECTED
CASH BEGINNING OF MONTH
    640,301.97       0                       610,214.31                          
 
                                                               
RECEIPTS
                                                               
CASH SALES
                                    0.00                          
ACCOUNTS RECEIVABLE
                                    0.00                          
LOANS AND ADVANCES
                                    0.00                          
SALE OF ASSETS
                                    0.00                          
OTHER (ATTACH LIST) -Outstanding checks for old operating account
                                    149.75                          
Rebate check from American Express Card
                                    21.92                          
Check from Conexis for COBRA premium
                                    2,214.48                          
Refund check from Stericycle (toxic waste mgmt)
                                    461.94                          
TRANSFERS (FROM DIP ACCTS)
    642,968.81                               0.00                          
 
                                                               
TOTAL RECEIPTS
                                    2,848.09                          
 
                                                               
DISBURSEMENTS
                                                               
NET PAYROLL
                                    16,043.38                          
PAYROLL TAXES
                                    9,641.01                          
SALES, USE, & OTHER TAXES
                                    3,200.00                          
INVENTORY PURCHASES
                                    0.00                          
SECURED/ RENTAL/ LEASES
                                                               
INSURANCE
                                                               
ADMINISTRATIVE
                                                               
SELLING
                                                               
OTHER (ATTACH LIST)
                                                               
Bank charge
                                    783.74                          
ADP payroll processing fee
                                    101.90                          
OWNER DRAW *
                                                               
TRANSFERS (TO DIP ACCTS)
                                                               
 
                                                               
PROFESSIONAL FEES
                                    44,300.00                          
U.S. TRUSTEE QUARTERLY FEES
                                                               
COURT COSTS
                                                               
TOTAL DISBURSEMENTS
                                    74,070.03                          
 
                                                               
NET CASH FLOW
                                    -71,221.94                          
 
(RECEIPTS LESS DISBURSEMENTS)
                                                             
 
                                                               
CASH — END OF MONTH
                                    538,992.37                          
 
*   COMPENSATION TO SOLE PROPRIETORS FOR SERVICES RENDERED TO BANKRUPTCY ESTATE
FORM MOR - - 1
(04/07)

 


 

THE FOLLOWING SECTION MUST BE COMPLETED
DISBURSEMENTS FOR CALCULATING U.S. TRUSTEE QUARTERLY FEES: (FROM CURRENT MONTH ACTUAL COLUMN)
         
TOTAL DISBURSEMENTS
    74,070.03  
LESS: TRANSFERS TO DEBTOR IN POSSESSION ACCOUNTS
  $ 0.00  
PLUS: ESTATE DISBURSEMENTS MADE BY OUTSIDE SOURCES (i.e. from escrow accounts)
  $ 0.00  
TOTAL DISBURSEMENTS FOR CALCULATING U.S. TRUSTEE QUARTERLY FEES
  $ 74,070.03  
FORM MOR - - 1
(04/07)

 


 

     
Vermillion Inc.   MOR-1
Vermillion Inc.
Outstanding Checks as of 3/31/09
                                 
CHECK                            
NUMBER   DATE S     RC   REFERENCE   PAYEE NAME   AMOUNT     CLR
52
    10/5/2007     AP   00CONWA02   CONWAY, KENNETH     64     N
1501
    12/15/2008     AP   00NATIO15   NATIONAL ONCOLOGY ALLIANCE IN     25,000.00     N
20502
    4/28/2006     AP   00HSABA00   HSA BANK     25     N
22771
    2/16/2007     AP   00ELITE01   ELITE NETWORK     4,244.63     N
22779
    2/16/2007     AP   00IRONM00   IRON MOUNTAIN     149.75     N
22812
    2/16/2007     AP   00WELLS01   WELLS FARGO AUTO FINANCE, INC     604.28     N
 
                             
 
              TOTAL         30,087.66      
 
                             

 


 

     
Vermillion, Inc.   MOR-1a
     
In re: Vermillion, Inc.
  Case No. 09-11091 (CSS)
Debtor
  Reporting Period: March 30, 2009 — April 30, 2009
BANK RECONCILIATIONS
Continuation Sheet for MOR-1

A bank reconciliation must be included for each bank account. The debtor’s bank reconciliation may be substituted for this page.
                                                                 
    Operating     Payroll     Tax     Other  
 
    #3300661008               #3300661012               #               #          
BALANCE PER BOOKS
  See exhibit 1           See exhibit 2                                        
 
BANK BALANCE
                                                               
(+) DEPOSITS IN TRANSIT (ATTACH LIST)
                                                               
(-) OUTSTANDING CHECKS (ATTACH LIST)
                                                               
OTHER (ATTACH EXPLANATION)
                                                               
ADJUSTED BANK BALANCE *
                                                               
* Adjusted bank balance must equal balance per books
                                                               
 
                                                               
DEPOSITS IN TRANSIT
  Date   Amount   Date   Amount   Date   Amount   Date   Amount
 
                                                               
CHECKS OUTSTANDING
  Ck. #   Amount   Ch. #   Amount   Ck. #   Amount   Ck. #   Amount
 
                                                               
OTHER
                                                               
FORM MOR - - 1a
(04/07)

 


 

     
Vermillion, Inc.   MOR-1a
Exhibit 1
VERMILLION INC.
Silicon Valley Bank -Checking Account 3300661008
As of April 30, 2009
         
Closing Ledger Per Statement
    568,930.28  
Sweep In Transit Per Statement
    0.00  
 
       
Checks outstanding
    0.00  
Deposit in transit
    0.00  
 
       
 
    568,930.28  
 
       
 
       
 
       
Balance per general ledger: Account 1010
    568,930.28  
 
       
 
       
Variance
     

 


 

Exhibit 2
     
Vermillion, Inc.   MOR-1a
VERMILLION, INC
Silicon Valley Bank Payroll Account 3300661012 — GL Account #1016
As Of April 30, 2009
         
Balance per bank statement:
    0.00  
 
       
Less outstanding checks:
ck #     Check Date     Name
       
 
       
 
       
 
    0.00  
 
       
 
       
 
       
Balance per general ledger: Account 1016
    0.00  
 
       
 
       
Variance
     
Confidential

 


 

     
Vermillion, Inc.   MOR-1b
     
In re: Vermillion, Inc.
  Case No.09-11091 (CSS)
Debtor
  Reporting Period: March 30, 2009 - April 30, 2009
SCHEDULE OF PROFESSIONAL FEES AND EXPENSES PAID
This schedule is to include all retained professional payments from case inception to current month.
                                                                         
            Amount           Check   Amount Paid   Year-To-Date
Payee   Period Covered   Approved   Payor   Number   Date   Fees   Expenses   Fees   Expenses
Applied Clinical Intelligence
    Apr-09     34,300.00               200       04/23/09       34,300.00                          
Franchise Tax Board
    2009     3,200.00               1000       04/15/09       3,200.00                          
BMC Group, Inc.
    Retainer fee     10,000.00               301471       04/09/09       10,000.00                          
FORM MOR - - 1b
(04/07)

 


 

     
Vermillion, Inc.   MOR-1b
Exhibit 3
Exhibit 3 to the Monthly Operating Report containing a check history report and copies of checks, as filed with the U.S. Bankruptcy Court of Delaware, is available through the Federal Court filing system PACER at http://pacer.psc.uscourts.gov/ in the Company’s document section.

 


 

     
Vermillion, Inc.   MOR-1b
The portion of the Monthly Operating Report containing copies of bank statements, as filed with the U.S. Bankruptcy Court of Delaware, is available through the Federal Court filing system PACER at http://pacer.psc.uscourts.gov/ in the Company’s document section.

 


 

     
Vermillion, Inc.   MOR-2
     
In re: Vermillion, Inc.
  Case No. 09-11091 (CSS)
Debtor
  Reporting Period: Mach 30, 2009 — April 30, 2009
STATEMENT OF OPERATIONS
(Income Statement)
The Statement of Operations is to be prepared on an accrual basis. The accrual basis of accounting recognizes revenue when it is realized and expenses when they are incurred, regardless of when cash is actually received or paid.
                 
            Cumulative
REVENUES   Month   Filing to Date
Gross Revenues
  $ 0.00     $    
Less: Returns and Allowances
               
Net Revenue
  $ 0.00     $    
COST OF GOODS SOLD
               
Beginning Inventory
               
Add: Purchases
               
Add: Cost of Labor
               
Add: Other Costs (attach schedule)
               
Less: Ending Inventory
               
Cost of Goods Sold
               
Gross Profit
  $ 0.00          
OPERATING EXPENSES
  See Exhibit 4          
Advertising
               
Auto and Truck Expense
               
Bad Debts
               
Contributions
               
Employee Benefits Programs
               
Insider Compensation*
               
Insurance
               
Management Fees/Bonuses
               
Office Expense
               
Pension & Profit-Sharing Plans
               
Repairs and Maintenance
               
Rent and Lease Expense
               
Salaries/Commissions/Fees
               
Supplies
               
Taxes — Payroll
               
Taxes — Real Estate
               
Taxes — Other
               
Travel and Entertainment
               
Utilities
               
Other (attach schedule)
               
Total Operating Expenses Before Depreciation
               
Depreciation/Depletion/Amortization
               
Net Profit (Loss) Before Other Income & Expenses
               
OTHER INCOME AND EXPENSES
  See Exhibit 4        
Other Income (attach schedule)
               
Interest Expense
               
Other Expense (attach schedule)
               
Net Profit (Loss) Before Reorganization Items
               
REORGANIZATION ITEMS
  See Exhibit 4        
Professional Fees
               
U. S. Trustee Quarterly Fees
               
Interest Earned on Accumulated Cash from Chapter 11 (see continuation sheet)
               
Gain (Loss) from Sale of Equipment
               
Other Reorganization Expenses (attach schedule)
               
Total Reorganization Expenses
               
Income Taxes
               
Net Profit (Loss)
  $       $    
 
*   “Insider” is defined in 11 U.S.C. Section 101(31).
FORM MOR - - 2
(04/07)

 


 

     
Vermillion, Inc.   MOR-2
     
In re: Vermillion, Inc.
  Case No. 09-11091 (CSS)
Debtor
  Reporting Period: March 30, 2009 — April 30, 2009
STATEMENT OF OPERATIONS — continuation sheet
                 
            Cumulative  
BREAKDOWN OF “OTHER” CATEGORY   Month     Filing to Date  
Other Costs
               
 
               
Other Operational Expenses
               
 
               
Other Income
               
 
               
Other Expenses
               
 
               
Other Reorganization Expenses
               
Reorganization Items — Interest Earned on Accumulated Cash from Chapter 11:
Interest earned on cash accumulated during the chapter 11 case, which would not have been earned but for the bankruptcy proceeding, should be reported as a reorganization item.
FORM MOR - - 2 COND
(04/07)

 


 

     
Vermillion, Inc.   MOR-2
     
VERMILLION INC.   Exhibit 4
MOR 2 — INCOME STATEMENT — APRIL 2009    
     
OPERATING EXPENSES    
             
GL ACCT   DESCRIPTION   AMT  
8009
  SAFETY SUPPLIES     109.95  
8023
  LAB SUPPLIES - GENERAL: SURF-U     691.97  
8030
  TOXIC WASTE DISPOSAL: SURF-UNS     39.44  
8081
  SAMPLE ACQUISITION COSTS     22,710.00  
8110
  SALARIES: SURF-UNSP     24,302.78  
8210
  PAYROLL TAXES: OATOF-UNSP     1,814.43  
8212
  PAID TIME OFF: OATOF-UNSP     327.46  
8220
  WORKERS’ COMP INS.: OATOF-UNSP     (11,843.50 )
8240
  HEALTH INSURANCE: OATOF-UNSP     3,779.72  
8304
  TEMPORARY HELP: SURF-UNSP     (4,244.63 )
8310
  CONSULTING FEES: OATOF-UNSP     (7,175.71 )
8311
  OTHER OUTSIDE SERVICES: SURF-U     8,823.54  
8313
  INVESTOR RELATIONS     1,060.50  
8321
  LEGAL FEES - INTELLECTUAL PROP     14,963.76  
8325
  LEGAL FEES - LAWSUIT     4,075.98  
8330
  ACCOUNTING FEES     101.90  
8331
  AUDIT FEES     2,500.00  
8360
  COLLABORATION COSTS: OATOF-UNS     146,173.90  
8375
  ROYALTY/LICENSE FEES     5,916.56  
8383
  BOARD FEES     1,666.67  
8437
  EQUIPMENT RENTALS: SURF-UNSP     1,356.85  
8452
  DEPRECIATION: SURF-UNSP     31,156.10  
8465
  AUTO AND TRUCK LEASES: SURF-UN     759.49  
8610
  AIRFARE: SURF-UNSP     1,407.79  
8620
  HOTELS / LODGING: SURF-UNSP     489.07  
8630
  BUSINESS MEALS & ENTERTAINMENT     356.79  
8640
  GROUND TRANSPORTATION: SURF-UN     (52.50 )


 

             
GL ACCT   DESCRIPTION   AMT  
8710
  OFFICE AND COMPUTER SUPPLIES     26.95  
8716
  INSURANCE - D&O     8,916.67  
8731
  SOFTWARE LICENSES &MAINTENANCE     864.50  
8750
  BANK, CHARGE CARD AND LOAN FEES     783.74  
8765
  FEES, PERMITS: OATOF-UNSP     300.00  
8775
  POSTAGE AND SHIPPING: OATOF-UN     232.22  
8810
  OFFICE RENT: OATOF-UNSP     9,279.10  
8812
  STORAGE     328.10  
8813
  PROPERTY TAXES: OATOF-UNSP     2,545.25  
8815
  BUSINESS INSURANCE     5,631.58  
8820
  UTILITIES: OATOF-UNSP     2,738.07  
8825
  OFFICE MAINTENANCE AND REPAIRS     329.00  
8830
  OFFICE TELEPHONE AND FAXES     1,292.83  
 
  TOTAL OPERATING EXPENSES     (284,536.32 )
OTHER INCOME AND EXPENSES        
9110
  INTEREST INCOME-MONEY MARKET     (2,086.03 )
9215
  AMORTIZATION OF DEBT DISCOUNT     14,945.34  
9230
  INTEREST EXPENSE - CONVERTIBLE NOTES     105,625.00  
9250
  INTEREST EXPENSE-QUEST LOAN     30,821.92  
9314
  OFFERING COSTS AMORTIZATION     4,125.17  
9360
  FRANCHISE TAXES     3,200.00  
 
  TOTAL OTHER INCOME AND EXPENSES     156,631.40  
 
         
NET PROFIT (LOSS)
        (441,167.72 )
 
         


 

     
Vermillion, Inc.   MOR-3
     
In re: Vermillion, Inc.
  Case No. 09-11091 (CSS)
Debtor
  Reporting Period: March 30, 2009 — April 30, 2009
BALANCE SHEET
The Balance Sheet is to be completed on an accrual basis only. Pre-petition liabilities must be classified separately from postpetition obligations.
                 
    BOOK VALUE AT END OF     BOOK VALUE ON  
    CURRENT REPORTING MONTH     PETITION DATE  
ASSETS
               
CURRENT ASSETS
               
Unrestricted Cash and Equivalents
  See exhibit 5   See exhibit 6
Restricted Cash and Cash Equivalents (see continuation sheet)
               
Accounts Receivable (Net)
               
Notes Receivable
               
Inventories
               
Prepaid Expenses
               
Professional Retainers
               
Other Current Assets (attach schedule)
               
TOTAL CURRENT ASSETS
  $       $    
PROPERTY AND EQUIPMENT
               
Real Property and Improvements
               
Machinery and Equipment
               
Furniture, Fixtures and Office Equipment
               
Leasehold Improvements
               
Vehicles
               
Less Accumulated Depreciation
               
TOTAL PROPERTY & EQUIPMENT
  $       $    
OTHER ASSETS
               
Loans to Insiders*
               
Other Assets (attach schedule)
               
TOTAL OTHER ASSETS
  $       $    
 
               
TOTAL ASSETS
  $       $    
                 
    BOOK VALUE AT END OF     BOOK VALUE ON  
    CURRENT REPORTING MONTH     PETITION DATE  
LIABILITIES AND OWNER EQUITY
               
LIABILITIES NOT SUBJECT TO COMPROMISE (Postpetition)
               
Accounts Payable
               
Taxes Payable (refer to FORM MOR-4)
               
Wages Payable
               
Notes Payable
               
Rent / Leases — Building/Equipment
               
Secured Debt / Adequate Protection Payments
               
Professional Fees
               
Amounts Due to Insiders*
               
Other Postpetition Liabilities (attach schedule)
               
TOTAL POSTPETITION LIABILITIES
  $       $    
LIABILITIES SUBJECT TO COMPROMISE (Pre-Petition)
               
Secured Debt
               
Priority Debt
               
Unsecured Debt
               
TOTAL PRE-PETITION LIABILITIES
  $       $    
 
TOTAL LIABILITIES
  $       $    
OWNER EQUITY
               
Capital Stock
               
Additional Paid-In Capital
               
Partners’ Capital Account
               
Owner’s Equity Account
               
Retained Earnings — Pre-Petition
               
Retained Earnings — Postpetition
               
Adjustments to Owner Equity (attach schedule)
               
Postpetition Contributions (Distributions) (Draws) (attach schedule)
               
NET OWNER EQUITY
  $       $    
 
TOTAL LIABILITIES AND OWNERS’ EQUITY
  $       $    
 
*   “Insider” is defined in 11 U.S.C. Section 101(31).
FORM MOR-3
(04/07)


 

     
Vermillion, Inc.   MOR-3
     
In re: Vermillion, Inc.
  Case No. 09-11091 (CSS)
Debtor
  Reporting Period: March 30, 2009 — April 30, 2009
BALANCE SHEET — continuation sheet
         
    BOOK VALUE AT END OF   BOOK VALUE ON
ASSETS   CURRENT REPORTING MONTH   PETITION DATE
Other Current Assets
       
 
       
 
       
 
       
Other Assets
       
 
       
 
       
 
       
                 
    BOOK VALUE AT END OF     BOOK VALUE ON  
LIABILITIES AND OWNER EQUITY   CURRENT REPORTING MONTH     PETITION DATE  
Other Postpetition Liabilities
               
 
               
 
               
 
               
Adjustments to Owner Equity
               
 
               
 
               
 
               
Postpetition Contributions (Distributions) (Draws)
               
 
               
 
               
 
               
Restricted Cash is cash that is restricted for a specific use and not available to fund operations. Typically, restricted cash is segregated into a separate account, such as an escrow account.
FORM MOR-3 CONTD
(04/07)


 

     
Vermillion, Inc.   MOR-3
Exhibit 5
Vermillion Inc.
For the Four Months Ending April 30, 2009
         
Assets:
       
Cash and cash equivalents
  $ 575,568.31  
Employee receivables
       
Prepaids and other
    662,848.09  
Intercompany — IllumeSys
    222,159.97  
Intercompany — CTI
    10,318.48  
Intercompany — Denmark
    354,966.56  
Intercompany — Germany
    (370,347.39 )
Intercompany — UK
    20,888.89  
Intercompany — France
    (128,360.30 )
Intercompany — Ciphergen Int’l
    2,507,898.82  
Intercompany — Japan
    1,261,994.85  
Intercompany — Italy
    10,504.77  
Intercompany — China
    (527,039.97 )
Fixed assets
    2,962,643.96  
Accumulated depreciation
    (2,478,361.99 )
Investment in IllumeSys
    1,699,988.35  
Investment in UK
    17,569.28  
Investment in Denmark
    65,413.35  
Investment in China
    618,339.92  
Investment in Germany
    266,480.00  
Investment in Japan
    (1,008,058.87 )
Investment in Italy
    9,112.44  
Investment in France
    9,314.25  
Other long-term assets
    3,404,899.22  
 
     
Total assets
    10,168,740.99  
 
       
Liabilities:
       
Accounts payable
    2,511,537.17  
Accrued liabilities
    931,488.15  
Accrued payroll and related
    130,687.69  
Intercompany accounts
       
Deferred rent — current
    2,030.40  
Other current liabilities, net of discount
    2,500,000.00  
Convertible senior notes, net of discounts
    16,438,225.85  
Long-term debt to related party
    9,999,999.84  
 
     
Total liabilities
    32,513,969.10  
 
       
Stockholders’ equity:
       
Common stock
    6,383.92  
Additional paid in capital
    225,430,142.83  
Deferred stock-based compensation
    3,152,300.93  
Accum. comprehensive income
       
Retained earnings — prior
    (248,699,448.32 )
Retained earnings — current
    (2,234,607.46 )
 
     
Total stockholders’ equity
    (22,345,228.10 )
 
     
Total liabilities and equity
    10,168,741.00  


 

     
Vermillion, Inc.   MOR-3
Exhibit 6
Vermillion Inc.
For the Three Months Ending March 31, 2009
         
Assets:
       
Cash and cash equivalents
  $ 613,916.89  
Employee receivables
       
Prepaids and other
    677,399.16  
Intercompany — IllumeSys
    222,159.97  
Intercompany — CTI
    10,318.48  
Intercompany — Denmark
    354,966.56  
Intercompany — Germany
    (370,347.39 )
Intercompany — UK
    20,888.89  
Intercompany — France
    (128,360.30 )
Intercompany — Ciphergen Int’l
    2,507,898.82  
Intercompany — Japan
    1,261,994.85  
Intercompany — Italy
    10,504.77  
Intercompany — China
    (527,039.97 )
Fixed assets
    2,962,643.96  
Accumulated depreciation
    (2,447,205.89 )
Investment in IllumeSys
    1,699,988.35  
Investment in UK
    17,569.28  
Investment in Denmark
    65,413.35  
Investment in China
    618,339.92  
Investment in Germany
    266,480.00  
Investment in Japan
    (1,008,058.87 )
Investment in Italy
    9,112.44  
Investment in France
    9,314.25  
Other long-term assets
    3,407,960.89  
 
     
Total assets
    10,255,858.41  
 
       
Liabilities:
       
Accounts payable
    2,206,843.54  
Accrued liabilities
    898,295.11  
Accrued payroll and related
    129,997.44  
Intercompany accounts
       
Deferred rent — current
    1,827.36  
Other current liabilities, net of discount
    2,500,000.00  
Convertible senior notes, net of discounts
    16,423,280.51  
Long-term debt to related party
    9,999,999.84  
 
     
Total liabilities
    32,160,243.80  
 
       
Stockholders’ equity:
       
Common stock
    6,383.92  
Additional paid in capital
    225,430,142.83  
Deferred stock-based compensation
    3,152,300.93  
Accum. comprehensive income
       
Retained earnings — prior
    (248,699,448.32 )
Retained earnings — current
    (1,793,764.74 )
 
     
Total stockholders’ equity
    (21,904,385.38 )
 
     
Total liabilities and equity
    10,255,858.42  
05/14/09
       


 

         
Vermillion, Inc.
      MOR-4
     
In re: Vermillion, Inc.
  Case No. 09-11091 (CSS)
Debtor
Reporting Period: March 30, 2009 — April 30, 2009
STATUS OF POSTPETITION TAXES
The beginning tax liability should be the ending liability from the prior month or, if this is the first report, the amount should be zero. Attach photocopies of IRS Form 6123 or payment receipt to verify payment or deposit of federal payroll taxes. Attach photocopies of any tax returns filed during the reporting period.
                                                 
    Beginning     Amount                             Ending  
    Tax     Withheld or     Amount     Date     Check No.     Tax  
Federal   Liability     Accrued     Paid     Paid     or EFT     Liability  
Withholding
                  See exhibit 7                        
FICA-Employee
                                               
FICA-Employer
                                               
Unemployment
                                               
Income
                                               
Other:
                                               
Total Federal Taxes
                                               
State and Local
                                               
Withholding
                                               
Sales
                                               
Excise
                                               
Unemployment
                                               
Real Property
                                               
Personal Property
                                               
Other:
                                               
Total State and Local
                                               
Total Taxes
                                               
SUMMARY OF UNPAID POSTPETITION DEBTS
Attach aged listing of accounts payable.                     See exhibit 8
                                                 
    Number of Days Past Due  
    Current     0-30     31-60     61-90     Over 90     Total  
Accounts Payable
                                               
Wages Payable
                                               
Taxes Payable
                                               
Rent/Leases-Building
                                               
Rent/Leases-Equipment
                                               
Secured Debt/Adequate Protection Payments
                                               
Professional Fees
                                               
Amounts Due to Insiders*
                                               
Other:
                                               
Other:
                                               
Total Postpetition Debts
                                               
Explain how and when the Debtor intends to pay any past-due postpetition debts.
 
*   “Insider” is defined in 11 U.S.C. Section 101(31).
FORM MOR-4
(04/07)


 

     
Vermillion, Inc.   MOR-4
(Exhibit 7)
Exhibit 7 to the Monthly Operating Report containing tax withholding statements, as filed with the U.S. Bankruptcy Court of Delaware, is available through the Federal Court filing system PACER at http://pacer.psc.uscourts.gov/ in the Company’s document section.
 
( )    Exhibit 7 is marked as “Exhibit 6” on the original filing


 

     
Vermillion, Inc.   MOR-4
Exhibit 8
VERMILLION, INC.
ACCOUNTS PAYABLE AGED INVOICE REPORT
ALL OPEN INVOICES — AGED BY INVOICE DATE
                                                             
H                                    
VENDOR/            DATES            L INVOICE   DISCOUNT                            
INVOICE NO. INVOICE DUE DSCNT D BALANCE     AMOUNT     CURRENT     30 DAYS     60 DAYS     90 DAYS     120 DAYS  
ACE1
  ACE USA                                                        
372646
  04/22/09 04/22   N 2,091.00       0       2,091.00                                  
 
                                                           
APPLI11   APPLIED CLINICAL INTELLIGENCE                                                
09-122-APR
  05/04/09 05/04   N   52,600.00       0       52,600.00                                  
 
                                                           
BAYAL01   BAY ALARM COMPANY                                                
2263122090
  04/16/09 04/16   N 339.00       0       339                                  
 
                                                           
BLUEC00   BLUE CROSS OF CALIFORNIA                                                
0200904070
  04/03/09 04/03   N 2,571.00       0               2,571.00                          
 
                                                           
BOWNE00   BOWNE OF LOS ANGELES, INC.                                                
090425210
  04/15/09 04/15   N 2,166.00       0       2,166.00                                  
090436080
  04/22/09 04/22   N 413.00       0       413                                  
 
                                                           
CARRU01   CARRUTHERS, SUSAN D                                                
043009
  04/30/09 04/30   N 3,474.20       0       3,474.20                                  
 
                                                           
CINTA00   CINTAS CORPORATION #054                                                
DG38044465
  04/08/09 05/08   N 109.95       0               109.95                          
 
                                                           
CITTE00   CIT TECHNOLOGY FIN SERV, INC                                                
14156735
  04/24/09 04/24   N 1,016.40       0       1,016.40                                  
 
                                                           
CRUTC00   CRUTCHER, GILLIAN                                                
042809
  04/28/09 04/28   N 159.00       0       159                                  
 
                                                           
CTCOR00   CT CORPORATION                                                
042909
  04/29/09 05/29   N 12,900.00       0       12,900.00                                  
2004317668
  04/01/09 05/01   N 540.00       0               540                          
 
                                                           
ENDSI00   ENDSIGHT                                                
34569
  04/01/09 04/01   N 4,000.00       0               4,000.00                          
 
                                                           
FACIL01   FACILITIES MAINTENANCE SVCS                                                
28215
  04/15/09 05/15   N 329.00       0       329                                  


 

                                                             
H                                    
VENDOR/            DATES            L INVOICE   DISCOUNT                            
INVOICE NO. INVOICE DUE DSCNT D BALANCE     AMOUNT     CURRENT     30 DAYS     60 DAYS     90 DAYS     120 DAYS  
FOLEY01   FOLEY & LARDNER                                                
31028051
  04/18/09 04/18   N 380.50       0       380.5                                  
 
                                                           
GLOBA06   GLOBAL CROSSING CONFERENCING                                                
2180966
  04/29/09 05/29   N 464.27       0       464.27                                  
 
                                                           
IRONM00   IRON MOUNTAIN                                                
ADZ3038
  04/30/09 05/30   N 354.29       0       354.29                                  
 
                                                           
JOHNS00   JOHNS HOPKINS UNIVERSITY                                                
042409
  04/24/09 04/24   N 22,710.00       0       22,710.00                                  
043009
  04/30/09 04/30   N   154,000.00       0       154,000.00                                  
 
                                                           
LANDR00   LAND ROVER CAPITAL GROUP                                                
051109
  04/21/09 04/21   N 1,363.77       0       1,363.77                                  
 
                                                           
PACIF00   AT&T                                                
040109
  04/01/09 04/01   N 828.56       0               828.56                          
 
                                                           
PALLI00   PALLIS, KATHERINE C.                                                
56
  04/17/09 05/17   N 1,548.00       0       1,548.00                                  
 
PGE00   P G & E                                                
041009
  04/10/09 04/10   N 407.93       0               407.93                          
 
                                                           
PRAXA00   PRAXAIR DISTRIBUTION, INC.                                                
32874091
  04/20/09 05/20   N 29.80       0       29.8                                  
 
                                                           
PRECI09   PRECISIONMED INC.                                                
703
  04/20/09 04/20   N 5,000.00       0       5,000.00                                  
 
                                                           
PRNEW00   PR NEWSWIRE                                                
100724051
  04/02/09 04/02   N 1,060.50       0               1,060.50                          
 
                                                           
PROLO00   PROLOGIS LIMITED PARTNERSHIP-I                                                
050109
  04/29/09 04/29   N 9,076.06       0       9,076.06                                  
 
                                                           
PUBLI00   PUBLIC STORAGE, INC.                                                
050109
  04/29/09 04/29   N 255.00       0       255                                  
042109
  04/21/09 04/21   N 73.10       0       73.1                                  
 
                                                           
PURCH00   PURCHASE POWER                                                
042109
  04/21/09 05/06   N 25.00       0       25                                  
 
                                                           
QUINN00   QUINN EMANUEL URQUHART                                                
1140987
  04/13/09 04/13   N 4,075.98       0       4,075.98                                  
 
                                                           
STERI00   STERICYCLE INC.                                                
3000410014
  04/01/09 05/01   N 501.38       0               501.38                          
 
                                                           
ZHOUT01   ZHOU, QUN                                                
043009
  04/30/09 04/30   N 8,687.50       0       8,687.50                                  


 

     
Vermillion, Inc.   MOR-5
     
In re: Vermillion, Inc.
 
Debtor
 
ACCOUNTS RECEIVABLE RECONCILIATION AND AGING
N/A
         
Accounts Receivable Reconciliation   Amount  
Total Accounts Receivable at the beginning of the reporting period
       
+ Amounts billed during the period
       
- Amounts collected during the period
       
Total Accounts Receivable at the end of the reporting period
       
         
Accounts Receivable Aging   Amount  
0 - 30 days old
       
31 - 60 days old
       
61 - 90 days old
       
91+ days old
       
Total Accounts Receivable
       
Amount considered uncollectible (Bad Debt)
       
Accounts Receivable (Net)
       
DEBTOR QUESTIONNAIRE
         
Must be completed each month   Yes   No
1. Have any assets been sold or transferred outside the normal course of business this reporting period? If yes, provide an explanation below.
      X
2. Have any funds been disbursed from any account other than a debtor in possession account this reporting period? If yes, provide an explanation below.
      X
3. Have all postpetition tax returns been timely filed? If no, provide an explanation below.
  X    
4. Are workers compensation, general liability and other necessary insurance coverages in effect? If no, provide an explanation below.
  X    
5. Has any bank account been opened during the reporting period? If yes, provide documentation identifying the opened account(s). If an investment account has been opened provide the required documentation pursuant to the Delaware Local Rule 4001-3.
  X    
FORM MOR-5
(04/07)

EX-99.2 3 f52754exv99w2.htm EX-99.2 exv99w2
     
Statement of Financial Affairs and Schedules of Assets and Liabilities
  Exhibit 99.2
IN THE UNITED STATES BANKRUPTCY COURT
FOR THE DISTRICT OF DELAWARE
         
         
 
  x    
 
  :   Chapter 11
In re:
  :    
 
  :   Case No. 09-11091 (CSS)
VERMILLION, INC.,1
  :    
 
  :    
                                   Debtor.
  :    
 
  :    
 
  :    
 
  :    
 
  x    
         
STATEMENT OF FINANCIAL AFFAIRS AND
SCHEDULES OF ASSETS AND LIABILITIES
 
1   The address of the Debtor’s principal executive offices is 47350 Fremont Blvd., Fremont, California 94538. The Debtor’s EIN is
33-0595156.

 


 

IN THE UNITED STATES BANKRUPTCY COURT
FOR THE DISTRICT OF DELAWARE
         
         
 
  x    
 
  :   Chapter 11
In re:
  :    
 
  :   Case No. 09-11091 (CSS)
VERMILLION, INC.,2
  :    
 
  :    
                                   Debtor.
  :    
 
  :    
 
  :    
 
  :    
 
  x    
         
STATEMENT OF FINANCIAL AFFAIRS AND SCHEDULES OF ASSETS
LIABILITIES DECLARATION UNDER PENALTY OF PERJURY
OF GAIL S. PAGE, ON BEHALF OF THE COMPANY
     I, Ms. Gail S. Page, Executive Chair of the Board of Directors of Vermillion, Inc., the above-captioned debtor and debtor-in-possession (the “Debtor”), declare under penalty of perjury that I have reviewed the Debtor’s Statement of Financial Affairs, Summary of Schedules, Schedule A, B, D, E, F, G, and H (collectively, the “Schedules”) and the Global Notes and Statement of Limitations, Methodology and Disclaimer Regarding Debtor’s Statements of Financial Affairs with Schedules, and that they are true and correct to the best of my knowledge, information, and belief.
     Although every effort has been taken to make the Statement of Financial Affairs and Schedules of Assets and Liabilities accurate and complete, because of the magnitude and complexity of the task, inadvertent errors or omissions may exist.
Date: June 11, 2009
         
 
 
 
Ms. Gail S. Page
   
 
  Executive Chair of the Board of Directors    
 
  Vermillion, Inc.    
 
2   The address of the Debtor’s principal executive offices is 47350 Fremont Blvd., Fremont, California 94538. The Debtor’s EIN is
33-0595156.

 


 

IN THE UNITED STATES BANKRUPTCY COURT
FOR THE DISTRICT OF DELAWARE
         
         
 
  x    
 
  :   Chapter 11
In re:
  :    
 
  :   Case No. 09-11091 (CSS)
VERMILLION, INC.,
  :    
 
  :    
                                   Debtor.
  :    
 
  :    
 
  :    
 
  :    
 
  x    
         
GLOBAL NOTES AND STATEMENT OF LIMITATIONS, METHODOLOGY
AND DISCLAIMER REGARDING DEBTOR’S STATEMENTS OF FINANCIAL
AFFAIRS WITH SCHEDULES
1
     The Schedules of Assets and Liabilities and Statements of Financial Affairs (the “Schedules and Statements”) filed herewith by Vermillion, Inc. (“Vermillion”), the above-captioned debtor and debtor-in-possession (the “Debtor”) were prepared pursuant to section 521 of 11 U.S.C. §§ 101-1532 (as amended and applicable to this bankruptcy case, the “Bankruptcy Code”) and Rule 1007 of the Federal Rules of Bankruptcy Procedure (the “Bankruptcy Rules”) by management of the Debtor and are unaudited. While the Debtor’s management has made every effort to ensure that the Schedules and Statements are accurate and complete based on information that was available at the time of preparation, inadvertent errors or omissions may have occurred. The Schedules and Statements remain subject to further review and verification by the Debtor. Subsequent information may result in material changes in financial and other data contained in the Schedules and Statements. Except as noted in the Schedules and Statements, all asset and liability data is reported as of the close of business on March 30, 2009. The Debtor has used its best efforts to compile the information set forth in the Schedules and Statements from its books and records maintained in the ordinary course of its business. The Debtor reserves its right to amend its Schedules and Statements from time to time as may be necessary or appropriate. These Global Notes and Statement of Limitations, Methodology and Disclaimer Regarding Debtor’s Statements of Financial Affairs with Schedules (the “Global Notes”) are incorporated by reference in, and comprise an integral part of, the Schedules and Statements, and should be referred to and reviewed in connection with any review of the Schedules and Statements.
 
1   A Statement of Financial Affairs and Schedule of Assets of Liabilities for the Debtor begins immediately after these Global Notes.

 


 

     1. Description of the Cases. On March 30, 2009 (the “Petition Date”), the Debtor filed its voluntary petition with the United States Bankruptcy Court for the District of Delaware (the “Bankruptcy Court”) for reorganization under chapter 11 of the Bankruptcy Code under case numbers 09-11091 (CSS) and an order for relief was entered by the Bankruptcy Court. The Debtor is currently operating its business as a debtor in possession under the Bankruptcy Code.
     2. Basis of Presentation. For financial reporting purposes, the Debtor prepares consolidated financial statements, which include financial information for certain of the Debtor’s non-debtor subsidiaries. The Schedules and Statements are unaudited and reflect the Debtor’s best efforts to report the assets and liabilities of the Debtor on an unconsolidated basis. These Schedules and Statements neither purport to represent financial statements prepared in accordance with Generally Accepted Accounting Principles in the United States (“GAAP”), nor are they intended to fully reconcile to the financial statements.
     3. Summary of Significant Reporting Policies. The Schedules and Statements have been signed by Ms. Gail S. Page, Executive Chair of the Board of Directors of Vermillion. In reviewing and signing the Schedules and Statements, Ms Page has necessarily relied upon the efforts, statements and representations of the accounting and non-accounting personnel located at Vermillion’s headquarters. Ms. Page has not (and could not have) personally verified the accuracy of each such statement and representation, including statements and representations concerning amounts owed to creditors.
     The Debtor made its best effort to report asset, liability, disbursement, and other information on the appropriate Schedules and Statements. However, the following qualifications and limitations apply to the Schedules and Statements and the Debtor has adopted the following conventions in the preparation of the Schedules and Statements:
          (a) Reporting Date. Assets reported in the Debtor’s Schedules and Statements are prepared as of the close of business on March 30, 2009, unless otherwise noted. Liabilities are reported in the Debtor’s Schedules and Statements as of the close of business on March 30, 2009.
          (b) Book Value. Each asset and liability of the Debtor is shown on the basis of the book value of the asset or liability in the Debtor’s accounting books and records, unless otherwise noted, rather than the current market values, of such interests in property and/or liabilities.
          (c) Intellectual Property Rights. Inclusion of certain intellectual property shall not be construed as an admission that such intellectual property rights have not been abandoned, have not been terminated or otherwise expired by their terms, or have not been assigned or otherwise transferred pursuant to a sale, acquisition, or other transaction. Accordingly, the Debtor reserves all of its rights with respect to the legal status of such intellectual property rights.
          (d) Causes of Action. The Debtor has not set forth all causes of action against all third parties as assets in their Schedules and Statements. The Debtor reserves all of its

2


 

rights with respect to any causes of action that it may have, and neither these Global Notes nor the Schedules and Statements shall be deemed a waiver of any such causes of action.
          (e) Executory Contracts. The Debtor has not set forth executory contracts as assets in their Schedules and Statements. The Debtor’s executory contracts have been set forth in Schedule G.
          (f) Property and equipment — owned. Unless otherwise noted, owned property and equipment are stated as net book value. The estimated useful lives for the Debtor’s assets are up to eight (8) years for other fixtures and equipment and leasehold improvements are depreciated over a eight (8) year period or the life of the lease, whichever is less. The leases are identified in the Debtor’s Schedule G of Executory Contracts. For tax reporting purposes, all assets were recorded using straight line methods of depreciation. Inasmuch as the Debtor calculates depreciation and amortization monthly, the Schedules and Statements reflect monthly depreciation and amortization through March 30, 2009.
          (g) Property and equipment — leased. In the ordinary course of its business, the Debtor leases equipment and computer hardware and software from certain third-party lessors. Any such leases are set forth in the Schedules and Statements. Nothing in the Schedules and Statements is or shall be construed as an admission or determination as to the legal status of any lease (including whether any lease is a true lease or a financing arrangement), and the Debtor reserves all rights with respect to any of such issues.
          (h) Payments to Creditors and Insiders. On Statement of Financial Affairs 3c and 23, the Debtor has not scheduled payments made to employees who may be deemed officers where the employees function in a purely ministerial role and have no material inside information.
          (i) Interests in Subsidiaries and Affiliates. Vermillion owns directly or indirectly eleven subsidiaries and/or affiliates. Equity interests in subsidiaries and affiliates primarily arise from common stock ownership or partnership interests. The Debtor’s “Schedule B-Personal Property” lists the Debtor’s ownership interests, if any, in subsidiaries and affiliates. For purposes of these Schedules and Statements, the Debtor has listed the value of some ownership interests as undetermined because the fair market value of such stock or interests is dependent on numerous variables and factors and may differ significantly from the net book value.
          (j) Financial Statements. Vermillion is a publicly traded corporation whose common shares were traded as of the Petition Date on the OTC Bulletin Board under the symbol “VRML.” Prior to the Petition Date, Vermillion publicly filed periodic reports with the United States Securities & Exchange Commission.
          (k) Schedule D:
               (i) Except as otherwise agreed pursuant to a stipulation or agreed order or any other order entered by the Bankruptcy Court, the Debtor reserves its rights to dispute or challenge the validity, perfection, or immunity from avoidance of any lien purported to be granted or perfected in any specific asset to a secured creditor listed on Schedule D of the

3


 

Schedules and Statements. Moreover, although the Debtor has scheduled claims of certain creditors as secured claims, the Debtor reserves all rights to dispute or challenge the secured nature of any such creditor’s claim or the characterization of the structure of any such transaction, or any document or instrument related to such creditor’s claim.
               (ii) No claim set forth on Schedule D of the Schedules and Statements is intended to acknowledge claims of creditors that are otherwise satisfied or discharged by other entities. The descriptions provided in Schedule D are intended only to be a summary. Reference to the applicable loan agreements and related documents is necessary for a complete description of the collateral and the nature, extent, and priority of any liens. Nothing in the Global Notes or the Schedules and Statements shall be deemed a modification or interpretation of the terms of such agreements. Holders of secured claims by virtue of holding setoff rights against the Debtor are not included on Schedule D. To the extent that the Debtor is a party to capital leases, the Debtor has treated those leases as executory contracts, which may be shown on Schedule G. However, the Debtor reserves its rights to assert that such capital leases are secured financings, rather than unexpired leases.
          (l) Schedule F. No claim set forth on Schedule F of the Schedules and Statements is intended to acknowledge claims of creditors that are otherwise satisfied or discharged by other entities. The descriptions provided in Schedule F are intended only to be a summary. Nothing in the Global Notes or the Schedules and Statements shall be deemed a modification or interpretation of the terms of such agreements. The claims of individual creditors for, among other things, merchandise, goods, services, or taxes are listed at the amounts listed on the Debtor’s books and records and may not reflect credits or allowances due from such creditor. The Debtor reserves all of its rights respecting such credits and allowances. The dollar amounts listed may be exclusive of contingent and unliquidated amounts. The Debtor expressly incorporates by reference into Schedule F all parties to pending and potential pending litigation listed in the Debtor’s Statements as contingent, unliquidated, and disputed claims to the extent not already listed on Schedule F. All parties to executory contracts, including those listed on Schedule G, are holders of contingent and unliquidated unsecured claims arising from (i) obligations under those executory contracts and/or (ii) rejection damages in the event that such executory contract is rejected. Not all such claims are duplicated on Schedule F.
          (m) Schedule G:
               (i) While every effort has been made to ensure the accuracy of the Schedule of Executory Contracts, inadvertent errors or omissions may have occurred. The Debtor hereby reserves all of its rights to dispute the validity, status, or enforceability of any contracts, agreements, or leases set forth in Schedule G and to amend or supplement such Schedule as necessary.
               (ii) The contracts, agreements, and leases listed on Schedule G may have expired or may have been modified, amended, or supplemented from time to time by various amendments, restatements, waivers, estoppel certificates, letters, and other documents, instruments, and agreements that may not be listed therein. Certain of the real property leases listed on Schedule G may contain renewal options, guarantees of payment, options to purchase, rights of first refusal, rights to lease additional space, and other miscellaneous rights. Such

4


 

rights, powers, duties, and obligations are not set forth on Schedule G. Certain of the executory agreements may not have been memorialized and could be subject to dispute. Schedule G does not include stand alone purchase orders for goods or equipment or nondisclosure agreements. Additionally, the Debtor may be parties to various other agreements concerning real property, such as easements, rights of way, subordination, non-disturbance and attornment agreements, supplemental agreements, amendments/letter agreements, title documents, consents, site plans, maps, and other miscellaneous agreements. Such documents are not set forth in Schedule G. Certain of the agreements listed on Schedule G may be in the nature of conditional sales agreements or secured financings.
               (iii) The presence of a contract or agreement on this schedule does not constitute an admission that such contract or agreement is an executory contract or unexpired lease. The Debtor reserves all of its rights, claims, and causes of action with respect to the contracts and agreements listed on these Schedules.
          (n) Statement of Financial Affairs. Both questions 3c and 23 in the statement of financial affairs request information regarding payments to insiders. The Debtor has listed payroll related payments and loan repayments to its insiders in response to question 3c and 23.
     4. Employee Claims. The Bankruptcy Court entered an order (the “401K Order”) granting authority to the Debtor to pay prepetition obligations owed in connection with the Debtor’s 401K Plan. Pursuant to such 401K Order, the Debtor believes that any employee claims for prepetition amounts owed in connection with the 401K plan either have been satisfied or are in the process of being satisfied. The Debtor believes that no other prepetition employee wage, salary, benefit, or other employee claims are outstanding. Accordingly, employee claims for amounts owing as of the end of the day on March 30, 2009, that have been paid or that are intended to be paid have not been included in the Schedules and Statements. The Debtor has listed its employees on Schedules E and/or F as having unliquidated claims that cover accrued vacation and/or bonuses.
     5. Disputed, Contingent, and/or Unliquidated Claims. Schedules D, E, and F permit the Debtor to designate a claim as disputed, contingent, and/or unliquidated. A failure to designate a claim on any of these schedules as disputed, contingent, and/or unliquidated does not constitute an admission that such claim is not subject to objection. The Debtor reserves the right to dispute, or assert offsets or defenses to any claim reflected on these Schedules as to nature, amount, liability, or status or to otherwise subsequently designate any claim as disputed, contingent, or unliquidated.
     6. Insurance. Vermillion maintains general liability insurance policies, and various other insurance policies, on behalf of the Debtor. A listing of all such insurance policies is set forth on Schedule G.

5


 

     7. Global Notes Control. In the event that the Schedules and Statements differ from the foregoing Global Notes, the Global Notes shall control.
***END OF GLOBAL NOTES***
**SCHEDULES AND STATEMENTS BEGIN ON THE FOLLOWING PAGE**

6


 

B7 (Official Form 7) (12/07)
United States Bankruptcy Court
District of Delaware
                 
In re
  Vermillion, Inc.       Case No.   09-11091
             
 
      Debtor(s)                       Chapter   11
                 
STATEMENT OF FINANCIAL AFFAIRS
               This statement is to be completed by every debtor. Spouses filing a joint petition may file a single statement on which the information for both spouses is combined. If the case is filed under chapter 12 or chapter 13, a married debtor must furnish information for both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed. An individual debtor engaged in business as a sole proprietor, partner, family farmer, or self-employed professional, should provide the information requested on this statement concerning all such activities as well as the individual’s personal affairs. To indicate payments, transfers and the like to minor children, state the child’s initials and the name and address of the child’s parent or guardian, such as “A.B., a minor child, by John Doe, guardian.” Do not disclose the child’s name. See, 11 U.S.C. § 112; Fed. R. Bankr. P. 1007(m).
               Questions 1 — 18 are to be completed by all debtors. Debtors that are or have been in business, as defined below, also must complete Questions 19 — 25. If the answer to an applicable question is “None,” mark the box labeled “None.” If additional space is needed for the answer to any question, use and attach a separate sheet properly identified with the case name, case number (if known), and the number of the question.
DEFINITIONS
               “In business.” A debtor is “in business” for the purpose of this form if the debtor is a corporation or partnership. An individual debtor is “in business” for the purpose of this form if the debtor is or has been, within six years immediately preceding the filing of this bankruptcy case, any of the following: an officer, director, managing executive, or owner of 5 percent or more of the voting or equity securities of a corporation; a partner, other than a limited partner, of a partnership; a sole proprietor or self-employed full-time or part-time. An individual debtor also may be “in business” for the purpose of this form if the debtor engages in a trade, business, or other activity, other than as an employee, to supplement income from the debtor’s primary employment.
               “Insider.” The term “insider” includes but is not limited to: relatives of the debtor; general partners of the debtor and their relatives; corporations of which the debtor is an officer, director, or person in control; officers, directors, and any owner of 5 percent or more of the voting or equity securities of a corporate debtor and their relatives; affiliates of the debtor and insiders of such affiliates; any managing agent of the debtor. 11 U.S.C. § 101.
 
             
    1. Income from employment or operation of business
 
           
    State the gross amount of income the debtor has received from employment, trade, or profession, or from operation of the debtor’s business, including part-time activities either as an employee or in independent trade or business, from the beginning of this calendar year to the date this case was commenced. State also the gross amounts received during the two years immediately preceding this calendar year. (A debtor that maintains, or has maintained, financial records on the basis of a fiscal rather than a calendar year may report fiscal year income. Identify the beginning and ending dates of the debtor’s fiscal year.) If a joint petition is filed, state income for each spouse separately. (Married debtors filing under chapter 12 or chapter 13 must state income of both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
 
           
 
      AMOUNT $167,539   SOURCE Service Contract Revenue
             
    2. Income other than from employment or operation of business
 
           
None
   þ
  State the amount of income received by the debtor other than from employment, trade, profession, or operation of the debtor’s business during the two years immediately preceding the commencement of this case. Give particulars. If a joint petition is filed, state income for each spouse separately. (Married debtors filing under chapter 12 or chapter 13 must state income for each spouse whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
 
 
      AMOUNT   SOURCE
     
Software Copyright (c) 1996-2007 Best Case Solutions, Inc. — Evanston, IL — (800) 492-8037
  Best Case Bankruptcy

 


 

2

             
    3. Payments to creditors
 
           
None
   þ
  Complete a. or b., as appropriate, and c.
  a. Individual or joint debtor(s) with primarily consumer debts. List all payments on loans, installment purchases of goods or services, and other debts to any creditor made within 90 days immediately preceding the commencement of this case unless the aggregate value of all property that constitutes or is affected by such transfer is less than $600. Indicate with an (*) any payments that were made to a creditor on account of a domestic support obligation or as part of an alternative repayment schedule under a plan by an approved nonprofit budgeting and creditor counseling agency. (Married debtors filing under chapter 12 or chapter 13 must include payments by either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
             
NAME AND ADDRESS
             DATES OF       AMOUNT STILL
OF CREDITOR
             PAYMENTS   AMOUNT PAID   OWING
             
    b. Debtor whose debts are not primarily consumer debts: List each payment or other transfer to any creditor made within 90 days immediately preceding the commencement of the case unless the aggregate value of all property that constitutes or is affected by such transfer is less than $5,475. If the debtor is an individual, indicate with an asterisk (*) any payments that were made to a creditor on account of a domestic support obligation or as part of an alternative repayment schedule under a plan by an approved nonprofit budgeting and creditor counseling agency. (Married debtors filing under chapter 12 or chapter 13 must include payments by either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
             
 
      AMOUNT    
 
  DATES OF   PAID OR    
NAME AND ADDRESS OF CREDITOR
  PAYMENTS/   VALUE OF        AMOUNT STILL
See attached file — Form 7, question 3-b
  TRANSFERS   TRANSFERS         OWING
             
    c. All debtors: List all payments made within one year immediately preceding the commencement of this case to or for the benefit of creditors who are or were insiders. (Married debtors filing under chapter 12 or chapter 13 must include payments by either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
             
NAME AND ADDRESS OF CREDITOR AND
           
RELATIONSHIP TO DEBTOR
          AMOUNT STILL
See attached file — Form 7, question 3-c
  DATE OF PAYMENT   AMOUNT PAID   OWING
             
    4. Suits and administrative proceedings, executions, garnishments and attachments
 
           
    a. List all suits and administrative proceedings to which the debtor is or was a party within one year immediately preceding the filing of this bankruptcy case. (Married debtors filing under chapter 12 or chapter 13 must include information concerning either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
             
CAPTION OF SUIT
      COURT OR AGENCY   STATUS OR
AND CASE NUMBER
  NATURE OF PROCEEDING   AND LOCATION   DISPOSITION
See attached file — Form 7,
           
question 4-a
           
             
None
   þ
  b. Describe all property that has been attached, garnished or seized under any legal or equitable process within one year immediately preceding the commencement of this case. (Married debtors filing under chapter 12 or chapter 13 must include information concerning property of either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
         
NAME AND ADDRESS OF PERSON FOR WHOSE BENEFIT PROPERTY WAS SEIZED
  DATE OF SEIZURE   DESCRIPTION AND VALUE OF
PROPERTY
             
    5. Repossessions, foreclosures and returns
 
           
None
   þ
  List all property that has been repossessed by a creditor, sold at a foreclosure sale, transferred through a deed in lieu of foreclosure or returned to the seller, within one year immediately preceding the commencement of this case. (Married debtors filing under chapter 12 or chapter 13 must include information concerning property of either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
         
NAME AND ADDRESS OF CREDITOR OR SELLER
  DATE OF REPOSSESSION, FORECLOSURE SALE,
TRANSFER OR RETURN
  DESCRIPTION AND VALUE OF
PROPERTY
     
Software Copyright (c) 1996-2007 Best Case Solutions, Inc. — Evanston, IL — (800) 492-8037
  Best Case Bankruptcy


 

3
     
 
  6. Assignments and receiverships
 
   
None
þ
  a. Describe any assignment of property for the benefit of creditors made within 120 days immediately preceding the commencement of this case. (Married debtors filing under chapter 12 or chapter 13 must include any assignment by either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
 
        DATE OF      
NAME AND ADDRESS OF ASSIGNEE     ASSIGNMENT     TERMS OF ASSIGNMENT OR SETTLEMENT
     
None
þ
  b. List all property which has been in the hands of a custodian, receiver, or court-appointed official within one year immediately preceding the commencement of this case. (Married debtors filing under chapter 12 or chapter 13 must include information concerning property of either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
             
    NAME AND LOCATION        
NAME AND ADDRESS   OF COURT   DATE OF   DESCRIPTION AND VALUE OF
OF CUSTODIAN   CASE TITLE & NUMBER   ORDER   PROPERTY
             
     
 
  7. Gifts
 
   
None
þ
  List all gifts or charitable contributions made within one year immediately preceding the commencement of this case except ordinary and usual gifts to family members aggregating less than $200 in value per individual family member and charitable contributions aggregating less than $100 per recipient. (Married debtors filing under chapter 12 or chapter 13 must include gifts or contributions by either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
             
NAME AND ADDRESS OF   RELATIONSHIP TO       DESCRIPTION AND
PERSON OR ORGANIZATION   DEBTOR, IF ANY   DATE OF GIFT   VALUE OF GIFT
             
     
 
  8. Losses
 
   
None
þ
  List all losses from fire, theft, other casualty or gambling within one year immediately preceding the commencement of this case or since the commencement of this case. (Married debtors filing under chapter 12 or chapter 13 must include losses by either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
         
    DESCRIPTION OF CIRCUMSTANCES AND, IF    
DESCRIPTION AND VALUE   LOSS WAS COVERED IN WHOLE OR IN PART    
OF PROPERTY   BY INSURANCE, GIVE PARTICULARS   DATE OF LOSS
         
     
 
  9. Payments related to debt counseling or bankruptcy
 
   
 
  List all payments made or property transferred by or on behalf of the debtor to any persons, including attorneys, for consultation concerning debt consolidation, relief under the bankruptcy law or preparation of the petition in bankruptcy within one year immediately preceding the commencement of this case.
                 
    DATE OF PAYMENT,   AMOUNT OF MONEY
NAME AND ADDRESS   NAME OF PAYOR IF OTHER   OR DESCRIPTION AND VALUE
OF PAYEE
  THAN DEBTOR   OF PROPERTY
Paul, Hastings, Janofsky
    3/25/09     $ 170,000.00  
Womble Carlyle Sandridge & Rice, PLLC
    3/27/09     $ 30,000.00  
     
 
  10. Other transfers
 
   
None
þ
  a. List all other property, other than property transferred in the ordinary course of the business or financial affairs of the debtor, transferred either absolutely or as security within two years immediately preceding the commencement of this case. (Married debtors filing under chapter 12 or chapter 13 must include transfers by either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
         
NAME AND ADDRESS OF TRANSFEREE,       DESCRIBE PROPERTY TRANSFERRED
RELATIONSHIP TO DEBTOR   DATE   AND VALUE RECEIVED
         
         
Software Copyright (c) 1996-2007 Best Case Solutions, Inc. — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

 


 

4
     
None
þ
  b. List all property transferred by the debtor within ten years immediately preceding the commencement of this case to a self-settled trust or similar device of which the debtor is a beneficiary.
                 
              AMOUNT OF MONEY OR DESCRIPTION AND
NAME OF TRUST OR OTHER     DATE(S) OF     VALUE OF PROPERTY OR DEBTOR'S INTEREST
DEVICE     TRANSFER(S)     IN PROPERTY
     
 
  11. Closed financial accounts
 
   
 
  List all financial accounts and instruments held in the name of the debtor or for the benefit of the debtor which were closed, sold, or otherwise transferred within one year immediately preceding the commencement of this case. Include checking, savings, or other financial accounts, certificates of deposit, or other instruments; shares and share accounts held in banks, credit unions, pension funds, cooperatives, associations, brokerage houses and other financial institutions. (Married debtors filing under chapter 12 or chapter 13 must include information concerning accounts or instruments held by or for either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
         
    TYPE OF ACCOUNT, LAST FOUR    
    DIGITS OF ACCOUNT NUMBER,   AMOUNT AND DATE OF SALE
NAME AND ADDRESS OF INSTITUTION   AND AMOUNT OF FINAL BALANCE   OR CLOSING
Wells Fargo Bank   Savings account   September 29, 2008, $90,994.63
     
 
  12. Safe deposit boxes
 
   
None
þ
  List each safe deposit or other box or depository in which the debtor has or had securities, cash, or other valuables within one year immediately preceding the commencement of this case. (Married debtors filing under chapter 12 or chapter 13 must include boxes or depositories of either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
             
    NAMES AND ADDRESSES        
NAME AND ADDRESS OF BANK   OF THOSE WITH ACCESS   DESCRIPTION   DATE OF TRANSFER OR
     OR OTHER DEPOSITORY   TO BOX OR DEPOSITORY   OF CONTENTS     SURRENDER, IF ANY
             
     
 
  13. Setoffs
 
   
None
þ
  List all setoffs made by any creditor, including a bank, against a debt or deposit of the debtor within 90 days preceding the commencement of this case. (Married debtors filing under chapter 12 or chapter 13 must include information concerning either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
                 
NAME AND ADDRESS OF CREDITOR   DATE OF SETOFF   AMOUNT OF SETOFF  
 
               
     
 
  14. Property held for another person
 
   
None
þ
  List all property owned by another person that the debtor holds or controls.
         
    DESCRIPTION AND VALUE OF    
NAME AND ADDRESS OF OWNER   PROPERTY   LOCATION OF PROPERTY
         
     
 
  15. Prior address of debtor
 
   
 
  If the debtor has moved within three years immediately preceding the commencement of this case, list all premises which the debtor occupied during that period and vacated prior to the commencement of this case. If a joint petition is filed, report also any separate address of either spouse.
         
ADDRESS:   NAME USED   DATES OF OCCUPANCY
6611 Dumbarton Circle
Fremont, CA 94555
  Vermillion Inc   Aug, 2000 — July 2008
         
Software Copyright (c) 1996-2007 Best Case Solutions, Inc. — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

 


 

5
     
 
  16. Spouses and Former Spouses
 
   
None
þ
  If the debtor resides or resided in a community property state, commonwealth, or territory (including Alaska, Arizona, California, Idaho, Louisiana, Nevada, New Mexico, Puerto Rico, Texas, Washington, or Wisconsin) within eight years immediately preceding the commencement of the case, identify the name of the debtor’s spouse and of any former spouse who resides or resided with the debtor in the community property state.
         
NAME        
 
       
     
 
  17. Environmental Information.
 
   
 
  For the purpose of this question, the following definitions apply:
 
   
 
  “Environmental Law” means any federal, state, or local statute or regulation regulating pollution, contamination, releases of hazardous or toxic substances, wastes or material into the air, land, soil, surface water, groundwater, or other medium, including, but not limited to, statutes or regulations regulating the cleanup of these substances, wastes, or material.
 
   
 
 
“Site” means any location, facility, or property as defined under any Environmental Law, whether or not presently or formerly owned or operated by the debtor, including, but not limited to, disposal sites.

“Hazardous Material” means anything defined as a hazardous waste, hazardous substance, toxic substance, hazardous material, pollutant, or contaminant or similar term under an Environmental Law
 
   
None
þ
  a. List the name and address of every site for which the debtor has received notice in writing by a governmental unit that it may be liable or potentially liable under or in violation of an Environmental Law. Indicate the governmental unit, the date of the notice, and, if known, the Environmental Law:
                         
    NAME AND ADDRESS OF     DATE OF     ENVIRONMENTAL  
SITE NAME AND ADDRESS   GOVERNMENTAL UNIT     NOTICE     LAW  
 
                       
     
None
þ
  b. List the name and address of every site for which the debtor provided notice to a governmental unit of a release of Hazardous Material. Indicate the governmental unit to which the notice was sent and the date of the notice.
                         
    NAME AND ADDRESS OF     DATE OF     ENVIRONMENTAL  
SITE NAME AND ADDRESS   GOVERNMENTAL UNIT     NOTICE     LAW  
 
                       
     
None
þ
  c. List all judicial or administrative proceedings, including settlements or orders, under any Environmental Law with respect to which the debtor is or was a party. Indicate the name and address of the governmental unit that is or was a party to the proceeding, and the docket number.
                 
NAME AND ADDRESS OF            
GOVERNMENTAL UNIT   DOCKET NUMBER     STATUS OR DISPOSITION  
 
               
     
 
  18 . Nature, location and name of business
 
   
 
  a. If the debtor is an individual, list the names, addresses, taxpayer identification numbers, nature of the businesses, and beginning and ending dates of all businesses in which the debtor was an officer, director, partner, or managing executive of a corporation, partner in a partnership, sole proprietor, or was self-employed in a trade, profession, or other activity either full- or part-time within six years immediately preceding the commencement of this case, or in which the debtor owned 5 percent or more of the voting or equity securities within six years immediately preceding the commencement of this case.
 
   
 
  If the debtor is a partnership, list the names, addresses, taxpayer identification numbers, nature of the businesses, and beginning and ending dates of all businesses in which the debtor was a partner or owned 5 percent or more of the voting or equity securities, within six years immediately preceding the commencement of this case.
 
   
 
  If the debtor is a corporation, list the names, addresses, taxpayer identification numbers, nature of the businesses, and beginning and ending dates of all businesses in which the debtor was a partner or owned 5 percent or more of the voting or equity securities within six years immediately preceding the commencement of this case.
         
Software Copyright (c) 1996-2007 Best Case Solutions, Inc. — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

 


 

6
                 
    LAST FOUR DIGITS OF            
    SOCIAL-SECURITY OR            
    OTHER INDIVIDUAL            
    TAXPAYER-I.D. NO.           BEGINNING AND
NAME   (ITIN)/ COMPLETE EIN   ADDRESS   NATURE OF BUSINESS   ENDING DATES
Ciphergen
Biosystems Inc
Vermillion, Inc

See attached file- Form 7,
question 18-a
  33-0595156   6611 Dumbarton Circle,
Fremont, CA 94555
47350 Fremont Blvd.,
Fremont, CA 94538
  Business is dedicated to the discovery, development and commercialization of novel high-value diagnostic tests that help physicians diagnose, treat and improve outcomes for patients   Originally incorporated in California on December 9, 1993, filled chapter 11 on March 31, 2009
     
None
  b. Identify any business listed in response to subdivision a., above, that is “single asset real estate” as defined in 11 U.S.C. § 101.
 
NAME   ADDRESS
     The following questions are to be completed by every debtor that is a corporation or partnership and by any individual debtor who is or has been, within six years immediately preceding the commencement of this case, any of the following: an officer, director, managing executive, or owner of more than 5 percent of the voting or equity securities of a corporation; a partner, other than a limited partner, of a partnership, a sole proprietor or self-employed in a trade, profession, or other activity, either full- or part-time.
     (An individual or joint debtor should complete this portion of the statement only if the debtor is or has been in business, as defined above, within six years immediately preceding the commencement of this case. A debtor who has not been in business within those six years should go directly to the signature page.)
     
 
  19. Books, records and financial statements
 
   
 
  a. List all bookkeepers and accountants who within two years immediately preceding the filing of this bankruptcy case kept or supervised the keeping of books of account and records of the debtor.
     
NAME AND ADDRESS   DATES SERVICES RENDERED
The company itself
   
     
 
  b. List all firms or individuals who within the two years immediately preceding the filing of this bankruptcy case have audited the books of account and records, or prepared a financial statement of the debtor.
         
NAME   ADDRESS   DATES SERVICES RENDERED
PricewaterhouseCoopers LLP
  Ten Almaden Blvd, Suite 1600, San Jose, CA 95113   Year end and quarter end
     
 
  c. List all firms or individuals who at the time of the commencement of this case were in possession of the books of account and records of the debtor. If any of the books of account and records are not available, explain.
     
NAME   ADDRESS
The company (debtor itself)
  47350 Fremont Blvd. Fremont, CA 94538
     
None
þ
  d. List all financial institutions, creditors and other parties, including mercantile and trade agencies, to whom a financial statement was issued by the debtor within two years immediately preceding the commencement of this case.
     
NAME AND ADDRESS   DATE ISSUED
 
   
         
Software Copyright (c) 1996-2007 Best Case Solutions, Inc. — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

 


 

7
     
 
  20. Inventories
 
   
None
þ
  a. List the dates of the last two inventories taken of your property, the name of the person who supervised the taking of each inventory, and the dollar amount and basis of each inventory.
         
        DOLLAR AMOUNT OF INVENTORY
DATE OF INVENTORY   INVENTORY SUPERVISOR   (Specify cost, market or other basis)
 
       
     
None
þ
  b. List the name and address of the person having possession of the records of each of the two inventories reported in a., above.
     
    NAME AND ADDRESSES OF CUSTODIAN OF INVENTORY
DATE OF INVENTORY   RECORDS
 
   
     
 
  21 . Current Partners, Officers, Directors and Shareholders
 
   
None
þ
  a. If the debtor is a partnership, list the nature and percentage of partnership interest of each member of the partnership.
         
NAME AND ADDRESS   NATURE OF INTEREST   PERCENTAGE OF INTEREST
 
       
     
 
  b. If the debtor is a corporation, list all officers and directors of the corporation, and each stockholder who directly or indirectly owns, controls, or holds 5 percent or more of the voting or equity securities of the corporation.
             
        NATURE AND PERCENTAGE
NAME AND ADDRESS   TITLE   OF STOCK OWNERSHIP
PAGE, Gail
  Executive Chairman of the Board of        
47350 Fremont Blvd, Fremont, CA 94539
  Directors        
 
           
Burns, James
  Director        
47350 Fremont Blvd, Fremont, CA 94539
           
 
           
HAMILTON, John
  Director        
47350 Fremont Blvd, Fremont, CA 94539
           
 
           
Highbridge International LLC
  Stockholder     7.29 %
9W 57th Street, 27th Floor, New York, NY 10019
           
 
           
Ironwood Investment Management, LLC
  Stockholder     13.13 %
21 Custom House Street, Suite 240
Boston, MA 02110
           
 
           
OppenheirmerFunds, Inc
  Stockholder     10.08 %
225 Liberty Street, New York, NY 10281
           
 
           
Phronesis Partners, L.P
  Stockholder     10.38 %
180 E Broad Street # 1704, Columbus, OH 43215
           
 
           
Quest Diagnostics, Inc.
  Stockholder     13.48 %
3 Giralda Farms, Madison, NJ 07940
           
 
           
Falcon Technology Partners L.P
  Stockholder     6.88 %
600 Dorset Road, Devon, PA 19333
           
     
 
  22 . Former partners, officers, directors and shareholders
 
   
None
þ
  a. If the debtor is a partnership, list each member who withdrew from the partnership within one year immediately preceding the commencement of this case.
         
NAME   ADDRESS   DATE OF WITHDRAWAL
 
       
         
Software Copyright (c) 1996-2007 Best Case Solutions, Inc. — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

 


 

8
     
 
  b. If the debtor is a corporation, list all officers, or directors whose relationship with the corporation terminated within one year immediately preceding the commencement of this case.
         
NAME AND ADDRESS   TITLE   DATE OF TERMINATION
CONWAY, Kenneth J.
   
REDACTED
  Director   March 25, 2009
 
       
DALAL, Rajen
   
REDACTED
  Director   March 30, 2009
 
       
RATHMANN, James L.
   
REDACTED
  Executive Chairman   March 25, 2009
 
       
YOUNG, John A
   
REDACTED
  Lead Outside Director   March 26, 2009
 
       
PAGE, Gail
   
REDACTED
  President, CEO   March 27, 2009
 
       
FUNG, Eric
   
REDACTED
  Chief Scientific Officer   March 19, 2009
 
       
SHORTER, Simon
   
REDACTD
  VP- Business Development   March 27, 2009
 
       
ZHOU, Qun
   
REDACTED
  Interim CFO   March 27, 2009
     
 
  23. Withdrawals from a partnership or distributions by a corporation
 
   
None
  If the debtor is a partnership or corporation, list all withdrawals or distributions credited or given to an insider, including compensation in any form, bonuses, loans, stock redemptions, options exercised and any other perquisite during one year immediately preceding the commencement of this case.
         
NAME & ADDRESS       AMOUNT OF MONEY OR
OF RECIPIENT,   DATE AND PURPOSE   DESCRIPTION AND
RELATIONSHIP TO DEBTOR   OF WITHDRAWAL   VALUE OF PROPERTY
See attached file, Form 7, question 23
       
     
 
  24. Tax Consolidation Group.
 
   
None
þ
  If the debtor is a corporation, list the name and federal taxpayer identification number of the parent corporation of any consolidated group for tax purposes of which the debtor has been a member at any time within six years immediately preceding the commencement of the case.
         
NAME OF PARENT CORPORATION   TAXPAYER IDENTIFICATION NUMBER (EIN)
     
 
  25. Pension Funds.
 
   
None
þ
  If the debtor is not an individual, list the name and federal taxpayer identification number of any pension fund to which the debtor, as an employer, has been responsible for contributing at any time within six years immediately preceding the commencement of the case.
         
NAME OF PENSION FUND   TAXPAYER IDENTIFICATION NUMBER (EIN)
         
Software Copyright (c) 1996-2007 Best Case Solutions, Inc. — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

 


 

9
DECLARATION UNDER PENALTY OF PERJURY ON BEHALF OF CORPORATION OR PARTNERSHIP
I declare under penalty of perjury that I have read the answers contained in the foregoing statement of financial affairs and any attachments thereto and that they are true and correct to the best of my knowledge, information and belief.
         
     
Date June 11, 2009  Signature  /s/ Gail S. Page    
    Gail S. Page   
    Executive Chairman of the Board of Directors  
 
[An individual signing on behalf of a partnership or corporation must indicate position or relationship to debtor.]
Penalty for making a false statement: Fine of up to $500,000 or imprisonment for up to 5 years, or both. 18 U.S.C. §§ 152 and 3571
         
Software Copyright (c) 1996-2007 Best Case Solutions, Inc. — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

 


 

Form 7, question 3-b
CHECK HISTORY REPORT JANUARY 1, 2009 — MARCH 31, 2009
                             
VENDOR NAME   ADDRESS   Payment Date   Amount Paid   Amount Still Owing   Payment Method
ABFO
  P.O. BOX 2103, Fremont CA 94536-0103   1/29/2009     250       0     Check
ALAMEDA COUNTY
  P.O. Box N,Alameda CA 94501-0108   1/29/2009     775       0     Check
ALLIED WASTE SERVICES #9
  P.O. BOX 78829, Phoenix AZ 85062-8829     1/8/2009     1,991.14       0     Check
ALLIED WASTE SERVICES #9
  P.O. BOX 78829, Phoenix AZ 85062-8829   2/13/2009     1,991.14       0     Check
ALLIED WASTE SERVICES #9
  P.O. BOX 78829, Phoenix AZ 85062-8829   3/13/2009     1,991.14       0     Check
AMERICAN EXPRESS
  2975 W. Corporate Lakes Blvd., Weston FL 33331-3626     1/8/2009     2,290.97       0     Check
AMERICAN EXPRESS
  2976 W. Corporate Lakes Blvd., Weston FL 33331-3626   2/13/2009     7,888.01       0     Check
AMERICAN EXPRESS
  2977 W. Corporate Lakes Blvd., Weston FL 33331-3626   3/13/2009     878.31       0     Check
AMERICAN EXPRESS CO.
  P.O. Box 360001, Ft. Lauderdale FL 33336-0001   1/29/2009     4,969.00       0     Check
AMERICAN EXPRESS CO.
  P.O. Box 360001, Ft. Lauderdale FL 33336-0001   2/13/2009     309.4       0     Check
ANTHEM BLUE CROSS
  P.O. BOX 54630, Los Angeles CA 90054-0630   1/29/2009     11,427.00       0     Check
ANTHEM BLUE CROSS
  P.O. BOX 54630, Los Angeles CA 90054-0630   2/27/2009     8,778.00       0     Check
ANTHEM BLUE CROSS
  P.O. BOX 54630, Los Angeles CA 90054-0630   3/13/2009     6,824.00       0     Check
APPLIED CLINICAL INTELLI
  225 City Avenue, Suite 15, Bala Cynwyd PA 19004   2/27/2009     5,000.00       0     Check
AT & T MOBILITY
  P.O. BOX 9004, Carol Stream IL 60197-9004   1/29/2009     1,739.75       0     Check
AT & T MOBILITY
  P.O. BOX 9004, Carol Stream IL 60197-9004   2/27/2009     2,119.43       0     Check
AT & T MOBILITY
  P.O. BOX 9004, Carol Stream IL 60197-9004   3/13/2009     1,538.37       0     Check
AT&T
  P.O. BOX 5019, Carol Stream IL 60197-5019     1/8/2009     505.75       0     Check
AT&T
  PAYMENT CENTER, Sacramento CA 95887-0001     1/8/2009     100.41       0     Check
AT&T
  PAYMENT CENTER, Sacramento CA 95887-0001   1/29/2009     1,185.28       0     Check
AT&T
  P.O. BOX 5019, Carol Stream IL 60197-5019   2/13/2009     874.65       0     Check
AT&T
  PAYMENT CENTER, Sacramento CA 95887-0001   2/13/2009     842.88       0     Check
AT&T
  P.O. BOX 5019, Carol Stream IL 60197-5019   2/27/2009     404.16       0     Check
BARKHURST, DAVID
  REDACTED   1/12/2009     1,136.74       0     Check
BARKHURST, DAVID
  REDACTED   1/29/2009     640       0     Check
BARKHURST, DAVID
  REDACTED   2/13/2009     120       0     Check
BAY ALARM COMPANY
  P.O. BOX 7137,San Francisco CA 94120-7137   1/29/2009     339       0     Check
BOWNE OF LOS ANGELES, IN
  P.O. Box 79358, City of Industry CA 91716-9358   2/13/2009     4,191.00       0     Check
BOWNE OF LOS ANGELES, IN
  P.O. Box 79358, City of Industry CA 91716-9358   2/27/2009     1,405.00       0     Check
BOWNE OF LOS ANGELES, IN
  P.O. Box 79358, City of Industry CA 91716-9358   3/13/2009     413       0     Check
CALIFORNIA BOARD OF
  P.O. Box 942879, Sacramento CA 94279-6009   1/21/2009     3,098.00       0     Wire Transfer
CAREY INTERNATIONAL INC.
  P.O. Box 631414, Baltimore MD 21263-1414   1/29/2009     670.77       0     Check
CARRUTHERS, SUSAN D.
  REDACTED   1/15/2009     72.62       0     Direct Deposit
CARRUTHERS, SUSAN D.
  REDACTED   2/27/2009     107.64       0     Direct Deposit
CARRUTHERS, SUSAN D.
  REDACTED   3/13/2009     85.04       0     Direct Deposit
CHAVEZ, JESUS N.
  REDACTED   1/21/2009     1,645.00       0     Check
CHAVEZ, JESUS N.
  REDACTED   1/29/2009     87.5       0     Check
CHAVEZ, JESUS N.
  REDACTED   2/27/2009     61.25       0     Check
CINTAS DOCUMENT MANAGEME
  P.O. Box 633842, Cincinnati OH 45263-3842   1/29/2009     140.35       0     Check
CINTAS DOCUMENT MANAGEME
  P.O. Box 633842, Cincinnati OH 45263-3842   2/27/2009     70       0     Check
CIT TECHNOLOGY FIN SERV,
  P.O. Box 100706, Pasadena CA 91189-0706     1/8/2009     336.82       0     Check
CIT TECHNOLOGY FIN SERV,
  P.O. Box 100706, Pasadena CA 91189-0706   1/29/2009     336.82       0     Check
CIT TECHNOLOGY FIN SERV,
  P.O. Box 100706, Pasadena CA 91189-0706   3/13/2009     336.82       0     Check
CONEXIS
  P.O. Box 5547, Orange CA 92863-5547   1/15/2009     40       0     Check
CONEXIS
  P.O. Box 5547, Orange CA 92863-5547   2/13/2009     40       0     Check


 

                             
VENDOR NAME   ADDRESS   Payment Date   Amount Paid   Amount Still Owing   Payment Method
CONEXIS
  P.O. Box 5547, Orange CA 92863-5547   3/13/2009     40       0     Check
CONTROL SOLUTIONS
  400 Amherst St. Suite 201, Nashua NH 03063   2/13/2009     13,760.00       0     Check
CREECH, WILLIAM B.
  2237 Mount Vernon Lane, Auburn AL 36830   1/29/2009     6,490.41       0     Check
CREECH, WILLIAM B.
  2237 Mount Vernon Lane, Auburn AL 36830   2/13/2009     3,687.50       0     Check
CREECH, WILLIAM B.
  2237 Mount Vernon Lane, Auburn AL 36830   3/13/2009     4,125.00       0     Check
CRUTCHER, GILLIAN
  REDACTED   3/13/2009     82.52       0     Direct Deposit
CRUTCHER, GILLIAN
  REDACTED   3/31/2009     125.05       0     Direct Deposit
CT CORPORATION
  P.O. Box 4349, Carol Stream IL 60197-4349     1/8/2009     618       0     Check
DELAWARE SECRETARY OF ST
  Corporation Trust Center,1209 Orange Street, Wilmington DE 19801   2/26/2009     21,093.64       0     Check
DELOITTE TAX LLP
  P.O. BOX 2079,Carol Stream IL 60132-2079     1/8/2009     20,000.00       0     Check
DELOITTE TAX LLP
  P.O. BOX 2079,Carol Stream IL 60132-2079   2/13/2009     25,000.00       0     Check
DELOITTE TAX LLP
  P.O. BOX 2079,Carol Stream IL 60132-2079   2/27/2009     5,000.00       0     Check
DELOITTE TAX LLP
  P.O. BOX 2079,Carol Stream IL 60132-2079   3/13/2009     5,000.00       0     Check
DELOITTE TOUCHE TOHMATSU
  8/F Office Tower W2,1 East Chang An Avenue, Beijing 100738, PRC  
1/6/2009
    4,204.00       0     Wire Transfer
E*TRADE FINANCIAL
  P.O. Box 3512, Arlington VA 22203   2/27/2009     5,098.23       0     Check
EDWARDS & ANGELL LLP
  P.O. BOX 40956, Hartford CT 06150-0956     1/8/2009     59,863.20       0     Check
ENDSIGHT
  1440 Fourth Street Suite B, Berkeley CA 94710   1/29/2009     5,100.00       0     Check
ENDSIGHT
  1440 Fourth Street Suite B, Berkeley CA 94710   2/13/2009     5,175.00       0     Check
ENDSIGHT
  1440 Fourth Street Suite B, Berkeley CA 94710   2/27/2009     100       0     Check
EXEC-U-CARE
  P.O. BOX 533204, Atlanta GA 30353-3204   1/15/2009     1,110.56       0     Check
EXEC-U-CARE
  P.O. BOX 533204, Atlanta GA 30353-3204   1/29/2009     919.67       0     Check
FACILITIES MAINTENANCE S
  266 Gifford Avenue, San Jose CA 95110   1/29/2009     987       0     Check
FACILITIES MAINTENANCE S
  266 Gifford Avenue, San Jose CA 95110   2/27/2009     459.77       0     Check
FEDEX ERS
  P.O. Box 371741, Pittsburgh PA 15250-7741     1/8/2009     349.74       0     Check
FEDEX ERS
  P.O. Box 371741, Pittsburgh PA 15250-7741   1/29/2009     692.08       0     Check
FEDEX ERS
  P.O. Box 371741, Pittsburgh PA 15250-7741   2/27/2009     213.33       0     Check
FEDEX ERS
  P.O. Box 371741, Pittsburgh PA 15250-7741   3/13/2009     222.02       0     Check
FIDELITY INVESTMENTS
  P.O. Box 73307, Chicago IL 60673-7307   2/27/2009     637       0     Check
FIDELITY MANAGEMENT TRUS
  100 Crosby Parkway,Mailzone KC1F-E, Covington KY 41015-4323   1/29/2009     1,793.23       0     Check
FPRS DEPOSITORY ACCOUNT
  P.O. Box 73307, Chicago IL 60673-7307     1/8/2009     2,277.50       0     Auto-Debit
FPRS DEPOSITORY ACCOUNT
  P.O. Box 73307, Chicago IL 60673-7307   1/20/2009     12,891.62       0     Auto-Debit
FPRS DEPOSITORY ACCOUNT
  P.O. Box 73307, Chicago IL 60673-7307     2/4/2009     21,913.98       0     Auto-Debit
FPRS DEPOSITORY ACCOUNT
  P.O. Box 73307, Chicago IL 60673-7307   2/19/2009     13,000.57       0     Auto-Debit
FUNG, ERIC
  REDACTED   1/15/2009     346.29       0     Direct Deposit
FUNG, ERIC
  REDACTED   2/27/2009     2,822.69       0     Direct Deposit
GADOL, NANCY
  301 Molton Ave. San Carlos CA 94070   2/13/2009     3,375.00       0     Check
GLOBAL CROSSING CONFEREN
  Dept. 518, Denver CO 80291-0518   1/29/2009     583.71       0     Check
GLOBAL CROSSING CONFEREN
  Dept. 518, Denver CO 80291-0518   2/13/2009     107.65       0     Check
GLOBAL CROSSING CONFEREN
  Dept. 518, Denver CO 80291-0518   3/13/2009     103.64       0     Check
GOUFFRANT, CECILE
  280 41st Street, Oakland CA 94611   1/29/2009     2,100.00       0     Check
GOUFFRANT, CECILE
  280 41st Street, Oakland CA 94611   2/27/2009     1,050.00       0     Check
HAMILTON, JOHN F.
  REDACTED   3/25/2009     5,000.00       0     Check
HARPER, MARIBETH R.
  REDACTED   1/29/2009     236.25       0     Check
HARRIS, PAUL C.
  3022 184th PI. SE, Bothell WA 98012   2/13/2009     1,125.00       0     Check
HYMAN, PHELPS & MCNAMARA
  700 13th Street, Suite 1200, Washington DC 20005   1/29/2009     8,100.00       0     Check
HYMAN, PHELPS & MCNAMARA
  700 13th Street, Suite 1200, Washington DC 20005   2/27/2009     840       0     Check
IMAGINE CENTER L.P.
  911 Ranch Rd 620 North Suite 100, Lakeway TX 78734     1/8/2009     240       0     Check
IRON MOUNTAIN
  P.O. BOX 601002, Los Angeles CA 90060-1002   1/29/2009     665.02       0     Check
IRON MOUNTAIN
  P.O. BOX 601002, Los Angeles CA 90060-1002   2/13/2009     370.66       0     Check


 

                             
VENDOR NAME   ADDRESS   Payment Date   Amount Paid   Amount Still Owing   Payment Method
IRON MOUNTAIN
  P.O. BOX 601002, Los Angeles CA 90060-1002   3/13/2009     290.72       0     Check
JOHNS HOPKINS UNIVERSITY
  JHU CENTRAL LOCKBOX, Bank of America, 12529 Collections Center Drive, Chicago IL 60693   1/29/2009     42,915.00       0     Check
JOHNS HOPKINS UNIVERSITY
  JHU CENTRAL LOCKBOX, Bank of America, 12529 Collections Center Drive, Chicago IL 60693   1/30/2009     50,000.00       0     Check
JOHNS HOPKINS UNIVERSITY
  JHU CENTRAL LOCKBOX, Bank of America, 12529 Collections Center Drive, Chicago IL 60693   2/13/2009     40,000.00       0     Check
JONES, JAMES V.
  REDACTED   2/13/2009     4,071.13       0     Check
LAND ROVER CAPITAL GROUP
  Department #193901, P.O. BOX 55000, Detroit MI 48255-1939     1/8/2009     1,363.77       0     Check
LAND ROVER CAPITAL GROUP
  Department #193901, P.O. BOX 55000, Detroit MI 48255-1939   1/29/2009     1,363.77       0     Check
LAND ROVER CAPITAL GROUP
  Department #193901, P.O. BOX 55000, Detroit MI 48255-1939   2/27/2009     1,363.77       0     Check
LANDESS, TINA M.
  REDACTED   1/21/2009     1,600.00       0     Check
LANDESS, TINA M.
  REDACTED   1/21/2009     1,600.00       0     Check
MESSAGELABS, INC.
  512 Seventh Avenue 6th Floor, New York NY 10018   1/29/2009     337.5       0     Check
MOE, RHONDA
  1022 Ocean Ln,Imperial Beach CA 91932   1/29/2009     1,235.00       0     Check
MOE, RHONDA
  1023 Ocean Ln,Imperial Beach CA 91932   2/13/2009     390       0     Check
MONTGOMERY PROFESSIONAL
  File #031052, P.O. BOX 60000, San Francisco CA 94160     1/8/2009     7,830.00       0     Check
MONTGOMERY PROFESSIONAL
  File #031052, P.O. BOX 60000, San Francisco CA 94160   1/29/2009     12,060.00       0     Check
MONTGOMERY PROFESSIONAL
  File #031052, P.O. BOX 60000, San Francisco CA 94160   2/13/2009     13,140.00       0     Check
MONTGOMERY PROFESSIONAL
  File #031052, P.O. BOX 60000, San Francisco CA 94160   2/27/2009     5,760.00       0     Check
MONTGOMERY PROFESSIONAL
  File #031052, P.O. BOX 60000, San Francisco CA 94160   3/17/2009     8,640.00       0     Check
NAIR & CO
  Whitefriars, Lewins Mead, Bristol BS1 2NT, UK   2/10/2009     17,000.00       0     Wire Transfer
NAIR & CO
  Whitefriars, Lewins Mead, Bristol BS1 2NT, UK  
2/27/2009
    20,000.00       0     Wire Transfer
NAIR & CO
  Whitefriars, Lewins Mead, Bristol BS1 2NT, UK     3/9/2009     7,000.00       0     Wire Transfer
NATIONAL ONCOLOGY ALLIAN
  750 Lindaro Street, Suite 350, San Rafael CA 94901     1/8/2009     25,000.00       0     Check
NELDA WELLS SPEARS
  TRAVIS CNTY TAX ASSESSOR-COL, 5501 AIRPORT BLVD, P.O. BOX 149326, Austin TX 78714-9326   1/29/2009     65.3       0     Check
OFFICE DEPOT
  P.O. Box 70001, Los Angeles CA90074-0001   1/29/2009     195.36       0     Check
OFFICE DEPOT
  P.O. Box 70001, Los Angeles CA90074-0001   2/13/2009     39.11       0     Check
P G & E
  Box 997300, Sacramento CA 95899-7300   1/29/2009     1,217.77       0     Check
P G & E
  Box 997300, Sacramento CA 95899-7300   2/13/2009     1,341.67       0     Check
PAGE, GAIL
  REDACTED   1/15/2009     707.62       0     Direct Deposit
PAGE, GAIL
  REDACTED   2/27/2009     812.72       0     Direct Deposit
PALLIS, KATHERINE C.
  87 Encantado Loop, Santa Fe NM 87508   1/29/2009     5,524.20       0     Check
PAUL, HASTINGS, JANOFSKY
  55 Second Street, 24th Floor, San Francisco CA 94105-3441     1/8/2009     48,000.00       0     Check
PAUL, HASTINGS, JANOFSKY
  55 Second Street, 24th Floor, San Francisco CA 94105-3441  
2/6/2009
    50,663.23       0     Check
PAUL, HASTINGS, JANOFSKY
  55 Second Street, 24th Floor, San Francisco CA 94105-3441   2/13/2009     11,501.25       0     Check
PAUL, HASTINGS, JANOFSKY
  55 Second Street, 24th Floor, San Francisco CA 94105-3441   2/27/2009     15,000.00       0     Check
PAUL, HASTINGS, JANOFSKY
  55 Second Street, 24th Floor, San Francisco CA 94105-3441   3/13/2009     5,000.00       0     Check
PAUL, HASTINGS, JANOFSKY
  55 Second Street, 24th Floor, San Francisco CA 94105-3441   3/25/2009     170,000.00       0     Wire Transfer
PITNEY BOWES GLOBAL
  P.O. Box 856460, Louisville KY 40285-6460   3/13/2009     931.96       0     Check
PR NEWSWIRE
  G.P.O. BOX 5897, New York NY 10087-5897   1/29/2009     1,060.50       0     Check
PRAXAIR DISTRIBUTION, IN
  Dept LA 21511, Pasadena CA 91185-1511   1/29/2009     52.19       0     Check
PRAXAIR DISTRIBUTION, IN
  Dept LA 21511, Pasadena CA 91185-1511   3/13/2009     26.46       0     Check
PRECISIONMED INC.
  132 N. Acacia Avenue, Solana Beach CA 92075     1/8/2009     4,341.00       0     Check
PRECISIONMED INC.
  132 N. Acacia Avenue, Solana Beach CA 92075   2/27/2009     5,000.00       0     Check
PRICEWATERHOUSECOOPERS L
  P.O. Box 31001-0068, Pasadena CA 91110-0068   2/13/2009     7,675.00       0     Check
PRICEWATERHOUSECOOPERS L
  P.O. Box 31001-0068, Pasadena CA 91110-0068   3/13/2009     5,000.00       0     Check
PRINCIPAL LIFE GROUP
  P.O. BOX 14513, Des Moines IA 50306-3513   1/15/2009     1,004.26       0     Check
PRINCIPAL LIFE GROUP
  P.O. BOX 14513, Des Moines IA 50306-3513   2/27/2009     1,071.90       0     Check
PRINCIPAL LIFE INSURANCE
  P.O. BOX 10372, Des Moines IA 50306-3513   1/15/2009     1,203.70       0     Check
PRINCIPAL LIFE INSURANCE
  P.O. BOX 10372, Des Moines IA 50306-3513   2/13/2009     1,203.70       0     Check
PRINCIPAL LIFE INSURANCE
  P.O. BOX 10372, Des Moines IA 50306-3513   2/13/2009     812.65       0     Check


 

                             
VENDOR NAME   ADDRESS   Payment Date   Amount Paid   Amount Still Owing   Payment Method
PRINCIPAL LIFE INSURANCE
  P.O. BOX 10372, Des Moines IA 50306-3513   2/27/2009     608.66       0     Check
PROCESSWORKS
  250 N. Patrick Blvd Suite 125, Brookfield WI 53045   1/29/2009     1,479.95       0     Check
PROCESSWORKS INC.
  P.O.Box 712748, Cincinnati OH 45271-2748   1/15/2009     604       0     Check
PROCESSWORKS INC.
  P.O.Box 712748, Cincinnati OH 45271-2748   2/13/2009     50       0     Check
PROCESSWORKS INC.
  P.O.Box 712748, Cincinnati OH 45271-2748   3/13/2009     50       0     Check
PROLOGIS LIMITED PARTNER
  4545 Airport Way, Denver CO 80239   1/29/2009     9,076.06       0     Check
PROLOGIS LIMITED PARTNER
  4545 Airport Way, Denver CO 80239   2/27/2009     9,076.06       0     Check
PROLOGIS LIMITED PARTNER
  4545 Airport Way, Denver CO 80239   3/13/2009     9,076.06       0     Check
PUBLIC STORAGE
  24211-FREMONT/ALBRAE, 42101 Albrae Street, Fremont CA 94538-3123   1/29/2009     257       0     Check
PUBLIC STORAGE, INC.
  1096 FAIR OAKS AVENUE, SUNNYVALE CA 94089   2/27/2009     255       0     Check
PUBLIC STORAGE, INC.
  1096 FAIR OAKS AVENUE, SUNNYVALE CA 94089   3/13/2009     255       0     Check
PURCHASE POWER
  P.O. BOX 856042, Louisville KY 40285-6042     1/8/2009     206.99       0     Check
QUEST DIAGNOSTICS, INC.
  P.O. Box 5001, Collegeville PA 19426     1/5/2009     34,931.51       0     Wire Transfer
QUEST DIAGNOSTICS, INC.
  P.O. Box 5001, Collegeville PA 19426   2/11/2009     31,849.31       0     Wire Transfer
QUINN EMANUEL URQUHART
  865 South Figueroa Street 10th Floor, Los Angeles CA 90017     1/8/2009     18,060.89       0     Check
QUINN EMANUEL URQUHART
  865 South Figueroa Street 10th Floor, Los Angeles CA 90017   2/27/2009     1,079.36       0     Check
SCHULMAN ASSOCIATES
  4290 Glendale-Milford Rd. Cincinnati OH 45242   1/29/2009     1,475.00       0     Check
SHORTER, SIMON
  REDACTED   1/15/2009     227.28       0     Direct Deposit
SHORTER, SIMON
  REDACTED   2/27/2009     343.97       0     Direct Deposit
SHORTER, SIMON
  REDACTED   3/13/2009     155.11       0     Direct Deposit
SHORTER, SIMON
  REDACTED   3/31/2009     44.99       0     Direct Deposit
SIGMA-ALDRICH, INC.
  P.O. BOX 535182, Atlanta GA 30353-5182   3/13/2009     108.13       0     Check
STANFORD UNIVERSITY
  Department #44439, P.O. BOX 44000, San Francisco CA 94144-4439   1/29/2009     1,216.00       0     Check
STERICYCLE INC.
  P.O. Box 9001589, Louisville KY 40290-1589   1/29/2009     1,001.22       0     Check
STERICYCLE INC.
  P.O. Box 9001589, Louisville KY 40290-1589   2/13/2009     500.61       0     Check
STERICYCLE INC.
  P.O. Box 9001589, Louisville KY 40290-1589   3/13/2009     500.61       0     Check
TESTORFF, CHARLOTTE
  1841 Alburn Place, El Dorado Hills CA 95762   1/21/2009     3,000.00       0     Check
TESTORFF, CHARLOTTE
  1841 Alburn Place, El Dorado Hills CA 95762   1/29/2009     3,000.00       0     Check
TESTORFF, CHARLOTTE
  1841 Alburn Place, El Dorado Hills CA 95762   3/25/2009     1,500.00       0     Check
THOMSON FINANCIAL LLC
  195 Broadway 7th Floor, New York NY 10007   2/13/2009     3,551.00       0     Check
TOWNSEND & TOWNSEND ET A
  TWO EMBARCADERO CENTER 8TH FLOOR, SAN FRANCISCO CA 94111-3834     1/8/2009     3,101.74       0     Check
US BANK
  60 Livingston Avenue, Saint Paul MN 55107     1/5/2009     15,762.05       0     Wire Transfer
VISION SERVICE PLAN — (C
  P.O. BOX 45210, San Francisco CA 94145-5210   1/15/2009     104.85       0     Check
VISION SERVICE PLAN — (C
  P.O. BOX 45210, San Francisco CA 94145-5210   1/29/2009     87.48       0     Check
VISION SERVICE PLAN — (C
  P.O. BOX 45210, San Francisco CA 94145-5210   2/27/2009     87.48       0     Check
Vo, Kristy
  REDACTED   1/29/2009     2,640.00       0     Check
Vo, Kristy
  REDACTED   2/27/2009     1,320.00       0     Check
VWR INTERNATIONAL INC.
  P.O. BOX 31001-1257, Pasadena CA 91110-1257   1/29/2009     403.58       0     Check
Wells Fargo of CA Ins. S
  Dept. 33457 PO Box 39000, San Francisco CA 94139   3/13/2009     6,123.25       0     Check
WELLS FARGO SHAREOWNER S
  P.O. Box 64875, St. Paul MN 55164-0875   2/13/2009     1,407.00       0     Check
WOMBLE CARLYLE SANDRIDGE
  222 Delaware Avenue, Suite 1501 Wilmington, DE 19801   3/27/2009     30,000.00       0     Wire Transfer
YIP, CHRISTINE I.
  REDACTED   3/13/2009     1,850.28       0     Direct Deposit
YIP, CHRISTINE I.
  REDACTED   3/31/2009     28.98       0     Direct Deposit
ZHANG, DR. ZHEN
  14104 Big Branch Drive, Dayton MD 21036   1/29/2009     332.96       0     Check
 
                           
Report Total
            1,148,345.32              
 
                           


 

Form 7, question 3-c
                                   
Name   Address   Relationship   Date of Payment   Total Amount Paid   Amount Still Owing   Payment Method
John Hamilton
  REDACTED   Director   $10,000 on 11/21/08, $5,000 on 3/25/09     15,000.00       0     Check
 
                               
Gail Page
  REDACTED   Director/President & CEO   3/15/08, 3/31/08, 4/15/08, 4/30/08, 5/15/08, 5/31/08, 6/15/08, 6/30/08, 7/15/08, 7/31/08, 8/15/08, 8/31/08, 9/15/08, 9/30/08, 10/15/08, 10/31/08, 11/15/08, 11/30/08, 12/15/08, 12/31/08, 1/15/09, 1/31/09, 2/15/09, 2/28/09, 3/15/09, 3/27/09     471,568.88       0     Semi-monthly Payroll Direct Deposit
 
                               
Eric Fung
  REDACTED   VP & Chief Science Officer   3/15/08, 3/31/08, 4/15/08, 4/30/08, 5/15/08, 5/31/08, 6/15/08, 6/30/08, 7/15/08, 7/31/08, 8/15/08, 8/31/08, 9/15/08, 9/30/08, 10/15/08, 10/31/08, 11/15/08, 11/30/08, 12/15/08, 12/31/08, 1/15/09, 1/31/09, 2/15/09, 2/28/09, 3/15/09, 3/19/09     250,520.22       0     Semi-monthly Payroll Direct Deposit
 
                               
Simon Shorter
  REDACTED   VP of Business Development   3/15/08, 3/31/08, 4/15/08, 4/30/08, 5/15/08, 5/31/08, 6/15/08, 6/30/08, 7/15/08, 7/31/08, 8/15/08, 8/31/08, 9/15/08, 9/30/08, 10/15/08, 10/31/08, 11/15/08, 11/30/08, 12/15/08, 12/31/08, 1/15/09, 1/31/09, 2/15/09, 2/28/09, 3/15/09, 3/27/09     225,515.00       0     Semi-monthly Payroll Direct Deposit
 
                               
Qun Zhou
  REDACTED   Interim CFO & Corporate Controller   3/15/08, 3/31/08, 4/15/08, 4/30/08, 5/15/08, 5/31/08, 6/15/08, 6/30/08, 7/15/08, 7/31/08, 8/15/08, 8/31/08, 9/15/08, 9/30/08, 10/15/08, 10/31/08, 11/15/08, 11/30/08, 12/15/08, 12/31/08, 1/15/09, 1/31/09, 2/15/09, 2/28/09, 3/15/09, 3/27/09     171,684.40       0     Semi-monthly Payroll Direct Deposit


 

Form 7, question 4-a
Parties of Litigation involving Vermillion
                                     
Case   Plaintiff   Defendant   Nature of Proceeding   Case #   Court   Plaintiff Contact   Address   Tel   Fax
MAS Litigation
  Molecular Analytical Systems   Vermillion Bio-Rad   MAS alleges that Vermillion is in breach of its license agreement with MAS relating to SELDI technology   H032845   Court of Appeal of the State of California, Sixth Appellate District   Steve Ellenberg
Law Offices of Steven A. Ellenberg



Defendant Contact for MAS case
Melissa Baily
Quinn Emanuel Urquhart Oliver & Hedges, LLP
  125 South Market St. Suite 1001
San Jose, CA 95113





50 California Street, 22nd Floor
San Francisco, CA 94111
  408-998-8500 ext 202







(415) 875-6336
  408-998-8503







(415) 875-6700
 
                                   
OPCO Litigation
  Vermillion Inc   Oppenheimer & Co   Vermillion charges OPCO for mismanagement of Vermillion funds in OPCO account   09-00486   FINRA Dispute Resolution   Scott J. Link
Richard L. Stone
Ackerman, Link & Sartory, P.A.



Defendant Contact for OPCO case
David Bartholomew
Palmer, Lombardi & Donohue, LLP
  222 Lakeview Avenue
Suite 1250 — Esperante
West Palm Beach, FL 33401





888 West 6th Street
12th Floor
Los Angeles, CA 90017
  561-838-4100






(213) 688-0430
  561-838-5305


 

Form 7, question 18-b
Foreign Subsidiaries
             
    Vermillion    
Name of Entity   Ownership   Description
Ciphergen Biosystems GmbH ( Germany )
    100 %   Entity was set up as the sales organization for ProteinChip systems when the company was still Ciphergen Biosystems.
Entity had no operation activities since late 2006 after the company sold the Protein Chip tool business to Bio-Rad.
Entity is in the final stage of liquidation at the time of filing.
 
           
Ciphergen Biosystems S.r.l ( Italy )
    100 %   Same as CB GmbH
 
           
Ciphergen Biosystems EURL ( France)
    100 %   Same as CB GmbH
 
           
Ciphergen (Beijing) Biosystems Co., Ltd. ( China )
    100 %   Same as CB GmbH
 
           
Ciphergen Biosystems Ltd. (UK)
    100 %   Already Liquidated
 
           
Ciphergen Biosystems A/S ( Denmark )
    100 %   Already Liquidated
 
           
Ciphergen Biosystems AG ( Switzerland )
    100 %   Already Liquidated
 
           
Ciphergen Biosystems KK ( Japan )
    100 %   Entity was set up as the sales organization for ProteinChip systems when the company was still Ciphergen Biosystems.
Entity had no operation activities since late 2006 after the company sold the Protein Chip tool business to Bio-Rad.
 
           
Ciphergen Biosystems International Inc.
    100 %   Germany, France, Italy subsidiaries operates under CBII
 
           
Ciphergen Technologies Inc
    100 %   Inactive US company
 
           
Illumesys Pacific Inc
    100 %   Inactive US company


 

Form 7, question 23
                         
Name   Address   Relationship   Date   Purpose   Stock Options   Grant Price
James Burns
  REDACTED   Director   06/11/08   Annual Grant   18,000   $2.04
 
 
          10/28/08   Grant in lieu of Cash Payment   12,500   $0.75
Kenneth Conway
  REDACTED   Director   06/11/08   Annual Grant   20,500   $2.04
 
 
          10/28/08   Grant in lieu of Cash Payment   12,500   $0.75
Rajen Dalal
  REDACTED   Director   06/11/08   Annual Grant   20,500   $2.04
 
 
          10/28/08   Grant in lieu of Cash Payment   12,500   $0.75
John Hamilton
  REDACTED   Director   06/11/08   New member Grant   30,000   $2.04
James Rathmann
  REDACTED   Chairman of the Board   06/11/08   Annual Grant   28,000   $2.04
 
 
          10/28/08   Grant in lieu of Cash Payment   12,500   $0.75
John Young
  REDACTED   Director   06/11/08   Annual Grant   18,000   $2.04
 
 
          10/28/08   Grant in lieu of Cash Payment   12,500   $0.75
Gail Page
  REDACTED   Director/President & CEO   07/18/08   Annual Grant   125,000   $2.30
Eric Fung
  REDACTED   VP & Chief Science Officer   07/18/08   Annual Grant   40,000   $2.30
Simon Shorter
  REDACTED   VP of Business Development   07/18/08   Annual Grant   20,000   $2.30
Qun Zhou
  REDACTED   Interim CFO & Corporate Controller   07/18/08   Annual Grant   10,000   $2.30


 

B6 Summary (Form 6 — Summary) (12/07)
United States Bankruptcy Court
District of Delaware
                 
In re
  Vermillion, Inc.       Case No.   09-11091
             
 
      Debtor(s)                       Chapter   11
                 
SUMMARY OF SCHEDULES
Indicate as to each schedule whether that schedule is attached and state the number of pages in each. Report the totals from Schedules A, B, D, E, F, I, and J in the boxes provided. Add the amounts from Schedules A and B to determine the total amount of the debtor’s assets. Add the amounts of all claims from Schedules D, E, and F to determine the total amount of the debtor’s liabilities. Individual debtors also must complete the “Statistical Summary of Certain Liabilities and Related Data” if they file a case under chapter 7,11, or 13.
                                         
    ATTACHED     NO. OF                    
NAME OF SCHEDULE   (YES/NO)     SHEETS     ASSETS     LIABILITIES     OTHER  
A — Real Property
  Yes           $ 0.00                  
B — Personal Property
  Yes           $ 1,229,353.95                  
C — Property Claimed as Exempt
  No                                
D — Creditors Holding Secured Claims
  Yes                   $ 10,000,000.00          
E — Creditors Holding Unsecured Priority Claims (Total of Claims on Schedule E)
  Yes                   $ 0.00          
F — Creditors Holding Unsecured Nonpriority Claims
  Yes                   $ 21,749,642.25          
G — Executory Contracts and Unexpired Leases
  Yes                                
H — Codebtors
  Yes                                
I — Current Income of Individual Debtor(s)
  No                           $ N/A  
J — Current Expenditures of Individual Debtor(s)
  No                           $ N/A  
 
                                   
TOTAL
                  $ 1,229,353.95     $ 31,749,642.35          
 
                                   
United States Bankruptcy Court
District of Delaware
                 
In re
  Vermillion, Inc.       Case No.   09-11091
             
 
      Debtor(s)                       Chapter   11
                 
STATISTICAL SUMMARY OF CERTAIN LIABILITIES AND RELATED DATA (28 U.S.C. § 159)
     If you are an individual debtor whose debts are primarily consumer debts, as defined in § 101(8) of the Bankruptcy Code (11 U.S.C. § 101(8)), filing a case under chapter 7, 11 or 13, you must report all information requested below.
     þ Check this box if you are an individual debtor whose debts are NOT primarily consumer debts. You are not required to report any information here.


 

B6A (Official Form 6A) (12/07)
                 
In re
  Vermillion, Inc.       Case No.   09-11091
             
 
      Debtor(s)                            
SCHEDULE A — REAL PROPERTY
     Except as directed below, list all real property in which the debtor has any legal, equitable, or future interest, including all property owned as a co-tenant, community property, or in which the debtor has a life estate. Include any property in which the debtor holds rights and powers exercisable for the debtor’s own benefit. If the debtor is married, state whether the husband, wife, both, or the marital community own the property by placing an “H,” “W,” “J,” or “C” in the column labeled “Husband, Wife, Joint, or Community.” If the debtor holds no interest in real property, write “None” under “Description and Location of Property.”
     Do not include interests in executory contracts and unexpired leases on this schedule. List them in Schedule G — Executory Contracts and Unexpired Leases.
     If an entity claims to have a lien or hold a secured interest in any property, state the amount of the secured claim. See Schedule D. If no entity claims to hold a secured interest in the property, write “none” in the column labeled “Amount of Secured Claim.”
     If the debtor is an individual or if a joint petition is filed, state the amount of any exemption claimed in the property only in Schedule C — Property Claimed as Exempt.
                                 
                    CURRENT VALUE        
                    OF DEBTOR’S        
            HUSBAND,     INTEREST IN        
            WIFE,     PROPERTY, WITHOUT        
DESCRIPTION AND           JOINT,     DEDUCTING ANY     AMOUNT OF  
LOCATION OF   NATURE OF DEBTOR’S     OR     SECURED CLAIM     SECURED  
PROPERTY   INTEREST IN PROPERTY     COMMUNITY     OR EXEMPTION     CLAIM  
-NONE-
                               
 
          Total:   $ 0.00          
 
                             
          (Report also on Summary of Schedules)
       
     
Sheet 1 of 1 total sheets in Schedule of Real Property    
     
Software Copyright (c) 1996-2008 Best Case Solutions — Evanston, IL — (800) 492-8037   Best Case Bankruptcy


 

     
B6B (Official Form 6B) (12/07)
   
In re: Vermillion, Inc.
  Case No. 09-11091 (CSS)
SCHEDULE B — PERSONAL PROPERTY
     Except as directed below, list all personal property of the debtor of whatever kind. If the debtor has no property in one or more of the categories, place an ‘X’ in the appropriate position in the column labeled ‘None’. If additional space is needed in any category, attach a separate sheet properly identified with the case name, case number, and the number of the category. If the debtor is married, state whether the husband, wife, both, or the marital community own the property by placing an ‘H,’ ‘W,’ ‘J,’ or ‘C’ in the column labeled ‘HWJC.’ If the debtor is an individual or a joint petition is filed, state the amount of any exemptions claimed only in Schedule C — Property Claimed as Exempt.
     Do not list interests in executory contracts and unexpired leases on this schedule. List them in Schedule G — Executory Contracts and Unexpired Leases.
If the property is being held for the debtor by someone else, state that person’s name and address under ‘Description and Location of Property.’ If the property is being held for a minor child, simply state the child’s initials and the name and address of the child’s parent or guardian, such as ‘A.B., a minor child, by John Doe, guardian.’ Do not disclose the child’s name. See, 11 U.S.C. §112 and Fed. R. Bankr. P. 1007 (m).
                             
                        CURRENT VALUE OF  
                        DEBTOR’S INTEREST IN  
                        PROPERTY, WITHOUT  
                        DEDUCTING ANY SECURED  
TYPE OF PROPERTY   NONE   DESCRIPTION AND LOCATION OF PROPERTY     HWJC     CLAIM OR EXEMPTION  
1. Cash on hand.
  X                        
2. Checking, savings or other financial accounts, certificates of deposit or shares in banks, savings and loan, thrift, building and loan, and homestead associations, or credit unions, brokerage houses, or cooperatives.
      As of 3/31/09
Silicon Valley Bank
Oppenheimer - Money market
Oppenheimer - Investment
         
$
$

610,214.31
3,701.57
(Book value $1m)
 
3. Security deposits with public utilities, telephone companies, landlords, and others.
      LC for Landlord - SVB           $ 100,000  
4. Household goods and furnishings, including audio, video, and computer equipment.
  X                        
 
      Subtotal (Total on this page)     $ 713,915.88  
 
Footnote:
 
(1)

Page 1 of 7


 

     
B6B (Official Form 6B) (12/07) — Cont.
   
In re: Vermillion, Inc.
  Case No. 09-11091 (CSS)
SCHEDULE B — PERSONAL PROPERTY
(Continuation Sheet)
                             
                        CURRENT VALUE OF  
                        DEBTOR’S INTEREST IN  
                        PROPERTY, WITHOUT  
                        DEDUCTING ANY SECURED  
TYPE OF PROPERTY   NONE   DESCRIPTION AND LOCATION OF PROPERTY     HWJC     CLAIM OR EXEMPTION  
5. Books; pictures and other art objects; antiques; stamp, coin, record, tape, compact disc, and other collections or collectibles.
  X                        
6. Wearing apparel.
  X                        
7. Furs and jewelry.
  X                        
8. Firearms and sports, photographic, and other hobby equipment.
  X                        
9. Interests in insurance policies. Name insurance company of each policy and itemize surrender or refund value of each.
  X                        
10. Annuities. Itemize and name each issuer.
  X                        
 
      Subtotal (Total on this page)     $ 0  
 
Footnote:
 
(2)

Page 2 of  7


 

 
B6B (Official Form 6B) (12/07) — Cont.
   
In re: Vermillion, Inc.
  Case No. 09-11091 (CSS)
SCHEDULE B — PERSONAL PROPERTY
(Continuation Sheet)
                     
                    CURRENT VALUE OF
                    DEBTOR’S INTEREST IN
                    PROPERTY, WITHOUT
                    DEDUCTING ANY SECURED
TYPE OF PROPERTY   NONE   DESCRIPTION AND LOCATION OF PROPERTY   HWJC     CLAIM OR EXEMPTION
11. Interests in an education IRA as defined in 26 U.S.C. § 530(b)(1) or under a qualified State tuition plan as defined in 26 U.S.C. § 529(b)(1). Give particulars. (File separately the record(s) of any such interest(s). 11 U.S.C. § 521(c).)
  X                
12. Interests in IRA, ERISA, Keogh, or other pension or profit sharing plans. Give particulars.
  X                
13. Stock and interests in incorporated and unincorporated businesses. Itemize.
      Ciphergen Biosystems International Inc. ( CBII)




Ciphergen Technologies Inc

Illumesys Pacific Inc
          100% owned subsidiary of Vermillion, set up for international sales for tool business already sold in late 2006
100% owned subsidiary of Vermillion, inactive
Same as above
 
      Ciphergen Biosystems GmbH ( Germany )           100% owned by CBII, in process of liquidation
 
      Ciphergen Biosystems S.r.l ( Italy )           Same as GmbH
 
      Ciphergen Biosystems EURL ( France)           Same as GmbH
 
      Ciphergen (Beijing) Biosystems Co., Ltd. ( China )           100% owned subsidiary of Vermillion, in process of liquidation
 
      Ciphergen Biosystems KK ( Japan )           100% owned subsidiary of Vermillion,
14. Interests in partnerships or joint ventures. Itemize.
  X                
15. Government and corporate bonds and other negotiable and nonnegotiable instruments.
  X                
 
                 
 
      Subtotal (Total on this page)     $ 0
 
                 

Page 3 of  7


 

 
B6B (Official Form 6B) (12/07) — Cont.
   
In re: Vermillion, Inc.
  Case No. 09-11091 (CSS)
SCHEDULE B — PERSONAL PROPERTY
(Continuation Sheet)
                             
                        CURRENT VALUE OF  
                        DEBTOR’S INTEREST IN  
                        PROPERTY, WITHOUT  
                        DEDUCTING ANY SECURED  
TYPE OF PROPERTY   NONE   DESCRIPTION AND LOCATION OF PROPERTY     HWJC     CLAIM OR EXEMPTION  
16. Accounts Receivable.
  X                        
17. Alimony, maintenance, support, and property settlements to which the debtor is or may be entitled. Give particulars.
  X                        
18. Other liquidated debts owed to debtor including tax refunds. Give particulars.
  X                        
19. Equitable or future interests, life estates, and rights or powers exercisable for the benefit of the debtor other than those listed in Schedule A — Real Property.
  X                        
20. Contingent and noncontingent interests in estate of a decedent, death benefit plan, life insurance policy, or trust.
  X                        
21. Other contingent and unliquidated claims of every nature, including tax refunds, counterclaims of the debtor, and rights to setoff claims. Give estimated value of each.
      Vermilion vs Oppenheimer & Co.
Vermillion charges OPCO for mismanagement of Vermillion funds in OPCO account
          unknown
 
      Subtotal (Total on this page)     $ 0  

Page 4 of  7


 

B6B (Official Form 6B) (12/07) — Cont.    
In re: Vermillion, Inc.   Case No. 09-11091 (CSS)
SCHEDULE B — PERSONAL PROPERTY
(Continuation Sheet)
                     
                CURRENT VALUE OF
                DEBTOR’S INTEREST IN
                PROPERTY, WITHOUT
                DEDUCTING ANY SECURED
TYPE OF PROPERTY   NONE   DESCRIPTION AND LOCATION OF PROPERTY   HWJC   CLAIM OR EXEMPTION
22. Patents, copyrights, and other intellectual property. Give particulars.
      See Exhibit 1            
23. Licenses, franchises, and other general intangibles. Give particulars.
      See Exhibit 2            
24. Customer lists or other compilations containing personally identifiable information (as defined in 11 U.S.C. § 101 (41A)) provided to the debtor by individuals in connection with obtaining a product or service from the debtor primarily for personal, family, or household purposes.
  X                
25. Automobiles, trucks, trailers, and other vehicles and accessories.
  X                
26. Boats, motors, and accessories.
  X                
27. Aircraft and accessories.
  X                
        Subtotal (Total on this page)
  $   0

Page 5 of 7


 

B6B (Official Form 6B) (12/07) — Cont.    
In re: Vermillion, Inc.   Case No. 09-11091 (CSS)
SCHEDULE B — PERSONAL PROPERTY
(Continuation Sheet)
                     
                CURRENT VALUE OF
                DEBTOR’S INTEREST IN
                PROPERTY, WITHOUT
                DEDUCTING ANY SECURED
TYPE OF PROPERTY   NONE   DESCRIPTION AND LOCATION OF PROPERTY   HWJC   CLAIM OR EXEMPTION
28. Office equipment, furnishings, and supplies.
      See Exhibit 3            
29. Machinery, fixtures, equipment, and supplies used in business.
      See Exhibit 3       As of 3/31/09, book value of $515,438.07
30. Inventory.
  X                
31. Animals.
  X                
32. Crops — growing or harvested. Give particulars.
  X                
33. Farming equipment and implements.
  X                
        Subtotal (Total on this page)
  $   515,438.07

Page 6 of 7


 

B6B (Official Form 6B) (12/07) — Cont.    
In re: Vermillion, Inc.   Case No. 09-11091 (CSS)
SCHEDULE B — PERSONAL PROPERTY
(Continuation Sheet)
                     
                CURRENT VALUE OF
                DEBTOR’S INTEREST IN
                PROPERTY, WITHOUT
                DEDUCTING ANY SECURED
TYPE OF PROPERTY   NONE   DESCRIPTION AND LOCATION OF PROPERTY   HWJC   CLAIM OR EXEMPTION
34. Farm supplies, chemicals, and feed.
  X                
35. Other personal property of any kind not already listed. Itemize.
  X                
        Subtotal (Total on this page)
  $   0
 
                   
        Total
  $   1,229,353.95
 
                   
(Include amounts from any continuation
sheets attached. Report total also on
Summary of Schedules.)
Footnote:

(3)

Page 7 of 7


 

     
     
In re: Vermillion Inc.
  Case No. 09-11091
Schedule B — Exhibit 1
                                                                         
                                Earliest Priority Date -                                
                            Filing Date - date of   ie provisional filing                                
                            filing specific   date (for publication,                                
                            application (nat’l phase,   request for           Status/Expected                    
        Vermillion File No.   Ctry   Genealogy   Application No.   div, con, etc.)   examination, etc.)   Title   Inventors   Actions   Publication #   Published   Patent No.   Issued   Expires
  1    
016866-008110 US
  US   National Phase of PCT/US02/28152     10/487,978     Feb 27, 2004   Aug 30, 2001   METHOD OF DIAGNOSING NEPHROTIC SYNDROME   Naohisa TOMOSUGI   ISSUED   US 2005-0260678 A1   Nov 24, 2005     7,297,556     Nov 20, 2007   Dec 24, 2023
  2    
016866-011550 EP
  EP   National Phase of PCT/US2004/37994     04810948.2     Nov 06, 2004   Nov 07, 2003   BIOMARKERS FOR ALZHEIMER’S DISEASE   Huw Alun DAVIES, James Norton McGUIRE, Anja Hviid SIMONSEN, Kaj BLENNOW, and Vladimir N. PODUST   PENDING   EP 1694816 A2   Aug 30, 2006               Nov 06, 2024
  3    
016866-011550 JP
  JP   National Phase of PCT/US2004/37994     2006-538558     Nov 06, 2004   Nov 07, 2003   BIOMARKERS FOR ALZHEIMER’S DISEASE   Huw Alun DAVIES, James Norton McGUIRE, Anja Hviid SIMONSEN, Kaj BLENNOW, and Vladimir N. PODUST   PENDING                           Nov 06, 2024
  4    
016866-011550 US
  US   Claims Priority from 60/518,360, 60/526,753, 60/546,423 (012600), 60/547,250, 60/558,896 (012610), 60/572,617, and 60/586,503     10/982,545     Nov 06, 2004   Nov 07, 2003   BIOMARKERS FOR ALZHEIMER’S DISEASE   Huw Alun DAVIES, James Norton McGUIRE, Anja Hviid SIMONSEN, Kaj BLENNOW, and Vladimir N. PODUST   PENDING   US 2005-0244890 A1   Nov 03, 2005               Nov 06, 2024
  5    
016866-015110 AU
  AU   National Phase of PCT/US2005/18728     2005253081     May 26, 2005   Jun 03, 2004   BIOMARKERS FOR PERIPHERAL ARTERY DISEASE   Eric T. FUNG, John P. COOKE, Xiao-Ying MENG, Tai-Tung YIP, and Fujun ZHANG   PENDING — TTC to Req Exam in late Oct 2008                           May 26, 2025
  6    
016866-015110 CA
  CA   National Phase of PCT/US2005/18728     2568976     May 26, 2005   Jun 03, 2004   BIOMARKERS FOR PERIPHERAL ARTERY DISEASE   Eric T. FUNG, John P. COOKE, Xiao-Ying MENG, Tai-Tung YIP, and Fujun ZHANG   PENDING                           May 26, 2025
  7    
016866-015110 CN
  CN   National Phase of PCT/US2005/18728     200580026416.x     May 26, 2005   Jun 03, 2004   BIOMARKERS FOR PERIPHERAL ARTERY DISEASE   Eric T. FUNG, John P. COOKE, Xiao-Ying MENG, Tai-Tung YIP, and Fujun ZHANG   PENDING   CN 101002084A   Jul 18, 2007               May 26, 2025
  8    
016866-015110 EP
  EP   National Phase of PCT/US2005/18728     05753615.3     May 26, 2005   Jun 03, 2004   BIOMARKERS FOR PERIPHERAL ARTERY DISEASE   Eric T. FUNG, John P. COOKE, Xiao-Ying MENG, Tai-Tung YIP, and Fujun ZHANG   PENDING   EP 1756554 A1   Feb 28, 2007               May 26, 2025
  9    
016866-015110 HK
  HK   Based on EP 05753615.3     07109214.4     May 26, 2005   Jun 03, 2004   BIOMARKERS FOR PERIPHERAL ARTERY DISEASE   Eric T. FUNG, John P. COOKE, Xiao-Ying MENG, Tai-Tung YIP, and Fujun ZHANG   PENDING                           May 26, 2025
  10    
016866-015110 JP
  JP   National Phase of PCT/US2005/18728     2007-515387     May 26, 2005   Jun 03, 2004   BIOMARKERS FOR PERIPHERAL ARTERY DISEASE   Eric T. FUNG, John P. COOKE, Xiao-Ying MENG, Tai-Tung YIP, and Fujun ZHANG   PENDING                           May 26, 2025
  11    
016866-015110 US
  US   National Phase of PCT/US2005/18728     11/597,667     Nov 22, 2006   Jun 03, 2004   BIOMARKERS FOR PERIPHERAL ARTERY DISEASE   Eric T. FUNG, John P. COOKE, Xiao-Ying MENG, Tai-Tung YIP, and Fujun ZHANG   PENDING                           May 26, 2025

Page 1 of 11


 

     
                                                                         
                                Earliest Priority Date -                                
                            Filing Date - date of   ie provisional filing                                
                            filing specific   date (for publication,                                
                            application (nat’l phase,   request for           Status/Expected                    
        Vermillion File No.   Ctry   Genealogy   Application No.   div, con, etc.)   examination, etc.)   Title   Inventors   Actions   Publication #   Published   Patent No.   Issued   Expires
  12    
016866-018010 EP
  EP   Claims Priority from PCT/US2006/13727     06749933.5     Apr 11, 2006   Apr 19, 2005   SAPOSIN D AND FAM3C ARE BIOMARKERS FOR ALZHEIMER’S DISEASE   Huw Alun DAVIES, Kaj BLENNOW, James McGUIRE, Vladimir PODUST, and Anja Hviid SIMONSEN   PENDING — Seq List filed in Jun 2008                           Apr 11, 2026
  13    
016866-018010 HK
  HK   Claims Priority from PCT/US2006/13727           Apr 11, 2006   Apr 19, 2005   SAPOSIN D AND FAM3C ARE BIOMARKERS FOR ALZHEIMER’S DISEASE   Huw Alun DAVIES, Kaj BLENNOW, James McGUIRE, Vladimir PODUST, and Anja Hviid SIMONSEN   PENDING                           Apr 11, 2026
  14    
016866-018010 JP
  JP   Claims Priority from PCT/US2006/13727     2008-507718     Apr 11, 2006   Apr 19, 2005   SAPOSIN D AND FAM3C ARE BIOMARKERS FOR ALZHEIMER’S DISEASE   Huw Alun DAVIES, Kaj BLENNOW, James McGUIRE, Vladimir PODUST, and Anja Hviid SIMONSEN   PENDING                           Apr 11, 2026
  15    
016866-018010 US
  US   Claims Priority from PCT/US2006/13727     11/911,962     Oct 18, 2007   Apr 19, 2005   SAPOSIN D AND FAM3C ARE BIOMARKERS FOR ALZHEIMER’S DISEASE   Huw Alun DAVIES, Kaj BLENNOW, James McGUIRE, Vladimir PODUST, and Anja Hviid SIMONSEN   PENDING — Seq List filed in Jun 2008; awaiting first OA                           Apr 11, 2026
  16    
016866-018110 EP
  EP   National Phase of
PCT/US2006/23044
    06784840.8     Jun 13, 2006   Jun 16, 2005   FRAGMENT OF NEUROSECRETORY PROTEIN VGF AS A BIOMARKER FOR ALZHEIMER’S DISEASE   Huw Alun DAVIES, Kaj BLENNOW, James McGUIRE, Vladimir N. PODUST, and Anja Hviid SIMONSEN   PENDING   WO 2006/138325 A2   Dec 28, 2006               Jun 13, 2026
  17    
016866-018110 HK
  HK   National Phase of
PCT/US2006/23044
    08104640.8     Jun 13, 2006   Jun 16, 2005   FRAGMENT OF NEUROSECRETORY PROTEIN VGF AS A BIOMARKER FOR ALZHEIMER’S DISEASE   Huw Alun DAVIES, Kaj BLENNOW, James McGUIRE, Vladimir N. PODUST, and Anja Hviid SIMONSEN   PENDING   WO 2006/138325 A2   Dec 28, 2006               Jun 13, 2026
  18    
016866-018110 JP
  JP   National Phase of
PCT/US2006/23044
    2008-517032     Jun 13, 2006   Jun 16, 2005   FRAGMENT OF NEUROSECRETORY PROTEIN VGF AS A BIOMARKER FOR ALZHEIMER’S DISEASE   Huw Alun DAVIES, Kaj BLENNOW, James McGUIRE, Vladimir N. PODUST, and Anja Hviid SIMONSEN   PENDING   WO 2006/138325 A2   Dec 28, 2006               Jun 13, 2026
  19    
016866-018110 US
  US   Claims Priority from
60/691,637(018100), CIP of
PCT/US06/13727 (018010), and CIP
of 10/982,545 (011550)
    11/452,477     Jun 13, 2006   Jul 08, 2004   NEUROSECRETORY PROTEIN VGF AS A BIOMARKER FOR ALZHEIMER’S DISEASE   Huw Alun DAVIES, Kaj BLENNOW, James McGUIRE, Vladimir N. PODUST, and Anja Hviid SIMONSEN   PENDING — Resp to first OA filed in Jun 2008   US 2007-015221 A1   Jan 18, 2007               Nov 06, 2024
  20    
016866-018710 PC
  WO   Claims Priority from
60/779,246
  PCT/US2007/63078   Mar 01, 2007   Mar 03, 2006   METHOD FOR QUANTIFYING AN ANALYTE IN A BIOLOGICAL SAMPLE USING MASS SPECTROMETRY   Lee O. LOMAS and
Egisto BOSCHETTI
  PENDING; enters national phase on 9/3/08   WO 2007/103734 A2   Dec 06, 2007               Sep 03, 2008
  21    
016866-018820 PC
  WO   Claims Priority from
60/781,403 and 60/863,951
  PCT/US2007/006276   Mar 12, 2007   Mar 11, 2006   BETA-2 MICROGLOBULIN AS A BIOMARKER FOR PERIPHERAL ARTERY DISEASE   John COOKE, Eric T. FUNG, and Eiichiro KIMURA   PENDING; enters national phase on 9/11/08   WO 2007/106466 A2   Sep 20, 2007               Sep 11, 2008
  22    
016866-018820 US
  US   Claims Priority from
60/781,403 and 60/863,951
    11/685,146     Mar 12, 2007   Mar 11, 2006   BETA-2 MICROGLOBULIN AS A BIOMARKER FOR PERIPHERAL ARTERY DISEASE   John COOKE, Eric T. FUNG, and Eiichiro KIMURA   PENDING                           Mar 12, 2027

Page 2 of 11


 

     
                                                                         
                                Earliest Priority Date -                                
                            Filing Date - date of   ie provisional filing                                
                            filing specific   date (for publication,                                
                            application (nat’l phase,   request for           Status/Expected                    
        Vermillion File No.   Ctry   Genealogy   Application No.   div, con, etc.)   examination, etc.)   Title   Inventors   Actions   Publication #   Published   Patent No.   Issued   Expires
  23    
016866-019900 PC
  WO   Claims Priority from 60/863,951   PCT/US2007/82730   Oct 26, 2007   Nov 01, 2006   A PANEL OF BIOMARKERS FOR PERIPHERAL ARTERIAL DISEASE   Eric T. FUNG, John COOKE, Fujun ZHANG, and Andrew WILSON   PENDING; enters national phase on 5/1/09                           May 01, 2009
  24    
016866-019900 US
  US   Claims Priority from 60/863,951     11/925,678     Oct 26, 2007   Nov 01, 2006   A PANEL OF BIOMARKERS FOR PERIPHERAL ARTERIAL DISEASE   Eric T. FUNG, John COOKE, Fujun ZHANG, and Andrew M. WILSON   PENDING                           Oct 26, 2027
  25    
016866-019910 PC
  WO   Claims Priority from 60/863,951   PCT/US2007/83377   Nov 01, 2007   Nov 01, 2006   PANEL OF BIOMARKERS FOR PERIPHERAL ARTERIAL DISEASE   Eric T. FUNG, John COOKE, Fujun ZHANG, and Andrew WILSON   PENDING; enters national phase on 5/1/09                           May 01, 2009
  26    
016866-019910 US
  US   Claims Priority from 60/863,951     11/934,008     Nov 01, 2007   Nov 01, 2006   PANEL OF BIOMARKERS FOR PERIPHERAL ARTERIAL DISEASE   Eric T. FUNG, John COOKE, Fujun ZHANG, and Andrew M. WILSON   PENDING                           Nov 01, 2027
  27    
S06-406 STAN524
            60946681     Jun 27, 2007       B2m and CRP for PAD   John Cooke and Andrew Wilson   PENDING                            
  28    
021996-000200 CA (Biosite)
  CA   National Phase of PCT/US2004/12067     2522709     Apr 19, 2004   Apr 17, 2003   POLYPEPTIDES RELATED TO NATRIURETIC PEPTIDES AND METHODS OF THEIR IDENTIFICATION AND USE   Kenneth F. BUECHLER, Eric T. FUNG, and Tai-Tung YIP   PENDING   CA 2522709 AA   Nov 04, 2004               Apr 19, 2024
  29    
021996-000200 EP (Biosite)
  EP   National Phase of PCT/US2004/12067     04750349.5     Apr 19, 2004   Apr 17, 2003   POLYPEPTIDES RELATED TO NATRIURETIC PEPTIDES AND METHODS OF THEIR IDENTIFICATION AND USE   Kenneth F. BUECHLER, Eric T. FUNG, and Tai-Tung YIP   PENDING   EP 01616181 A2   Jan 18, 2006               Apr 19, 2024
  30    
021996-000200 JP (Biosite)
  JP   National Phase of PCT/US2004/12067     2006-513130     Apr 19, 2004   Apr 17, 2003   POLYPEPTIDES RELATED TO NATRIURETIC PEPTIDES AND METHODS OF THEIR IDENTIFICATION AND USE   Kenneth F. BUECHLER, Eric T. FUNG, and Tai-Tung YIP   PENDING   JP 2006-527190   Nov 30, 2006               Apr 19, 2024
  31    
021996-000200 US (Biosite)
  US   CIP of 10/419,059 (filed Apr 17, 2003 by Biosite) and 60/466,358 (CIPH-0002)     10/827,919     Apr 19, 2004   Apr 17, 2003   POLYPEPTIDES RELATED TO NATRIURETIC PEPTIDES AND METHODS OF THEIR IDENTIFICATION AND USE   Kenneth F. BUECHLER, Eric T. FUNG, and Tai-Tung YIP   Granted   US 2005-064511 A1   Mar 24, 2005           Issued   Apr 17, 2023
  32    
021996-000210 US (Biosite)
  US   DIV of 10/827,919     12/013,606     Jan 14, 2007   Apr 17, 2003   POLYPEPTIDES RELATED TO NATRIURETIC PEPTIDES AND METHODS OF THEIR IDENTIFICATION AND USE   Kenneth F. BUECHLER, Eric T. FUNG, and Tai-Tung YIP   PENDING                           Apr 17, 2023
  33    
035394-001610 CN
  CN   National Phase of PCT/US03/10489     03809631.5     Oct 29, 2004   Apr 08, 2002   SERUM BIOMARKERS IN HEPATOCELLULAR CARCINOMA   Tai-Tung YIP, Terence POON, Philip JOHNSON, Victor F. YIP, Christine L. YIP, and Anthony CHAN   PENDING   CN 1649613 A   Aug 03, 2005               Apr 07, 2023
  34    
035394-001610 EP
  EP   National Phase of PCT/US03/10489     03746616.6     Apr 07, 2003   Apr 08, 2002   SERUM BIOMARKERS IN HEPATOCELLULAR CARCINOMA   Tai-Tung YIP, Terence POON, Philip JOHNSON, Victor F. YIP, Christine L. YIP, and Anthony CHAN   PENDING   EP 1496928   Jan 19, 2005               Apr 07, 2023
  35    
035394-001610 HK
  HK   Validated from EP 03746616.6     05105696.1     Apr 07, 2003   Apr 08, 2002   SERUM BIOMARKERS IN HEPATOCELLULAR CARCINOMA   Tai-Tung YIP, Terence POON, Philip JOHNSON, Victor F. YIP, Christine L. YIP, and Anthony CHAN   PENDING                           Apr 07, 2023

Page 3 of 11


 

     
                                                                         
                                Earliest Priority Date -                                
                            Filing Date - date of   ie provisional filing                                
                            filing specific   date (for publication,                                
                            application (nat’l phase,   request for           Status/Expected                    
        Vermillion File No.   Ctry   Genealogy   Application No.   div, con, etc.)   examination, etc.)   Title   Inventors   Actions   Publication #   Published   Patent No.   Issued   Expires
  36    
035394-001610 JP
  JP   National Phase of PCT/US03/10489     2003-583463     Oct 06, 2004   Apr 08, 2002   SERUM BIOMARKERS IN HEPATOCELLULAR CARCINOMA   Tai-Tung YIP, Terence POON, Philip JOHNSON, Victor F. YIP, Christine L. YIP, and Anthony CHAN   PENDING   JP 2005-522677   Jul 28, 2005               Apr 07, 2023
  37    
035394-001610 US
  US   National Phase of PCT/US03/10489     10/508,781     Sep 23, 2004   Apr 08, 2002   SERUM BIOMARKERS IN HEPATOCELLULAR CARCINOMA   Tai-Tung YIP, Terence POON, Philip JOHNSON, Victor F. YIP, Christine L. YIP, and Anthony CHAN   PENDING   US 2006-084059 A1   Apr 20, 2006               Apr 07, 2023
  38    
035394-001910 EP
  EP   National Phase of PCT/US2003/36120     03783358.9     Nov 13, 2003   Nov 14, 2002   BIOMARKERS FOR INTRA-AMNIOTIC INFLAMMATION   Irina BUHIMSCHI and Robert CHRISTNER   PENDING   EP 0 1578205 A2   Sep 28, 2005               Nov 13, 2023
  39    
035394-001910 US
  US   National Phase of PCT/US2003/36120     10/534,694     Jan 17, 2006   Nov 14, 2002   BIOMARKERS FOR INTRA-AMNIOTIC INFLAMMATION   Irina A. BUHIMSCHI and Robert CHRISTNER   PENDING   US 2006-127962 A1   Jun 15, 2006               Nov 13, 2023
  40    
035394-002210 EP
  EP   National Phase of PCT/US2003/36118     03783356.3     Nov 13, 2003   Feb 05, 2003   NON-INVASIVE ASSESSMENT OF INTRA-AMNIOTIC ENVIRONMENT   Irina A. BUHIMSCHI, Robert CHRISTNER, Catalin S. BUHIMSCHI, and Carl P. WEINER   PENDING   EP 01590664 A1   Nov 02, 2005               Nov 13, 2023
  41    
035394-002210 US
  US   National Phase of PCT/US2003/36118     10/541,793     Apr 24, 2006   Feb 05, 2003   NON-INVASIVE ASSESSMENT OF INTRA-AMNIOTIC ENVIRONMENT   Irina A. BUHIMSCHI, Robert CHRISTNER, Catalin S. BUHIMSCHI, and Carl P. WEINER   PENDING   US 2006-0240495 A1   Oct 26, 2006               Nov 13, 2023
  42    
035394-002410 US
  US   National Phase of PCT/US2004/17624     10/559,687     May 11, 2006   Jun 06, 2003   SERUM BIOMARKERS IN ISCHAEMIC HEART DISEASE   Jian (“Jane”) DING and Lee O. LOMAS   PENDING   US 2006-0257946 A1   Nov 16, 2006               Jun 04, 2024
  43    
035394-003810 EP
  EP   National Phase of PCT/US2006/023954           Jun 20, 2006   Jun 21, 2005   BIOMARKERS FOR BREAST CANCER   Anthony GONÇALVES, Jean-Paul BORG, Eric Thomas FUNG, and Xiao-Ying MENG   PENDING                           Jun 20, 2026
  44    
035394-003810 US
  US   National Phase of PCT/US2006/023954     11/917,766     Dec 16, 2007   Jun 21, 2005   BIOMARKERS FOR BREAST CANCER   Anthony GONÇALVES, Jean-Paul BORG, Eric Thomas FUNG, and Xiao-Ying MENG   PENDING                           Jun 20, 2026
  45    
035394-004310 US (formerly OSU-000110 US)
  US   ORIGINAL FILING     11/711,946     Feb 27, 2007   Feb 27, 2006   PROCESS TO DETERMINE ENZYME ACTIVITY   Haifeng WU, Ming JIN, Michael BISSELL and Spero CATALAND   PENDING                           Feb 27, 2027
  46    
EAPD-56792 US (71699) (JHU)
  US   National Phase of PCT/US03/00531     10/500,838     Feb 02, 2005   Jan 07, 2002   BIOMARKERS FOR DETECTING OVARIAN CANCER   Daniel W. CHAN, Zhen ZHANG, and Alex Jaideep RAI   PENDING   US 2005-214760 A1   Sep 29, 2005               Jan 07, 2023
  47    
EAPD-57203 CA (71699) (JHU)
  CA   National Phase of PCT/US03/06850     2,478,036     Mar 06, 2003   Mar 06, 2002   USE OF BIOMARKERS TO DETECT BREAST CANCER   Daniel W. CHAN, Zhen ZHANG, and Jinong LI   PENDING                           Mar 06, 2023
  48    
EAPD-57203 EP (71699) (JHU)
  EP   National Phase of PCT/US03/06850     03713930.0     Mar 06, 2003   Mar 06, 2002   USE OF BIOMARKERS TO DETECT BREAST CANCER   Daniel W. CHAN, Zhen ZHANG, and Jinong LI   PENDING   EP 1585962   Oct 19, 2005               Mar 06, 2023
  49    
EAPD-57203 JP (71699) (JHU)
  JP   National Phase of PCT/US03/06850     2003-575071     Mar 06, 2003   Mar 06, 2002   USE OF BIOMARKERS TO DETECT BREAST CANCER   Daniel W. CHAN, Zhen ZHANG, and Jinong LI   PENDING   JP 2006-508326   Mar 09, 2006               Mar 06, 2023
  50    
EAPD-57203 US (71699) (JHU)
  US   National Phase of PCT/US03/06850     10/506,725     Sep 04, 2004   Mar 06, 2002   USE OF BIOMARKERS TO DETECT BREAST CANCER   Daniel W. CHAN, Zhen ZHANG, and Jinong LI   PENDING   US 2005-170352 A1   Aug 04, 2005               Mar 06, 2023
  51    
EAPD-57222 EP (71699) (JHU)
  EP   National Phase of PCT/US2003/12729     03724209.6     Oct 25, 2004   Apr 26, 2002   IDENTIFICATION OF BIOMARKERS FOR DETECTING PROSTATE CANCER   Daniel W. CHAN, Jinong LI, and Zhen ZHANG   PENDING                           Apr 25, 2023

Page 4 of 11


 

     
                                                                         
                                Earliest Priority Date -                                
                            Filing Date - date of   ie provisional filing                                
                            filing specific   date (for publication,                                
                            application (nat’l phase,   request for           Status/Expected                    
        Vermillion File No.   Ctry   Genealogy   Application No.   div, con, etc.)   examination, etc.)   Title   Inventors   Actions   Publication #   Published   Patent No.   Issued   Expires
  52    
EAPD-57222 US (71699) (JHU)
  US   National Phase of PCT/US03/12729     10/512,731     Oct 26, 2004   Apr 26, 2002   IDENTIFICATION OF BIOMARKERS FOR DETECTING PROSTATE CANCER   Daniel W. CHAN,
Jinong LI, and Zhen ZHANG
  PENDING   US 2005-176011 A1   Aug 11, 2005               Apr 25, 2023
  53    
EAPD-58368 AU (71699) (JHU)
  AU   National Phase of PCT/US2003/024659     2003256858     Aug 05, 2003   Aug 06, 2002   USE OF BIOMARKERS FOR DETECTING OVARIAN CANCER   Daniel W. CHAN, Zhen ZHANG, Eric T. FUNG, and Xiao-Ying MENG   PENDING   AU 03257207   Feb 23, 2004               Aug 05, 2023
  54    
EAPD-58368 CA (71699) (JHU)
  CA   National Phase of PCT/US2003/024659     2493817     Jan 27, 2005   Aug 06, 2002   USE OF BIOMARKERS FOR DETECTING OVARIAN CANCER   Daniel W. CHAN, Zhen ZHANG, Eric T. FUNG, and Xiao-Ying MENG   PENDING                           Aug 05, 2023
  55    
EAPD-58368 CN (71699) (JHU)
  CN   National Phase of PCT/US2003/024659     03819042.7     Aug 05, 2003   Aug 06, 2002   USE OF BIOMARKERS FOR DETECTING OVARIAN CANCER   Daniel W. CHAN, Zhen ZHANG, Eric T. FUNG, and Xiao-Ying MENG   PENDING   CN 1675372 A   Sep 28, 2005               Aug 05, 2023
  56    
EAPD-58368 EP (71699) (JHU)
  EP   National Phase of PCT/US2003/024659     03767259.9     Aug 05, 2003   Aug 06, 2002   USE OF BIOMARKERS FOR DETECTING OVARIAN CANCER   Daniel W. CHAN, Zhen ZHANG, Eric T. FUNG, and Xiao-Ying MENG   PENDING   EP 1540010   Jun 15, 2005               Aug 05, 2023
  57    
EAPD-58368 HK (71699) (JHU)
  HK   Validated from EP 03767259.9     05111072.3     Dec 05, 2005   Aug 06, 2002   USE OF BIOMARKERS FOR DETECTING OVARIAN CANCER   Daniel W. CHAN, Zhen ZHANG, Eric T. FUNG, and Xiao-Ying MENG   PENDING   HK 1076489 A   Jan 20, 2006               Aug 05, 2023
  58    
EAPD-58368 IL (71699) (JHU)
  IL   National Phase of PCT/US2003/024659     166118     Jan 03, 2005   Aug 06, 2002   USE OF BIOMARKERS FOR DETECTING OVARIAN CANCER   Daniel W. CHAN, Zhen ZHANG, Eric T. FUNG, and Xiao-Ying MENG   PENDING                           Aug 05, 2023
  59    
EAPD-58368 JP (71699) (JHU)
  JP   National Phase of PCT/US2003/024659     2005-506102     Aug 05, 2003   Aug 06, 2002   USE OF BIOMARKERS FOR DETECTING OVARIAN CANCER   Daniel W. CHAN, Zhen ZHANG, Eric T. FUNG, and Xiao-Ying MENG   PENDING                           Aug 05, 2023
  60    
EAPD-58368 KR (71699) (JHU)
  KR   National Phase of PCT/US2003/24659     10-2005-7001536     Jan 27, 2005   Aug 06, 2002   USE OF BIOMARKERS FOR DETECTING OVARIAN CANCER   Daniel W. CHAN, Zhen ZHANG, Eric T. FUNG, and Xiao-Ying MENG   PENDING                           Aug 05, 2023
  61    
EAPD-58368 US (71699) (JHU)
  US   Claims Priority from 60/401,837, 60/441,727, and 60/460,342     10/635,308     Aug 05, 2003   Aug 06, 2002   USE OF BIOMARKERS FOR DETECTING OVARIAN CANCER   Daniel W. CHAN, Zhen ZHANG, Eric T. FUNG, and Xiao-Ying MENG   PENDING   US 2005-059013 A1   Mar 17, 2005               Aug 05, 2023
  62    
EAPD-58368-DIV NZ (71699) (JHU)
  NZ   DIV of 538236     562912     Aug 05, 2003   Aug 06, 2002   USE OF BIOMARKERS FOR DETECTING OVARIAN CANCER   Daniel W. CHAN, Zhen ZHANG, Eric T. FUNG, and Xiao-Ying MENG   PENDING                           Aug 05, 2023
  63    
EAPD-61154 AU (71699) (JHU)
  AU   National Phase of PCT/US05/10783     2005-230445     Mar 31, 2005   Mar 31, 2004   BIOMARKERS FOR OVARIAN CANCER   Daniel W. CHAN, Zhen ZHANG, Eric T. FUNG , and Xiao-Ying MENG   PENDING                           Mar 31, 2025
  64    
EAPD-61154 CA (71699) (JHU)
  CA   National Phase of PCT/US05/10783     2,559,911     Mar 31, 2005   Mar 31, 2004   BIOMARKERS FOR OVARIAN CANCER   Daniel W. CHAN, Zhen ZHANG, Eric T. FUNG , and Xiao-Ying MENG   PENDING                           Mar 31, 2025
  65    
EAPD-61154 CN (71699) (JHU)
  CN   National Phase of PCT/US05/10783     200580017610.1     Mar 31, 2005   Mar 31, 2004   BIOMARKERS FOR OVARIAN CANCER   Daniel W. CHAN, Zhen ZHANG, Eric T. FUNG , and Xiao-Ying MENG   PENDING   CN 101023349 A   Aug 22, 2007               Mar 31, 2025
  66    
EAPD-61154 EP (71699) (JHU)
  EP   National Phase of PCT/US05/10783     05740120     Mar 31, 2005   Mar 31, 2004   BIOMARKERS FOR OVARIAN CANCER   Daniel W. CHAN, Zhen ZHANG, Eric T. FUNG , and Xiao-Ying MENG   PENDING   EP 1756566 A2   Feb 28, 2007               Mar 31, 2025
  67    
EAPD-61154 JP (71699) (JHU)
  JP   National Phase of PCT/US05/10783     2007-506525     Mar 31, 2005   Mar 31, 2004   BIOMARKERS FOR OVARIAN CANCER   Daniel W. CHAN, Zhen ZHANG, Eric T. FUNG , and Xiao-Ying MENG   PENDING     2007-531883 A     Nov 08, 2007               Mar 31, 2025

Page 5 of 11


 

     
                                                                         
                                Earliest Priority Date -                                
                            Filing Date - date of   ie provisional filing                                
                            filing specific   date (for publication,                                
                            application (nat’l phase,   request for           Status/Expected                    
        Vermillion File No.   Ctry   Genealogy   Application No.   div, con, etc.)   examination, etc.)   Title   Inventors   Actions   Publication #   Published   Patent No.   Issued   Expires
  68    
EAPD-61154 US (71699) (JHU)
  US   National Phase of PCT/US05/10783     10/594,874     Sep 28, 2006   Mar 31, 2004   BIOMARKERS FOR OVARIAN CANCER   Daniel W. CHAN, Zhen ZHANG, Eric T. FUNG , and Xiao-Ying MENG   PENDING                           Mar 31, 2025
  69    
EAPD-61849 AU (71699) (JHU)
  AU   National Phase of PCT/US05/33168     2005287074     Sep 16, 2005   Sep 17, 2004   BIOMARKERS FOR BREAST CANCER   Jinong LI, Carolyn Nicole WHITE, Zhen ZHANG, Daniel W. CHAN, Eric Thomas FUNG, and Xiao-Ying MENG   PENDING                           Sep 16, 2025
  70    
EAPD-61849 CA (71699) (JHU)
  CA   National Phase of PCT/US05/33168     2,580,494     Sep 16, 2005   Sep 17, 2004   BIOMARKERS FOR BREAST CANCER   Jinong LI, Carolyn Nicole WHITE, Zhen ZHANG, Daniel W. CHAN, Eric Thomas FUNG, and Xiao-Ying MENG   PENDING                           Sep 16, 2025
  71    
EAPD-61849 CN (71699) (JHU)
  CN   National Phase of PCT/US05/33168     200580039464.2     Sep 16, 2005   Sep 17, 2004   BIOMARKERS FOR BREAST CANCER   Jinong LI, Carolyn Nicole WHITE, Zhen ZHANG, Daniel W. CHAN, Eric Thomas FUNG, and Xiao-Ying MENG   PENDING                           Sep 16, 2025
  72    
EAPD-61849 EP (71699) (JHU)
  EP   National Phase of PCT/US05/33168     05800204.9     Sep 16, 2005   Sep 17, 2004   BIOMARKERS FOR BREAST CANCER   Jinong LI, Carolyn Nicole WHITE, Zhen ZHANG, Daniel W. CHAN, Eric Thomas FUNG, and Xiao-Ying MENG   PENDING   EP 1802764 A2   Jul 04, 2007               Sep 16, 2025
  73    
EAPD-61849 MX (71699) (JHU)
  MX   National Phase of PCT/US05/33168   MX/a/2007/003003   Sep 16, 2005   Sep 17, 2004   BIOMARKERS FOR BREAST CANCER   Jinong LI, Carolyn Nicole WHITE, Zhen ZHANG, Daniel W. CHAN, Eric Thomas FUNG, and Xiao-Ying MENG   PENDING                           Sep 16, 2025
  74    
EAPD-61849 US (71699) (JHU)
  US   National Phase of PCT/US05/33168     11/662,830     Mar 13, 2007   Sep 17, 2004   BIOMARKERS FOR BREAST CANCER   Jinong LI, Carolyn Nicole WHITE, Zhen ZHANG, Daniel W. CHAN, Eric Thomas FUNG, and Xiao-Ying MENG   PENDING                           Sep 16, 2025
  75    
EAPD-62959 AU (71699) (JHU)
  AU   National Phase of PCT/US2006/08578     2006223374     Mar 10, 2006   Mar 11, 2005   BIOMARKERS FOR OVARIAN CANCER AND ENDOMETRIAL CANCER: HEPCIDIN   Eric T. FUNG, Robert C. BAST, Daniel W. CHAN, Jin SONG, Vladimir PODUST, and Zhen ZHANG   PENDING   AU 6223374 AA   Sep 21, 2006               Mar 10, 2026
  76    
EAPD-62959 CA (71699) (JHU)
  CA   National Phase of PCT/US2006/08578     2,602,088     Mar 10, 2006   Mar 11, 2005   BIOMARKERS FOR OVARIAN CANCER AND ENDOMETRIAL CANCER: HEPCIDIN   Eric T. FUNG, Robert C. BAST, Daniel W. CHAN, Jin SONG, Vladimir PODUST, and Zhen ZHANG   PENDING   2,602,088 AA   Sep 21, 2006               Mar 10, 2026
  77    
EAPD-62959 CN (71699) (JHU)
  CN   National Phase of PCT/US2006/08578     2006-80007808.6     Mar 10, 2006   Mar 11, 2005   BIOMARKERS FOR OVARIAN CANCER AND ENDOMETRIAL CANCER: HEPCIDIN   Eric T. FUNG, Robert C. BAST, Daniel W. CHAN, Jin SONG, Vladimir PODUST, and Zhen ZHANG   PENDING                           Mar 10, 2026
  78    
EAPD-62959 EP (71699) (JHU)
  EP   National Phase of PCT/US2006/08578     06737729.1     Mar 10, 2006   Mar 11, 2005   BIOMARKERS FOR OVARIAN CANCER AND ENDOMETRIAL CANCER: HEPCIDIN   Eric T. FUNG, Robert C. BAST, Daniel W. CHAN, Jin SONG, Vladimir PODUST, and Zhen ZHANG   PENDING   EP 1 869 462   Dec 26, 2007               Mar 10, 2026
  79    
EAPD-62959 IL (71699) (JHU)
  IL   National Phase of PCT/US2006/08578     185496     Mar 10, 2006   Mar 11, 2005   BIOMARKERS FOR OVARIAN CANCER AND ENDOMETRIAL CANCER: HEPCIDIN   Eric T. FUNG, Robert C. BAST, Daniel W. CHAN, Jin SONG, Vladimir PODUST, and Zhen ZHANG   PENDING                           Mar 10, 2026

Page 6 of 11


 

     
                                                                         
                                Earliest Priority Date -                                
                            Filing Date - date of   ie provisional filing                                
                            filing specific   date (for publication,                                
                            application (nat’l phase,   request for           Status/Expected                    
        Vermillion File No.   Ctry   Genealogy   Application No.   div, con, etc.)   examination, etc.)   Title   Inventors   Actions   Publication #   Published   Patent No.   Issued   Expires
  80    
EAPD-62959 JP (71699) (JHU)
  JP   National Phase of PCT/US2006/08578     2008-500963     Mar 10, 2006   Mar 11, 2005   BIOMARKERS FOR OVARIAN CANCER AND ENDOMETRIAL CANCER: HEPCIDIN   Eric T. FUNG, Robert C. BAST, Daniel W. CHAN, Jin SONG, Vladimir PODUST, and Zhen ZHANG   PENDING                           Mar 10, 2026
  81    
EAPD-62959 KR (71699) (JHU)
  KR   National Phase of PCT/US2006/08578     10-2007-7023307     Mar 10, 2006   Mar 11, 2005   BIOMARKERS FOR OVARIAN CANCER AND ENDOMETRIAL CANCER: HEPCIDIN   Eric T. FUNG, Robert C. BAST, Daniel W. CHAN, Jin SONG, Vladimir PODUST, and Zhen ZHANG   PENDING                           Mar 10, 2026
  82    
EAPD-62959 MX (71699) (JHU)
  MX   National Phase of PCT/US2006/08578   MX/a/2007/011024   Mar 10, 2006   Mar 11, 2005   BIOMARKERS FOR OVARIAN CANCER AND ENDOMETRIAL CANCER: HEPCIDIN   Eric T. FUNG, Robert C. BAST, Daniel W. CHAN, Jin SONG, Vladimir PODUST, and Zhen ZHANG   PENDING                           Mar 10, 2026
  83    
EAPD-62959 NZ (71699) (JHU)
  NZ   National Phase of PCT/US2006/08578     560976     Mar 10, 2006   Mar 11, 2005   BIOMARKERS FOR OVARIAN CANCER AND ENDOMETRIAL CANCER: HEPCIDIN   Eric T. FUNG, Robert C. BAST, Daniel W. CHAN, Jin SONG, Vladimir PODUST, and Zhen ZHANG   PENDING                           Mar 10, 2026
  84    
EAPD-62959 US (71699) (JHU)
  US   Claims Priority from 60/662,090     11/373,833     Mar 10, 2006   Mar 11, 2005   BIOMARKERS FOR OVARIAN CANCER AND ENDOMETRIAL CANCER: HEPCIDIN   Eric T. FUNG, Robert C. BAST, Daniel W. CHAN, Jin SONG, Vladimir PODUST, and Zhen ZHANG   PENDING   US 2007-0054329 A1   Mar 08, 2007               Mar 10, 2026
  85    
EAPD-63133 CA (71699) (JHU)
  CA   National Phase of PCT/US2006/020643     2,608,522     May 25, 2006   May 26, 2005   BIOMARKERS FOR BREAST CANCER   Jinong LI, Saraswati SUKUMAR, and Daniel W. CHAN   PENDING                           May 25, 2026
  86    
EAPD-63133 CN (71699) (JHU)
  CN   National Phase of PCT/US2006/020643     2006-80026379.7     May 25, 2006   May 26, 2005   BIOMARKERS FOR BREAST CANCER   Jinong LI, Saraswati SUKUMAR, and Daniel W. CHAN   PENDING                           May 25, 2026
  87    
EAPD-63133 EP (71699) (JHU)
  EP   National Phase of PCT/US2006/020643     06771418.8     May 25, 2006   May 26, 2005   BIOMARKERS FOR BREAST CANCER   Jinong LI, Saraswati SUKUMAR, and Daniel W. CHAN   PENDING                           May 25, 2026
  88    
EAPD-63133 MX (71699) (JHU)
  MX   National Phase of PCT/US2006/020643   MX/A/2007/014863   May 25, 2006   May 26, 2005   BIOMARKERS FOR BREAST CANCER   Jinong LI, Saraswati SUKUMAR, and Daniel W. CHAN   PENDING                           May 25, 2026
  89    
EAPD-63133 US (71699) (JHU)
  US   National Phase of PCT/US2006/020643     11/920,906     Nov 21, 2007   May 26, 2005   BIOMARKERS FOR BREAST CANCER   Jinong LI, Saraswati SUKUMAR, and Daniel W. CHAN   PENDING                           May 25, 2026
  90    
EAPD-63630 AU (52903) (VRML)
  AU   National Phase of PCT/US2006/024677     2006261904     Jun 23, 2006   Jun 24, 2005   BIOMARKERS FOR OVARIAN CANCER: β-2 MICROGLOBULIN   Eric T. FUNG, Enrique DALMASSO, Valdimir PODUST, and Zheng WANG   PENDING                           Jun 23, 2026
  91    
EAPD-63630 CA (52903) (VRML)
  CA   National Phase of PCT/US2006/024677     2,611,524     Jun 23, 2006   Jun 24, 2005   BIOMARKERS FOR OVARIAN CANCER: β-2 MICROGLOBULIN   Eric T. FUNG, Enrique DALMASSO, Valdimir PODUST, and Zheng WANG   PENDING                           Jun 23, 2026
  92    
EAPD-63630 EP (52903) (VRML)
  EP   National Phase of PCT/US2006/024677     06785526.2     Jun 23, 2006   Jun 24, 2005   BIOMARKERS FOR OVARIAN CANCER: β-2 MICROGLOBULIN   Eric T. FUNG, Enrique DALMASSO, Valdimir PODUST, and Zheng WANG   PENDING   EP 1 904 852   Apr 02, 2008               Jun 23, 2026
  93    
EAPD-63630 IL (52903) (VRML)
  IL   National Phase of PCT/US2006/024677     187899     Dec 04, 2007   Jun 24, 2005   BIOMARKERS FOR OVARIAN CANCER: β-2 MICROGLOBULIN   Eric T. FUNG, Enrique DALMASSO, Valdimir PODUST, and Zheng WANG   PENDING                           Jun 23, 2026
  94    
EAPD-63630 MX (52903) (VRML)
  MX   National Phase of PCT/US2006/024677   MX/a/2008/000098   Jun 23, 2006   Jun 24, 2005   BIOMARKERS FOR OVARIAN CANCER: β-2 MICROGLOBULIN   Eric T. FUNG, Enrique DALMASSO, Valdimir PODUST, and Zheng WANG   PENDING                           Jun 23, 2026
  95    
EAPD-63630 US (52903) (VRML)
  US   National Phase of PCT/US2006/024677     11/922,621     Dec 20, 2007   Jun 24, 2005   BIOMARKERS FOR OVARIAN CANCER: β-2 MICROGLOBULIN   Eric T. FUNG, Enrique DALMASSO, Valdimir PODUST, and Zheng WANG   PENDING                           Jun 23, 2026

Page 7 of 11


 

     
                                                                         
                                Earliest Priority Date -                                
                            Filing Date - date of   ie provisional filing                                
                            filing specific   date (for publication,                                
                            application (nat’l phase,   request for           Status/Expected                    
        Vermillion File No.   Ctry   Genealogy   Application No.   div, con, etc.)   examination, etc.)   Title   Inventors   Actions   Publication #   Published   Patent No.   Issued   Expires
  96    
EAPD-63631 AU (71699) (JHU)
  AU   National Phase of PCT/US2006/024269     2006262182     Jun 21, 2006   Jun 22, 2005   BIOMARKER FOR OVARIAN CANCER: CTAP3-RELATED PROTEINS   Zhen ZHANG, Daniel Wanyui CHAN, Eric T. FUNG, Zheng WANG, and Fujun ZHANG   PENDING                           Jun 21, 2026
  97    
EAPD-63631 CA (71699) (JHU)
  CA   National Phase of PCT/US2006/024269     2,611,340     Jun 21, 2006   Jun 22, 2005   BIOMARKER FOR OVARIAN CANCER: CTAP3-RELATED PROTEINS   Zhen ZHANG, Daniel Wanyui CHAN, Eric T. FUNG, Zheng WANG, and Fujun ZHANG   PENDING                           Jun 21, 2026
  98    
EAPD-63631 CN (71699) (JHU)
  CN   National Phase of PCT/US2006/024269     2006-80029695.x     Jun 21, 2006   Jun 22, 2005   BIOMARKER FOR OVARIAN CANCER: CTAP3-RELATED PROTEINS   Zhen ZHANG, Daniel Wanyui CHAN, Eric T. FUNG, Zheng WANG, and Fujun ZHANG   PENDING                           Jun 21, 2026
  99    
EAPD-63631 EP (71699) (JHU)
  EP   National Phase of PCT/US2006/024269     06785323.4     Jun 21, 2006   Jun 22, 2005   BIOMARKER FOR OVARIAN CANCER: CTAP3-RELATED PROTEINS   Zhen ZHANG, Daniel Wanyui CHAN, Eric T. FUNG, Zheng WANG, and Fujun ZHANG   PENDING                           Jun 21, 2026
  100    
EAPD-63631 IL (71699) (JHU)
  IL   National Phase of PCT/US2006/024269     187867     Jun 21, 2006   Jun 22, 2005   BIOMARKER FOR OVARIAN CANCER: CTAP3-RELATED PROTEINS   Zhen ZHANG, Daniel Wanyui CHAN, Eric T. FUNG, Zheng WANG, and Fujun ZHANG   PENDING                           Jun 21, 2026
  101    
EAPD-63631 JP (71699) (JHU)
  JP   National Phase of PCT/US2006/024269     2008-518376     Jun 21, 2006   Jun 22, 2005   BIOMARKER FOR OVARIAN CANCER: CTAP3-RELATED PROTEINS   Zhen ZHANG, Daniel Wanyui CHAN, Eric T. FUNG, Zheng WANG, and Fujun ZHANG   PENDING                           Jun 21, 2026
  102    
EAPD-63631 MX (71699) (JHU)
  MX   National Phase of PCT/US2006/024269   MX/a/2008/000090   Jun 21, 2006   Jun 22, 2005   BIOMARKER FOR OVARIAN CANCER: CTAP3-RELATED PROTEINS   Zhen ZHANG, Daniel Wanyui CHAN, Eric T. FUNG, Zheng WANG, and Fujun ZHANG   PENDING                           Jun 21, 2026
  103    
EAPD-63631 US (71699) (JHU)
  US   Claims Priority from 60/693,324     11/473,280     Jun 21, 2006   Jun 22, 2005   BIOMARKER FOR OVARIAN CANCER   Zhen ZHANG, Daniel Wanyui CHAN, Eric T. FUNG, Zheng WANG, and Fujun ZHANG   PENDING   US 2007-0172902 A1   Jul 26, 2007               Jun 21, 2026
  104    
EAPD-64161 AU (71699) (JHU)
  AU   Natl phase of PCT/US/2006/036538     2006-292212     Sep 19, 2006   Sep 19, 2005   BIOMARKER FOR PROSTATE CANCER   Zhen ZHANG, Daniel W. CHAN, and Carolyn ROSENZWEIG   PENDING; enters national phase by 3/19/08                           Sep 19, 2026
  105    
EAPD-64161 CN (71699) (JHU)
  CN   Natl phase of PCT/US/2006/036538           Sep 19, 2006   Sep 19, 2005   BIOMARKER FOR PROSTATE CANCER   Zhen ZHANG, Daniel W. CHAN, and Carolyn ROSENZWEIG   PENDING; enters national phase by 3/19/08                           Sep 19, 2026
  106    
EAPD-64161 EP (71699) (JHU)
  EP   Natl phase of PCT/US/2006/036538     06803875.1     Sep 19, 2006   Sep 19, 2005   BIOMARKER FOR PROSTATE CANCER   Zhen ZHANG, Daniel W. CHAN, and Carolyn ROSENZWEIG   PENDING; enters national phase by 3/19/08     1934603     Jun 25, 208               Sep 19, 2026
  107    
EAPD-64161 JP (71699) (JHU)
  JP   Natl phase of PCT/US/2006/036538           Sep 19, 2006   Sep 19, 2005   BIOMARKER FOR PROSTATE CANCER   Zhen ZHANG, Daniel W. CHAN, and Carolyn ROSENZWEIG   PENDING; enters national phase by 3/19/08                           Sep 19, 2026
  108    
EAPD-64161 US (71699) (JHU)
  US   Natl phase of PCT/US/2006/036538     11/922,000     Mar 12, 2008   Sep 19, 2005   BIOMARKER FOR PROSTATE CANCER   Zhen ZHANG, Daniel W. CHAN, and Carolyn ROSENZWEIG   PENDING; enters national phase by 3/19/08                           Sep 19, 2026
  109    
EAPD-66375 PC (71699) (JHU)
  WO   Claims Priority from 60/849,506   PCT/US2007/021483   Oct 04, 2007   Oct 04, 2006   ALGORITHIMS FOR MULTIVARIANT MODELS TO COMBINE A PANEL OF BIOMARKERS FOR ASSESSING THE RISK OF DEVELOPING OVARIAN CANCER   Zhen ZHANG   PENDING; enters national phase by 4/4/09                           Apr 04, 2009

Page 8 of 11


 

     
                                                                         
                                Earliest Priority Date -                                
                            Filing Date - date of   ie provisional filing                                
                            filing specific   date (for publication,                                
                            application (nat’l phase,   request for           Status/Expected                    
        Vermillion File No.   Ctry   Genealogy   Application No.   div, con, etc.)   examination, etc.)   Title   Inventors   Actions   Publication #   Published   Patent No.   Issued   Expires
  110    
EAPD-66453 P2 (52903) (VRML)
  US   ORIGINAL FILING     60/998,728     Oct 12, 2007   Oct 12, 2007   PROGNOSTIC BIOMARKER IN PATIENTS WITH OVARIAN CANCER   Eric T. FUNG   PENDING                           Oct 12, 2008
  111    
EAPD-66453 PC (52903) (VRML)
  WO   Claims Priority from 60/851,520   PCT/US2007/021867   Oct 12, 2007   Oct 13, 2006   PROGNOSTIC BIOMARKER IN PATIENTS WITH OVARIAN CANCER   Eric T. FUNG   PENDING; enters national phase by 4/13/09                           Apr 13, 2009
  112    
EAPD-67896 P2 (52903) (VRML)
  US   Second Provisonal, but doesn’t claim priority to 60/920,274; HOWEVER, both US regular and WO claim priority to both     61/034,469     Mar 06, 2008   Mar 06, 2008   BIOMARKERS FOR OVARIAN CANCER   Eric T. FUNG, Robert C. BAST, Vladimir PODUST, and Charlotte CLARK   PENDING; regular and PCT applications due 3/5/09                           Mar 06, 2008
  113    
EAPD-67896 PC (52903) (VRML)
  WO   Claims priority to 60/920,274 and 61/034,469   PCT/US/2008/004088   Mar 27, 2008   Mar 27, 2007   BIOMARKERS FOR OVARIAN CANCER   Eric T. FUNG, Robert C. BAST, Vladimir PODUST, and Charlotte CLARK   PENDING; enters national phase by 9/26/09                           Sep 27, 2009
  114    
EAPD-67896 US (52903) (VRML)
  US   Claims priority to 60/920,274 and 61/034,469     12/079,592     Mar 27, 2008   Mar 27, 2007   BIOMARKERS FOR OVARIAN CANCER   Eric T. FUNG, Robert C. BAST, Vladimir PODUST, and Charlotte CLARK   PENDING                           Mar 27, 2028
  115    
EAPD-68838 CA (52903) (VRML)
  CA   National Phase of PCT/US2006/024693     2,611,173     Jun 23, 2006   Jun 24, 2005   BIOMARKERS FOR OVARIAN CANCER   Eric T. FUNG, Frederick Rand UELAND, J.R. van NAGELL, Jr., Paul Duane DEPRIEST, and Andre Thomas BARON   PENDING                           Jun 23, 2026
  116    
EAPD-68838 CN (52903) (VRML)
  CN   National Phase of PCT/US2006/024693           Jun 23, 2006   Jun 24, 2005   BIOMARKERS FOR OVARIAN CANCER   Eric T. FUNG, Frederick Rand UELAND, J.R. van NAGELL, Jr., Paul Duane DEPRIEST, and Andre Thomas BARON   PENDING                           Jun 23, 2026
  117    
EAPD-68838 EP (52903) (VRML)
  EP   National Phase of PCT/US2006/024693     06773938.3     Jun 23, 2006   Jun 24, 2005   BIOMARKERS FOR OVARIAN CANCER   Eric T. FUNG, Frederick Rand UELAND, J.R. van NAGELL, Jr., Paul Duane DEPRIEST, and Andre Thomas BARON   PENDING                           Jun 23, 2026
  118    
EAPD-68838 JP (52903) (VRML)
  JP   National Phase of PCT/US2006/024693     2008-51847     Jun 23, 2006   Jun 24, 2005   BIOMARKERS FOR OVARIAN CANCER   Eric T. FUNG, Frederick Rand UELAND, J.R. van NAGELL, Jr., Paul Duane DEPRIEST, and Andre Thomas BARON   PENDING                           Jun 23, 2026
  119    
EAPD-68838 US (52903) (VRML)
  US   National Phase of PCT/US2006/024693     11/922,652     Dec 20, 2007   Jun 24, 2005   BIOMARKERS FOR OVARIAN CANCER   Eric T. FUNG, Frederick Rand UELAND, J.R. van NAGELL, Jr., Paul Duane DEPRIEST, and Andre Thomas BARON   PENDING                           Jun 23, 2026
  120    
EAPD-68840 PC (52903) (VRML)
  WO   Based on 60/908,670   PCT/US2008/04089   Mar 27, 2008   Mar 28, 2007   METHODS FOR DIAGNOSING OVARIAN CANCER   Eric T. FUNG, Tai-Tung YIP, Vladimir PODUST, Mats BRÄNNSTRÖM, Karin SUNDFELDT, and Bjorg KRISJANSDOTTIR   PENDING; enters national phase by 9/27/09                           Sep 28, 2009

Page 9 of 11


 

     
                                                                         
                                Earliest Priority Date -                                
                            Filing Date - date of   ie provisional filing                                
                            filing specific   date (for publication,                                
                            application (nat’l phase,   request for           Status/Expected                    
        Vermillion File No.   Ctry   Genealogy   Application No.   div, con, etc.)   examination, etc.)   Title   Inventors   Actions   Publication #   Published   Patent No.   Issued   Expires
  121    
EAPD-68840 US (52903) (VRML)
  US   Based on 60/908,670     12/079,588     Mar 27, 2008   Mar 28, 2007   METHODS FOR DIAGNOSING OVARIAN CANCER   Eric T. FUNG, Tai-Tung YIP, Vladimir PODUST, Mats BRÄNNSTRÖM, Karin SUNDFELDT, and Bjorg KRISJANSDOTTIR   PENDING                           Mar 27, 2028
  122    
EAPD-69585 P
(52903) (VRML)
  US   ORIGINAL FILING     60/983,378     Oct 29, 2007   Oct 29, 2007   METHODS FOR DIAGNOSING OVARIAN CANCER   Eric T. FUNG, Charlotte CLARK, Robert C. BAST, and Kevin COOMBES   PENDING; regular and PCT applications due 10/28/08                           Oct 29, 2008
  123    
NCVC-000110 JP
  JP   National Phase of PCT/JP02/10816           Oct 18, 2002   Oct 18, 2002   SUBSTRATES SPECIFIC TO VON WILLEBRAND FACTOR CLEAVING PROTEASE AND METHOD OF ASSAYING THE ACTIVITY   Toshiyuki MIYATA and Koichi KOKAME   ISSUED               JP 3944586       Oct 18, 2022
  124    
NCVC-000110 US
  US   National Phase of PCT/JP02/10816     10/531,427     Apr 15, 2005   Oct 18, 2002   SUBSTRATES SPECIFIC TO VON WILLEBRAND FACTOR CLEAVING PROTEASE AND METHOD OF ASSAYING THE ACTIVITY   Toshiyuki MIYATA and Koichi KOKAME   PENDING   US 2007-0065895 A1   Mar 22, 2007               Oct 18, 2022
  125    
VRML-0021 US
  US   National Phase of PCT/US05/00548 (14)     10/586,075     Jul 14, 2006   Jan 16, 2004   SPECIFIC DETECTION OF TROPONIN AND MODIFIED FORMS OF TROPONIN   Tai-Tung YIP and Eric T. FUNG   PENDING                           Jan 07, 2025
  126    
VRML-0023 PC
  WO   Claims Priority from 60/749,449   PCT/US2006/61954   Dec 12, 2006   Dec 12, 2005   BIOMARKERS FOR BABESIA   Momar NDAO, Brian WARD, Peter KRAUSE, Mark DUNCAN, Mike EDWARDS, and Terrence William SPITHILL   PENDING; enters national phase by 6/12/08   WO 2007/070809   Jun 21, 2007               Jun 12, 2008
  127    
VRML-0030 BR (formerly 016866-012130 BR)
  BR   National Phase of PCT/US2004/040990   PI 0417231-0   Jun 02, 2006   Dec 05, 2003   SERUM BIOMARKERS FOR CHAGAS DISEASE   Momar NDAO, Brian WARD, Rebecca E. CAFFREY, Terence William SPITHILL, Hongshan LI, Vladimir PODUST, and Regis PERICHON   PENDING                           Dec 06, 2024
  128    
VRML-0031 CA (formerly 016866-012130 CA)
  CA   National Phase of PCT/US2004/040990     2547861     Dec 06, 2004   Dec 05, 2003   SERUM BIOMARKERS FOR CHAGAS DISEASE   Momar NDAO, Brian WARD, Rebecca E. CAFFREY, Terence William SPITHILL, Hongshan LI, Vladimir PODUST, and Regis PERICHON   PENDING                           Dec 06, 2024
  129    
VRML-0032 EP (formerly 016866-012130 EP)
  EP   National Phase of PCT/US2004/040990     04813321.9     Dec 06, 2004   Dec 05, 2003   SERUM BIOMARKERS FOR CHAGAS DISEASE   Momar NDAO, Brian WARD, Rebecca E. CAFFREY, Terence William SPITHILL, Hongshan LI, Vladimir PODUST, and Regis PERICHON   PENDING   EP 1718763 A2   Nov 08, 2006               Dec 06, 2024
  130    
VRML-0033 MX (formerly 016866-012130 MX
  MX   National Phase of PCT/US2004/040990   PA/a/2006/006231   Dec 06, 2004   Dec 05, 2003   SERUM BIOMARKERS FOR CHAGAS DISEASE   Momar NDAO, Brian WARD, Rebecca E. CAFFREY, Terence William SPITHILL, Hongshan LI, Vladimir PODUST, and Regis PERICHON   PENDING                           Dec 06, 2024

Page 10 of 11


 

     
                                                                         
                                Earliest Priority Date -                                
                            Filing Date - date of   ie provisional filing                                
                            filing specific   date (for publication,                                
                            application (nat’l phase,   request for           Status/Expected                    
        Vermillion File No.   Ctry   Genealogy   Application No.   div, con, etc.)   examination, etc.)   Title   Inventors   Actions   Publication #   Published   Patent No.   Issued   Expires
  131    
VRML-0034 US (formerly 016866-012130 US)
  US   Claims Priority from 60/527,153, 60/565,093, and 60/625,519     11/006,119     Dec 06, 2004   Dec 05, 2003   SERUM BIOMARKERS FOR CHAGAS DISEASE   Momar NDAO, Brian WARD, Rebecca E. CAFFREY, Terence William SPITHILL, Hongshan LI, Vladimir PODUST, and Regis PERICHON   PENDING   US 2005-260691 A1   Nov 24, 2005               Dec 06, 2024
  132    
VRML-0035 P
  US   ORIGINAL FILING     60/985,611     Nov 05, 2007   Nov 05, 2007   BIOMARKERS FOR LEISHMANIASIS   Momar NDAO, Brian WARD, and Naomi ARONSON   PENDING; regular and PCT applications due by Nov 4, 2008                           Nov 05, 2008

Page 11 of 11


 

Schedule B — Exhibit 2 to the Statement of Financial Affairs and Schedules of Assets and Liabilities containing information about licenses, franchises, and other general intangibles, as filed with the U.S. Bankruptcy Court of Delaware, is available through the Federal Court filing system PACER at http://pacer.psc.uscourts.gov/ in the Company’s document section.

 


 

     
In re: Vermillion, Inc.
  Case No. 09-11091
Schedule B — Exhibit 3
   
Plant, Property, and Equipment
   
Detail Listing
   
March 31, 2009
   
                                                         
System   Asset   Acquisition               Acquisition   Accumulated    
Number   Tag   Date   Account   Description   Value   Depreciation   Net Book Value
  20       01011     01Sep97     1610    
Centrifuge — Sorvall Super 21
    14,252.50       14,252.50       0.00  
  103       01777     27Mar00     1610    
ST-H750 Rotor with Buckets
    7,134.34       7,134.34       0.00  
  146       01174     25May00     1610    
Biomek 2000 Workstation
    79,630.11       79,630.11       0.00  
  269       01173     21Dec00     1610    
Eppendorf Centrifuge 5417R
    5,136.20       5,136.20       0.00  
  297       01171     31Jan01     1610    
Triple Swinging Door Refrigerator
    5,694.47       5,694.47       0.00  
  349       01021     30Apr01     1610    
Balance PSLIP# 7638161-0
    3,505.13       3,505.13       0.00  
  352       01146     30Apr01     1610    
XL1010 Sonicator with 1/2" Horn
    5,646.28       5,646.28       0.00  
  373       01148     30Jun01     1610    
Model 5416 Feezer- 86 VWR-Revco
    6,909.13       6,909.13       0.00  
  415       01151     30Sep01     1610    
Biomek 2000 Workstation
    79,569.79       79,569.79       0.00  
  416       01181     30Sep01     1610    
Biomek 2000 Workstation w/Autoloader PAL03126
    83,911.56       83,911.56       0.00  
  501       01357     31Mar02     1610    
Refrigerator, GLS Door, 72 Cubic Ft
    4,503.53       4,503.53       0.00  
  542       01847     07May02     1610    
DPC Shaker Integ Kit/BMK 2000
    3,274.32       3,274.32       0.00  
  741       02150     14Jan03     1610    
Freezer, UPRT, Val
    8,427.77       8,427.77       0.00  
  766       02077     26Feb03     1610    
Micromix 5 Shaker
    2,122.31       2,122.31       0.00  
  780       02149     20Mar03     1610    
Biological Safey Cabinet Class II A2
    8,265.56       8,265.56       0.00  
  934       02195  (?)   31Aug03     1610    
NRE Tooling Charge for WIOS Wafter, 5"x5"
    12,000.00       12,000.00       0.00  
  977       02186     01Dec03     1610    
Retrofit kits
    24,059.65       24,059.65       0.00  
  1,045       02115     23Mar04     1610    
SPBSIIc
    42,395.30       42,395.30       0.00  
  1,067       02189     31Mar04     1610    
DPC Micromix 5 Shaker
    2,215.36       2,215.36       0.00  
  1,084       02438     28Apr04     1610    
Biomek 2000 Integration Package (Shaker)
    5,585.70       5,585.70       0.00  
  1,086       02110     28Apr04     1610    
Biomek 2000 Integration Package (Shaker) Micromix 5
    5,585.70       5,585.70       0.00  
  1,200       02350     05Jan05     1610    
FREEZER
    8,775.00       7,166.25       1,608.75  
  1,201       02351     05Jan05     1610    
FREEZER
    8,775.00       7,166.25       1,608.75  
  1,210       02359     31Mar05     1610    
QSTAR XL Mass Spectrometer
    357,619.45       268,214.59       89,404.86  
  1,215       02369     08Apr05     1610    
PCS4000, PROTEINCHIP READER
    47,407.55       47,407.55       0.00  
  1,216       02370     08Apr05     1610    
PCS4000
    47,407.55       47,407.55       0.00  
  1,219       02436     16Jun05     1610    
Tandem MS Interface only QSTAR/Z200-0003
    21,987.28       21,987.28       0.00  
  1,241             31Oct05     1610    
PCS4000 SN: 5E1151E
    49,824.93       49,824.93       0.00  
  1,258       02421     31Jan06     1610    
BioDot AD1800 SN: AD1610
    34,730.00       21,995.67       12,734.33  
  1,264       02418     31Jan06     1610    
PCS 4000 SN: 5I1170E
    76,453.27       76,453.27       0.00  
  1,268             12Apr06     1610    
PCS4000 SN: 5K1182E
    46,359.01       45,071.25       1,287.76  
  1,285       02475     09Aug06     1610    
PCS4000 SN: 6A1196E
    47,631.29       41,015.84       6,615.45  
  1,286       2463     10Aug06     1610    
PCS4000 SN: 6C1198E
    38,839.51       33,445.12       5,394.39  
  1,288             10Aug06     1610    
PCS4000 SN: 6A1190E
    46,201.25       39,784.41       6,416.84  
  1,290             10Oct06     1610    
PBS11C SN: 4C637TC
    37,159.84       29,934.31       7,225.53  
  1,292       2476     31Oct06     1610    
EVO 150 w/MCA Package with work station
    108,879.39       52,625.04       56,254.35  
  1,309             15Mar07     1610    
Assy(refurbished), laser module
    17,293.42       12,009.31       5,284.11  
  1,312             01Nov04     1610    
PCS4000
    44,173.43       44,173.43       0.00  
  1,317             15Jun07     1610    
Assy(refurbished), laser module-reduction in price FA#1309
    -1,151.92       -703.95       -447.97  
  1,318       02467     31Oct07     1610    
PCS 4000 SELDI Enterprise edition, w/Barcode scanner, data mgr&doc package
    69,873.61       32,995.87       36,877.74  
  1,319             14Sep07     1610    
PCS 4000, LASER MODULE
    16,185.69       8,542.44       7,643.25  
  1,320       02468     31Oct07     1610    
PCS 4000 SELDI Enterprise edition, w/Barcode scanner, data mgr&doc package
    69,873.61       32,995.87       36,877.74  
  1,322       02466     31Oct07     1610    
PCS 4000 SELDI Enterprise edition, w/Barcode scanner, data mgr&doc package
    69,873.61       32,995.87       36,877.74  
  1,323       02469     31Oct07     1610    
PCS 4000 SELDI Enterprise edition, w/Barcode scanner, data mgr&doc package
    69,873.61       32,995.87       36,877.74  

 


 

                                                         
System   Asset   Acquisition               Acquisition   Accumulated    
Number   Tag   Date   Account   Description   Value   Depreciation   Net Book Value
  1,324       02470     31Oct07     1610    
PCS 4000 SELDI Enterprise edition, w/Barcode scanner, data mgr&doc package
    69,873.62       32,995.88       36,877.74  
  1,325       02471     03Oct07     1610    
Scotsman model AFE400AE-1H flake ice machine
    3,741.00       1,122.30       2,618.70  
  1,326       02472     31Oct07     1610    
Demo instrument freedom EVO 200 SN 491
    100,565.48       47,489.25       53,076.23  
  1,334       N/A     02Dec08     1610    
BN II Nephelometer, #07235
    47,562.50       2,378.12       45,184.38  
 
                               
 
                       
                               
 
    1,965,612.69       1,479,314.28       486,298.41  
  163       01636     31Jul00     1620    
HP Laser Jet 4050TN Printer
    2,896.76       2,896.76       0.00  
  164       01637     31Jul00     1620    
HP Laser Jet 4050TN Printer
    2,896.76       2,896.76       0.00  
  165       01638     31Jul00     1620    
HP Laserjet 4050TN Printer and Accessories
    2,896.76       2,896.76       0.00  
  250       01394     30Nov00     1620    
Laptop — Dell Lattitude C600 Laptops
    4,250.14       4,250.14       0.00  
  290       01259     31Jan01     1620    
Laptop — Lattitude C600 700 MHZ
    2,674.01       2,674.01       0.00  
  407       01705     12Sep01     1620    
Infocus LP130 Prem Digital Projector
    4,476.05       4,476.05       0.00  
  503       2394     31Mar02     1620    
PowerEdge 2550, Pentium, 1.4 GHz, 512K Cache Server
    4,587.95       4,587.95       0.00  
  504       01812     31Mar02     1620    
244131, 3CO-3C17700-US, 3COM Switches
    5,027.96       5,027.96       0.00  
  555       01857     02May02     1620    
Avocent DSR2161 2/U DIG-1/U LOCAL 16 KVM Hardware
    4,699.65       4,699.65       0.00  
  606       2391     13Jun02     1620    
PowerEdge 1650, Pentium III-T, 1.4GHz, 512K Cache, Base Server
    5,383.31       5,383.31       0.00  
  608       2392     13Jun02     1620    
PowerEdge, 1650, Pentium III-T, 1.4GHz, 512K Cache, Base Server
    5,383.32       5,383.32       0.00  
  610       02435     19Jun02     1620    
PowerEdge 2650, 2.2 GHz/512K Cache Xeon Server File 01
    4,209.07       4,209.07       0.00  
  660       01411     07Aug02     1620    
Back Up System — PowerVault 128T, 5U, Rack, 1 Drive, LTO
    10,654.57       10,654.57       0.00  
  700       2393     23Oct02     1620    
PowerEdge 1650, Pentium, III-T, 1.4GHz, 512K Cache Base Server
    5,095.04       5,095.04       0.00  
  747       02060     15Jan03     1620    
PowerEdge 2650, 1.8GHz/512K Server
    4,587.95       4,587.95       0.00  
  767       02126-1     26Feb03     1620    
Infocus LP790HB Projector 3300 Lumen XGA
    5,454.17       5,454.17       0.00  
  915       01942     25Sep03     1620    
Laptop — Latitude D400, 1.70GHz, Pen M.
    3,098.11       3,098.11       0.00  
  917       01943     25Sep03     1620    
Laptop -Latitude D400, 1.70GHz, PEN M., 12.1 XGA, NIC
    3,098.11       3,098.11       0.00  
  975       02276     31Dec03     1620    
HP Color Laser Jet Printer — 5500DN
    3,926.18       3,926.18       0.00  
  999       02300     30Jan04     1620    
PowerEdge 2650, 3.2GHz/1MB Cache/533MHz FSB Xeon
    6,993.03       6,993.03       0.00  
  1,000       02301     30Jan04     1620    
PowerEdge 2650, 3.2GHz/1MB Cache/533MHz FSB Xeon
    6,993.03       6,993.03       0.00  
  1,004       02245     28Jan04     1620    
Laptop — Latitude D400, 1.70GHz, Pen M.
    2,807.55       2,807.55       0.00  
  1,008       02304     19Jan04     1620    
Apple PM G5/1.8 160GB 512M
    4,831.20       4,831.20       0.00  
  1,033       02122     12Feb04     1620    
Dell Workgroup Laser Printer W5300n
    2,087.09       2,087.09       0.00  
  1,049       02228     25Mar04     1620    
Laptop — Latitude D400, 1.70GHz, PEN M., 12.1XGA
    2,795.82       2,795.82       0.00  
  1,050       02303     30Mar04     1620    
Gateway 840 Storage Enclosure
    7,532.05       7,532.05       0.00  
  1,058       2263     30Mar04     1620    
Firewall Hardware — CISCO PIX 515E Chassis Fail Over
    2,828.99       2,828.99       0.00  
  1,071       02223     09Apr04     1620    
Laptop — Latitude D400, 1.70GHz, PEN M., 12.1 XGA
    2,794.59       2,794.59       0.00  
  1,121       2299     25Jun04     1620    
IT Hardware — Power VAult 136T, LTO-2
    26,799.80       26,799.80       0.00  
  1,135       2336     14Jul04     1620    
PSS 100E Dual Controller
    29,729.17       29,729.17       0.00  
  1,173       02338     01Nov04     1620    
Server — Fre VM03 Poweredge 2650
    15,069.43       15,069.43       0.00  
  1,185       02339     11Nov04     1620    
HP Procurve Switch — Network Equipment
    5,167.18       5,167.18       0.00  
  1,266       2428     19Feb06     1620    
Laptop Sony TX650P
    2,542.86       2,542.86       0.00  
  1,269       2430     13Apr06     1620    
Dell PowerEdge 1850 S/T 1CSCR91
    4,292.72       4,173.48       119.24  
  1,270       2429     13Apr06     1620    
Dell PowerEdge 1850 S/T FYTCR91
    6,085.14       5,916.10       169.04  
  1,271       2431     30Apr06     1620    
Cisco Pix 515E Chassis Failover
    2,557.32       2,344.21       213.11  
  1,295             27Dec06     1620    
Latitude D420 ST: JZB96C1
    2,084.74       1,563.54       521.20  
 
                               
 
                       
                               
 
    219,287.58       218,264.99       1,022.59  
  359       N/A     01May01     1621    
5-User MAS200 Licenses
    6,480.00       6,480.00       0.00  
  472       N/A     21Feb02     1621    
MAS Window Work Order Processing & MAS90 MRP Software
    4,726.88       4,726.88       0.00  
  605       N/A     17Jun02     1621    
5-User License for MAS200
    6,495.00       6,495.00       0.00  
  679       02009     10Sep02     1621    
TN-2224B 24-Port Digital 2W-Ref Software
    2,830.84       2,830.84       0.00  
  722       N/A     30Nov02     1621    
Prophix Software for Budget
    20,357.07       20,357.07       0.00  
  748       N/A     16Jan03     1621    
5 User License MAS200 CS
    6,507.00       6,507.00       0.00  
  872       N/A     08May03     1621    
5 User License MAS200 CS
    6,495.00       6,495.00       0.00  
  932       N/A     30Sep03     1621    
MCF SAV CUP 251-500 Software
    4,391.16       4,391.16       0.00  
  933       N/A     30Sep03     1621    
MCL ACS UPG PERP 251-500 Software
    6,448.45       6,448.45       0.00  

 


 

                                                         
System   Asset   Acquisition               Acquisition   Accumulated    
Number   Tag   Date   Account   Description   Value   Depreciation   Net Book Value
  1,005       N/A     21Jan04     1621    
VMWARE GSX SERVER 2 CPU V2.5 WIN EMA Software
    3,088.37       3,088.37       0.00  
  1,038       N/A     28Feb04     1621    
VMWARE GSX Server CPU V2.5 Win EMA Software
    2,853.00       2,853.00       0.00  
  1,107     NA     31May04     1621    
Windows Svr Std English SA MVL Licenses
    121,687.07       121,687.07       0.00  
  1,175             01Nov04     1621    
Titanium SQL Software
    3,750.00       3,750.00       0.00  
  1,272             31May06     1621    
SBE BES TO ENTPR BES 4.1 UPGRADE
    2,773.77       2,619.68       154.09  
 
                               
 
                       
                               
 
    198,883.61       198,729.52       154.09  
  331       01477     31Mar01     1630    
HON File Cabinets
    3,152.06       3,152.06       0.00  
  354       01477-A     30Apr01     1630    
HON File Cabinets for Accounting
    4,281.72       4,281.72       0.00  
  357       01477-B     30Apr01     1630    
HON File Cabinets for Accounting
    6,410.46       6,410.46       0.00  
  518       N/A     01Mar02     1630    
3 Creative Wood 72" Credenzas
    3,989.41       3,989.41       0.00  
  805       N/A     30Apr03     1630    
13 8X8 Cubicles and 7 10X12 Cubicles
    7,169.60       7,169.60       0.00  
  1,294             02Dec06     1630    
Lateral 3 drawer 43" Fire Resistant
    2,565.41       1,154.43       1,410.98  
  1,304             20Feb07     1630    
Desk/Credenza
    2,347.28       978.03       1,369.25  
  1,305             02Feb07     1630    
Lateral 4 drawer 43" fire resistant with lock & key
    2,695.91       1,168.22       1,527.69  
  1,328       02474     07Jan08     1630    
Lateral 4 drawer 43" fire resistant with lock & key
    2,689.39       672.35       2,017.04  
 
                               
 
                       
                               
 
    35,301.24       28,976.28       6,324.96  
  1,329       N/A     30Jun08     1640    
Electrical Installation
    10,550.00       3,956.25       6,593.75  
  1,330       N/A     30Jun08     1640    
Voice and Data Install
    11,887.00       4,457.62       7,429.38  
  1,331       N/A     30Jun08     1640    
PBX Install
    8,709.48       3,266.05       5,443.43  
  1,332       N/A     30Jun08     1640    
Cubicle Design Service: 12 8x8 and 6 10x12
    4,041.00       1,515.37       2,525.63  
  1,333       N/A     28Aug08     1640    
PBX Install SYSNO 1331-Reduction in Price-Refund
    -500.00       -145.83       -354.17  
 
                               
 
                       
                               
 
    34,687.48       13,049.46       21,638.02  
  443       02111     30Nov01     1650    
PBS-II
    39,014.19       39,014.19       0.00  
  807       02109     22Apr03     1650    
Biomek 2000 Workstation
    49,217.70       49,217.70       0.00  
  884       02251     30Jun03     1650    
Autoloader PBSII+3C500TC
    3,976.13       3,976.13       0.00  
  956       02113     30Nov03     1650    
Server
    2,385.32       2,385.32       0.00  
  1,068       02259     31Mar04     1650    
Biomek 2000 w/ProteinChip
    46,010.00       46,010.00       0.00  
  1,179       02348     01Nov04     1650    
PCS4000
    41,748.72       41,748.72       0.00  
  1,180       02349     01Nov04     1650    
PCS4000
    41,748.72       41,748.72       0.00  
  1,192       02404     31Dec04     1650    
Biomek 2000 w/ ProteinChip Biomarker
    46,762.50       46,762.50       0.00  
  1,296       02456     31Dec06     1650    
Protein Chip System PCS 4000
    39,587.57       39,587.57       0.00  
  1,299       02458     31Dec06     1650    
Protein Chip System PCS 4000
    43,176.27       43,176.27       0.00  
  1,300       02459     31Dec06     1650    
Protein Chip System PCS 4000
    43,176.27       43,176.27       0.00  
  1,301       02461     31Dec06     1650    
Biomek 2000 w/ ProteinChip Biomarker
    43,000.00       43,000.00       0.00  
  1,302       02462     31Dec06     1650    
Biomek 2000 w/ ProteinChip Biomarker
    43,000.00       43,000.00       0.00  
  1,303             31Dec06     1650    
Autoloader
    3,443.94       3,443.94       0.00  
  1,310             01Mar07     1650    
Sales tax for Dec06 inventory trf #1296,1297,1299,1300,1301,1302,1303
    22,624.03       22,624.03       0.00  
 
                               
 
                       
                               
 
    508,871.36       508,871.36       0.00  
                               
 
                       
                               
 
                       
                               
Grand Total:
    2,962,643.96       2,447,205.89       515,438.07  
                               
 
                       

 


 

B6D (Official Form 6D) (12/07)
             
In re
  Vermillion, Inc.   Case No.   09-11091
 
           
 
  Debtor(s)        
SCHEDULE D — CREDITORS HOLDING SECURED CLAIMS
     State the name, mailing address, including zip code, and last four digits of any account number of all entities holding claims secured by property of the debtor as of the date of filing of the petition. The complete account number of any account the debtor has with the creditor is useful to the trustee and the creditor and may be provided if the debtor chooses to do so. List creditors holding all types of secured interests such as judgment liens, garnishments, statutory liens, mortgages, deeds of trust, and other security interests.
     List creditors in alphabetical order to the extent practicable. If a minor child is the creditor, state the child’s initials and the name and address of the child’s parent or guardian, such as “A.B., a minor child, by John Doe, guardian.” Do not disclose the child’s name. See, 11 U.S.C. §112 and Fed R. Bankr. P. 1007(m). If all secured creditors will not fit on this page, use the continuation sheet provided.
     If any entity other than a spouse in a joint case may be jointly liable on a claim, place an “X” in the column labeled “Codebtor,” include the entity on the appropriate schedule of creditors, and complete Schedule H — Codebtors. If a joint petition is filed, state whether the husband, wife, both of them, or the marital community may be liable on each claim by placing an “H,” “W,” “J,” or “C” in the column labeled “Husband, Wife, Joint, or Community.”
     If the claim is contingent, place an “X” in the column labeled “Contingent.” If the claim is unliquidated, place an “X” in the column labeled “Unliquidated.” If the claim is disputed, place an “X” in the column labeled “Disputed.” (You may need to place an “X” in more than one of these three columns).
     Total the columns labeled “Amount of Claim Without Deducting Value of Collateral” and “Unsecured Portion, if Any” in the boxes labeled “Total(s)” on the last sheet of the completed schedule. Report the total from the column labeled “Amount of Claim Without Deducting Value of Collateral” also on the Summary of Schedules and, if the debtor is an individual with primarily consumer debts, report the total from the column labeled “Unsecured Portion, if Any” on the Statistical Summary of Certain Liabilities and Related Data.
     o Check this box if debtor has no creditors holding secured claims to report on this Schedule D.
                                         
        Husband, Wife, Joint or Community                        
CREDITOR’S NAME AND           DATE CLAIM WAS INCURRED,                        
MAILING ADDRESS           NATURE OF LIEN, AND                 AMOUNT OF CLAIM      
INCLUDING ZIP CODE AND           DESCRIPTION AND VALUE                 WITHOUT   UNSECURED  
AN ACCOUNT NUMBER           OF PROPERTY                 DEDUCTING VALUE   PORTION,  
(See Instructions Above)   CODEBTOR   HWJC   SUBJECT TO LIEN     CONTINGENT   UNLIQUIDATED   DISPUTED   OF COLLATERAL   IF ANY  
ACCOUNT NO.
                                       
 
                                       
Quest Diagnostics, Inc.
3 Giralda Farms
Madison, NJ 07940
      NA   Research and development Loan. Credit Agreement entered on July 22, 2005                          
 
                                       
 
                                 
 
          VALUE $0.00                 $10,000,000.00   $ 10,000,000.00  
 
                                 
            Total(s)                       $10,000,000.00   $ 10,000,000.00  
 
                                   
 
          (Use only on last page)                       (Report also on Summary of Schedules)   If applicable, report also on Statistical Summary of Certain Liabilities and Related Data)
 
                                 
Sheet 1 of 1 total sheets in Schedule of Creditors Holding Secured Claims
Software Copyright (c) 1996-2008 Best Case Solutions — Evanston, IL — (800) 492-8037   Best Case Bankruptcy


 

                 
B6E (Official Form 6E) (12/07)            
In re
  Vermillion, Inc.       Case No.   09-11091
             
 
      Debtor(s)        
SCHEDULE E — CREDITORS HOLDING UNSECURED PRIORITY CLAIMS
     A complete list of claims entitled to priority, listed separately by type of priority, is to be set forth on the sheets provided. Only holders of unsecured claims entitled to priority should be listed in this schedule. In the boxes provided on the attached sheets, state the name, mailing address, including zip code, and last four digits of the account number, if any, of all entities holding priority claims against the debtor or the property of the debtor, as of the date of the filing of the petition. Use a separate continuation sheet for each type of priority and label each with the type of priority.
     The complete account number of any account the debtor has with the creditor is useful to the trustee and the creditor and may be provided it he debtor chooses to do so. If a minor child is a creditor, state the child’s initials and the name and address of the child’s parent or guardian, such as “A.B., a minor child, by John Doe, guardian.” Do not disclose the child’s name. See, 11 U.S.C. §112 and Fed. R. Bankr. P. 1007(m).
     If any entity other than a spouse in a joint case may be jointly liable on a claim, place an “X” in the column labeled “Codebtor,” include the entity on the appropriate schedule of creditors, and complete Schedule H-Codebtors. If a joint petition is filed, state whether the husband, wife, both of them, or the marital community may be liable on each claim by placing an “H,” “W,” “J,” or “C” in the column labeled “Husband, Wife, Joint, or Community.” If the claim is contingent, place an “X” in the column labeled “Contingent.” If the claim is unliquidated, place an “X” in the column labeled “Unliquidated.” If the claim is disputed, place an “X” in the column labeled “Disputed.” (You may need to place an “X” in more than one of these three columns.)
     Report the total of claims listed on each sheet in the box labeled “Subtotals” on each sheet. Report the total of all claims listed on this Schedule E in the box labeled “Total” on the last sheet of the completed schedule. Report this total also on the Summary of Schedules.
     Report the total of amounts entitled to priority listed on each sheet in the box labeled “Subtotals” on each sheet. Report the total of all amounts entitled to priority listed on this Schedule E in the box labeled “Totals” on the last sheet of the completed schedule. Individual debtors with primarily consumer debts report this total also on the Statistical Summary of Certain Liabilities and Related Data.
     Report the total of amounts not entitled to priority listed on each sheet in the box labeled “Subtotals” on each sheet. Report the total of all amounts not entitled to priority listed on this Schedule E in the box labeled “Totals” on the last sheet of the completed schedule. Individual debtors with primarily consumer debts report this total also on the Statistical Summary of Certain Liabilities and Related Data.
     Check this box if debtor has no creditors holding unsecured priority claims to report on this Schedule E.
TYPES OF PRIORITY CLAIMS (Check the appropriate box(es) below if claims in that category are listed on the attached sheets)
o Domestic Support Obligations
     Claims for domestic support that are owed to or recoverable by a spouse, former spouse, or child of the debtor, or the parent, legal guardian, or responsible relative of such a child, or a governmental unit to whom such a domestic support claim has been assigned to the extent provided in 11 U.S.C. § 507(a)(1).
o Extensions of credit in an involuntary case
     Claims arising in the ordinary course of the debtor’s business or financial affairs after the commencement of the case but before the earlier of the appointment of a trustee or the order for relief. 11 U.S.C. § 507(a)(3).
þ Wages, salaries, and commissions
     Wages, salaries, and commissions, including vacation, severance, and sick leave pay owing to employees and commissions owing to qualifying independent sales representatives up to $10,950* per person earned within 180 days immediately preceding the filing of the original petition, or the cessation of business, whichever occurred first, to the extent provided in 11 U.S.C. § 507(a)(4).
                 
Name   Address   Type   Amount
Gail Page
  REDACTED   Severance   $ 10,950  
 
               
Simon Shorter
  REDACTED   Severance   $ 10,950  
 
               
Qun Zhou
  REDACTED   Severance   $ 10,950  
 
               
Sue Carruthers
  REDACTED   Severance   $ 5,447  
Sheet 1 of 2 total sheets in Schedule of
Creditors Holding Unsecured Priority Claims
     
Software Copyright (c) 1996-2008 Best Case Solutions — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

 


 

                 
B6E (Official Form 6E) (12/07) — Cont.            
In re
  Vermillion, Inc.       Case No.   09-11091
             
 
      Debtor(s)        
SCHEDULE E — CREDITORS HOLDING UNSECURED PRIORITY CLAIMS
(Continuation Sheet)
o Contributions to employee benefit plans
     Money owed to employee benefit plans for services rendered within 180 days immediately preceding the filing of the original petition, or the cessation of business, whichever occurred first, to the extent provided in 11 U.S.C. § 507(a)(5).
o Certain farmers and fishermen
     Claims of certain farmers and fishermen, up to 5,400* per farmer or fisherman, against the debtor, as provided in 11 U.S.C. § 507(a)(6).
o Deposits by individuals
     Claims of individuals up to $2,425* for deposits for the purchase, lease, or rental of property or services for personal, family, or household use, that were not delivered or provided. 11 U.S.C. § 507(a)(7).
o Taxes and Certain Other Debts Owed to Governmental Units
     Taxes, customs duties, and penalties owing to federal, state, and local governmental units as set forth in 11 U.S.C. §507(a)(8).
o Commitments to Maintain the Capital of an Insured Depository Institution
     Claims based on commitments to the FDIC, RTC, Director of the Office of Thrift Supervision, Comptroller of the Currency, or Board of Governors of the Federal Reserve System, or their predecessors or successors, to maintain the capital of an insured depository institution. 11 U.S.C. § 507(a)(9).
o Claims for Death or Personal Injury While Debtor Was Intoxicated
     Claims for death or personal injury resulting from the operation of a motor vehicle or vessel while the debtor was intoxicated from using alcohol, a drug, or another substance. 11 U.S.C. § 507(a)(10).
 
*   Amounts are subject to adjustment on April 1, 2010, and every three years thereafter with respect to cases commenced on or after the date of adjustment.
Sheet 2 of 2 total sheets in Schedule of
Creditors Holding Unsecured Priority Claims
     
Software Copyright (c) 1996-2008 Best Case Solutions — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

 


 

                 
B6F (Official Form 6F) (12/07)            
In re
  Vermillion, Inc.       Case No.   09-11091
             
 
      Debtor(s)        
SCHEDULE F — CREDITORS HOLDING UNSECURED NONPRIORITY CLAIMS
     State the name, mailing address, including zip code, and last four digits of any account number of all entities holding unsecured claims without priority against the debtor, as of the date of filing of the petition. The complete account number of any account the debtor has with the creditor is useful to the trustee and the creditor and may be provided if the debtor chooses to do so. If a minor child is a creditor, state the child’s initials and the name and address of the child’s parent or guardian, such as “A.B., a minor child, by John Doe, guardian.” Do not disclose the child’s name. See 11 U.S.C. §112 and Fed. R. Bankr. P. 1007(m). Do not include claims listed in Schedules D and E. If all creditors will not fit on this page, use the continuation sheet provided.
     If any entity other than a spouse in a joint case may be jointly liable on a claim, place an “X” in the column labeled “Codebtor,” include the entity on the appropriate schedule of creditors, and complete Schedule H — Codebtors. If a joint petition is filed, state whether the husband, wife, both of them, or the marital community may be liable on each claim by placing an “H,” “W,” “J,” or “C” in the column labeled “Husband, Wife, Joint, or Community.”
     If the claim is contingent, place an “X” in the column labeled “Contingent.” If the claim is unliquidated, place an “X” in the column labeled “Unliquidated.” If the claim is disputed, place an “X” in the column labeled “Disputed.” (You may need to place an “X” in more than one of these three columns).
     Report the total of all claims listed on this schedule in the box labeled “Total” on the last sheet of the completed schedule. Report this total also on the Summary of Schedules and, if the debtor is an individual with primarily consumer debts, report this total also on the Statistical Summary of Certain Liabilities and Related Data.
o Check this box if debtor has no creditors holding secured claims to report on this Schedule F.
                                 
        Husband,                    
        Wife, Joint ,
or
                   
        Community                    
            DATE CLAIM WAS                
CREDITOR’S NAME,           INCURRED AND                
MAILING ADDRESS           CONSIDERATION FOR                
INCLUDING ZIP CODE,           CLAIM.                
AND ACCOUNT NUMBER           IF CLAIM IS SUBJECT TO               AMOUNT OF
(See instructions above.)   CODEBTOR   HWJC   SETOFF, SO STATE.   CONTINGENT   UNLIQUIDATED   DISPUTED   CLAIM
Airesprings Inc.
PO Box 7420
Van Nuys, CA 91409-7420
      NA   Trade debt                 4.71  
 
                               
American Express
CPC Remittance Processing
2975W. Corporate Lakes Blvd.
Weston, FL 33331
      NA   Trade debt                 1,043.47  
 
                               
Applied Clinical Intelligence
225 City Avenue
Suite 15
Bala Cynwyd, PA 19004
      NA   Trade debt                 220,746.73  
 
                               
AT&T
Payment Center
Sacramento, CA 95887
      NA   Trade debt                 3,096.08  
Sheet 1 of 10 total sheets in Schedule of Creditors
Holding Unsecured Nonpriority Claims
         
Software Copyright (c) 1996-2008 Best Case Solutions — Evanston, IL — (800) 492-8037   37855   Best Case Bankruptcy

 


 

                 
B6F (Official Form 6F) (12/07) — Cont.            
In re
  Vermillion, Inc.       Case No   09-11091
             
 
      Debtor(s)        
SCHEDULE F — CREDITORS HOLDING UNSECURED NONPRIORITY CLAIMS
(Continuation Sheet)
                                 
        Husband,                    
        Wife, Joint ,
or
                   
        Community                    
            DATE CLAIM WAS                
CREDITOR’S NAME,           INCURRED AND                
MAILING ADDRESS           CONSIDERATION FOR                
INCLUDING ZIP CODE,           CLAIM.                
AND ACCOUNT NUMBER           IF CLAIM IS SUBJECT TO               AMOUNT OF
(See instructions above.)   CODEBTOR   HWJC   SETOFF, SO STATE.   CONTINGENT   UNLIQUIDATED   DISPUTED   CLAIM
Baker & McKenzie LLP
One Prudential Plaza Ste #3500
130 East Randolph Drive
Chicago, IL 60601
      NA   Trade debt                 2,438.17  
 
                               
Beckman Coulter, Inc.
Dept. CH 10164
Palatine, IL 60055
      NA   Trade debt           X     15,000.00  
 
                               
Bio-Rad Laboratories, Inc
Life Science Group
Dept. 9750
Los Angeles, CA 90084
      NA   Trade debt           X     116,507.57  
 
                               
Bioreclamation
P.O. Box 770
Hicksville, NY 11802
      NA   Trade debt                 6,557.62  
 
                               
Bowne of Los Angeles, Inc
P.O. Box 79358
City of Industry, CA 91716
      NA   Trade debt                 1,805.00  
 
                               
Bruce & Co.
Attn: Jeff Bruce
20 North Wacker Drive, Ste. 2414
Chicago, IL 60606
      NA   4.5% Convertible Senior Notes                 135,000.00  
 
                               
Bruce Fund Inc.
Attn: Jeff Bruce
20 North Wacker Drive, Ste. 2414
Chicago, IL 60606
      NA   7% Convertible Senior Notes                 1,800,000.00  
Sheet 2 of 10 total sheets in Schedule of Creditors
Holding Unsecured Nonpriority Claims
     
Software Copyright (c) 1996-2008 Best Case Solutions — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

 


 

                 
B6F (Official Form 6F) (12/07) — Cont.            
In re
  Vermillion, Inc.       Case No   09-11091
             
 
      Debtor(s)        
SCHEDULE F — CREDITORS HOLDING UNSECURED NONPRIORITY CLAIMS
(Continuation Sheet)
                                 
        Husband,                    
        Wife, Joint ,
or
                   
        Community                    
            DATE CLAIM WAS                
CREDITOR’S NAME,           INCURRED AND                
MAILING ADDRESS           CONSIDERATION FOR                
INCLUDING ZIP CODE,           CLAIM.                
AND ACCOUNT NUMBER           IF CLAIM IS SUBJECT TO               AMOUNT OF
(See instructions above.)   CODEBTOR   HWJC   SETOFF, SO STATE.   CONTINGENT   UNLIQUIDATED   DISPUTED   CLAIM
Certified Compliance Solutions Inc.
16787 Bernardo Center Drive #A-1
San Diego, CA 92128
      NA   Trade debt                 6,072.10  
 
                               
CIT Technologies
P.O. Box 100706
Pasadena, CA 91189
      NA   Trade debt                 336.82  
 
                               
Computer Patent Annuities
CPA House, 11-15 Seaton Place
St. Helier, Jersey JE1 1BL
Channel Islands, Great Britain
      NA   Trade debt                 4,911.76  
 
                               
Control Solutions
Attn: Accounts Receivable
400 Amherst St. Suite 201
Nashua, NH 03063
      NA   Trade debt                 4,040.22  
 
                               
Deerfield International Limited
Attn: Robert Olan
780 3rd Avenue
37th Floor
New York, NY 10017
      NA   7% Convertible Senior Notes                 1,560,000.00  
 
                               
Deerfield Partners, L.P.
Attn: Robert Olan
780 3rd Avenue
37th Floor
New York, NY 10017
      NA   7% Convertible Senior Notes                 1,440,000.00  
 
                               
Deloitte Tax, LLP
P.O. Box 2079
Carol Stream, IL 60132
      NA   Trade debt                 107,971.00  
Sheet 3 of 10 total sheets in Schedule of Creditors
Holding Unsecured Nonpriority Claims
     
Software Copyright (c) 1996-2008 Best Case Solutions — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

 


 

                 
B6F (Official Form 6F) (12/07) — Cont.            
In re
  Vermillion, Inc.       Case No   09-11091
             
 
      Debtor(s)        
SCHEDULE F — CREDITORS HOLDING UNSECURED NONPRIORITY CLAIMS
(Continuation Sheet)
                                 
        Husband,                    
        Wife, Joint ,
or
                   
        Community                    
            DATE CLAIM WAS                
CREDITOR’S NAME,           INCURRED AND                
MAILING ADDRESS           CONSIDERATION FOR                
INCLUDING ZIP CODE,           CLAIM.                
AND ACCOUNT NUMBER           IF CLAIM IS SUBJECT TO               AMOUNT OF
(See instructions above.)   CODEBTOR   HWJC   SETOFF, SO STATE.   CONTINGENT   UNLIQUIDATED   DISPUTED   CLAIM
Edwards Angell Palmer & Dodge LLP
P.O. Box 40956
Hartford, CT 06150
      NA   Trade debt                 132,318.60  
 
                               
ENDSIGHT
1440 Fourth Street, Suite B
Berkeley, CA 94710
      NA   Trade debt                 10,125.00  
 
                               
E*Trade Financial
Corporate Services
Attn: Accounts Receivable
P.O. Box 3512
Arlington, VA 22203
      NA   Trade debt                 8,396.62  
 
                               
Facilities Maintenances Svcs
266 Gifford Avenue
San Jose, CA 95110
      NA   Trade debt                 329.00  
 
                               
Fedex ERS
P.O. Box 371741
Pittsburgh, PA 15250
      NA   Trade debt                 246.36  
 
                               
Foley & Lardner
3000 K Street, N.W.
Suite 500
Washington, DC 20007
      NA   Trade debt                 34,646.56  
 
                               
Gail Page
REDACTED
      NA   Severance                 353,050.00  
Sheet 4 of 10 total sheets in Schedule of Creditors
Holding Unsecured Nonpriority Claims
     
Software Copyright (c) 1996-2008 Best Case Solutions — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

 


 

                 
B6F (Official Form 6F) (12/07) — Cont.            
In re
  Vermillion, Inc.       Case No   09-11091
             
 
      Debtor(s)        
SCHEDULE F — CREDITORS HOLDING UNSECURED NONPRIORITY CLAIMS
(Continuation Sheet)
                                 
        Husband,                    
        Wife, Joint ,
or
                   
        Community                    
            DATE CLAIM WAS                
CREDITOR’S NAME,           INCURRED AND                
MAILING ADDRESS           CONSIDERATION FOR                
INCLUDING ZIP CODE,           CLAIM.                
AND ACCOUNT NUMBER           IF CLAIM IS SUBJECT TO               AMOUNT OF
(See instructions above.)   CODEBTOR   HWJC   SETOFF, SO STATE.   CONTINGENT   UNLIQUIDATED   DISPUTED   CLAIM
Global Cross Conferencing
Dept 518
Denver, CO 80291
      NA   Trade debt                 178.70  
 
                               
Gouffrant, Cecile
REDACTED
      NA   Trade debt                 1,425.00  
 
                               
Highbridge International LLC
Attn: Eric Colandrea
9 W. 57th Street, 27th Floor
New York, NY 10019
      NA   7% Convertible Senior Notes                 11,100,000.00  
 
                               
HSBC Bank USA
P.O. Box 5875
Hicksville, NY 11802
      NA   Trade debt                 14,699.01  
 
                               
Hyman, Phelps & McNamara. P.C
Attn: Accounting
700 13th Street, Suite 1200
Washington, DC 20005
      NA   Trade debt                 1,400.00  
 
                               
Iron Mountain
P.O. Box 601002
Los Angeles, CA 90060-1002
      NA   Trade debt                 354.29  
 
                               
John Hopkins University
Attn: Kim Nguyen
John Hopkins Tec. Transfer
100 North Charles St., 5th Floor
Baltimore, MD 21201
      NA   Trade debt                 323,260.00  
Sheet 5 of 10 total sheets in Schedule of Creditors
Holding Unsecured Nonpriority Claims
     
Software Copyright (c) 1996-2008 Best Case Solutions — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

 


 

                 
B6F (Official Form 6F) (12/07) — Cont.            
In re
  Vermillion, Inc.       Case No   09-11091
             
 
      Debtor(s)        
SCHEDULE F — CREDITORS HOLDING UNSECURED NONPRIORITY CLAIMS
(Continuation Sheet)
                                 
        Husband,                    
        Wife, Joint ,
or
                   
        Community                    
            DATE CLAIM WAS                
CREDITOR’S NAME,           INCURRED AND                
MAILING ADDRESS           CONSIDERATION FOR                
INCLUDING ZIP CODE,           CLAIM.                
AND ACCOUNT NUMBER           IF CLAIM IS SUBJECT TO               AMOUNT OF
(See instructions above.)   CODEBTOR   HWJC   SETOFF, SO STATE.   CONTINGENT   UNLIQUIDATED   DISPUTED   CLAIM
Landrover Capital
Dept 193901
P.O. Box 55000
Detroit, MI 48355-1939
      NA   Trade debt                 1,363.77  
 
                               
MD Anderson Cancer Center
Attn: Susan Z. Murray
Office of CME&Conference
1515 Holcombe Blvd.
Houston, TX 77030
      NA   Trade debt                 28,000.00  
 
                               
Messagelabs, Inc
512 7
th Ave, Six Floor
New York, NY 10018
      NA   Trade debt                 337.5  
 
                               
Montgomery Professional
Services Corp
File # 031052
P.O. Box 60000
San Francisco, CA 94160
      NA   Trade debt                 5,760.00  
 
                               
Oaktree Capital Management L.P.
Attn: Andrew Watts
333 South Grand Avenue
26th Floor
                               
Los Angeles, CA 90071
      NA   4.5% Convertible Senior Notes                 2,365,000.00  
 
                               
Paul, Hastings, Janofsky
1117 S. California Ave
Palo Alto, CA 94304
      NA   Trade debt                 159,639.18  
Sheet 6 of 10 total sheets in Schedule of Creditors
Holding Unsecured Nonpriority Claims
     
Software Copyright (c) 1996-2008 Best Case Solutions — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

 


 

                 
B6F (Official Form 6F) (12/07) — Cont.            
In re
  Vermillion, Inc.       Case No   09-11091
             
 
      Debtor(s)        
SCHEDULE F — CREDITORS HOLDING UNSECURED NONPRIORITY CLAIMS
(Continuation Sheet)
                                 
        Husband,                    
        Wife, Joint ,
or
                   
        Community                    
            DATE CLAIM WAS                
CREDITOR’S NAME,           INCURRED AND                
MAILING ADDRESS           CONSIDERATION FOR                
INCLUDING ZIP CODE,           CLAIM.                
AND ACCOUNT NUMBER           IF CLAIM IS SUBJECT TO               AMOUNT OF
(See instructions above.)   CODEBTOR   HWJC   SETOFF, SO STATE.   CONTINGENT   UNLIQUIDATED   DISPUTED   CLAIM
PG & E
P. O. Box 997300
Sacramento, CA 95899

      NA   Trade debt                 1,368.71  
 
                               
Praxair Distribution, Inc
Dept. LA 21511
Pasadena, CA 91185-1511
      NA   Trade debt                 24.28  
 
                               
Precision Med. Inc.
132 N. Acacia Avenue
Solana Beach, CA 92075
      NA   Trade debt                 53,336.09  
 
                               
PricewaterhouseCoopers LLP
P.O. Box 310001-0068
Pasadena, CA 91110
      NA   Trade debt                 45,000.00  
 
                               
Principal Life Group
PLIC- SBD Grand Island
P.O.Box 10372
Des Moines, IA 50306-0372
      NA   Trade debt                 197.63  
 
                               
PR. Newswire
G.P.O. Box 5897
New York, NY 10087-5897
      NA   Trade debt                 1,732  
 
                               
Processworks Inc.
P.O. Box 712748
Cincinatti, OH 45271-2748
      NA   Trade debt                 50.00  
Sheet 7 of 10 total sheets in Schedule of Creditors
Holding Unsecured Nonpriority Claims
     
Software Copyright (c) 1996-2008 Best Case Solutions — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

 


 

                 
B6F (Official Form 6F) (12/07) — Cont.            
In re
  Vermillion, Inc.       Case No   09-11091
             
 
      Debtor(s)        
SCHEDULE F — CREDITORS HOLDING UNSECURED NONPRIORITY CLAIMS
(Continuation Sheet)
                                 
        Husband,                    
        Wife, Joint ,
or
                   
        Community                    
            DATE CLAIM WAS                
CREDITOR’S NAME,           INCURRED AND                
MAILING ADDRESS           CONSIDERATION FOR                
INCLUDING ZIP CODE,           CLAIM.                
AND ACCOUNT NUMBER           IF CLAIM IS SUBJECT TO               AMOUNT OF
(See instructions above.)   CODEBTOR   HWJC   SETOFF, SO STATE.   CONTINGENT   UNLIQUIDATED   DISPUTED   CLAIM
Professional Life and Casualty
Attn: Jeff Bruce
20 North Wacker Drive, Ste. 2414
                               
Chicago, IL 60606
      NA   7% Convertible Senior Notes                 600,000.00  
 
                               
Prologis Limited Partnership — I
4545 Airport Way
Denver, CO 80239
      NA   Trade debt                 36.45  
 
                               
PurchasePower
P.O. Box 856042
Louisville, Kentucky 40285
      NA   Trade debt                 206.99  
 
                               
Qun Zhou
REDACTED
      NA   Severance                 71,450.00  
 
                               
Ross 3, Inc
30514 Knightong Drive
Farmington hills, MI 48331
      NA   Trade debt                 5,500.00  
 
                               
Sigma-Aldrich Inc.
P.O.Box 535182
Atlanta, GA 30353
      NA   Trade debt                 1,901.19  
 
                               
Simon Shorter
REDACTED
      NA   Severance                 142,050.00  
Sheet 8 of 10 total sheets in Schedule of Creditors
Holding Unsecured Nonpriority Claims
     
Software Copyright (c) 1996-2008 Best Case Solutions — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

 


 

                 
B6F (Official Form 6F) (12/07) — Cont.            
In re
  Vermillion, Inc.       Case No   09-11091
             
 
      Debtor(s)        
SCHEDULE F — CREDITORS HOLDING UNSECURED NONPRIORITY CLAIMS
(Continuation Sheet)
                                 
        Husband,                    
        Wife, Joint ,
or
                   
        Community                    
            DATE CLAIM WAS                
CREDITOR’S NAME,           INCURRED AND                
MAILING ADDRESS           CONSIDERATION FOR                
INCLUDING ZIP CODE,           CLAIM.                
AND ACCOUNT NUMBER           IF CLAIM IS SUBJECT TO               AMOUNT OF
(See instructions above.)   CODEBTOR   HWJC   SETOFF, SO STATE.   CONTINGENT   UNLIQUIDATED   DISPUTED   CLAIM
Sue Carruthers
REDACTED
      NA   Severance                 25,057.00  
 
                               
ThinkPanmure, LLC
600 Montgomery Street
3rd Floor
San Francisco, CA 94111
      NA   Trade debt                 77,814.76  
 
                               
Thomson Financial LLC
195 Broadway, 7
th Floor
New York, NY 10007
      NA   Trade debt                 2,949.00  
 
                               
Townsend and Townsend and Crew
Two Embarcadero Center
8th Floor
San Francisco, CA 94111
      NA   Trade debt                 90,947.56  
 
                               
U.S. Bank
Attn: Paul Briggs
CM 9705
PO Box 70870
          Interest on the 4.5% and 7%                    
Saint Paul, MN 55170
      NA   Convertible Senior Notes                 633,750.00  
 
                               
Vision Service Plan ( CA)
P.O. Box 45210
San Francisco, CA 94145
      NA   Trade debt                 52.74  
 
                               
VWR International Inc.
P.O. Box 31001-1257
Pasadena, CA 91110
      NA   Trade debt                 25.86  
Sheet 9 of 10 total sheets in Schedule of Creditors
Holding Unsecured Nonpriority Claims
     
Software Copyright (c) 1996-2008 Best Case Solutions — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

 


 

                 
B6F (Official Form 6F) (12/07) — Cont.            
In re
  Vermillion, Inc.       Case No   09-11091
             
 
      Debtor(s)        
SCHEDULE F — CREDITORS HOLDING UNSECURED NONPRIORITY CLAIMS
(Continuation Sheet)
                                 
        Husband,                    
        Wife, Joint ,
or
                   
        Community                    
            DATE CLAIM WAS                
CREDITOR’S NAME,           INCURRED AND                
MAILING ADDRESS           CONSIDERATION FOR                
INCLUDING ZIP CODE,           CLAIM.                
AND ACCOUNT NUMBER           IF CLAIM IS SUBJECT TO               AMOUNT OF
(See instructions above.)   CODEBTOR   HWJC   SETOFF, SO STATE.   CONTINGENT   UNLIQUIDATED   DISPUTED   CLAIM
Wells Fargo Shareowner Services
P.O. Box 64875
St. Paul, MN 55164
      NA   Trade debt                 1,404.16  
 
                               
 
          Total
  $ 21,749,642.25  
See Exhibit for complete trade debt list
          (Use only on last page of the completed Schedule F.)
(Report also on Summary of Schedules and, if applicable, on the Statistical
Summary of Certain Liabilities and Related Data.)
       
Sheet 10 of 10 total sheets in Schedule of Creditors
Holding Unsecured Nonpriority Claims
     
Software Copyright (c) 1996-2008 Best Case Solutions — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

 


 

B6G (Official Form 6G) (12/07)
                 
In re
  Vermillion, Inc.       Case No.   09-11091
             
 
      Debtor(s)        
SCHEDULE G — EXECUTORY CONTRACTS AND UNEXPIRED LEASES
     Describe all executory contracts of any nature and all unexpired leases of real or personal property. Include any timeshare interests. State nature of debtor’s interest in contract, i.e., “Purchaser,” “Agent,” etc. State whether debtor is the lessor or lessee of a lease. Provide the names and complete mailing addresses of all other parties to each lease or contract described. If a minor child is a party to one of the leases or contracts, state the child’s initials and the name and address of the child’s parent or guardian, such as “A.B., a minor child, by John Doe, guardian.” Do not disclose the child’s name. See, 11 U.S.C. §112 and Fed. R. Bankr. P. 1007(m).
Check this box if debtor has no executory contracts or unexpired leases.
     
NAME AND MAILING ADDRESS,
  DESCRIPTION OF CONTRACT OR LEASE AND
INCLUDING ZIP CODE,
  NATURE OF DEBTOR’S INTEREST. STATE
OF OTHER PARTIES TO LEASE OR CONTRACT.
  WHETHER LEASE IS FOR NONRESIDENTIAL
 
  REAL PROPERTY. STATE CONTRACT
 
  NUMBER OF ANY GOVERNMENT CONTRACT.
See Schedule G- Exhibit 1
Sheet 1 of 1 total sheets in Schedule of
Executory Contracts and Unexpired Leases
     
Software Copyright (c) 1996-2008 Best Case Solutions — Evanston, IL — (800) 492-8037   Best Case Bankruptcy


 

Schedule G — Exhibit 1
             
PARTY A   PARTY B   NAME OF AGREEMENT   ADDRESS OF PARTY
ACE Fire Underwriters Insurance Company
  Vermillion, Inc.   Workers’ Compensation Insurance   PO Box 31083, Tampa
FL 33631
 
           
ADP
  Ciphergen Biosystems, Inc.   Service Level Agreement   820 N. McCarthy Blvd., Milpitas, CA 95035
 
           
Anthem Blue Cross
  Vermillion, Inc.   Group Benefit Agreement   P.O. BOX 54630, Los Angeles CA 90054-0630
 
           
Applied Clinical Intelligence
  Ciphergen Biosystems, Inc.   Consulting Agreement   225 City Avenue, Suite 15, Bala Cynwyd, PA 19004
 
           
AT&T Wireless
  Ciphergen Biosystems, Inc.   Corporate Agreement to provide telephone services   P.O. BOX 5019, Carol Stream IL 60197-5019
 
           
Baker & McKenzie
  Ciphergen Biosystems, Inc.   Engagement Letter   One Prudential Plaza, Suite 3500, 130 East Randolph Drive, Chicago, IL 50501-6384
 
           
Barkhurst, David
  Vermillion, Inc.   Consulting Agreement   REDACTED
 
           
Bast, Robert C.
  Ciphergen Biosystems, Inc.   Scientific Advisory Board and Diagnostics Consulting Agreement   14 Memorial Point
Lane, Houston TX
77024
 
           
Baylor College of Medicine
  Ciphergen Biosystems, Inc.   Consent Agreement   One Baylor Plaza,
Houston, Texas
77030
 
           
Bio-Rad Laboratories, Inc.
  Ciphergen Biosystems, Inc.   Asset Purchase Agreement   1000 Alfred Nobel
Drive, Hercules, CA
04547
 
           
Bioreg Technologies, LLC (Rhonda Moe)
  Ciphergen Biosystems, Inc.   Consulting Agreement   1022 Ocean Lane,
Imperial Beach, CA
91932
 
           
Burns, James S.
  Ciphergen Biosystems, Inc.   Indemnification Agreement   REDACTED
 
           
Carl, Marybeth
  Vermillion, Inc.   Consulting Agreement   REDACTED
 
           
Carruthers, Susan
  Vermillion, Inc.   Consulting Agreement   REDACTED
 
           
Certified Compliance Solutions, Inc.
  Vermillion, Inc.   Consulting Agreement   16787 Bernardo
Center Drive, Suite
A-1, San Diego, CA
92128
 
           
Chan, Daniel
  Ciphergen Biosystems, Inc.   Scientific Advisory Board and Diagnostics Consulting Agreement   REDACTED
 
           
Chavez, Jesus
  Vermillion, Inc.   Consulting Agreement   REDACTED
 
           
Cintas
  Ciphergen Biosystems, Inc.   Standard Uniform Rental Service Agreement   P.O. Box 633842, Cincinnati OH 45263-3842
 
           
CIT Technology Financing Services, Inc.
  Ciphergen Biosystems, Inc.   Lease Agreement on Photocopier   P.O. Box 100706, Pasadena CA 91189-0706
 
           
Colorado Prevention Center
  Vermillion, Inc.   Master Clinical Services Agreement   789 Shereman Street, Suite 200, Denver CO 80203
 
           
Computer Patent Annuities
  Ciphergen Biosystems, Inc.   Patent renewal service   CPA House, 11-15 Seaton Place, St. Helier, Jersey JE1 lBL, Channel Islands
 
           
Cooke, John P.
  Vermillion, Inc.   Consulting Agreement   REDACTED


 

Schedule G — Exhibit 1
             
PARTY A   PARTY B   NAME OF AGREEMENT   ADDRESS OF PARTY
Copenhagen University Hospital
  Ciphergen Biosystems, Inc.   Amendment 1 to Research and License Agreement Between Clinic of Gynecology and Clinic of Oncology, Rigshospitalet   Nørregade 10,
DK-1165 Copenhagen
Denmark
 
           
Copyright Clearance Center
  Ciphergen Biosystems, Inc.   Copyright agreement   222 Rosewood Drive,
Danvers MD 01923
 
           
Creech, William
  Vermillion, Inc.   Consulting Agreement   REDACTED
 
           
E*Trade Financial
  Ciphergen Biosystems, Inc.   Master Agreement   PO Box 3512,
Arlington, VA 22203
 
           
EndSight
  Ciphergen Biosystems, Inc.   Computer & Network Consulting Services   1440 Fourth Street, Suite B, Berkeley, CA 94710
 
           
Federal Insurance Company ( Chubb)
  Vermillion, Inc.   Commercial General Liabiltiy
Insurance Policy# 35326826
  15 Mountain View
Road, Warren, NJ
07059
 
           
Federal Insurance Company ( Chubb)
  Vermillion, Inc.   Worldwide Umbrella Liability Insurance Policy#79217680   15 Mountain View
Road, Warren, NJ
07059
 
           
Federal Insurance Company ( Chubb)
  Vermillion, Inc.   Employment Practice liability
Insurance Policy#81468061
  15 Mountain View
Road, Warren, NJ
07059
 
           
Federal Insurance Company ( Chubb)
  Vermillion, Inc.   Commercial Automobile Insurance Policy#73240204   15 Mountain View
Road, Warren, NJ
07059
 
           
Ford, Fiona
  Vermillion, Inc.   Consulting Agreement   REDACTED
 
           
Harper, Maribeth
  Vermillion, Inc.   Consulting Agreement   REDACTED
 
           
Health Discovery Corporation
  Ciphergen Biosystems, Inc.   Consulting Agreement   2 East Bryan Street, Suite 601, Savannah GEORGIA, 31401
 
           
Iron Mountain
  Ciphergen Biosystems, Inc.   Agreement for Storage of off-site materials   P.O. BOX 601002, Los Angeles CA 90060-1002
 
           
Johns Hopkins University
  Molecular Analytical Systems, Inc.   Technology Transfer Agreement   733 North Broadway, Suite 117, Baltimore, MD 21205
 
           
Johns Hopkins University
  Vermillion, Inc.   Collaborative Agreement Extension   733 North Broadway, Suite 117, Baltimore, MD 21205
 
           
Johns Hopkins University
  Ciphergen Biosystems, Inc.   Joint Defense Agreement   733 North Broadway, Suite 117, Baltimore, MD 21205
 
           
Johns Hopkins University
  Ciphergen Biosystems, Inc.   Label License Waiver to Dr. Cotter (replaces voided waiver dated May 27, 2005)   733 North Broadway, Suite 117, Baltimore, MD 21205
 
           
Johns Hopkins University
  Ciphergen Biosystems, Inc.   Patent and License Agreement   733 North Broadway, Suite 117, Baltimore, MD 21205
 
           
Johns Hopkins University, The University of Texas System, The University of Texas M. D. Anderson Cancer Center
  Ciphergen Biosystems, Inc.   Research and License Agreement   733 North Broadway, Suite 117, Baltimore, MD 21205
 
           
Landess, Tina
  Vermillion, Inc.   Consulting Agreement   REDACTED
 
           
Leda Consulting
  Vermillion, Inc.   Business Development consulting agreement   280 41st Street,
Oakland CA 94611
 
           
Malloy & Associates
  Vermillion, Inc.   Consulting Agreement   354 Whites Landing,
Long Beach, CA
90803


 

Schedule G — Exhibit 1
             
PARTY A   PARTY B   NAME OF AGREEMENT   ADDRESS OF PARTY
MAS (Baylor College of Medicine)
  Ciphergen Biosystems, Inc.   Agreement for the Provision of Executive Search and Consulting Services for CFO   101 First Street, Suite 478, Los Altos, CA 94022
 
           
MAS (Illiumesys Pacific)
  Molecular Analytical Systems, Inc.   Technology Transfer Agreement   101 First Street, Suite 478, Los Altos, CA 94022
 
           
McKool Smith
  Ciphergen Biosystems, Inc.   Engagement Agreement   300 Crescent Court, Suite 1500, Dallas, TX 75201
 
           
Medmarc Casualty Insurance Company
  Vermillion, Inc.   Product Liability Insurance Policy#08CA380082   14280 Park Meadow Drive, Suite 300, Chantilly, VA 20151
 
           
Messagelabs
  Ciphergen Biosystems, Inc.       512 Seventh Avenue,
6th Floor, NY NY
10018
 
           
Messagelabs
  Ciphergen Biosystems, Inc.   Customer Agreement   512 Seventh Avenue,
6th Floor, NY NY
10018
 
           
Microsoft
  Ciphergen Biosystems   Master Agreement   PO Box 810,
Buffalo, NY 14207
 
           
Microsoft Business
  Ciphergen Biosystems, Inc.   Volume Licensing   PO Box 810,
Buffalo, NY 14207
 
           
Microsoft Select License
  Ciphergen Biosystems, Inc.   Contract Agreement   PO Box 810,
Buffalo, NY 14207
 
           
Molecular Analytical Systems, Inc.
  Ciphergen Biosystems, Inc.   Contract Agreement   101 First Street, Suite 478, Los Altos, CA 94022
 
           
Morgan Stanley
  Ciphergen Biosystems, Inc.   Settlement Agreement   2 Theatre Square, Suite 2/322 Orinda, CA 94563
 
           
Morgan Stanley
  Ciphergen Biosystems, Inc.   Retirement Plan (401K) Non-Std PS Plan   2 Theatre Square, Suite 2/322 Orinda, CA 94563
 
           
Nair & Co.
  Ciphergen Biosystems, Inc.   Termination of Administration Agreements   Whitefriars, Lewins
Mead, Bristol BS1
2NT, UK
 
           
Navigators Insurance Co
  Vermillion, Inc.   Directors & Officers Insurance Policy #NY08DOL601993IV   One Penn Plaza, New
York, NY 10119
 
           
Ohio State University
Research Foundation, The
  Ciphergen Biosystems, Inc.   Exclusive Cfommercialization License Agreement   1960 Kenny Road,
Columbus, OHIO
43210
 
           
Ohio State University
Research Foundation, The
  Ciphergen Biosystems, Inc.   Amendment 1 to Exclusive Commercialization License Agreement   1960 Kenny Road,
Columbus, OHIO
43210
 
           
Oppenheimer & Co. Inc.
  Ciphergen Biosystems, Inc.   Engagement letter — re fairness opinion on terms of sale of assets to Bio-Rad   125 Broad Street,
New York, NY 10004
 
           
Oppenheimer & Co. Inc.
  Ciphergen Biosystems, Inc.   Engagement letter — re Recapitalization and Convertible Promissory Notes   125 Broad Street,
New York, NY 10004
 
           
Oppenheimer & Co. Inc.
  Ciphergen Biosystems, Inc.   Letter entitled “Placement Agent Agreement” — to sell up to $25 Million of Common Stock and Warrants   125 Broad Street,
New York, NY 10004
 
           
Oppenheimer & Co. Inc. — Individual Employees
  Ciphergen Biosystems, Inc.   Letter re Warrants exercisable into 100,000 shares   125 Broad Street,
New York, NY 10004
 
           
Page, Gail
  Vermillion, Inc.   Consulting Agreement   REDACTED


 

Schedule G — Exhibit 1
             
PARTY A   PARTY B   NAME OF AGREEMENT   ADDRESS OF PARTY
Page, Gail
  Vermillion, Inc.   Severance Agreement   REDACTED
 
           
Pallis Communications, Inc. (Kathy C. Pallis)
  Vermillion Inc.   Consulting Agreement   87 Encantado Loop,
Santa Fe NM 87508
Paul Hastings Janowsky & Walker LLP
  Ciphergen Biosystems, Inc.   Corporate Agreement to provide legal services   Five Palo Alto
Square, Palo Alto,
CA 94306
 
           
Praxair Distribution, Inc.
  Abiotic Systems, Inc.   Consulting Agreement   Dept LA 21511,
Pasadena CA
91185-1511
 
           
PrecisionMed International
  Ciphergen Biosystems, Inc.   Product Supply Agreement   132 North Acacia
Avenue, Solana
Beach, CA 92075
 
           
PricewaterhouseCoopers
  Ciphergen Biosystems, Inc.   Consulting Agreement   Ten Almaden
Boulevard, Suite
1600, San Jose, CA
95113
 
           
PricewaterhouseCoopers
  Ciphergen Biosystems, Ltd.   Engagement Letter   Ten Almaden
Boulevard, Suite
1600, San Jose, CA
95113
 
           
Prologis Limited Partner
  Vermillion, Inc.   Rental Agreement   4545 Airport Way,
Denver CO 80239
 
           
Public Storage
  Vermillion, Inc.   Storage Agreement   42101 Albrae
Street, Fremont CA
94538-3123
 
           
Quest Diagnostics Incorporated
  Ciphergen Biosystems, Inc.   Strategic Alliance Agreement   3 Giralda Farms,
Madison, NJ 07940
 
           
Quinn Emannuel Urquihart
Oliver & Hedges LLP
  Vermillion, Inc.   Engagement Letter   50 California
Street, 22nd Floor,
San Francisco, CA
94111
 
           
Sage Software, Inc.
  Ciphergen Biosystems, Inc.   Agreement for Accounting System (MAS 90)   PO Box 849887,
Dallas, TX
75284-9887
 
           
Sheibani, Nadia
  Ciphergen Biosystems, Inc.   Consulting Agreement   REDACTED
 
           
Shorter, Simon
  Vermillion, Inc.   Consulting Agreement   REDACTED
 
           
Shorter, Simon
  Vermillion, Inc.   Severance Agreement   REDACTED
 
           
Silicon Valley Bank
  Ciphergen Biosystems, Inc.   Engagement Letter for Legal Services   3005 Tasman Drive,
Santa Clara, CA
95054
 
           
Smith, Alan
  Vermillion, Inc.   Consulting Agreement   REDACTED
 
Stanford University
  Vermillion, Inc.   Exclusive License Agreement   Stanford University School of Medicine, 300 Pasteur Drive, Stanford, CA 94305
 
           
Stericycle
  Ciphergen Biosystems, Inc.   Fee Schedule Agreement   P.O. Box 9001589, Louisville KY 40290-1589
 
           
Testorff, Doug
  Vermillion, Inc.   Consulting Agreement   REDACTED
 
           
Think Panmure
  Vermillion, Inc.   Engagement Letter   600 Montgomery
Street, 3rd Floor,
San Francisco, CA
94111


 

Schedule G — Exhibit 1
             
PARTY A   PARTY B   NAME OF AGREEMENT   ADDRESS OF PARTY
Thomson Financial
  Ciphergen Biosytems, Inc.   Corporate Services Client Agreement   195 Broadway, New
York, NY 10007
 
           
Torres, Sarah Lyn
  Ciphergen Biosystems, Inc.   Consulting Agreement   REDACTED
 
           
University of Kentucky
  Ciphergen Biosystems, Inc.   Research and Collaboration Agreement   800 Rose Street,
Lexington, Kentucky
40536
 
           
University of Texas M.D. Anderson Cancer Center, The
  Vermillion, Inc.   Clinical Trial Site Agreement   1515 Holcombe
Boulevard, Houston
TX 77030
 
           
University of Texas M.D. Anderson Cancer Center, The
  Ciphergen Biosystems, Inc.   Research and License Agreement   1515 Holcombe
Boulevard, Houston
TX 77030
 
           
University of Texas M.D. Anderson Cancer Center, The
  Ciphergen Biosystems, Inc.   Research and License Agreement   1515 Holcombe
Boulevard, Houston
TX 77030
 
           
University of Texas M.D. Anderson Cancer Center, The
  Ciphergen Biosystems, Inc.   Research and License Agreement   1515 Holcombe
Boulevard, Houston
TX 77030
 
           
University of Texas Medical Branch
  Ciphergen Biosystems, Inc.   Research and License Agreement   301 University
Boulevard,
Galveston, TX 77555
 
Vo, Kristy
  Vermillion, Inc.   Consulting Agreement   REDACTED
 
           
Wallen, William
  Ciphergen Biosystems, Inc.   Extension of Term of Scientific Advisory Board & Diagnostic Consulting Agreement   IDEXX Laboratories, Inc. One Idexx Drive, Westbrook, Maine 04092
 
           
XL Specialty Insurance Company
  Vermillion, Inc.   Excess Directors & Officers Insurance Policy
#ELU10711308
  Executive Offices,
70 Seaview Avenue,
Stamford, CT 06902
 
           
Zhou Qun
  Vermillion, Inc.   Consulting Agreement   REDACTED
 
           
Zhou Qun
  Vermillion, Inc.   Severance Agreement   REDACTED


 

B6H (Official Form 6H) (12/07)
                 
In re
  Vermillion, Inc.       Case No.   09-11091
             
 
      Debtor(s)        
SCHEDULE H — CODEBTORS
     Provide the information requested concerning any person or entity, other than a spouse in a joint case, that is also liable on any debts listed by the debtor in the schedules of creditors. Include all guarantors and co-signers. If the debtor resides or resided in a community property state, commonwealth, or territory (including Alaska, Arizona, California, Idaho, Louisiana, Nevada, New Mexico, Puerto Rico, Texas, Washington, or Wisconsin) within the eight years immediately preceding the commencement of this case, identify the name of the debtor’s spouse and of any former spouse who resides or resided with the debtor in the community property state, commonwealth, or territory. Include all names used by the nondebtor spouse during the eight years immediately preceding the commencement of this case. If a minor child is a codebtor or a creditor, state the child’s initials and the name and address of the child’s parent or guardian, such as “A.B., a minor child, by John Doe, guardian.” Do not disclose the child’s name. See, 11 U.S.C. §112 and Fed. R. Bankr. P. 1007(m).
þ Check this box if debtor has no codebtors.
     
NAME AND ADDRESS OF CODEBTOR
  NAME AND ADDRESS OF CREDITOR
Sheet 1 of 1 total sheets in Schedule of Codebtors
     
Software Copyright (c) 1996-2008 Best Case Solutions — Evanston, IL — (800) 492-8037   Best Case Bankruptcy


 

B6 Declaration (Official Form 6-Declaration). (12/07)
United States Bankruptcy Court
District of Delaware
                     
In re
  Vermillion, Inc.       Case No.     09-11091
                 
 
      Debtor(s)   Chapter     11
DECLARATION CONCERNING DEBTOR’S SCHEDULES
DECLARATION UNDER PENALTY OF PERJURY ON BEHALF OF CORPORATION OR PARTNERSHIP
     I, the Chair of the Board of Directors of the corporation named as debtor in this case, declare under penalty of perjury that I have read the foregoing summary and schedules, consisting of 45 sheets, and that they are true and correct to the best of my knowledge, information, and belief.
         
     
Date June 11, 2009  Signature   /s/ Gail S. Page    
    Gail S. Page   
    Executive Chairman of the Board of Directors   
 
     Penalty for making a false statement or concealing property: Fine of up to $500,000 or imprisonment for up to 5 years or both.
18 U.S.C. §§ 152 and 3571.
     
Software Copyright (c) 1996-2006 Best Case Solutions, Inc. — Evanston, IL — (800) 492-8037   Best Case Bankruptcy

EX-99.3 4 f52754exv99w3.htm EX-99.3 exv99w3
Exhibit 99.3
 
Cash Budget for Vermillion, Inc. through December, 2009    
Vermillion Inc
                                                                         
    April   May   June   July   August   September   October   November   December
    Actual   Actual   Forecast   Forecast   Forecast   Forecast   Forecast   Forecast   Forecast
Operating expense we believe is adequate to support the completion of FDA clearance                                                
Employee and facility total
    25,786       55,066       64,351       50,872       51,211       51,922       50,872       51,211       51,922  
Outside service and other operating expenses
    48,252       143,846       368,346       552,656       407,702       404,652       191,832       240,832       167,582  
     
Total expenditures
    74,038       198,913       432,697       603,528       458,912       456,573       242,703       292,042       219,503  
                     
 
                                                                       
Beginning Cash
    642,969       568,930       370,018       1,237,321       633,793       174,881       1,018,308       775,604       483,562  
DIP Financing
                    1,300,000                       1,300,000                          
Cash Usage
    (74,038 )     (198,913 )     (432,697 )     (603,528 )     (458,912 )     (456,573 )     (242,703 )     (292,042 )     (219,503 )
     
Ending Cash
    568,930       370,018       1,237,321       633,793       174,881       1,018,308       775,604       483,562       264,058  
                     
Assumptions for this scenario:
  -   Two of the three current employees who are @ 80% will resume 100% work time in June.
 
  -   We will become current with all SEC reporting obligations, $650K expenses can be saved if company goes private.
 
  -   We will maintain consultant utilization as follows: 50% CSO service, and 50% of Gail, Taya and Sue’s time till July.
 
  -   Consultants will come back full time after FDA clearance to work on preparation of commercialization, quality system set up, and FDA inspection.
 
  -   If there is a buyout and change of control, D&O insurance will go up to 200% of current rate, cost will go up another 80k but the expense on Q2 and Q3 SEC reporting of 71k per quarter can be saved depending on timing.

 


 

Vermillion, Inc.   Cash Budget through December 2009
Detail
Vermillion Inc
                                                                         
    April   May   June   July   August   September   October   November   December
    Actual   Actual   Forecast   Forecast   Forecast   Forecast   Forecast   Forecast   Forecast
Employee and Facility
                                                                       
Payroll including payroll taxes
                                                                       
Gillian
    12,036       12,544       12,864       12,864       12,864       12,864       12,864       12,864       12,864  
Christine
    7,935       7,935       9,918       9,918       9,918       9,918       9,918       9,918       9,918  
Vivian
    5,816       5,816       7,270       7,270       7,270       7,270       7,270       7,270       7,270  
Pre-BK employee 401k Contribution withdraw delayed by Fidelity
                    12,459                                                  
Medical Insurance
                                                                       
Gillian
            2,720       1,360       1,360       1,360       1,360       1,360       1,360       1,360  
Christine
            2,828       1,403       1,403       1,403       1,403       1,403       1,403       1,403  
Vivian
            2,342       1,171       1,171       1,171       1,171       1,171       1,171       1,171  
Rent & Utilities
                                                                       
Prologis — Rent & CAM
            9,113       9,100       9,200       9,200       9,200       9,200       9,200       9,200  
PG&E — Electricity
            1,965       1,500       1,500       1,500       1,500       1,500       1,500       1,500  
Allied Waste Management — waste collection
            1,991       2,000       2,000       2,000       2,000       2,000       2,000       2,000  
Stericycle — Bio waste collection per environmental law
            501       500       500       500       500       500       500       500  
Iron Mountain — tape backup, data storage
            354       750       750       750       750       750       750       750  
Cintas — recycle document collection to shred
                    140       70       70       70       70       70       70  

 


 

Vermillion, Inc.   Cash Budget through December 2009
                                                                         
    April   May   June   July   August   September   October   November   December
    Actual   Actual   Forecast   Forecast   Forecast   Forecast   Forecast   Forecast   Forecast
Facility Maintenance service — Janitory services
            329       350       350       350       350       350       350       350  
AT&T — T1, fax line, phone
            2,464       1,600       1,600       1,600       1,600       1,600       1,600       1,600  
AT&T — Blackberry service
            2,778       360       360       360       360       360       360       360  
Global Crossing — Conference call service provider
            464       300       300       300       300       300       300       300  
CIT technology — copier lease
                    1,050                       1,050                       1,050  
Bay Alarm — alarm system
            339                       339                       339          
Public Storage — offsite storage for marketing booth, etc
            583       255       255       255       255       255       255       255  
 
     
Employee and Facility subtotal
    25,786       55,066       64,351       50,872       51,211       51,922       50,872       51,211       51,922  
                     
 
                                                                       
Outside Services
                                                                       
Professional services supporting FDA submission
                                                                       
Biostatistical data analysis
    34,300       52,600       58,600                                                  
Analytical performance testing site
            22,710       11,500       11,500                                          
Testing site
                    10,000       5,000       5,000                                  
Technical writing for response, product insert
            1,548       7,000       1,000                                          
Regulatory consulting
            4,760       2,000       1,000                                          
Agreement/contracts drafting
                    200       200                                          
Specimen Biorepository
            5,000       5,000       5,000       5,000                                  
Reagent provider
                    4,000                                                  
FDA contigency
                            50,000       50,000                                  
Post- clearance quality system set up required by FDA
                                    15,000       15,000       15,000                  
Access procedure for OVA1 software
                                    15,000       15,000       15,000                  
Critical Vendor Pre-BK service payment
                    5,000                                                  

 


 

Vermillion, Inc.   Cash Budget through December 2009
                                                                         
    April   May   June   July   August   September   October   November   December
    Actual   Actual   Forecast   Forecast   Forecast   Forecast   Forecast   Forecast   Forecast
Legal Management, IT, HR, Facility consulting
                                                                       
Endsight — IT service
            8,000       4,000       4,000       4,000       4,000       4,000       4,000       4,000  
Doug — facility, HR, 40 hours @ $87/h for Post-BK closure
                    870       870       870       870                          
PWC year end audit, 10k, proxy, Q1 - Q3 10Q
                    45,000       195,000       60,000       40,000               40,000          
SEC consultant — 10k, proxy, three 10Qs
                    20,000       45,000       30,000       15,000               15,000          
Financial printer,
                            25,000       25,000       6,000               6,000          
SOX review
                            20,000                               10,000          
Legal review on SEC filings
                            20,000       20,000       10,000               10,000          
General Legal — Paul Hastings
                    30,000       20,000       20,000       20,000       20,000       20,000       20,000  
Ongoing patent cost
                    30,000       20,000       20,000       20,000       20,000       20,000       20,000  
Claim Agent
    10,000                               10,000                                  
US Trustee Charge
            325       5,000                       5,000                       5,000  
Chapter 11 legal cost
                    40,000       10,000       10,000       10,000       10,000       10,000       10,000  
Gail —50% time consulting till July FDA clearance
            32,760       19,717       19,717       39,433       39,433       39,433       39,433       39,433  
CSO consultant — 50% till July
                    11,917       11,917       23,833       23,833       23,833       23,833       23,833  
Taya — 50% time consulting till July
            13,020       8,938       8,938       17,875       17,875       17,875       17,875       17,875  
Sue — 50% time consulting till July
            4,892       6,175       6,175       12,350       12,350       12,350       12,350       12,350  
Rene — 16 hours@$90/h per month for consolidation work
                    2,880       1,440       1,440       1,440       1,440       1,440       1,440  
Incentive Bonus ( 10k Gillian, 5k Vivian, Christine)
                            20,000                                          

 


 

Vermillion, Inc.   Cash Budget through December 2009
                                                                         
    April   May   June   July   August   September   October   November   December
    Actual   Actual   Forecast   Forecast   Forecast   Forecast   Forecast   Forecast   Forecast
Other operating expenses
                                                                       
Wells Fargo — transfer agent service
                    3,000       1,500       1,500       1,500       1,500       1,500       1,500  
SVB — bank and wire fee
    752       615       800       800       800       800       800       800       800  
Fidelity — 401k plan
                    750                       750                       750  
PR Newswire — press release etc
                    1,000               1,000               1,000               1,000  
Bowne — SEC filing, 8K etc
                    1,000               1,000               1,000               1,000  
Office Depot — office supplies
                    300       300       300       300       300       300       300  
Fedex — shipping
                    800       800       800       800       800       800       800  
T&E — Gail and BOD travelling
                    3,000       3,000       3,000       3,000       3,000       3,000       3,000  
E* Trade — ESPP and Stock option plan
                    5,000       2,500       2,500       2,500       2,500       2,500       2,500  
California State Franchise tax
    3,200                                                                  
Delaware Franchise tax first quarter payment
                    12,900               0                       0          
Workers’ Comp insurance premium due May 2009
            2,091                                                          
Commercial Liability and Product liability insurance premium
                            30,000                                          
D&O Insurance — 120% of current rate with no change of control
                                            127,200                          
Foreign Subsidiary liquidation project
                    10,000       10,000       10,000       10,000                          
Other Misc
            (4,474 )     2,000       2,000       2,000       2,000       2,000       2,000       2,000  
 
     
Cash usage on critical operations
    74,038       198,913       432,697       603,528       458,912       456,573       242,703       292,042       219,503  
                     

 


 

Vermillion, Inc.   Cash Budget through December 2009
Unaudited Information
The Company cautions investors and potential investors not to place undue reliance upon the information contained in the Monthly Operating Report, which was not prepared for the purpose of providing the basis for an investment decision relating to any of the securities of the Company. The Monthly Operating Report is limited in scope, covers a limited time period and has been prepared solely for the purpose of the Company’s compliance with the monthly reporting requirements of the Bankruptcy Court.  The financial information in the Monthly Operating Report was not audited or reviewed by independent registered accountants and is not presented in accordance with U.S. Generally Accepted Accounting Principles (“GAAP”), is in a format prescribed by applicable bankruptcy laws and is subject to future adjustment and reconciliation.  There can be no assurance that, from the perspective of an investor or potential investor in the Company’s securities, the Monthly Operating Report is complete.  The Monthly Operating Report also contains information for periods which may be shorter or otherwise different from those contained in reports required pursuant to the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and such information is likely not indicative of Company’s financial condition or operating results for the period that would be reflected in the periodic reports pursuant to the Exchange Act.  The Monthly Operating Reports do not include footnotes that would ordinarily be contained in the financial statements in our quarterly and annual reports pursuant to the Exchange Act.  In addition, the income tax provision in the Monthly Operating Reports is difficult to ascertain as a result of many factors, including, among other things, our inability to predict taxable income that may be generated as a result of any cancellation of indebtedness that might occur as a result of the bankruptcy proceeding involving the Company.  Results set forth in the Monthly Operating Reports should not be viewed as indicative of future results.
Forward-Looking Statements
Certain matters discussed in this Cash Budget contain forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Exchange Act. These forward-looking statements may relate to, among other things, expectations of the business environment in which the Company operates, projections of future performance and projections of future expenses. These forward-looking statements are based upon current management expectations and may therefore involve risks and uncertainties. These forward-looking statements are only estimates of the anticipated cash and expenses of the Company, and of the operating requirements of the Company through December, 2009. The Company’s actual expenses may be affected by a wide range of factors, including, but not limited to: anticipated expenses may significantly increase; unanticipated or unforeseen expenses may arise; changes to FDA regulations, and any delay by or failure of the FDA to approve any of the Company’s diagnostic tests submitted to the FDA may result in unanticipated expenses; the overall financial situation and needs of the Company or its research could change; the Company’s Chapter 11 filing may disrupt and distract management, resulting in unanticipated expenses or increases to estimated expenses; the Company’s Chapter 11 filing could end in litigation, which could increase costs significantly; the creditors’ committee could contest the plan of reorganization which could increase costs; and unanticipated litigation unrelated to the Chapter 11 filing could arise and could result in increased expenses. The Company’s actual results or performance may differ materially from those suggested, expressed, or implied by forward-looking statements due to a wide range of factors, and although the Company believes that its expectations and beliefs are based on reasonable assumptions, it can give no assurance that its goals will be achieved. The Company disclaims any obligation to subsequently revise or update any forward-looking statements to reflect events or circumstances after the date of such statements or to reflect the occurrence of anticipated or unanticipated events.

 

-----END PRIVACY-ENHANCED MESSAGE-----