AMERICAN SUPERCONDUCTOR CORP /DE/ - FORM 8-K - EX-10.1 - LOAN AND SECURITY AGREEMENT

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8-K - FORM 8-K - AMERICAN SUPERCONDUCTOR CORP /DE/	d363586d8k.htm
EX-99.1 - PRESS RELEASE - AMERICAN SUPERCONDUCTOR CORP /DE/	d363586dex991.htm
EX-10.2 - WARRANT AGREEMENT - AMERICAN SUPERCONDUCTOR CORP /DE/	d363586dex102.htm

EXHIBIT 10.1

LOAN AND SECURITY AGREEMENT

THIS LOAN AND SECURITY AGREEMENT is made and dated as of June 5, 2012 and is entered into by and between AMERICAN SUPERCONDUCTOR CORPORATION, a Delaware corporation (“Borrower”), and HERCULES TECHNOLOGY GROWTH CAPITAL, INC., a Maryland corporation (“Lender”).

RECITALS

A. Borrower has requested Lender to make available to Borrower a loan in an aggregate principal amount of $10,000,000 (the “Term Loan”);

B. Lender is willing to make the Term Loan on the terms and conditions set forth in this Agreement.

AGREEMENT

NOW, THEREFORE, Borrower and Lender agree as follows:

SECTION 1. DEFINITIONS AND RULES OF CONSTRUCTION

1.1 Unless otherwise defined herein, the following capitalized terms shall have the following meanings:

“Account Control Agreement(s)” means any agreement entered into by and among the Lender, Borrower and a third party bank or other institution (including a securities intermediary) in which Borrower maintains a Deposit Account or an account holding Investment Property and which grants Lender a perfected first priority security interest in the subject account or accounts.

“ACH Authorization” means the ACH Debit Authorization Agreement in substantially the form of Exhibit H.

“Advance” means the Term Advance.

“Advance Date” means the funding date of the Advance.

“Advance Request” means a request for the Advance in substantially the form of Exhibit A.

“Agreement” means this Loan and Security Agreement, as amended from time to time.

“Assignee” has the meaning given to it in Section 10.13.

“Borrower Products” means all products, software, service offerings, technical data or technology currently being designed, manufactured or sold by Borrower or which Borrower intends to sell, license, or distribute in the future including any products or service offerings under development, collectively, together with all products, software, service offerings, technical data or technology that have been sold, licensed or distributed by Borrower since its incorporation.

“Business Day” means any day other than Saturday, Sunday and any other day on which banking institutions in the States of California and Massachusetts are closed for business.

“Cash” means all cash and liquid funds including any customary cash equivalents.

“Change in Control” means any reorganization, recapitalization, consolidation or merger (or similar transaction or series of related transactions) of Borrower, sale or exchange of outstanding shares (or similar transaction or series of related transactions) of Borrower in which the holders of Borrower’s outstanding shares immediately before consummation of such transaction or series of related transactions do not, immediately after

consummation of such transaction or series of related transactions, retain shares representing more than fifty percent (50%) of the voting power of the surviving entity of such transaction or series of related transactions (or the parent of such surviving entity if such surviving entity is wholly owned by such parent), in each case without regard to whether Borrower or Subsidiary is the surviving entity.

“Claims” has the meaning given to it in Section 10.10.

“Closing Date” means the date of this Agreement.

“Code” means the Internal Revenue Code of 1986, as amended.

“Collateral” means the property described in Section 3.

“Commitment Fee” means $50,000, which fee Borrower paid to Lender prior to the Closing Date, and which is fully earned on the Closing Date.

“Confidential Information” has the meaning given to it in Section 10.12.

“Contingent Obligation” means, as applied to any Person, any direct or indirect liability, contingent or otherwise, of that Person with respect to (i) any indebtedness, lease, dividend, letter of credit or other obligation of another, including any such obligation directly or indirectly guaranteed, endorsed, co-made or discounted or sold with recourse by that Person, or in respect of which that Person is otherwise directly or indirectly liable; (ii) any obligations with respect to undrawn letters of credit, corporate credit cards or merchant services issued for the account of that Person; and (iii) all obligations arising under any interest rate, currency or commodity swap agreement, interest rate cap agreement, interest rate collar agreement, or other agreement or arrangement designated to protect a Person against fluctuation in interest rates, currency exchange rates or commodity prices; provided, however, that the term “Contingent Obligation” shall not include endorsements for collection or deposit in the ordinary course of business. The amount of any Contingent Obligation shall be deemed to be an amount equal to the stated or determined amount of the primary obligation in respect of which such Contingent Obligation is made or, if not stated or determinable, the maximum reasonably anticipated liability in respect thereof as determined by such Person in good faith; provided, however, that such amount shall not in any event exceed the maximum amount of the obligations under the guarantee or other support arrangement.

“Copyright License” means any written agreement granting any right to use any Copyright or Copyright registration, now owned or hereafter acquired by Borrower or in which Borrower now holds or hereafter acquires any interest.

“Copyrights” means all copyrights, whether registered or unregistered, held pursuant to the laws of the United States, any State thereof, or of any other country.

“Deposit Accounts” means any “deposit accounts,” as such term is defined in the UCC, and includes any checking account, savings account, or certificate of deposit.

“ERISA” means the Employee Retirement Income Security Act of 1974, as amended, and the regulations promulgated thereunder.

“Event of Default” has the meaning given to it in Section 8.

“Facility Charge” means one percent (1.0%) of the sum of the Maximum Term Loan Amount.

“Financial Statements” has the meaning given to it in Section 6.1.

“GAAP” means generally accepted accounting principles in the United States of America, as in effect from time to time.

“Heights Notes” shall have the meaning assigned to such term in Section 6.11.

“Indebtedness” means indebtedness of any kind, including (a) all indebtedness for borrowed money or the deferred purchase price of property or services (excluding trade credit entered into in the ordinary course of business), including reimbursement and other obligations with respect to surety bonds and letters of credit, (b) all obligations evidenced by notes, bonds, debentures or similar instruments, (c) all capital lease obligations, and (d) all Contingent Obligations.

“Insolvency Proceeding” is any proceeding by or against any Person under the United States Bankruptcy Code, or any other bankruptcy or insolvency law, including assignments for the benefit of creditors, compositions, extensions generally with its creditors, or proceedings seeking reorganization, arrangement, or other similar relief.

“Intellectual Property” means all of Borrower’s Copyrights; Trademarks; Patents; Licenses; trade secrets and inventions; mask works; Borrower’s applications therefor and reissues, extensions, or renewals thereof; and Borrower’s goodwill associated with any of the foregoing, together with Borrower’s rights to sue for past, present and future infringement of Intellectual Property and the goodwill associated therewith.

“Interest-Only Period” begins on the date of this Agreement and ends on October 31, 2012.

“Investment” means any beneficial ownership (including stock, partnership or limited liability company interests) of or in any Person, or any loan, advance or capital contribution to any Person or the acquisition of all, or substantially all, of the assets of another Person.

“Investment Policy” means that certain Investment Policy of Borrower, as amended from time to time, provided that such investment policy (and any such amendment thereto) has been approved in writing by Lender.

“Joinder Agreements” means for each domestic Subsidiary as required hereunder, a completed and executed Joinder Agreement in substantially the form attached hereto as Exhibit G.

“Lender” has the meaning given to it in the preamble to this Agreement.

“License” means any Copyright License, Patent License, Trademark License or other license of rights or interests.

“Lien” means any mortgage, deed of trust, pledge, hypothecation, assignment for security, security interest, encumbrance, levy, lien or charge of any kind, whether voluntarily incurred or arising by operation of law or otherwise, against any property, any conditional sale or other title retention agreement, and any lease in the nature of a security interest.

“Loan” means the Advance made under this Agreement.

“Loan Documents” means this Agreement, the Note, the ACH Authorization, the Account Control Agreements, the Joinder Agreements, all UCC Financing Statements, the Warrant and any other documents executed in connection with the Secured Obligations or the transactions contemplated hereby, as the same may from time to time be amended, modified, supplemented or restated.

“Material Adverse Effect” means a material adverse effect upon: (i) the business, operations, properties, assets or condition (financial or otherwise) of Borrower; or (ii) the ability of Borrower to perform the Secured Obligations in accordance with the terms of the Loan Documents, or the ability of Lender to enforce any of its rights or remedies with respect to the Secured Obligations; or (iii) the Collateral or Lender’s Liens on the Collateral or the priority of such Liens.

“Maximum Rate” shall have the meaning assigned to such term in Section 2.2.

“Maximum Term Loan Amount” means $10,000,000.

“Note” means the Term Note.

“Other Accounts” shall have the meaning assigned to such term in Section 6.19(b).

“Patent License” means any written agreement granting any right with respect to any invention on which a Patent is in existence or a Patent application is pending, in which agreement Borrower now holds or hereafter acquires any interest.

“Patents” means all letters patent of, or rights corresponding thereto, in the United States or in any other country, all registrations and recordings thereof, and all applications for letters patent of, or rights corresponding thereto, in the United States or any other country.

“Permitted Indebtedness” means: (i) Indebtedness of Borrower in favor of Lender arising under this Agreement or any other Loan Document; (ii) Indebtedness existing on the Closing Date which is disclosed in Schedule 1A; (iii) Indebtedness of up to $1,000,000 outstanding at any time secured by a lien described in clause (vii) of the defined term “Permitted Liens,” provided such Indebtedness does not exceed the cost of the Equipment financed with such Indebtedness; (iv) Indebtedness to trade creditors incurred in the ordinary course of business, including Indebtedness incurred in the ordinary course of business with corporate credit cards and through adverse purchase agreements; (v) Indebtedness consisting of the financing of insurance premiums or take-or-pay obligations contained in supply arrangements in each case, incurred in the ordinary course of business, (vii) customer deposits and advance payments received in the ordinary course of business from customers for goods purchased in the ordinary course of business; (vii) Indebtedness that also constitutes a Permitted Investment; (viii) Subordinated Indebtedness; (ix) reimbursement obligations in connection with letters of credit or surety bonds that are secured by cash or cash equivalents (in an aggregate amount not to exceed $50,000,000 at any time) and issued on behalf of Borrower in the ordinary course of its business, (x) Indebtedness incurred in the ordinary course of business in connection with foreign exchange, interest rate, and currency hedging arrangements, (xi) other Indebtedness in an amount not to exceed $1,000,000 at any time outstanding, (xii) extensions, refinancings and renewals of any items of Permitted Indebtedness, provided that the principal amount is not increased or the terms modified to impose materially more burdensome terms upon Borrower or its Subsidiary, as the case may be; (xiii) Indebtedness secured by Permitted Liens, and (xiv) intercompany Indebtedness as long as the Subsidiary obligor under such Indebtedness has executed a Joinder Agreement.

“Permitted Investment” means: (i) Investments existing on the Closing Date which are disclosed in Schedule 1B; (ii) (a) marketable direct obligations issued or unconditionally guaranteed by the United States of America or any agency or any State thereof, (b) Investments, including investments in commercial paper, made pursuant to Borrower’s Investment Policy, (c) certificates of deposit issued by any bank with assets of at least $500,000,000 maturing no more than one year from the date of investment therein, and (d) money market accounts; (iii) repurchases of stock from former employees, directors, or consultants of Borrower under the terms of applicable repurchase agreements at the original issuance price of such securities in an aggregate amount not to exceed $500,000 in any fiscal year, provided that no Event of Default has occurred, is continuing or would exist after giving effect to the repurchases; (iv) Investments accepted in connection with Permitted Transfers; (v) Investments (including debt obligations) received in connection with the bankruptcy or reorganization of customers or suppliers and in settlement of delinquent obligations of, and other disputes with, customers or suppliers arising in the ordinary course of Borrower’s business; (vi) Investments consisting of notes receivable of, or prepaid royalties and other credit extensions, to customers and suppliers who are not affiliates, in the ordinary course of business, provided that this subparagraph (vi) shall not apply to Investments of Borrower in any Subsidiary; (vii) Investments consisting of loans not involving the net transfer on a substantially contemporaneous basis of cash proceeds to employees, officers or directors relating to the purchase of capital stock of Borrower pursuant to employee stock purchase plans or other similar agreements approved by Borrower’s Board of Directors; (viii) Investments consisting of travel advances in the ordinary course of business; (ix) Investments in newly-formed Subsidiaries organized in the United States, provided that such Subsidiaries enter into a Joinder Agreement promptly after their formation by Borrower and execute such other documents as shall be reasonably requested by Lender; (x) Investments consisting of capital expenditures; (xi) Investments in subsidiaries organized outside of the United States, provided that such Investments in cash do not exceed $15,000,000 in any fiscal year, (xii) (a) Investments in joint ventures or strategic alliances as

may be approved by Borrower’s Board of Directors, including the licensing of technology, the development of technology or the providing of technical support permitted hereunder, and (b) additional Investments in cash provided that aggregate Investments under this clause (xii) do not exceed in the aggregate in any fiscal year exceed $15,000,000.

“Permitted Liens” means any and all of the following: (i) Liens in favor of Lender; (ii) Liens existing on the Closing Date which are disclosed in Schedule 1C; (iii) Liens for taxes, fees, assessments or other governmental charges or levies, either not delinquent or being contested in good faith by appropriate proceedings; provided, that Borrower maintains adequate reserves therefor in accordance with GAAP; (iv) Liens securing claims or demands of materialmen, artisans, mechanics, carriers, warehousemen, landlords and other like Persons arising in the ordinary course of Borrower’s business and imposed without action of such parties; provided, that the payment thereof is not yet required; (v) Liens arising from judgments, decrees or attachments in circumstances which do not constitute an Event of Default hereunder; (vi) the following deposits, to the extent made in the ordinary course of business: deposits under worker’s compensation, unemployment insurance, social security and other similar laws, or to secure the performance of bids, tenders or contracts (other than for the repayment of borrowed money) or to secure indemnity, performance or other similar bonds for the performance of bids, tenders or contracts (other than for the repayment of borrowed money) or to secure statutory obligations (other than liens imposed pursuant to Section 430(k) of the Code or Section 303(k) of ERISA or a violation of Section 436 of the Code or Section 206(g) of ERISA or environmental liens) or surety or appeal bonds, or to secure indemnity, performance or other similar bonds; (vii) Liens on Equipment or software or other intellectual property constituting purchase money liens and liens in connection with capital leases securing Indebtedness permitted in clause (iii) of “Permitted Indebtedness”; (viii) Liens incurred in connection with Subordinated Indebtedness; (ix) leasehold interests in leases or subleases and licenses granted in the ordinary course of business and not interfering in any material respect with the business of the licensor; (x) Liens in favor of customs and revenue authorities arising as a matter of law to secure payment of custom duties that are promptly paid on or before the date they become due; (xi) Liens on insurance proceeds securing the payment of financed insurance premiums that are promptly paid on or before the date they become due (provided that such Liens extend only to such insurance proceeds and not to any other property or assets); (xii) statutory and common law rights of set-off and other similar rights as to deposits of cash and securities in favor of banks, other depository institutions and brokerage firms; (xiii) easements, zoning restrictions, rights-of-way and similar encumbrances on real property imposed by law or arising in the ordinary course of business so long as they do not materially impair the value or marketability of the related property; (xiv) Liens on cash or cash equivalents (that do not exceed $50,000,000 in the aggregate at any time) securing obligations permitted under clause (ix) of the definition of Permitted Indebtedness; (xv) Liens incurred in connection with the extension, renewal or refinancing of the indebtedness secured by Liens of the type described in clauses (i) through (xi) above; provided, that any extension, renewal or replacement Lien shall be limited to the property encumbered by the existing Lien and the principal amount of the indebtedness being extended, renewed or refinanced (as may have been reduced by any payment thereon) does not increase; and (xvi) licenses permitted hereunder.

“Permitted Transfers” means (i) sales of Inventory in the normal course of business, (ii) non-exclusive licenses and similar arrangements for the use of Intellectual Property in the ordinary course of business and exclusive licenses approved by Borrower’s board of directors, or (iii) dispositions of worn-out, obsolete or surplus Equipment at fair market value in the ordinary course of business, and (iv) other Transfers of assets having a fair market value of not more than $25,000,000 in the aggregate in any fiscal year, provided that the Borrower shall receive the proceeds of any such Transfer and the Borrower’s board of directors shall have determined that such Transfer is in Borrower’s best interests and is for good and valuable consideration.

“Person” means any individual, sole proprietorship, partnership, joint venture, trust, unincorporated organization, association, corporation, limited liability company, institution, other entity or government.

“Prepayment Charge” shall have the meaning assigned to such term in Section 2.4.

“Receivables” means (i) all of Borrower’s Accounts, Instruments, Documents, Chattel Paper, Supporting Obligations, letters of credit, proceeds of any letter of credit, and Letter of Credit Rights, and (ii) all customer lists, software, and business records related thereto.

“Secured Obligations” means Borrower’s obligations under this Agreement and any Loan Document (excluding the Warrant, any other warrant, or any investment by Lender in connection with a subsequent financing or any other equity investment by Lender in Borrower), including any obligation to pay any amount now owing or later arising.

“Securities Purchase Agreement” has the meaning given to such term in Section 6.11.

“Subordinated Indebtedness” means Indebtedness subordinated to the Secured Obligations in amounts and on terms and conditions satisfactory to Lender in its reasonable discretion.

“Subsidiary” means an entity, whether corporate, partnership, limited liability company, joint venture or otherwise, in which Borrower owns or controls more than 50% of the outstanding voting securities, including each entity listed on Schedule 1 hereto.

“Term Advance” means the term loan made under this Agreement.

“Term Loan Interest Rate” means for any day a per annum rate of interest equal to 11% plus the percentage, if any, by which the “prime rate” as reported in The Wall Street Journal for such day of calculation exceeds 3.75%.

“Term Loan Maturity Date” means December 1, 2014.

“Term Note” means a Promissory Note in substantially the form of Exhibit B.

“Trademark License” means any written agreement granting any right to use any Trademark or Trademark registration, now owned or hereafter acquired by Borrower or in which Borrower now holds or hereafter acquires any interest.

“Trademarks” means all trademarks (registered, common law or otherwise) and any applications in connection therewith, including registrations, recordings and applications in the United States Patent and Trademark Office or in any similar office or agency of the United States, any State thereof or any other country or any political subdivision thereof.

“UCC” means the Uniform Commercial Code as the same is, from time to time, in effect in the State of California; provided, that in the event that, by reason of mandatory provisions of law, any or all of the attachment, perfection or priority of, or remedies with respect to, Lender’s Lien on any Collateral is governed by the Uniform Commercial Code as the same is, from time to time, in effect in a jurisdiction other than the State of California, then the term “UCC” shall mean the Uniform Commercial Code as in effect, from time to time, in such other jurisdiction solely for purposes of the provisions thereof relating to such attachment, perfection, priority or remedies and for purposes of definitions related to such provisions.

“Warrant” means the warrant entered into in connection with the Loan, dated as of the date hereof, as may be amended, restated or modified from time to time.

Unless otherwise specified, all references in this Agreement or any Annex or Schedule hereto to a “Section,” “Subsection,” “Exhibit,” “Annex,” or “Schedule” shall refer to the corresponding Section, Subsection, Exhibit, Annex, or Schedule in or to this Agreement. Unless otherwise specifically provided herein, any accounting term used in this Agreement or the other Loan Documents shall have the meaning customarily given such term in accordance with GAAP, and all financial computations hereunder shall be computed in accordance with GAAP, consistently applied; provided, that, if at any time any change in GAAP would affect the computation of any financial ratio or requirement set forth in the Loan Documents, and either Borrower or Lender shall so request, the Borrower and Lender shall negotiate in good faith to amend such requirement to preserve the original intent thereof in light of such change in GAAP. Unless otherwise defined herein or in the other Loan Documents, terms that are used herein or in the other Loan Documents and defined in the UCC shall have the meanings given to them in the UCC.

SECTION 2. THE LOAN

2.1 Term Loan.

(a) Advances. Subject to the terms and conditions of this Agreement, Lender will make, and Borrower agrees to draw, a Term Advance of $10,000,000 on the Closing Date.

(b) Advance Request. To obtain the Term Advance, Borrower shall complete, sign and deliver an Advance Request and Term Note to Lender on the Closing Date. Lender shall fund the Term Advance in the manner requested by the Advance Request provided that each of the conditions precedent to such Term Advance is satisfied as of the requested Advance Date.

(c) Interest. The principal balance of the Term Advance shall bear interest thereon from such Advance Date at the Term Loan Interest Rate based on a year consisting of 360 days, with interest computed daily based on the actual number of days elapsed. The Term Loan Interest Rate will change on the date the Prime Rate changes from time to time, to the extent applicable.

(d) Payment. Borrower will make interest-only payments on the Term Advance, beginning July 1, 2012, and continuing through the expiration of the Interest-Only Period. Borrower shall repay the aggregate principal balance that is outstanding upon expiration of the Interest-Only Period in 26 equal monthly installments of principal, plus accrued interest (subject to any changes in the Term Loan Interest Rate pursuant to the terms hereof), beginning the first Business Day of the month after expiration of the Interest-Only Period, and continuing on the first Business Day of each month thereafter. The entire Term Loan principal balance and all accrued but unpaid interest hereunder, shall be due and payable on Term Loan Maturity Date. Borrower shall make all payments under this Agreement without setoff, recoupment or deduction and regardless of any counterclaim or defense. Lender will initiate debit entries to Borrower’s account as authorized on the ACH Authorization on each payment date of all periodic obligations payable to Lender in respect of the Term Advance. Any interest not paid when due shall be added to principal and thereafter bear interest at the Term Loan Interest Rate, subject to increase, if applicable, pursuant to Section 2.3.

2.2 Maximum Interest. Notwithstanding any provision in this Agreement, the Notes, or any other Loan Document, it is the parties’ intent not to contract for, charge or receive interest at a rate that is greater than the maximum rate permissible by law that a court of competent jurisdiction shall deem applicable hereto (which under the laws of the State of California shall be deemed to be the laws relating to permissible rates of interest on commercial loans) (the “Maximum Rate”). If a court of competent jurisdiction shall finally determine that Borrower has actually paid to Lender an amount of interest in excess of the amount that would have been payable if all of the Secured Obligations had at all times borne interest at the Maximum Rate, then such excess interest actually paid by Borrower shall be applied as follows: first, to the payment of principal outstanding on the Notes; second, after all principal is repaid, to the payment of Lender’s accrued interest, costs, expenses, professional fees and any other Secured Obligations; and third, after all Secured Obligations are repaid, the excess (if any) shall be refunded to Borrower.

2.3 Default Interest. In the event any payment is not paid on the scheduled payment date at no fault of the Lender, an amount equal to five percent (5%) of the past due amount shall be payable on demand. In addition, upon the occurrence and during the continuation of an Event of Default hereunder, all Secured Obligations, including principal, interest, compounded interest, and professional fees, shall, at Lender’s election, bear interest at a rate per annum equal to the the Term Loan Interest Rate plus five percent (5%) per annum.

2.4 Prepayment. At its option upon at least 2 Business Days prior notice to Lender, Borrower may prepay all or any part of the outstanding Advance by paying the principal amount of the proposed prepayment, all accrued and unpaid interest thereon, together with a prepayment charge equal to 3.0% of the amount being prepaid if such Advance amounts are prepaid in any of the first twelve (12) months following the Closing Date, (each, a “Prepayment Charge”). Borrower agrees that the Prepayment Charge is a

reasonable calculation of Lender’s lost profits in view of the difficulties and impracticality of determining actual damages resulting from an early repayment of the Advance. Borrower shall prepay the outstanding amount of all principal and accrued but unpaid interest through the prepayment date and the Prepayment Charge upon a Change in Control.

2.5 End of Term Charge. On the earliest to occur of (i) the Term Loan Maturity Date, (ii) the date that Borrower prepays the outstanding Secured Obligations, or (iii) the date that the Secured Obligations become due and payable, Borrower shall pay Lender a charge of $500,000. Notwithstanding the required payment date of such charge, it shall be deemed earned by Lender as of the Closing Date.

SECTION 3. SECURITY INTEREST

3.1 As security for the prompt, full and complete payment when due (whether on the payment dates or otherwise) of all the Secured Obligations, Borrower grants to Lender a security interest in all of Borrower’s right, title, and interest in and to the following personal property whether now owned or hereafter acquired, including the following (collectively, the “Collateral”): (a) Accounts and Receivables; (b) Equipment; (c) Fixtures; (d) General Intangibles; (e) Inventory; (f) Investment Property; (g) Deposit Accounts; (h) Cash; (i) Goods; and other tangible and intangible personal property of Borrower whether now or hereafter owned or existing, leased, consigned by or to, or acquired by, Borrower and wherever located; and, to the extent not otherwise included, all Proceeds of each of the foregoing and all accessions to, substitutions and replacements for, and rents, profits and products of each of the foregoing. Notwithstanding the foregoing, the Collateral does not include (i) more than 65% of the presently existing and hereafter arising issued and outstanding shares of capital stock owned by Borrower of any foreign Subsidiary which shares entitle the holder thereof to vote for directors or any other matter, and (ii) nonassignable licenses or contracts, which by their terms require the consent of the licensor thereof or another party (but only to the extent such prohibition on transfer is enforceable under applicable law, including, without limitation, Sections 9406 and 9408 of the UCC).

3.2 Upon payment in full in cash of the Secured Obligations (other than inchoate indemnity obligations and any other obligations which, by their terms, are to survive the termination of this Agreement), Lender’s liens on any of the Collateral shall be automatically released and all rights in the Collateral shall revert to Borrower and Lender shall, at Borrower’s sole cost and expense, promptly take such actions to evidence such release as may be reasonably requested by Borrower or its designee.

SECTION 4. CONDITIONS PRECEDENT TO LOAN

The obligations of Lender to make the Loan hereunder are subject to the satisfaction by Borrower of the following conditions:

4.1 Initial Advance. On or prior to the Closing Date, Borrower shall have delivered to Lender the following:

(a) executed originals of the Loan Documents, Account Control Agreements, a legal opinion of Borrower’s counsel, and all other documents and instruments reasonably required by Lender to effectuate the transactions contemplated hereby or to create and perfect the Liens of Lender with respect to all Collateral, in all cases in form and substance reasonably acceptable to Lender;

(b) certified copy of resolutions of Borrower’s board of directors evidencing approval of (i) the Loan and other transactions evidenced by the Loan Documents; and (ii) the Warrant and transactions evidenced thereby;

(c) certified copies of the Certificate of Incorporation and the Bylaws, as amended through the Closing Date, of Borrower;

(d) a certificate of good standing for Borrower from its state of incorporation and similar certificates from all other jurisdictions in which it does business and where the failure to be qualified would have a Material Adverse Effect;

(e) payment of the Commitment Fee (which was already paid prior to the Closing Date), the Facility Charge and reimbursement of Lender’s current expenses reimbursable pursuant to this Agreement, which amounts may be deducted from the initial Advance; and

(f) such other documents as Lender may reasonably request.

4.2 Advance Date. On the Advance Date:

(a) Lender shall have received (i) an Advance Request and a Note for the relevant Advance, each duly executed by Borrower’s Chief Executive Officer or Chief Financial Officer, and (ii) any other documents Lender may reasonably request.

(b) The representations and warranties set forth in this Agreement shall be true and correct in all material respects on and as of the Advance Date with the same effect as though made on and as of such date, except to the extent such representations and warranties expressly relate to an earlier date.

(c) Borrower shall be in compliance with all the terms and provisions set forth herein and in each other Loan Document on its part to be observed or performed, and at the time of and immediately after such Advance no Event of Default shall have occurred and be continuing.

(d) Each Advance Request shall be deemed to constitute a representation and warranty by Borrower on the relevant Advance Date as to the matters specified in paragraphs (b) and (c) of this Section 4.2 and as to the matters set forth in the Advance Request.

4.3 No Default. As of the Closing Date and each Advance Date, (i) no fact or condition exists that would (or would, with the passage of time, the giving of notice, or both) constitute an Event of Default and (ii) no event that has had or could reasonably be expected to have a Material Adverse Effect has occurred and is continuing.

SECTION 5. REPRESENTATIONS AND WARRANTIES OF BORROWER

Borrower represents and warrants that:

5.1 Corporate Status. Borrower is a corporation duly organized, legally existing and in good standing under the laws of the State of Delaware, and is duly qualified as a foreign corporation in all jurisdictions in which the nature of its business or location of its properties require such qualifications except where the failure to be qualified would not reasonably be expected to have a Material Adverse Effect. Borrower’s present name, former names (if any), locations, place of formation, tax identification number, organizational identification number and other information are correctly set forth in Exhibit C, as may be updated by Borrower in a written notice (including any Compliance Certificate) provided to Lender after the Closing Date.

5.2 Collateral. Borrower owns its property, free of all Liens, except for Permitted Liens. Borrower has the power and authority to grant to Lender a Lien in the Collateral as security for the Secured Obligations.

5.3 Consents. Borrower’s execution, delivery and performance of the Note, this Agreement and all other Loan Documents, and Borrower’s execution of the Warrant, (i) have been duly authorized by all necessary corporate action of Borrower, (ii) will not result in the creation or imposition of any Lien upon the Collateral, other than Permitted Liens and the Liens created by this Agreement and the other Loan

Documents, (iii) do not violate any provisions of Borrower’s Certificate of Incorporation (as applicable), bylaws, or any material law, regulation, order, injunction, judgment, decree or writ to which Borrower is subject and (iv) except as described on Schedule 5.3, do not violate any contract or agreement or require the consent or approval of any other Person which has not already been obtained. The individual or individuals executing the Loan Documents and the Warrant are duly authorized to do so.

5.4 Material Adverse Effect. As of the Closing Date, no event (other than any event disclosed in the Schedules hereto) that has had or could reasonably be expected to have a Material Adverse Effect has occurred and is continuing, and Borrower is not aware of any event (other than any event disclosed in the Schedules hereto) likely to occur that is reasonably expected to result in a Material Adverse Effect.

5.5 Actions Before Governmental Authorities. Except as described on Schedule 5.5, there are no actions, suits or proceedings at law or in equity or by or before any governmental authority now pending or, to the knowledge of Borrower, threatened against or affecting Borrower or its property.

5.6 Laws. As of the Closing Date, Borrower is not in violation of any law, rule or regulation, or in default with respect to any judgment, writ, injunction or decree of any governmental authority, where such violation or default is reasonably expected to result in a Material Adverse Effect. Other than as disclosed in the Schedules hereto, Borrower is not in default in any manner under any provision of any agreement or instrument evidencing indebtedness, or any other material agreement to which it is a party or by which it is bound, where such default is reasonably expected to result in a Material Adverse Effect.

5.7 Information Correct and Current. No information, report, Advance Request, financial statement, exhibit or schedule furnished, by or on behalf of Borrower to Lender in connection with any Loan Document or included therein or delivered pursuant thereto contained, when taken as a whole, contains or will contain any material misstatement of fact or omitted, omits or will omit to state any material fact necessary to make the statements therein, in the light of the circumstances under which they were, are or will be made, not misleading at the time such statement was made or deemed made. Additionally, any and all financial or business projections provided by Borrower to Lender shall be (i) provided in good faith and based on the most current data and information available to Borrower, and (ii) the most current of such projections provided to Borrower’s Board of Directors; provided, however, that Lender recognizes that the projections and forecasts provided by Borrower in good faith and based upon reasonable assumptions are not viewed as facts and that actual results during the period or periods covered by such projections and forecasts may differ from the projected or forecasted results.

5.8 Tax Matters. Except as described on Schedule 5.8, (a) Borrower has filed all material federal, state and local tax returns that it is required to file, (b) Borrower has duly paid or fully reserved for all taxes (other than de minimis amounts) or installments thereof (including any interest or penalties) as and when due, which have or may become due pursuant to such returns, and (c) Borrower has paid or fully reserved for any tax assessment received by Borrower for the three (3) years preceding the Closing Date, if any (including any taxes being contested in good faith and by appropriate proceedings).

5.9 Intellectual Property Claims. Borrower is the sole owner of, or otherwise has the right to use, the Intellectual Property. Except as described on Schedule 5.9, (i) each of the material Copyrights, Trademarks and Patents (excluding any applications thereof) is valid and enforceable, (ii) no material part of the Intellectual Property has been judged invalid or unenforceable, in whole or in part, and (iii) no claim has been made to Borrower that any material part of the Intellectual Property violates the rights of any third party. Exhibit D is a true, correct and complete list of each of Borrower’s Patents, registered Trademarks, registered Copyrights, and material agreements under which Borrower licenses Intellectual Property from third parties (other than shrink-wrap or “off the shelf” software licenses), together with application or registration numbers, as applicable, owned by Borrower or any Subsidiary, in each case as of the Closing Date. Borrower is not in material breach of, nor has Borrower failed to perform any material obligations under, any of the material contracts, licenses or agreements described in the immediately preceding sentence and, to Borrower’s knowledge, no third party to any such contract, license or agreement is in material breach thereof or has failed to perform any material obligations thereunder.

5.10 Intellectual Property. Except as described on Schedule 5.10, Borrower has, or in the case of any proposed business, will have, all material rights with respect to Intellectual Property necessary in the operation or conduct of Borrower’s business as currently conducted and proposed to be conducted by Borrower. Without limiting the generality of the foregoing, and in the case of Licenses, except for restrictions that are unenforceable under Division 9 of the UCC and for “off the shelf” software licenses, Borrower has the right, to the extent required to operate Borrower’s business, to freely transfer, license or assign Intellectual Property without condition, restriction or payment of any kind (other than license payments in the ordinary course of business) to any third party, and Borrower owns or has the right to use, pursuant to valid licenses, all software development tools, library functions, compilers and all other third-party software and other items that are used in the design, development, promotion, sale, license, manufacture, import, export, use or distribution of Borrower Products.

5.11 Borrower Products. Except as described on Schedule 5.11, no Intellectual Property owned by Borrower or Borrower Product has been or is subject to any actual or, to the knowledge of Borrower, threatened litigation, proceeding (including any proceeding in the United States Patent and Trademark Office or any corresponding foreign office or agency) or outstanding decree, order, judgment, settlement agreement or stipulation that restricts Borrower’s use, transfer or licensing thereof or that may affect the validity, use or enforceability thereof in a way that could reasonably be expected to have a material adverse effect on Borrower’s business. There is no decree, order, judgment, agreement, stipulation, arbitral award or other provision entered into in connection with any litigation or proceeding that obligates Borrower to grant licenses or ownership interest in any future Intellectual Property related to the operation or conduct of the business of Borrower or Borrower Products. Borrower has not received any written notice or claim, or, to the knowledge of Borrower, oral notice or claim, challenging or questioning Borrower’s ownership in any Intellectual Property (or written notice of any claim challenging or questioning the ownership in any licensed Intellectual Property of the owner thereof) or suggesting that any third party has any claim of legal or beneficial ownership with respect thereto that could reasonably be expected to have a material adverse effect on Borrower’s business nor, to Borrower’s knowledge, is there a reasonable basis for any such claim. To Borrower’s knowledge, neither Borrower’s use of its Intellectual Property nor the production and sale of Borrower Products materially infringes the Intellectual Property or other rights of others.

5.12 Financial Accounts. Exhibit E, as may be updated by Borrower in a written notice provided to Lender after the Closing Date, is a true, correct and complete list of (a) all banks and other financial institutions at which Borrower or any domestic Subsidiary maintains Deposit Accounts and (b) all institutions at which Borrower or any domestic Subsidiary maintains an account holding Investment Property, and such exhibit correctly identifies the name, address and telephone number of each bank or other institution, the name in which the account is held, a description of the purpose of the account, and the complete account number therefor.

5.13 Employee Loans. Borrower has no outstanding loans to any employee, officer or director of Borrower nor has Borrower guaranteed the payment of any loan made to an employee, officer or director of Borrower by a third party.

5.14 Subsidiaries. Borrower does not own any stock, partnership interest or other securities of any Person, except for Permitted Investments. The value of the assets held by any single domestic Subsidiary of Borrower (other than Superconductivity, Inc. and ASC Devens LLC) does not exceed Fifty Thousand Dollars ($50,000).

SECTION 6. COVENANTS OF BORROWER

Borrower agrees as follows:

6.1 Financial Reports. Borrower shall furnish to Lender the financial statements and reports listed hereinafter (the “Financial Statements”):

(a) as soon as practicable (and in any event within 30 days) after the end of each month, unaudited interim and year-to-date financial statements as of the end of such month (prepared on a

consolidated basis, if applicable), including balance sheet and related statement of income, all certified by Borrower’s Chief Executive Officer or Chief Financial Officer to the effect that they have been prepared in accordance with GAAP, except (i) for the absence of footnotes, (ii) that they are subject to normal year end adjustments, and (iii) they do not contain certain non-cash items that are customarily included in quarterly and annual financial statements;

(b) as soon as practicable (and in any event within 45 days) after the end of each calendar quarter, unaudited interim and year-to-date financial statements as of the end of such calendar quarter (prepared on a consolidated basis, if applicable), including balance sheet and related statements of income and cash flows certified by Borrower’s Chief Executive Officer or Chief Financial Officer to the effect that they have been prepared in accordance with GAAP, except (i) for the absence of footnotes, and (ii) that they are subject to normal year end adjustments; as soon as practicable (and in any event within one hundred fifty (150) days) after the end of each fiscal year, unqualified (other than with respect to internal controls) audited financial statements as of the end of such year (prepared on a consolidated basis, if applicable), including balance sheet and related statements of income and cash flows, and setting forth in comparative form the corresponding figures for the preceding fiscal year, certified by a firm of independent certified public accountants selected by Borrower and reasonably acceptable to Lender, accompanied by any management report from such accountants;

(c) as soon as practicable (and in any event within 30 days) after the end of each month, a Compliance Certificate in the form of Exhibit F;

(d) [Reserved];

(e) promptly after the filing thereof, copies of any material regular, periodic and special reports or registration statements that Borrower files with the Securities and Exchange Commission or any governmental authority that may be substituted therefor, or any national securities exchange; it being understood that posting of a link on Borrower’s website on the Internet to such annual, regular, periodic and special reports and registration statements shall satisfy the delivery requirements under this Section 6, other than Section 6.1(a); and

(f) financial and business projections promptly following their approval by Borrower’s Board of Directors, as well as budgets, operating plans and other financial information reasonably requested by Lender.

Borrower shall not make any material change in its (a) accounting policies or reporting practices, except as required by GAAP or (b) fiscal years or fiscal quarters. The fiscal year of Borrower shall end on March 31.

The executed Compliance Certificate may be sent via facsimile to Lender at (650) 473-9194 or via e-mail to bpritchard@herculestech.com. All Financial Statements required to be delivered pursuant to clauses (a), (b) and (c) shall be sent via e-mail to financialstatements@herculestech.com with a copy to bpritchard@herculestech.com provided, that if e-mail is not available or sending such Financial Statements via e-mail is not possible, they shall be sent via facsimile to Lender at: (866) 468-8916, attention Chief Credit Officer.

6.2 Management Rights. Borrower shall permit any representative that Lender authorizes, including its attorneys and accountants, to inspect the Collateral and examine and make copies and abstracts of the books of account and records of Borrower at reasonable times and upon reasonable notice during normal business hours; provided that such inspections shall be conducted no more often than 2 times per year unless an Event of Default has occurred and is continuing. In addition, any such representative shall have the right to meet with management and officers of Borrower to discuss such books of account and records. In addition, Lender shall be entitled at reasonable times and intervals to consult with and advise the management and officers of Borrower concerning significant business issues affecting Borrower. Such consultations shall not unreasonably interfere with Borrower’s business operations. The parties intend that the rights granted Lender shall constitute “management rights” within the meaning of 29 C.F.R Section 2510.3-101(d)(3)(ii), but that any advice, recommendations or participation by Lender with respect to any business issues shall not be deemed to give Lender, nor be deemed an exercise by Lender of, control over Borrower’s management or policies.

6.3 Further Assurances. Borrower shall from time to time, upon the reasonable request of Lender, execute, deliver and file, alone or with Lender, any financing statements, security agreements, collateral assignments, notices, control agreements, or other documents to perfect or give the highest priority to Lender’s Lien on the Collateral. Borrower shall from time to time procure any instruments or documents as may be reasonably requested by Lender, and take all further action that may be necessary or desirable, or that Lender may reasonably request, to perfect and protect the Liens granted hereby and thereby. In addition, and for such purposes only, Borrower hereby authorizes Lender to execute and deliver on behalf of Borrower and to file such financing statements, collateral assignments, notices, control agreements, security agreements and other similar documents without the signature of Borrower either in Lender’s name or in the name of Lender as agent and attorney-in-fact for Borrower. Borrower shall protect and defend Borrower’s title to the Collateral and Lender’s Lien thereon against all Persons claiming any interest adverse to Borrower or Lender other than Permitted Liens.

6.4 Insurance. Borrower shall cause to be carried and maintained commercial general liability insurance, on an occurrence form, against risks customarily insured against in Borrower’s line of business. Such risks shall include the risks of bodily injury, including death, property damage, personal injury, advertising injury, and contractual liability per the terms of the indemnification agreement found in Section 6.3. Borrower must maintain a minimum of $2,000,000 of commercial general liability insurance for each occurrence. Borrower has and agrees to maintain a minimum of $2,000,000 of directors and officers’ insurance for each occurrence and $3,000,000 in the aggregate. So long as there are any Secured Obligations outstanding, Borrower shall also cause to be carried and maintained insurance upon the Collateral as is customary for similarly situated entities, insuring against all risks of physical loss or damage howsoever caused, in an amount not less than the full replacement cost of the Collateral, provided that such insurance may be subject to standard exceptions and deductibles. Borrower shall also carry and maintain a fidelity insurance policy in an amount not less than $100,000. Borrower shall deliver to Lender certificates of insurance that evidence Borrower’s compliance with these insurance obligations. Borrower’s insurance certificate shall state Lender is an additional insured for commercial general liability, an additional insured and a loss payee for all risk property damage insurance, subject to the insurer’s approval, a loss payee for fidelity insurance, and a loss payee for property insurance and additional insured for liability insurance for any future insurance that Borrower may acquire from such insurer. Attached to the certificates of insurance will be additional insured endorsements for liability and lender’s loss payable endorsements for all risk property damage insurance and fidelity. All certificates of insurance will provide for a minimum of thirty (30) days advance written notice to Borrower of cancellation. Any failure of Lender to scrutinize such insurance certificates for compliance is not a waiver of any of Lender’s rights, all of which are reserved.

6.5 Indemnity. Borrower shall indemnify and hold Lender and its officers, directors, employees, agents, in-house attorneys, representatives and shareholders (each such person, an “Indemnified Party”) harmless from and against any and all claims, costs, expenses, damages and liabilities (including such claims, costs, expenses, damages and liabilities based on liability in tort, including strict liability in tort), including reasonable attorneys’ fees and disbursements and other costs of investigation or defense (including those incurred upon any appeal), that may be instituted or asserted against or incurred by Lender or any such Person as the result of credit having been extended, suspended or terminated under this Agreement and the other Loan Documents or the administration of such credit, or in connection with or arising out of the transactions contemplated hereunder and thereunder, or any actions or failures to act in connection therewith, or arising out of the disposition or utilization of the Collateral, excluding in all cases claims resulting solely from such Indemnified Party’s gross negligence or willful misconduct. Borrower agrees to pay, and to save Lender harmless from, any and all liabilities with respect to, or resulting from any delay in paying, any and all excise, sales or other similar taxes (excluding taxes imposed on or measured by the net income of Lender) that may be payable or determined to be payable with respect to any of the Collateral or this Agreement.

6.6 Indebtedness. Borrower shall not create, incur, assume, guarantee or be or remain liable with respect to any Indebtedness, other than Permitted Indebtedness, or prepay any Indebtedness or take any actions which impose on Borrower an obligation to prepay any Indebtedness, other than Permitted Indebtedness pursuant to terms therein, except for the conversion of Indebtedness into equity securities, payment of cash in lieu of fractional shares in connection with such conversion, and as otherwise agreed in writing by Lender (including pursuant to any subordination, intercreditor or similar agreement), other than Permitted Indebtedness pursuant to terms therein,.

6.7 Encumbrances. Borrower shall keep its property free and clear of all Liens, other than Permitted Liens. Borrower shall cause each of its Subsidiaries to keep such Subsidiary’s property free and clear of all Liens, other than Permitted Liens. Borrower shall not agree with any Person other than Lender not to encumber its property other than under the Heights Notes or pursuant to any documents entered into in connection with other Permitted Indebtedness.

6.8 Litigation. Borrower shall give Lender prompt written notice of any complaints, litigation or judgments affecting Borrower or any Subsidiary.

6.9 Investments. Borrower shall not directly or indirectly acquire or own, or make any Investment in or to any Person, other than Permitted Investments.

6.10 Distributions. Borrower shall not, and shall not allow any Subsidiary to, (a) repurchase or redeem any class of stock or other equity interest other than pursuant to employee, director or consultant repurchase plans or other similar agreements, provided, however, in each case the repurchase or redemption price does not exceed the original consideration paid for such stock or equity interest, or (b) declare or pay any cash dividend or make a cash distribution on any class of stock or other equity interest, except that a Subsidiary may pay dividends or make distributions to Borrower, or (c) lend money to any employees, officers or directors or guarantee the payment of any such loans granted by a third party in excess of $100,000 in the aggregate or (d) waive, release or forgive any indebtedness owed by any employees, officers or directors in excess of $100,000 in the aggregate.

6.11 Heights Notes. Notwithstanding anything in Section 6.10 or otherwise in this Agreement, Borrower may make any payment required under that certain Senior Convertible Note, dated April 4, 2012, issued by Borrower to Capital Ventures International and any other such Senior Convertible Notes issued pursuant to the Securities Purchase Agreement (the “Securities Purchase Agreement”), dated as of April 4, 2012, by and among Borrower and the initial holders of the notes (collectively, the “Heights Notes”) as long as an Event of Default is not continuing. Without Lender’s prior written consent, (a) Borrower shall not agree to amend any of the Heights Notes, or enter into any agreement that has the effect of amending the Heights Notes or any obligation of Borrower to pay any amount owing in connection with the Heights Notes or the Securities, as defined in the Securities Purchase Agreement and (b) except as required by the terms of the Securities Purchase Agreement or the Heights Notes, Borrower shall not pay any amount owing under the Heights Notes, whether by redemption or prepayment.

6.12 Transfers. Except for Permitted Transfers, Borrower shall not voluntarily or involuntarily transfer, sell, lease, license, lend or in any other manner convey any equitable, beneficial or legal interest in any material portion of its assets.

6.13 Mergers or Acquisitions. Borrower shall not merge or consolidate, or permit any of its Subsidiaries to merge or consolidate, with or into any other business organization (other than mergers or consolidations of a Subsidiary into another Subsidiary or into Borrower), or acquire, or permit any of its Subsidiaries to acquire, all or substantially all of the capital stock or property of another Person; not including (i) any merger of Borrower or any of its, direct or indirect, wholly-owned Subsidiaries with or into any Subsidiary that is a party to this Agreement, (ii) any reorganization, recapitalization or reclassification of the shares of Borrower’s common stock in which holders of Borrower’s voting power immediately prior to such reorganization, recapitalization or reclassification continue after such reorganization, recapitalization or reclassification to hold publicly traded securities and, directly or indirectly, are, in all material respects, the holders of the voting power of the surviving entity (or entities

with the authority or voting power to elect the members of the board of directors (or their equivalent if other than a corporation) of such entity or entities) after such reorganization, recapitalization or reclassification, (iii) pursuant to a migratory merger effected solely for the purpose of changing the jurisdiction of incorporation of any of Borrower’s Subsidiaries, or (iv) pursuant to any acquisition or merger the consideration for which is solely common stock of Borrower (which for avoidance of doubt shall exclude any assumption of Indebtedness).

6.14 Taxes. Borrower and its Subsidiaries shall pay when due all material taxes, fees or other charges (together with any related interest or penalties) now or hereafter imposed or assessed against Borrower, Lender or the Collateral or upon Borrower’s ownership, possession, use, operation or disposition thereof or upon Borrower’s rents, receipts or earnings arising therefrom. Borrower shall file on or before the due date therefor all personal property tax returns in respect of the Collateral. Notwithstanding the foregoing, Borrower may contest, in good faith and by appropriate proceedings, taxes for which Borrower maintains adequate reserves therefor in accordance with GAAP.

6.15 Corporate Changes. Neither Borrower nor any domestic Subsidiary shall change its corporate name, legal form or jurisdiction of formation without twenty (20) days’ prior written notice to Lender. Borrower shall not suffer a Change in Control. Borrower shall not relocate its chief executive office or its principal place of business unless: (i) it has provided prior written notice to Lender; and (ii) such relocation shall be within the continental United States. Neither Borrower nor any domestic Subsidiary shall relocate any item of Collateral (other than (w) sales of Inventory in the ordinary course of business, (x) relocations of Equipment having an aggregate value of up to $2,000,000 in any fiscal year, (y) relocations of Equipment among Subsidiaries and (z) relocations of Collateral from a location described on Exhibit C to another location described on Exhibit C) unless (i) it has provided prompt written notice to Lender, (ii) such relocation is within the continental United States and, (iii) if such relocation is to a third party bailee, it has taken commercially reasonable efforts to deliver a bailee agreement in form and substance reasonably acceptable to Lender.

6.16 Deposit Accounts.

(a) Subject to Section 6.19, neither Borrower nor any domestic Subsidiary shall maintain any Deposit Accounts, or accounts holding Investment Property, except with respect to which Lender has an Account Control Agreement, other than (i) accounts held with HSBC with an aggregate amount not to exceed the lesser of (A) $3,700,000 or (B) the amount necessary to cash collateralize or support letters of credit outstanding as of the Closing Date; and (ii) an account of AMSC Wisconsin Wind LLC maintained at Bank of America in which no more than $3,500 is maintained at any given time.

(b) The amounts in the Other Accounts shall not, at any time, exceed $5,000,000 in the aggregate, until such time as the Other Accounts (as defined in Section 6.19 below) are subject to Account Control Agreement(s) in form and substance satisfactory to Lender.

6.17 Subsidiaries. Borrower shall notify Lender of each Subsidiary formed subsequent to the Closing Date and, within 15 days of formation, shall cause any such Subsidiary organized under the laws of any State within the United States to execute and deliver to Lender a Joinder Agreement. Borrower shall not permit the value of the assets held by any domestic Subsidiary that has not executed a Joinder Agreement to exceed Fifty Thousand Dollars ($50,000), unless such Subsidiary executes and delivers to Lender a Joinder Agreement prior to the value of such assets held by such Subsidiary exceeding Fifty Thousand Dollars ($50,000).

6.18 Unrestricted Cash. Borrower shall (a) maintain a balance of unrestricted cash or cash equivalents (including, for the avoidance of doubt, any marketable securities invested under the Borrower’s Investment Policy) equal to the principal amount of the Term Loan outstanding at any given time in accounts that are subject to an Account Control Agreement, and (b) provide Lender at least three Business Days’ prior written notice of any requirement to make payment to any other party which would cause Borrower to be in violation of clause (a) of this Section 6.18 upon the making of such payment.

6.19 Post Closing Covenants. Within sixty (60) days of the Closing Date, Borrower shall deliver to Lender, in form and substance reasonably satisfactory to Lender: (a) a duly executed and recorded mortgage and security agreement, an environmental indemnity agreement, a lender’s title policy with such endorsements as may be required by Lender, and such other documents and instruments as may be reasonably requested by Lender in connection therewith, with respect to the real property located at 64 Jackson Road, Devens, Massachusetts; and (b) Account Control Agreement(s) with respect to all other Deposit Accounts (or accounts holding Investment Property) of Borrower or any other Subsidiary of Borrower maintained in the United States of America that are not subject to an Account Control Agreement as of the Closing Date, except for those listed in clause (i) and clause (ii) of Section 6.16(a) (collectively, the “Other Accounts”), along with an updated executed ACH Debit Authorization Agreement if the Other Account listed in such agreement delivered on the Closing Date is closed.

SECTION 7. [RESERVED].

SECTION 8. EVENTS OF DEFAULT

The occurrence of any one or more of the following events shall be an Event of Default:

8.1 Payments. Borrower fails to pay any amount due under this Agreement, the Notes or any of the other Loan Documents on the due date, provided, however, that an Event of Default shall not occur on account of a failure to pay due solely to an administrative or operational error of Lender if Borrower had the funds to make the payment when due and makes the payment the Business Day following Borrower’s knowledge of such failure to pay; or

8.2 Covenants. Borrower breaches or defaults in the performance of any covenant or Secured Obligation under this Agreement and (a) with respect to a default under any covenant under this Agreement (other than under Sections 6.6, 6.7, 6.8, 6.9, 6.10, 6.11, 6.12, 6.16, 6.18 or 6.19) such default continues for more than 30 days after the earlier of the date on which (i) Lender has given notice of such default to Borrower and (ii) Borrower has actual knowledge of such default; (b) with respect to a default under Section 6.16(b), such default continues for more than three Business Days after the earlier of the date on which (i) Lender has given notice of such default to Borrower and (ii) Borrower has actual knowledge of such default, provided however no such cure period shall apply if the amount in the Other Accounts exceeds $6,000,000; (c) with respect to a default under Section 6.18(b), such default continues for more than three Business Days after the earlier of the date on which (i) Lender has given notice of such default to Borrower and (ii) Borrower has actual knowledge of such default; or (d) with respect to a default under any of Sections 6.6, 6.7, 6.8, 6.9, 6.10, 6.11, 6.12, 6.16(a), 6.18(a) or 6.19 the occurrence of such default; or

8.3 Material Adverse Effect. A circumstance has occurred that would reasonably be expected to have a Material Adverse Effect.

8.4 Other Loan Documents. The occurrence of any default under any other Loan Document or any other agreement between Borrower and Lender (other than this Agreement and the Warrant) and such default continues for more than 30 days after the earlier of (a) Lender has given notice of such default to Borrower, or (b) Borrower has actual knowledge of such default; or

8.5 Representations. Any representation or warranty made by Borrower in any Loan Document when taken as a whole shall have been false or misleading in any material respect; or

8.6 Insolvency. Borrower (A) (i) shall make an assignment for the benefit of creditors; or (ii) shall be unable to pay its debts as they become due, or be unable to pay or perform under the Loan Documents, or shall become insolvent; or (iii) shall file a voluntary petition in bankruptcy (including any Insolvency Proceeding; or (iv) shall file any petition, answer, or document seeking for itself any reorganization, arrangement, composition, readjustment, liquidation, dissolution or similar relief under any present or future statute, law or regulation pertinent to such circumstances; or (v) shall seek or consent to or acquiesce in the appointment of any trustee, receiver, or liquidator of Borrower or of all or any substantial

part (i.e., 33-1/3% or more) of the assets or property of Borrower; or (vi) shall cease operations of its business as its business has normally been conducted, or terminate substantially all of its employees; or (vii) Borrower or its directors or majority shareholders shall take any action initiating any of the foregoing actions described in clauses (i) through (vi); or (B) either (i) forty-five (45) days shall have expired after the commencement of an involuntary action against Borrower seeking reorganization, arrangement, composition, readjustment, liquidation, dissolution or similar relief under any present or future statute, law or regulation, without such action being dismissed or all orders or proceedings thereunder affecting the operations or the business of Borrower being stayed; or (ii) a stay of any such order or proceedings shall thereafter be set aside and the action setting it aside shall not be timely appealed; or (iii) Borrower shall file any answer admitting or not contesting the material allegations of a petition filed against Borrower in any such proceedings; or (iv) the court in which such proceedings are pending shall enter a decree or order granting the relief sought in any such proceedings; or (v) forty-five (45) shall have expired after the appointment, without the consent or acquiescence of Borrower, of any trustee, receiver or liquidator of Borrower or of all or any substantial part of the properties of Borrower without such appointment being vacated; or

8.7 Attachments; Judgments. Other than in connection with any litigation disclosed in the Schedules, any portion of Borrower’s assets is attached or seized, or a levy is filed against any such assets, or a judgment or judgments (which is not insured or bonded) is/are entered for the payment of money, individually or in the aggregate, of at least $2,000,000, or Borrower is enjoined or in any way prevented by court order from conducting any part of its business. For the sake of clarity, a judgment awarded against Borrower on the litigation matter disclosed on the Schedules shall not constitute an Event of Default under this Section 8.7, but does not otherwise qualify or limit any other Event of Default from occurring under any other provision in this Section 8; or

8.8 Other Obligations. The occurrence of any default under any agreement or obligation of Borrower involving any Indebtedness in excess of $2,000,000, or the occurrence of any default under any agreement or obligation of Borrower that could reasonably be expected to have a Material Adverse Effect

8.9 Control Agreements. Other than as permitted under Section 6.16, if any Deposit Account of Borrower or any domestic Subsidiary ceases to be subject to an Account Control Agreement, or if, without Lender’s prior written consent, Borrower delivers a notice to any bank or financial intermediary terminating or purporting to terminate any Account Control Agreement required under this Agreement.

SECTION 9. REMEDIES

9.1 General. Upon and during the continuance of any one or more Events of Default, (i) Lender may, at its option, accelerate and demand payment of all or any part of the Secured Obligations together with a Prepayment Charge and declare them to be immediately due and payable (provided, that upon the occurrence of an Event of Default of the type described in Section 8.6, the Notes and all of the Secured Obligations shall automatically be accelerated and made due and payable, in each case without any further notice or act), and (ii) Lender may notify any of Borrower’s account debtors to make payment directly to Lender, compromise the amount of any such account on Borrower’s behalf and endorse Lender’s name without recourse on any such payment for deposit directly to Lender’s account. Lender may exercise all rights and remedies with respect to the Collateral under the Loan Documents or otherwise available to it under the UCC and other applicable law, including the right to release, hold, sell, lease, liquidate, collect, realize upon, or otherwise dispose of all or any part of the Collateral and the right to occupy, utilize, process and commingle the Collateral. All Lender’s rights and remedies shall be cumulative and not exclusive.

9.2 Collection; Foreclosure. Upon the occurrence and during the continuance of any Event of Default, Lender may, at any time or from time to time, apply, collect, liquidate, sell in one or more sales, lease or otherwise dispose of, any or all of the Collateral, in its then condition or following any commercially reasonable preparation or processing, in such order as Lender may elect. Any such sale may be made either at public or private sale at its place of business or elsewhere. Borrower agrees that any such public or private sale may occur upon ten (10) calendar days’ prior written notice to Borrower. Lender may

require Borrower to assemble the Collateral and make it available to Lender at a place designated by Lender that is reasonably convenient to Lender and Borrower. The proceeds of any sale, disposition or other realization upon all or any part of the Collateral shall be applied by Lender in the following order of priorities:

First, to Lender in an amount sufficient to pay in full Lender’s costs and reasonably professionals’ and advisors’ fees and expenses as described in Section 10.10;

Second, to Lender in an amount equal to the then unpaid amount of the Secured Obligations (including principal, interest, and the Default Rate interest), in such order and priority as Lender may choose in its sole discretion; and

Finally, after the full, final, and indefeasible payment in Cash of all of the Secured Obligations, to any creditor holding a junior Lien on the Collateral, or to Borrower or its representatives or as a court of competent jurisdiction may direct.

Lender shall be deemed to have acted reasonably in the custody, preservation and disposition of any of the Collateral if it complies with the obligations of a secured party under the UCC.

9.3 No Waiver. Lender shall be under no obligation to marshal any of the Collateral for the benefit of Borrower or any other Person, and Borrower expressly waives all rights, if any, to require Lender to marshal any Collateral.

9.4 Cumulative Remedies. The rights, powers and remedies of Lender hereunder shall be in addition to all rights, powers and remedies given by statute or rule of law and are cumulative. The exercise of any one or more of the rights, powers and remedies provided herein shall not be construed as a waiver of or election of remedies with respect to any other rights, powers and remedies of Lender.

SECTION 10. MISCELLANEOUS

10.1 Severability. Whenever possible, each provision of this Agreement shall be interpreted in such manner as to be effective and valid under applicable law, but if any provision of this Agreement shall be prohibited by or invalid under such law, such provision shall be ineffective only to the extent and duration of such prohibition or invalidity, without invalidating the remainder of such provision or the remaining provisions of this Agreement.

10.2 Notice. Except as otherwise provided herein, any notice, demand, request, consent, approval, declaration, service of process or other communication (including the delivery of Financial Statements) that is required, contemplated, or permitted under the Loan Documents or with respect to the subject matter hereof shall be in writing, and shall be deemed to have been validly served, given, delivered, and received upon the earlier of: (i) the day of transmission by facsimile or hand delivery or delivery by an overnight express service or overnight mail delivery service; or (ii) the third calendar day after deposit in the United States mails, with proper first class postage prepaid, in each case addressed to the party to be notified as follows:

(a)

If to Lender:

HERCULES TECHNOLOGY GROWTH CAPITAL, INC.

Legal Department

Attention: Chief Legal Officer and Brad Pritchard

400 Hamilton Avenue, Suite 310

Palo Alto, CA 94301

Facsimile: 650-473-9194

Telephone: 650-289-3060

(b)

If to Borrower:

AMERICAN SUPERCONDUCTOR CORPORATION

64 Jackson Road

Devens, MA 01434

Attention: General Counsel

Facsimile: (978) 842-3530

Telephone: (978) 842-3539

With copies to:

Latham & Watkins LLP

John Hancock Tower, 20th Floor

200 Clarendon Street

Boston, MA 02116

Attention: Peter N. Handrinos, Esq.

Facsimile: (617) 948-6001

Telephone: (617) 948-6060

Latham & Watkins LLP

505 Montgomery Street, Suite 2000

San Francisco, CA 94111

Attention: Haim Zaltzman, Esq.

Facsimile: (415) 395-8095

Telephone: (415) 395-8870

or to such other address as each party may designate for itself by like notice. Any notice delivered to a party to this Agreement in accordance with this Section shall be effective despite the failure to deliver a copy of such notice to any other Person.

10.3 Entire Agreement; Amendments. This Agreement, the Note, and the other Loan Documents constitute the entire agreement and understanding of the parties hereto in respect of the subject matter hereof and thereof, and supersede and replace in their entirety any prior proposals, term sheets, letters, negotiations or other documents or agreements, whether written or oral, with respect to the subject matter hereof or thereof. None of the terms of this Agreement, the Note or any of the other Loan Documents may be amended except by an instrument executed by each of the parties hereto.

10.4 No Strict Construction. The parties hereto have participated jointly in the negotiation and drafting of this Agreement. In the event an ambiguity or question of intent or interpretation arises, this Agreement shall be construed as if drafted jointly by the parties hereto and no presumption or burden of proof shall arise favoring or disfavoring any party by virtue of the authorship of any provisions of this Agreement.

10.5 No Waiver. The powers conferred upon Lender by this Agreement are solely to protect its rights hereunder and under the other Loan Documents and its interest in the Collateral and shall not impose any duty upon Lender to exercise any such powers. No omission or delay by Lender at any time to enforce any right or remedy reserved to it, or to require performance of any of the terms, covenants or provisions hereof by Borrower at any time designated, shall be a waiver of any such right or remedy to which Lender is entitled, nor shall it in any way affect the right of Lender to enforce such provisions thereafter.

10.6 [Reserved]

10.7 Successors and Assigns. The provisions of this Agreement and the other Loan Documents shall inure to the benefit of and be binding on Borrower and its permitted assigns (if any). Borrower shall not assign its obligations under this Agreement, the Note or any of the other Loan Documents without Lender’s express prior written consent, and any such attempted assignment shall be void and of no effect. Lender may assign, transfer, or endorse its rights hereunder and under the other Loan Documents with prior notice to Borrower, and all of such rights shall inure to the benefit of and be binding on Lender’s

successors and assigns; provided that as long as no Event of Default exists or is continuing, Lender may not assign, transfer or endorse its rights hereunder or under the Loan Documents to any party that is a direct competitor of Borrower, a distressed debt or vulture fund (each such term as reasonably defined by Lender), any holder of convertible notes or equity securities of Borrower or any party in material litigation with Borrower and so disclosed to Lender. Lender shall not engage in any short sales of the Borrower’s common stock.

10.8 Governing Law. This Agreement, the Note and the other Loan Documents have been negotiated and delivered to Lender in the State of California, and shall have been accepted by Lender in the State of California. Payment to Lender by Borrower of the Secured Obligations is due in the State of California. This Agreement, the Note and the other Loan Documents shall be governed by, and construed and enforced in accordance with, the laws of the State of California, excluding conflict of laws principles that would cause the application of laws of any other jurisdiction.

10.9 Consent to Jurisdiction and Venue. All judicial proceedings (to the extent that the reference requirement of Section 10.10 is not applicable) arising in or under or related to this Agreement, the Note or any of the other Loan Documents may be brought in any state or federal court located in the State of California. By execution and delivery of this Agreement, each party hereto generally and unconditionally: (a) consents to nonexclusive personal jurisdiction in Santa Clara County, State of California; (b) waives any objection as to jurisdiction or venue in Santa Clara County, State of California; and (c) agrees not to assert any defense based on lack of jurisdiction or venue in the aforesaid courts. Service of process on any party hereto in any action arising out of or relating to this Agreement shall be effective if given in accordance with the requirements for notice set forth in Section 10.2, and shall be deemed effective and received as set forth in Section 10.2. Nothing herein shall affect the right to serve process in any other manner permitted by law or shall limit the right of either party to bring proceedings in the courts of any other jurisdiction.

10.10 Mutual Waiver of Jury Trial / Judicial Reference.

(a) Because disputes arising in connection with complex financial transactions are most quickly and economically resolved by an experienced and expert person and the parties wish applicable state and federal laws to apply (rather than arbitration rules), the parties desire that their disputes be resolved by a judge applying such applicable laws. EACH OF BORROWER AND LENDER SPECIFICALLY WAIVES ANY RIGHT IT MAY HAVE TO TRIAL BY JURY OF ANY CAUSE OF ACTION, CLAIM, CROSS-CLAIM, COUNTERCLAIM, THIRD PARTY CLAIM OR ANY OTHER CLAIM (COLLECTIVELY, “CLAIMS”) ASSERTED BY BORROWER AGAINST LENDER OR ITS ASSIGNEE OR BY LENDER OR ITS ASSIGNEE AGAINST BORROWER. This waiver extends to all such Claims, including Claims that involve Persons other than Borrower and Lender; Claims that arise out of or are in any way connected to the relationship between Borrower and Lender; and any Claims for damages, breach of contract, tort, specific performance, or any equitable or legal relief of any kind, arising out of this Agreement, any other Loan Document.

(b) If the waiver of jury trial set forth in Section 10.10(a) is ineffective or unenforceable, the parties agree that all Claims shall be resolved by reference to a private judge sitting without a jury, pursuant to Code of Civil Procedure Section 638, before a mutually acceptable referee or, if the parties cannot agree, a referee selected by the Presiding Judge of the Santa Clara County, California. Such proceeding shall be conducted in Santa Clara County, California, with California rules of evidence and discovery applicable to such proceeding.

(c) In the event Claims are to be resolved by judicial reference, either party may seek from a court identified in Section 10.9, any prejudgment order, writ or other relief and have such prejudgment order, writ or other relief enforced to the fullest extent permitted by law notwithstanding that all Claims are otherwise subject to resolution by judicial reference.

10.11 Professional Fees. Borrower promises to pay Lender’s fees and expenses necessary to finalize the loan documentation, including but not limited to reasonable attorneys fees, UCC searches,

filing costs, and other miscellaneous expenses. In addition, Borrower promises to pay any and all reasonable attorneys’ and other professionals’ fees and expenses (including fees and expenses of in-house counsel) incurred by Lender after the Closing Date in connection with or related to: (a) the Loan; (b) the administration, collection, or enforcement of the Loan; (c) the amendment or modification of the Loan Documents; (d) any waiver, consent, release, or termination under the Loan Documents; (e) the protection, preservation, sale, lease, liquidation, or disposition of Collateral or the exercise of remedies with respect to the Collateral; (f) any legal, litigation, administrative, arbitration, or out of court proceeding in connection with or related to Borrower or the Collateral, and any appeal or review thereof; and (g) any bankruptcy, restructuring, reorganization, assignment for the benefit of creditors, workout, foreclosure, or other action related to Borrower, the Collateral, the Loan Documents, including representing Lender in any adversary proceeding or contested matter commenced or continued by or on behalf of Borrower’s estate, and any appeal or review thereof.

10.12 Confidentiality. Lender acknowledges that certain items of Collateral and information provided to Lender by Borrower are confidential and proprietary information of Borrower, if and to the extent such information either (x) is marked as confidential by Borrower at the time of disclosure, or (y) should reasonably be understood to be confidential (the “Confidential Information”). Accordingly, Lender agrees that any Confidential Information it may obtain from the transactions contemplated hereunder or in the course of acquiring, administering, or perfecting Lender’s security interest in the Collateral shall not be disclosed to any other person or entity in any manner whatsoever, in whole or in part, without the prior written consent of Borrower, except that Lender may disclose any such information: (a) to its own directors, officers, employees, accountants, counsel and other professional advisors and to its affiliates if Lender in its reasonable discretion determines that any such party should have access to such information in connection with such party’s responsibilities in connection with the Loan or this Agreement and, provided that such recipient of such Confidential Information either (i) agrees to be bound by the confidentiality provisions of this paragraph or (ii) is otherwise subject to confidentiality restrictions that reasonably protect against the disclosure of Confidential Information pursuant to similar terms; (b) if such information is generally available to the public; (c) if required or appropriate in any report, statement or testimony submitted to any governmental authority having or claiming to have jurisdiction over Lender; (d) if required or appropriate in response to any summons or subpoena or in connection with any litigation, to the extent deemed necessary by Lender’s counsel; (e) to comply with any legal requirement or law applicable to Lender; (f) to the extent reasonably necessary in connection with the exercise of any right or remedy under any Loan Document, including Lender’s sale, lease, or other disposition of Collateral after default; (g) to any participant or assignee of Lender or any prospective participant or assignee; provided, that such participant or assignee or prospective participant or assignee agrees in writing to be bound by this Section prior to disclosure; or (h) otherwise with the prior consent of Borrower; provided that any disclosure made in violation of this Agreement shall not affect the obligation of Borrower under any of the Loan Documents.

10.13 Assignment of Rights. Borrower acknowledges and understands that Lender may, subject to Section 10.7, sell and assign all or part of its interest hereunder and under the Note(s) and Loan Documents to any person or entity (an “Assignee”). After such assignment the term “Lender” as used in the Loan Documents shall mean and include such Assignee, and such Assignee shall be vested with all rights, powers and remedies of Lender hereunder with respect to the interest so assigned; but with respect to any such interest not so transferred, Lender shall retain all rights, powers and remedies hereby given. No such assignment by Lender shall relieve Borrower of any of its obligations hereunder. Lender agrees that in the event of any transfer by it of the Note(s), it will endorse thereon a notation as to the portion of the principal of the Note(s), which shall have been paid at the time of such transfer and as to the date to which interest shall have been last paid thereon.

10.14 Termination; Revival of Secured Obligations. This Agreement and the Loan Documents (other than the Warrant) shall terminate on the payment in full in cash of the Secured Obligations (other than inchoate indemnity obligations). Notwithstanding the preceding sentence, this Agreement and the Loan Documents shall remain in full force and effect and continue to be effective if any petition is filed by or against Borrower for liquidation or reorganization, if Borrower becomes insolvent or makes an assignment for the benefit of creditors, if a receiver or trustee is appointed for all or any significant part of

Borrower’s assets, or if any payment or transfer of Collateral is recovered from Lender. The Loan Documents and the Secured Obligations and Collateral security shall continue to be effective, or shall be revived or reinstated, as the case may be, if at any time payment and performance of the Secured Obligations or any transfer of Collateral to Lender, or any part thereof is rescinded, avoided or avoidable, reduced in amount, or must otherwise be restored or returned by, or is recovered from, Lender or by any obligee of the Secured Obligations, whether as a “voidable preference,” “fraudulent conveyance,” or otherwise, all as though such payment, performance, or transfer of Collateral had not been made. In the event that any payment, or any part thereof, is rescinded, reduced, avoided, avoidable, restored, returned, or recovered, the Loan Documents and the Secured Obligations shall be deemed, without any further action or documentation, to have been revived and reinstated except to the extent of the full, final, and indefeasible payment to Lender in Cash.

10.15 Counterparts. This Agreement and any amendments, waivers, consents or supplements hereto may be executed in any number of counterparts, and by different parties hereto in separate counterparts, each of which when so delivered shall be deemed an original, but all of which counterparts shall constitute but one and the same instrument.

10.16 No Third Party Beneficiaries. No provisions of the Loan Documents are intended, nor will be interpreted, to provide or create any third-party beneficiary rights or any other rights of any kind in any person other than Lender and Borrower unless specifically provided otherwise herein, and, except as otherwise so provided, all provisions of the Loan Documents will be personal and solely between the Lender and Borrower.

10.17 Publicity. Lender may use Borrower’s name and logo, and include a brief description of the relationship between Borrower and Lender, in Lender’s marketing materials.

10.18 Termination. This Agreement, the Loan Documents (other than the Warrant) and the security interests granted hereunder shall terminate upon the payment in full of the Obligations (other than inchoate indemnity obligations).

(SIGNATURES TO FOLLOW)

IN WITNESS WHEREOF, Borrower and Lender have duly executed and delivered this Loan and Security Agreement as of the day and year first above written.


BORROWER:

AMERICAN SUPERCONDUCTOR CORPORATION

Signature:		/s/ David A. Henry
Print Name:		David A. Henry
Title:		Senior Vice President, Chief Financial Officer and Treasurer

Accepted in Palo Alto, California:

LENDER:

HERCULES TECHNOLOGY GROWTH CAPITAL, INC.

Signature:		/s/ K. Nicholas Martitsch
Print Name:		K. Nicholas Martitsch
Title:		Associate General Counsel

Table of Exhibits and Schedules


Exhibit A:		Advance Request Attachment to Advance Request

Exhibit B:		Term Note

Exhibit C:		Name, Locations, and Other Information for Borrower

Exhibit D:		Borrower’s Patents, Trademarks, Copyrights and Licenses

Exhibit E:		Borrower’s Deposit Accounts and Investment Accounts

Exhibit F:		Compliance Certificate

Exhibit G:		Joinder Agreement

Exhibit H:		ACH Debit Authorization Agreement

Schedule 1		Subsidiaries
Schedule 1A		Existing Permitted Indebtedness
Schedule 1B		Existing Permitted Investments
Schedule 1C		Existing Permitted Liens
Schedule 5.3		Consents, Etc.
Schedule 5.5		Actions Before Governmental Authorities
Schedule 5.8		Tax Matters
Schedule 5.9		Intellectual Property Claims
Schedule 5.10		Intellectual Property
Schedule 5.11		Borrower Products
Schedule 5.14		Capitalization

EXHIBIT A

ADVANCE REQUEST


To:	Lender:	Date:	June , 2012

	Hercules Technology Growth Capital, Inc.
	400 Hamilton Avenue, Suite 310
	Palo Alto, CA 94301
	Facsimile: 650-473-9194
	Attn:

AMERICAN SUPERCONDUCTOR CORPORATION requests from Hercules Technology Growth Capital, Inc. (“Lender”) an Advance in the amount of Ten Million Dollars ($10,000,000) on June , 2012 (the “Advance Date”) pursuant to the Loan and Security Agreement between Borrower and Lender (the “Agreement”). Capitalized words and other terms used but not otherwise defined herein are used with the same meanings as defined in the Agreement.

Please:


(a) Issue a check payable to Borrower

or

(b) Wire Funds to Borrower’s account

Bank:
Address:

ABA Number:
Account Number:
Account Name:

Borrower represents that the conditions precedent to the Advance set forth in the Agreement are satisfied and shall be satisfied upon the making of such Advance, including but not limited to: (i) that no event that has had or could reasonably be expected to have a Material Adverse Effect has occurred and is continuing; (ii) that the representations and warranties set forth in the Agreement and in the Warrant are and shall be true and correct in all material respects on and as of the Advance Date with the same effect as though made on and as of such date, except to the extent such representations and warranties expressly relate to an earlier date; (iii) that Borrower is in compliance with all the terms and provisions set forth in each Loan Document on its part to be observed or performed; and (iv) that as of the Advance Date, no fact or condition exists that would (or would, with the passage of time, the giving of notice, or both) constitute an Event of Default under the Loan Documents. Borrower understands and acknowledges that Lender has the right to review the financial information supporting this representation and, based upon such review in its sole discretion, Lender may decline to fund the requested Advance.

Borrower hereby represents that Borrower’s corporate status and locations have not changed since the date of the Agreement or, if the Attachment to this Advance Request is completed, are as set forth in the Attachment to this Advance Request.

Borrower agrees to notify Lender promptly before the funding of the Loan if any of the matters that have been represented above shall not be true and correct on the Borrowing Date and if Lender has received no such notice before the Advance Date then the statements set forth above shall be deemed to have been made and shall be deemed to be true and correct as of the Advance Date.

Executed as of June , 2012.


AMERICAN SUPERCONDUCTOR CORPORATION

SIGNATURE:
TITLE:
PRINT NAME:

ATTACHMENT TO ADVANCE REQUEST

Dated: June , 2012

Borrower hereby represents and warrants to Lender that Borrower’s current name and organizational status is as follows:


Name:		AMERICAN SUPERCONDUCTOR CORPORATION

Type of organization:		Corporation

State of organization:		Delaware

Organization file number:		2123041

Borrower hereby represents and warrants to Lender that the street addresses, cities, states and postal codes of its current locations are as follows:

EXHIBIT B

SECURED TERM PROMISSORY NOTE


$10,000,000		Advance Date: June , 2012

		Maturity Date: December , 2014

FOR VALUE RECEIVED, AMERICAN SUPERCONDUCTOR CORPORATION, a Delaware corporation, (the “Borrower”) hereby promises to pay to the order of Hercules Technology Growth Capital, Inc., a Maryland corporation or the holder of this Note (the “Lender”) at 400 Hamilton Avenue, Suite 310, Palo Alto, CA 94301 or such other place of payment as the holder of this Secured Term Promissory Note (this “Promissory Note”) may specify from time to time in writing, in lawful money of the United States of America, the principal amount of Ten Million Dollars ($10,000,000) or such other principal amount as Lender has advanced to Borrower, together with interest at floating rate equal to 11.0% plus the amount by which the prime rate reported in The Wall Street Journal exceeds 3.75%, based upon a year consisting of 360 days, with interest computed daily based on the actual number of days in each month.

This Promissory Note is the Note referred to in, and is executed and delivered in connection with, that certain Loan and Security Agreement dated June , 2012, by and between Borrower and Lender (as the same may from time to time be amended, modified or supplemented in accordance with its terms, the “Loan Agreement”), and is entitled to the benefit and security of the Loan Agreement and the other Loan Documents (as defined in the Loan Agreement), to which reference is made for a statement of all of the terms and conditions thereof. All payments shall be made in accordance with the Loan Agreement. All terms defined in the Loan Agreement shall have the same definitions when used herein, unless otherwise defined herein. An Event of Default under the Loan Agreement shall constitute a default under this Promissory Note.

Borrower waives presentment and demand for payment, notice of dishonor, protest and notice of protest under the UCC or any applicable law. Borrower agrees to make all payments under this Promissory Note without setoff, recoupment or deduction and regardless of any counterclaim or defense. This Promissory Note has been negotiated and delivered to Lender and is payable in the State of California. This Promissory Note shall be governed by and construed and enforced in accordance with, the laws of the State of California, excluding any conflicts of law rules or principles that would cause the application of the laws of any other jurisdiction.


AMERICAN SUPERCONDUCTOR CORPORATION

By:
Title:

EXHIBIT C

NAME, LOCATIONS, AND OTHER INFORMATION FOR BORROWER

1. Borrower represents and warrants to Lender that Borrower’s current name and organizational status as of the Closing Date is as follows:


Name:		AMERICAN SUPERCONDUCTOR CORPORATION

Type of organization:		Corporation

State of organization:		Delaware

Organization file number:		2123041

2. Borrower represents and warrants to Lender that for five (5) years prior to the Closing Date, Borrower did not do business under any other name or organization or form except the following:

Name: Superconductivity, Inc. and AMSC

Used during dates of: 2007-2012

Type of Organization: corporation

State of organization: Delaware

Organization file number: 2123041

3. Borrower represents and warrants to Lender that its chief executive office is located at the address specified in the Notices section of the Agreement.

EXHIBIT D

BORROWER’S PATENTS, TRADEMARKS, COPYRIGHTS AND LICENSES

PATENTS

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Preparation Of Superconducting Oxides And Oxide-Metal Composites

Canada

562311

24-Mar-1988

Granted

1340849

14-Dec-1999

Superconducting Rotor

France

94931746.5

14-Sep-1994

Granted

719471

13-May-1998

Superconducting Rotor

Germany

94931746.5

14-Sep-1994

Granted

69410281.4

13-May-1998

Superconducting Rotor

Italy

94931746.5

14-Sep-1994

Granted

24443BE/98

13-May-1998

Superconducting Rotor

United

Kingdom

94931746.5

14-Sep-1994

Granted

719471

13-May-1998

Superconducting Rotor

USA

08/122007

13-Sep-1993

Granted

5482919

09-Jan-1996

Metal Oxide Materials

USA

07/335819

10-Apr-1989

Granted

6686319

03-Feb-2004

Superconducting Magnet Coil

Australia

95220/98

09-Jan-1995

Granted

739105

17-Jan-2002

Superconducting Magnet Coil

France

95907349.5

09-Jan-1995

Granted

741905

16-May-2001

Superconducting Magnet Coil

Germany

95907349.5

09-Jan-1995

Granted

69520939.6

16-May-2001

Superconducting Magnet Coil

Italy

95907349.5

09-Jan-1995

Granted

741905

16-May-2001

Superconducting Magnet Coil

New Zealand

279091

09-Jan-1995

Granted

279091

12-Jun-1997

Superconducting Magnet Coil

United Kingdom

95907349.5

09-Jan-1995

Granted

741905

16-May-2001

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Superconducting Magnet Coil

USA

08/192724

07-Feb-1994

Granted

5525583

11-Jun-1996

Superconducting Magnet Coil

USA

08/615532

12-Mar-1996

Granted

5914647

22-Jun-1999

Superconducting Magnetic Coil

USA

08/302358

07-Sep-1994

Granted

5659277

19-Aug-1997

Shaped Superconducting Magnetic Coil

Australia

41314/96

13-Oct-1995

Granted

694296

08-Nov-1998

Shaped Superconducting Magnetic Coil

China (PRC)

95195573.X

13-Oct-1995

Granted

95195573.X

24-Jul-2002

Shaped Superconducting Magnetic Coil

France

95939529.4

13-Oct-1995

Granted

786141

03-Sep-2003

Shaped Superconducting Magnetic Coil

Germany

95939529.4

13-Oct-1995

Granted

69531693.1

03-Sep-2003

Shaped Superconducting Magnetic Coil

Italy

95939529.4

13-Oct-1995

Granted

786141

03-Sep-2003

Shaped Superconducting Magnetic Coil

United Kingdom

95939529.4

13-Oct-1995

Granted

786141

03-Sep-2003

Shaped Superconducting Magnetic Coil

USA

08/323494

13-Oct-1994

Granted

5604473

18-Feb-1997

Superconducting Magnets And Power Supplies For Superconducting Devices

USA

09/328677

09-Jun-1999

Granted

6157094

05-Dec-2000

Laminated Superconducting Ceramic Composite Conductors

France

97938157.1

09-Aug-1997

Granted

979519

28-Mar-2007

Laminated Superconducting Ceramic Composite Conductors

Germany

97938157.1

09-Aug-1997

Granted

69737533

28-Mar-2007

Laminated Superconducting Ceramic Composite Conductors

Italy

97938157.1

09-Aug-1997

Granted

979519

28-Mar-2007

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Laminated Superconducting Ceramic Composite Conductors

United

Kingdom

97938157.1

09-Aug-1997

Granted

979519

28-Mar-2007

Laminated Superconducting Ceramic Composite Conductors

USA

08/701333

30-Aug-1996

Granted

5801124

01-Sep-1998

Laminated Superconducting Ceramic Tape

France

97937022.8

06-Aug-1997

Granted

979518

07-Feb-2007

Laminated Superconducting Ceramic Tape

Germany

97937022.8

06-Aug-1997

Granted

69737330

07-Feb-2007

Laminated Superconducting Ceramic Tape

Italy

97937022.8

06-Aug-1997

Granted

979518

07-Feb-2007

Laminated Superconducting Ceramic Tape

United Kingdom

97937022.8

06-Aug-1997

Granted

979518

07-Feb-2007

Laminated Superconducting Ceramic Tape

USA

08/705811

30-Aug-1996

Granted

5987342

16-Nov-1999

Laminated Superconducting Ceramic Tape

USA

09/401764

23-Sep-1999

Granted

6230033

08-May-2001

High-Temperature Superconductor Lead

USA

08/730870

18-Oct-1996

Granted

5880068

09-Mar-1999

Cryogenic Electronics Power Supply

USA

08/384780

06-Feb-1995

Granted

5612615

18-Mar-1997

Variable Profile Superconducting Magnetic Coil

USA

08/541639

10-Oct-95

Granted

5581220

3-Dec-96

Performance For Oxide Dispersion Strengthened Superconductor Composites

USA

08/731302

15-Oct-96

Granted

6305070

23-Oct-01

Superconducting Synchronous Motor Construction

France

97933177.4

26-Jun-97

Granted

913023

15-Apr-09

Superconducting Synchronous Motor Construction

Germany

97933177.4

26-Jun-97

Granted

69739358.5-08

15-Apr-09

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Superconducting Synchronous Motor Construction

Italy

97933177.4

26-Jun-97

Granted

913023

15-Jul-09

Superconducting Synchronous Motor Construction

United Kingdom

97933177.4

26-Jun-97

Granted

913023

15-Apr-09

Superconducting Synchronous Motor Construction

USA

08/682923

16-Jul-96

Granted

5777420

7-Jul-98

Controlled Conversion Of Metal Oxyfluorides Into Superconducting Oxides

China (PRC)

98808231.4

17-Jun-98

Granted

187130

29-Dec-04

Controlled Conversion Of Metal Oxyfluorides Into Superconducting Oxides

Japan

11-504767

17-Jun-98

Granted

4223076

12-Feb-09

Controlled Conversion Of Metal Oxyfluorides Into Superconducting Oxides

Japan

2006-170836

17-Jun-98

Published

Controlled Conversion Of Metal Oxyfluorides Into Superconducting Oxides

New Zealand

502030

17-Jun-98

Granted

502030

31-Mar-03

Controlled Conversion Of Metal Oxyfluorides Into Superconducting Oxides

Russian Federation

2000101289

17-Jun-98

Granted

2232448

17-Jun-04

Controlled Conversion Of Metal Oxyfluorides Into Superconducting Oxides

USA

09/470926

22-Dec-99

Granted

6172009

9-Jan-01

Controlled Conversion Of Metal Oxyfluorides Into Superconducting Oxides

USA

10/159870

30-May-02

Granted

6610428

26-Aug-03

Resistive Fault Current Limiter

France

99300920.8

9-Feb-99

Granted

935261

27-Apr-05

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Resistive Fault Current Limiter

Germany

69924898.1-08

9-Feb-99

Granted

935261

27-Apr-05

Resistive Fault Current Limiter

Italy

99300920.8

9-Feb-99

Granted

935261

27-Apr-05

Resistive Fault Current Limiter

United Kingdom

99300920.8

9-Feb-99

Granted

935261

27-Apr-05

Resistive Fault Current Limiter

USA

09/020431

9-Feb-98

Granted

6275365

14-Aug-01

Cryogen Protected Superconducting Ceramic Tape

France

97938039.1

6-Aug-97

Granted

951588

4-May-05

Cryogen Protected Superconducting Ceramic Tape

Germany

97938039.1

6-Aug-97

Granted

69733212

4-May-05

Cryogen Protected Superconducting Ceramic Tape

Italy

97938039.1

6-Aug-97

Granted

951588

4-May-05

Cryogen Protected Superconducting Ceramic Tape

United Kingdom

97938039.1

6-Aug-97

Granted

951588

4-May-05

Cryogen Protected Superconducting Ceramic Tape

USA

08/701375

30-Aug-96

Granted

6110606

29-Aug-00

Cryogen Protected Superconducting Ceramic Tape

USA

09/498551

4-Feb-00

Granted

6649280

18-Nov-03

Fault Current Limiting Superconducting Coil

Australia

20022318900

19-Dec-02

Granted

2002318900

9-Sep-04

Fault Current Limiting Superconducting Coil

China (PRC)

98810282.X

3-Sep-98

Granted

98810282.X

20-Oct-04

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Fault Current Limiting Superconducting Coil

European Patent Convention

6075543.6

3-Sep-98

Granted

1691381

2-Nov-11

Fault Current Limiting Superconducting Coil

France

98943530

3-Sep-98

Granted

8-Aug-07

Fault Current Limiting Superconducting Coil

Germany

69838221.8-08

3-Sep-98

Granted

DE69838221

8-Aug-07

Fault Current Limiting Superconducting Coil

Italy

98943530

3-Sep-98

Granted

32419BE2007

8-Aug-07

Fault Current Limiting Superconducting Coil

Italy

6075543.6

3-Sep-98

Granted

67403 BE/2012

2-Nov-11

Fault Current Limiting Superconducting Coil

Japan

512218/2000

3-Sep-98

Granted

3215697

27-Jul-01

Fault Current Limiting Superconducting Coil

United Kingdom

98943530

3-Sep-98

Granted

8-Aug-07

Fault Current Limiting Superconducting Coil

USA

08/928901

12-Sep-97

Granted

5912607

15-Jun-99

Methods For Joining High Temperature Superconducting Components With Negligible Critical Current Degradation And Articles Of Manufacture In Accordance Therewith

Japan

500348/2001

2-Jun-00

Pending

Methods For Joining High Temperature Superconducting Components With Negligible Critical Current Degradation And Articles Of Manufacture In Accordance Therewith

Korea (ROK)

2001/7015524

2-Jun-00

Granted

641714

26-Oct-06

Methods For Joining High Temperature Superconducting Components With Negligible Critical Current Degradation And Articles Of Manufacture In Accordance Therewith

USA

09/324229

2-Jun-99

Granted

6159905

12-Dec-00

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Substrates For Superconductors (Binary I)

USA

08/942038

1-Oct-97

Granted

6428635

6-Aug-02

Rotating Machine Having Superconducting Windings

USA

09/251311

17-Feb-99

Granted

6066906

23-May-00

Shunt Connected Superconducting Energy Stabilizing System

Germany

92110933.6

27-Jun-92

Granted

6920788.5

27-Dec-95

Shunt Connected Superconducting Energy Stabilizing System

Japan

4-174307

1-Jul-92

Granted

2796471

26-Jun-98

Superconductor Rotor Cooling System

Australia

57695/99

26-Apr-99

Granted

768209

18-Mar-04

Superconductor Rotor Cooling System

Canada

2341472

26-Apr-99

Granted

2341472

14-Oct-08

Superconductor Rotor Cooling System

France

4005951.1

26-Apr-99

Granted

1437821

21-Jun-06

Superconductor Rotor Cooling System

Germany

4005951.1

26-Apr-99

Granted

1437821

21-Jun-06

Superconductor Rotor Cooling System

Italy

4005951.1

26-Apr-99

Granted

1437821

21-Jun-06

Superconductor Rotor Cooling System

Japan

2000/568168

26-Apr-99

Granted

4099314

21-Mar-08

Superconductor Rotor Cooling System

United Kingdom

4005951.1

26-Apr-99

Granted

1437821

21-Jun-06

Superconductor Rotor Cooling System

USA

09/140154

26-Aug-98

Granted

6376943

23-Apr-02

Superconductor Rotor Cooling System

USA

10/128535

23-Apr-02

Granted

6812601

2-Nov-04

Methods And Compositions For Making A Multi-Layer Article

France

948695.2

14-Jul-00

Granted

1198847

1-Oct-08

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Methods And Compositions For Making A Multi-Layer Article

Germany

948695.2

14-Jul-00

Granted

1198847

1-Oct-08

Methods And Compositions For Making A Multi-Layer Article

Italy

948695.2

14-Jul-00

Granted

74656/BE/2008

1-Oct-08

Methods And Compositions For Making A Multi-Layer Article

Japan

2001-512647

14-Jul-00

Granted

4891505

22-Dec-11

Methods And Compositions For Making A Multi-Layer Article

United Kingdom

948695.2

14-Jul-00

Granted

1198847

1-Oct-08

Methods And Compositions For Making A Multi-Layer Article

USA

09/615991

14-Jul-00

Granted

6669774

30-Dec-03

Enhanced High Temperature Coated Superconductors

China (PRC)

00810767.X

14-Jul-00

Granted

00810767.X

29-Jun-05

Enhanced High Temperature Coated Superconductors

Germany

975162.9

14-Jul-00

Granted

1198846

8-Nov-06

Enhanced High Temperature Coated Superconductors

Japan

512645/2001

14-Jul-00

Granted

4041672

16-Nov-07

Enhanced High Temperature Coated Superconductors

USA

09/617518

14-Jul-00

Granted

6828507

7-Dec-04

Enhanced High Temperature Coated Superconductors

USA

10/154566

24-May-02

Granted

6765151

20-Jul-04

Alloy Materials (Ternary II)

Australia

41659/00

31-Jan-00

Granted

764082

20-Nov-03

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Alloy Materials (Ternary II)

USA

09/283777

31-Mar-99

Granted

6458223

1-Oct-02

Alloy Materials (Binary II)

Australia

52665/00

31-Mar-00

Granted

758847

24-Jul-03

Alloy Materials (Binary II)

Japan

608807/2000

31-Mar-00

Published

Alloy Materials (Binary II)

USA

09/283775

31-Mar-99

Granted

6475311

5-Nov-02

Detachable Cryogenic Refrigerator Expander

USA

09/168201

6-Oct-98

Granted

6202421

20-Mar-01

Pulse Tube Refrigerator And Current Lead

USA

09/243142

2-Feb-99

Granted

6286318

11-Sep-01

Multi-Layer Articles And Methods Of Making Same

USA

09/616810

14-Jul-00

Granted

6893732

17-May-05

Rotor Assembly Including Superconducting Magnetic Coil

Australia

74692/00

23-May-00

Granted

763545

6-Nov-03

Rotor Assembly Including Superconducting Magnetic Coil

China (PRC)

812272.5

23-May-00

Granted

ZL0812272.5

23-May-07

Rotor Assembly Including Superconducting Magnetic Coil

France

963251.4

23-May-00

Granted

1212760

15-Jul-09

Rotor Assembly Including Superconducting Magnetic Coil

Germany

963251.4

23-May-00

Granted

60042554.1

15-Jul-09

Rotor Assembly Including Superconducting Magnetic Coil

Italy

Granted

71786/BE/2009

15-Jul-09

Rotor Assembly Including Superconducting Magnetic Coil

Japan

512596/2001

23-May-00

Granted

3953813

11-May-07

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Rotor Assembly Including Superconducting Magnetic Coil

Korea (ROK)

2002/7000951

23-May-00

Granted

10-0635170

10-Oct-06

Rotor Assembly Including Superconducting Magnetic Coil

United Kingdom

963251.4

23-May-00

Granted

1212760

15-Jul-09

Rotor Assembly Including Superconducting Magnetic Coil

USA

09/359497

23-Jul-99

Granted

6509819

21-Jan-03

High Temperature Superconducting Rotor For A Synchronous Machine

USA

09/251310

17-Feb-99

Granted

6140719

31-Oct-00

Exciter With Axial Gap

USA

09/349433

7-Jul-99

Granted

6278212

21-Aug-01

Devices And Systems Based On Novel Superconducting Material

USA

07/021229

3-Mar-87

Granted

6635603

21-Oct-03

Oxide Superconductor Comprising Cu, Bi, Ca And Sr

USA

07/976294

13-Nov-92

Granted

5340796

23-Aug-94

Method Of Producing A Superconductive Body, And Apparatus And Systems Comprising The Body

Canada

564724

21-Apr-88

Granted

1338615

1-Oct-96

Method Of Producing A Layer Of Superconductive Oxide

USA

07/126448

30-Nov-87

Granted

5416063

16-May-95

Fabrication Of Oxide Superconductors By Melt Growth Method

USA

07/890303

27-May-92

Granted

5972846

26-Oct-99

Article Comprising A Superconductor/Insulator Layer Structure, And Method Of Making The Article

USA

07/028738

8-Mar-93

Granted

5364836

15-Nov-94

Conductivity In Carbonaceous Compounds And Devices Using Such Compounds

USA

08/156664

22-Nov-93

Granted

5391323

21-Feb-95

Article Comprising An Intermetallic Superconducting Material

USA

08/143419

26-Oct-93

Granted

5413755

9-May-95

Article Comprising An Intermatellic Superconductor Material

USA

08/177837

5-Jan-94

Granted

5470530

28-Nov-95

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Superconducting Conductors And Their Method Of Manufacture (Fcl)

European Patent Convention

99956481.8

10-Aug-99

Granted

1105885

10-Jan-07

Superconducting Conductors And Their Method Of Manufacture (Fcl)

Japan

2000-565545

10-Aug-99

Granted

4638983

3-Dec-10

Superconducting Conductors And Their Method Of Manufacture (Fcl)

USA

09/200411

25-Nov-98

Granted

6657533

2-Dec-03

Superconducting Electric Motor

France

989180.5

10-Aug-00

Granted

1203437

10-Mar-05

Superconducting Electric Motor

Germany

989180.5

10-Aug-00

Granted

1203437

10-Mar-05

Superconducting Electric Motor

Japan

2008169063

10-Aug-00

Granted

4308308

15-May-09

Superconducting Electric Motor

United Kingdom

989180.5

10-Aug-00

Granted

1203437

10-Mar-05

Superconducting Electric Motor

USA

09/371692

10-Aug-99

Granted

7453174

18-Nov-08

Encapsulated Ceramic Superconductors

Australia

14298/01

20-Jul-00

Granted

770990

24-Jun-04

Encapsulated Ceramic Superconductors

China (PRC)

810754.8

20-Jul-00

Granted

ZL00810754.

28-Mar-07

Encapsulated Ceramic Superconductors

European Patent Convention

976538.9

20-Jul-00

Granted

1203415

15-Feb-12

Encapsulated Ceramic Superconductors

Japan

512646/2001

20-Jul-00

Granted

3949960

27-Apr-07

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Encapsulated Ceramic Superconductors

Korea (ROK)

2002-7000991

20-Jul-00

Granted

10-0682582

7-Feb-07

Encapsulated Ceramic Superconductors

USA

09/360318

23-Jul-99

Granted

6444917

3-Sep-02

Thin Films Having Rock-Salt-Like Structure Deposited On Amorphous Surfaces

USA

09/191449

12-Nov-98

Granted

6190752

20-Feb-01

Water Cooled Stator Winding Of An Electric Motor

European Patent Convention

955543.4

15-Aug-00

Published

Water Cooled Stator Winding Of An Electric Motor

Japan

2001-517484

15-Aug-00

Granted

4188597

19-Sep-08

Critical Doping In High-Tc Superconductors For Maximal Flux Pinning And Critical Currents

European Patent Convention

99931620.2

18-Jun-99

Published

Critical Doping In High-Tc Superconductors For Maximal Flux Pinning And Critical Currents

Japan

555283-2000

18-Jun-99

Pending

Critical Doping In High-Tc Superconductors For Maximal Flux Pinning And Critical Currents

USA

10/327408

20-Dec-02

Granted

6784138

31-Aug-04

Exciter And Electronic Regulator For Superconducting Rotating Machinery

France

987982.6

9-Nov-00

Granted

1247324

24-Mar-04

Exciter And Electronic Regulator For Superconducting Rotating Machinery

Germany

987982.6

9-Nov-00

Granted

60009349.2

24-Mar-04

Exciter And Electronic Regulator For Superconducting Rotating Machinery

Italy

987982.6

9-Nov-00

Granted

1247324

24-Mar-04

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Exciter And Electronic Regulator For Superconducting Rotating Machinery

Japan

552503/2001

9-Nov-00

Granted

3836370

25-Oct-06

Exciter And Electronic Regulator For Superconducting Rotating Machinery

United Kingdom

987982.6

9-Nov-00

Granted

1247324

24-Mar-04

Exciter And Electronic Regulator For Superconducting Rotating Machinery

USA

09/480430

11-Jan-00

Granted

6420842

16-Jul-02

Method And Apparatus For Discharging A Superconducting Magnet

USA

09/449505

24-Nov-1999

Granted

6445555

03-Sep-02

Method And Apparatus For Controlling A Phase Angle Of Ac Power To Keep Dc Voltage From An Energy Source Constant

USA

09/449436

24-Nov-99

Granted

6414853

2-Jul-02

Capacitor Bank Switching

Australia

775672

21-Nov-00

Granted

775672

25-Nov-04

Capacitor Bank Switching

Canada

2392255

21-Nov-00

Granted

2392255

18-Aug-09

Capacitor Bank Switching

Canada

2,666,061

19-May-09

Granted

2666061

19-Jan-10

Capacitor Bank Switching

European Patent Convention

992463

21-Nov-00

Granted

1236212

4-Jan-12

Capacitor Bank Switching

France

992463

21-Nov-00

Granted

1236212

4-Jan-12

Capacitor Bank Switching

Germany

992463

21-Nov-00

Granted

60046 818.6

4-Jan-12

Capacitor Bank Switching

Ireland

992463

21-Nov-00

Granted

1236212

4-Jan-12

Capacitor Bank Switching

Italy

992463

21-Nov-00

Granted

1236212

4-Jan-12

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Capacitor Bank Switching

United Kingdom

992463

21-Nov-00

Granted

1236212

4-Jan-12

Capacitor Bank Switching

USA

09/449378

24-Nov-99

Granted

6900619

31-May-05

Capacitor Bank Switching

USA

11/136333

24-May-05

Granted

7265521

4-Sep-07

Method And Apparatus For Providing Power To A Utility Network

USA

09/449375

24-Nov-99

Granted

6600973

29-Jul-03

Voltage Regulation Of A Utility Power Network

Canada

2392409

22-Nov-00

Granted

2392409

17-Nov-09

Voltage Regulation Of A Utility Power Network

European Patent Convention

6075796

22-Nov-00

Published

Voltage Regulation Of A Utility Power Network

France

979222.7

22-Nov-00

Granted

4-Oct-06

Voltage Regulation Of A Utility Power Network

Germany

979222.7

22-Nov-00

Granted

60031158

4-Oct-06

Voltage Regulation Of A Utility Power Network

Ireland

979222.7

22-Nov-00

Granted

4-Oct-06

Voltage Regulation Of A Utility Power Network

Italy

979222.7

1236261

Granted

4-Oct-06

22-Nov-20

Voltage Regulation Of A Utility Power Network

Mexico

2002/005243

22-Nov-00

Granted

239780

28-Aug-06

Voltage Regulation Of A Utility Power Network

Mexico

2006/009615

22-Nov-00

Granted

266129

13-Apr-09

Voltage Regulation Of A Utility Power Network

Spain

979222.7

22-Nov-00

Granted

2276704

4-Oct-06

Voltage Regulation Of A Utility Power Network

Sweden

979222.7

22-Nov-00

Granted

4-Oct-06

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Voltage Regulation Of A Utility Power Network

Switzerland

979222.7

22-Nov-00

Granted

4-Oct-06

Voltage Regulation Of A Utility Power Network

United Kingdom

979222.7

22-Nov-00

Granted

4-Oct-06

Voltage Regulation Of A Utility Power Network

USA

11/655817

19-Jan-07

Granted

RE41170(E1)

30-Mar-10

Voltage Regulation Of A Utility Power Network

USA

12/502048

13-Jul-09

Pending

Multi-Layer Articles And Methods Of Making Same

China (PRC)

810756.4

14-Jul-00

Granted

ZL008107556.4

2-Jun-10

Multi-Layer Articles And Methods Of Making Same

Japan

512644/2001

14-Jul-00

Published

Multi-Layer Articles And Methods Of Making Same

Korea (ROK)

2002/7000994

14-Jul-00

Granted

10-0683186

8-Feb-07

Multi-Layer Articles And Methods Of Making Same

USA

09/615999

14-Jul-00

Granted

6974501

13-Dec-05

Surface Control Alloy Substrates And Methods Of Manufacture Therefor

USA

09/616570

14-Jul-00

Granted

6730410

4-May-04

Superconducting Rotating Machines

USA

09/415626

12-Oct-99

Granted

6489701

3-Dec-02

Electric Utility System With Superconducting Magnetic Energy Storage

Australia

77509

26-Jan-00

Granted

777509

17-Feb-05

Electric Utility System With Superconducting Magnetic Energy Storage

Australia

2005200223

19-Jan-05

Granted

2005200223

25-Oct-07

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Electric Utility System With Superconducting Magnetic Energy Storage

Canada

2359322

26-Jan-00

Granted

2359322

18-Sep-07

Electric Utility System With Superconducting Magnetic Energy Storage

China (PRC)

200510062525.9

26-Jan-00

Granted

ZL200510062525.9

24-Jun-09

Electric Utility System With Superconducting Magnetic Energy Storage

European Patent Convention

923064

26-Jan-00

Published

Electric Utility System With Superconducting Magnetic Energy Storage

Japan

599113/2000

26-Jan-00

Granted

3597473

17-Sep-04

Electric Utility System With Superconducting Magnetic Energy Storage

Korea (ROK)

10-2001-7009545

26-Jan-00

Granted

10-0879481

13-Jan-09

Electric Utility System With Superconducting Magnetic Energy Storage

USA

09/449435

24-Nov-99

Granted

6906434

14-Jun-05

Cryogenic Refrigerator

USA

09/716598

20-Nov-00

Granted

6532748

18-Mar-03

Internal Support For Superconducting Windings

USA

09/481480

11-Jan-00

Granted

6693504

17-Feb-04

HTS Superconducting Rotating Machine

France

990909.4

9-Nov-00

Granted

1247325

5-Oct-05

HTS Superconducting Rotating Machine

Germany

60023038.4-08

9-Nov-00

Granted

1247325

5-Oct-05

HTS Superconducting Rotating Machine

Italy

990909.4

9-Nov-00

Granted

1247325

5-Oct-05

HTS Superconducting Rotating Machine

Japan

552505/2001

9-Nov-00

Granted

3892299

15-Dec-06

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

HTS Superconducting Rotating Machine

United Kingdom

990909.4

9-Nov-00

Granted

1247325

5-Oct-05

HTS Superconducting Rotating Machine

USA

09/632776

4-Aug-00

Granted

6597082

22-Jul-03

Current Limiting Composite Material

European

Patent

Convention

931914.6

22-Mar-00

Granted

1166370

29-Jun-11

Current Limiting Composite Material

Japan

607284/2000

22-Mar-00

Pending

Current Limiting Composite Material

Japan

2010-260404

22-Nov-10

Published

Current Limiting Composite Material

USA

09/488742

20-Jan-00

Granted

6762673

13-Jul-04

Cooling Systems For High Temperature Superconducting Machines

France

1942409.2

10-Jan-01

Granted

1248933

25-Oct-06

Cooling Systems For High Temperature Superconducting Machines

Germany

1942409.2

10-Jan-01

Granted

1248933

25-Oct-06

Cooling Systems For High Temperature Superconducting Machines

Italy

1942409.2

10-Jan-01

Granted

1248933

25-Oct-06

Cooling Systems For High Temperature Superconducting Machines

Japan

552034/2001

10-Jan-01

Published

Cooling Systems For High Temperature Superconducting Machines

United

Kingdom

1942409.2

10-Jan-01

Granted

1248933

25-Oct-06

Cooling Systems For High Temperature Superconducting Machines

USA

09/480396

11-Jan-00

Granted

6347522

19-Feb-02

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Cooling Systems For High Temperature Superconducting Machines

USA

10/059873

29-Jan-02

Granted

6625992

30-Sep-03

Superconducting Synchronous Machine Field Winding Protection

France

1962339.6

31-Jul-01

Granted

1305871

12-Sep-07

Superconducting Synchronous Machine Field Winding Protection

Germany

60130467.5

31-Jul-01

Granted

60130467.5-08

14-Jan-08

Superconducting Synchronous Machine Field Winding Protection

Italy

1962339.6

31-Jul-01

Granted

1305871

12-Sep-07

Superconducting Synchronous Machine Field Winding Protection

Korea (ROK)

2003/7001546

31-Jul-01

Granted

10-0635171

10-Oct-06

Superconducting Synchronous Machine Field Winding Protection

United
Kingdom

1962339.6

31-Jul-01

Granted

1305871

12-Sep-07

Superconducting Synchronous Machine Field Winding Protection

USA

09/632599

4-Aug-00

Granted

6359365

19-Mar-02

Control Of Oxide Layer Reaction Rates

USA

09/616566

14-Jul-00

Granted

6673387

6-Jan-04

Mounting Structure For Superconducting Windings

USA

10/085471

28-Feb-02

Granted

7119644

10-Oct-06

Method And System For Providing Voltage Support To A Load Connected To A Utility Power Network

China (PRC)

1808025.1

23-Apr-01

Granted

1808025.1

24-Jan-07

Method And System For Providing Voltage Support To A Load Connected To A Utility Power Network

China (PRC)

05-10116160.3

23-Apr-01

Granted

ZL200510116160.3

23-Jul-08

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Method And System For Providing Voltage Support To A Load Connected To A Utility Power Network

European

Patent

Convention

1928730.9

23-Apr-01

Granted

1281225

12-Aug-09

Method And System For Providing Voltage Support To A Load Connected To A Utility Power Network

European

Patent

Convention

5001833.2

23-Apr-01

Published

Method And System For Providing Voltage Support To A Load Connected To A Utility Power Network

France

1928730.9

23-Apr-01

Granted

1281225

12-Aug-09

Method And System For Providing Voltage Support To A Load Connected To A Utility Power Network

Germany

1928730.9

23-Apr-01

Granted

60139552

12-Aug-09

Method And System For Providing Voltage Support To A Load Connected To A Utility Power Network

Italy

1928730.9

23-Apr-01

Granted

1281225

12-Aug-09

Method And System For Providing Voltage Support To A Load Connected To A Utility Power Network

Korea
(ROK)

2002-7014196

23-Apr-01

Granted

10-0683192

8-Feb-07

Method And System For Providing Voltage Support To A Load Connected To A Utility Power Network

Singapore

200205946-7

23-Apr-01

Granted

92141

30-Jun-05

Method And System For Providing Voltage Support To A Load Connected To A Utility Power Network

United
Kingdom

1928730.9

23-Apr-01

Granted

1281225

12-Aug-09

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Method And System For Providing Voltage Support To A Load Connected To A Utility Power Network

USA

09/556226

24-Apr-00

Granted

6392856

21-May-02

Exciter And Electronic Regulator For Superconducting Rotating Machinery

USA

10/287412

4-Nov-02

Granted

6791216

14-Sep-04

Stator Coil Assembly For Superconducting Rotating Machines

USA

09/632601

4-Aug-00

Granted

6879081

12-Apr-05

Stator Coil Assembly For Superconducting Rotating Machines

USA

10/061103

1-Feb-02

Granted

6888286

3-May-05

Stator Coil Assembly For Superconducting Rotating Machines

USA

10/320321

16-Dec-02

Granted

6911759

28-Jun-05

Structures Having Enhanced Biaxial Texture And Method Of Fabricating Same

Australia

55398/96

10-Apr-96

Granted

713892

20-Mar-00

Structures Having Enhanced Biaxial Texture And Method Of Fabricating Same

Canada

2217822

10-Apr-96

Granted

2217822

23-Nov-04

Structures Having Enhanced Biaxial Texture And Method Of Fabricating Same

France

96912663

10-Apr-96

Granted

830218

24-May-06

Structures Having Enhanced Biaxial Texture And Method Of Fabricating Same

Germany

96912663

10-Apr-96

Granted

830218

24-May-06

Structures Having Enhanced Biaxial Texture And Method Of Fabricating Same

Italy

96912663

10-Apr-96

Granted

830218

24-May-06

Structures Having Enhanced Biaxial Texture And Method Of Fabricating Same

Japan

11-504612

10-Apr-96

Granted

3601830

1-Oct-04

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Structures Having Enhanced Biaxial Texture And Method Of Fabricating Same

Korea (ROK)

97-707198

10-Apr-96

Granted

418279

30-Jan-04

Structures Having Enhanced Biaxial Texture And Method Of Fabricating Same

Spain

96912663

10-Apr-96

Granted

830218

24-May-06

Structures Having Enhanced Biaxial Texture And Method Of Fabricating Same

Sweden

96912663

10-Apr-96

Granted

830218

24-May-06

Structures Having Enhanced Biaxial Texture And Method Of Fabricating Same

Switzerland

96912663

10-Apr-96

Granted

830218

24-May-06

Structures Having Enhanced Biaxial Texture And Method Of Fabricating Same

United Kingdom

96912663

10-Apr-96

Granted

830218

24-May-06

Structures Having Enhanced Biaxial Texture And Method Of Fabricating Same

USA

08/419583

10-Apr-95

Granted

5741377

21-Apr-98

Structures Having Enhanced Biaxial Texture And Method Of Fabricating Same

USA

08/651291

22-May-96

Granted

5739086

14-Apr-98

Structures Having Enhanced Biaxial Texture And Method Of Fabricating Same

USA

08/650249

22-May-96

Granted

5898020

27-Apr-99

Structures Having Enhanced Biaxial Texture

USA

09/005381

9-Jun-98

Granted

5958599

28-Sep-99

Method Of Deforming A Biaxially Textured Buffer Layer On A Textured Metallic Substrate And Articles

USA

09/163994

30-Sep-98

Granted

6114287

2-Sep-00

Method Of Forming Biaxially Textured Alloy Substrates And Devices Thereon

USA

08/934328

19-Sep-97

Granted

5964966

12-Oct-99

Method Of Forming Biaxially Textured Alloy Substrates And Devices Thereon

USA

09/250,683

16-Feb-99

Granted

6106615

22-Aug-00

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

High TC YBCO Superconductor Deposited On Biaxially Textured Ni Substrate

USA

08/670871

26-Jun-96

Granted

5968877

19-Oct-99

Method Of Depositing An Electrically Conductive Oxide Film On A Textured Metallic Substrate And Articles Formed Therefrom

USA

09/163888

30-Sep-98

Granted

6296701

2-Oct-01

Method For Making Buffer Layers On Rolled Nickel Or Copper As Superconductor Substrates

USA

09/096559

12-Jun-98

Granted

6150034

21-Nov-00

Buffer Layers On Metal Surfaces Having Biaxial Texture As Superconductor Substrates

USA

09/399684

21-Sep-99

Granted

6156376

5-Dec-00

Method For Making Buffer Layers On Rolled Nickel Or Copper As Superconductor Substrates

USA

09/096559

12-Jun-98

Granted

6150034

21-Nov-00

Buffer Layers On Metal Surfaces Having Biaxial Texture As Superconductor Substrates

USA

09/399684

21-Sep-99

Granted

6156376

5-Dec-00

Buffer Layers On Metal Surfaces Having Biaxial Texture As Superconductor Substrates

USA

09/399684

21-Sep-99

Granted

6156376

5-Dec-00

High Thermal Conductivity Connector Having High Electrical Isolation

USA

08/090425

12-Jun-93

Granted

5386870

7-Feb-1995

Integrated Multi-Level Inverter Assembly

Japan

540289/2002

1-Nov-01

Published

Integrated Multi-Level Inverter Assembly

USA

09/704899

2-Nov-00

Granted

6700804

2-Mar-04

Low-Inductance Connector For Printed-Circuit Board

USA

09/677097

29-Sep-00

Granted

6472613

29-Oct-02

A Dual Mode Controller For Switching Circuitry

USA

09/676840

29-Sep-00

Granted

6366064

2-Apr-02

Low Inductance Transistor Module With Distributed Bus

USA

09/637619

11-Aug-00

Granted

6459605

1-Oct-02

Tangential Torque Support

USA

10/083025

26-Feb-02

Granted

6674206

6-Jan-04

Tangential Torque Support

USA

10/752075

6-Jan-04

Granted

6815856

9-Nov-04

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Tangential Torque Support

USA

10/954591

30-Sep-04

Granted

6873079

29-Mar-05

Polymer Encapsulated Ceramic Superconductor

USA

09/658838

8-Sep-00

Granted

6784362

31-Aug-04

Voltage Recovery Device For Use With A Utility Power Network

USA

09/944791

31-Aug-01

Granted

6987331

17-Jan-06

Exciter Assembly Telemetry

USA

09/713349

13-Nov-00

Granted

6828919

7-Dec-04

High Temperature Superconductor Rotor For A Synchronous Machine

USA

09/696363

25-Oct-00

Granted

6768232

27-Jul-04

Torque Transmission Assembly For Use In Superconducting Rotating Machines

France

2756440

11-Jul-02

Granted

1407529

Torque Transmission Assembly For Use In Superconducting Rotating Machines

Germany

2756440

11-Jul-02

Granted

1407529

20-Apr-11

Torque Transmission Assembly For Use In Superconducting Rotating Machines

Italy

2756440

11-Jul-02

Granted

1407529

20-Apr-11

Torque Transmission Assembly For Use In Superconducting Rotating Machines

Korea (ROK)

10-03-7003864

11-Jul-02

Granted

10-0727773

7-Jun-07

Torque Transmission Assembly For Use In Superconducting Rotating Machines

United

Kingdom

2756440

11-Jul-02

Granted

1407529

20-Apr-11

Torque Transmission Assembly For Use In Superconducting Rotating Machines

USA

09/909412

19-Jul-01

Granted

6700274

2-Mar-04

Superconducting Rotating Machine With A Subtransient Reactance Determined By Construction

France

2746976.6

11-Jul-02

Pending

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Superconducting Rotating Machine With A Subtransient Reactance Determined By Construction

Germany

2746976.6

11-Jul-02

Pending

Superconducting Rotating Machine With A Subtransient Reactance Determined By Construction

Italy

2746976.6

11-Jul-02

Granted

1415385

5-Nov-08

Superconducting Rotating Machine With A Subtransient Reactance Determined By Construction

Japan

2003-513114

11-Jul-02

Granted

3833656

28-Jul-06

Superconducting Rotating Machine With A Subtransient Reactance Determined By Construction

Korea (ROK)

2003-7003628

11-Jul-02

Granted

10-0562513

13-Mar-06

Superconducting Rotating Machine With A Subtransient Reactance Determined By Construction

United

Kingdom

2746976.6

11-Jul-02

Pending

Superconducting Rotating Machine With A Subtransient Reactance Determined By Construction

USA

09/905611

13-Jul-01

Granted

6664672

16-Dec-03

Thermally-Conductive Stator Support Structure

Japan

2003-572153

30-Jul-04

Pending

Thermally-Conductive Stator Support Structure

USA

10/083927

27-Feb-02

Granted

7211919

1-May-07

Thermally-Conductive Stator Support Structure

USA

11/742083

30-Apr-07

Granted

7423356

9-Sep-08

Thermally-Conductive Stator Support Structure

USA

12/035213

21-Feb-08

Granted

7589441

15-Sep-09

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Multi-Layer Superconductor Having Buffer Layer With Oriented Termination Plane

USA

09/995420

26-Nov-01

Granted

6537689

25-Mar-03

Precursor Solutions And Methods Of Using Same

Australia

2002216631

17-Oct-01

Granted

2002216631

12-Oct-06

Precursor Solutions And Methods Of Using Same

China (PRC)

1817849.9

17-Oct-01

Granted

ZL01817849.9

17-Jun-09

Precursor Solutions And Methods Of Using Same

France

1988951.8

17-Oct-01

Granted

1334525

2-May-07

Precursor Solutions And Methods Of Using Same

Germany

1988951.8

17-Oct-01

Granted

1334525

2-May-07

Precursor Solutions And Methods Of Using Same

Italy

1988951.8

17-Oct-01

Granted

1334525

2-May-07

Precursor Solutions And Methods Of Using Same

Japan

2002-538490

17-Oct-01

Granted

4234424

19-Dec-08

Precursor Solutions And Methods Of Using Same

Korea (ROK)

2003-7005637

17-Oct-01

Granted

10-0585417

24-May-06

Precursor Solutions And Methods Of Using Same

United

Kingdom

1988951.8

17-Oct-01

Granted

1334525

2-May-07

Precursor Solutions And Methods Of Using Same

USA

10/673307

29-Sep-03

Granted

7326434

5-Feb-08

Precursor Solutions And Methods Of Using Same

USA

12/025982

5-Feb-08

Granted

7939126

10-May-11

Multi-Level Quasi-Resonant Power Inverter

USA

09/870401

30-May-01

Granted

6449179

10-Sep-02

Process Of Magnesium-Boride Superconductors

USA

10/094076

8-Mar-02

Granted

7018954

28-Mar-06

Buffer Layers On Biaxially Textured Metal Substrates

USA

08/922173

2-Sep-97

Granted

6077344

20-Jun-00

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Buffer Layers On Biaxially Textured Metal Substrates

USA

09/248300

11-Feb-99

Granted

6235402

22-May-01

Buffer Layers On Biaxially Textured Metal Substrates

USA

09/408235

29-Sep-99

Granted

6270908

7-Aug-01

Buffer Layers On Biaxially Textured Metal Substrates

USA

09/563665

17-Sep-02

Granted

6451450

17-Sep-02

Superconductor Methods And Reactors

China (PRC)

2815187.9

30-Jul-02

Granted

ZL02815187.9

6-Feb-08

Superconductor Methods And Reactors

France

2805695

30-Jul-02

Granted

1419538

7-Mar-07

Superconductor Methods And Reactors

Germany

2805695

30-Jul-02

Granted

60218697

7-Mar-07

Superconductor Methods And Reactors

Italy

2805695

30-Jul-02

Granted

1419538

7-Mar-07

Superconductor Methods And Reactors

Japan

566911/2003

30-Jul-02

Published

Superconductor Methods And Reactors

Japan

2006/138050

17-May-06

Pending

Superconductor Methods And Reactors

Korea (ROK)

10-04-7001533

30-Jul-02

Granted

719612

11-May-07

Superconductor Methods And Reactors

USA

10/208134

30-Jul-02

Granted

6797313

28-Sep-04

Superconductor Cables And Magnetic Devices

Canada

2,467,693

18-Oct-02

Granted

2467693

30-Sep-08

Superconductor Cables And Magnetic Devices

China (PRC)

2823558.4

18-Oct-02

Granted

ZL02823558.4

17-Sep-08

Superconductor Cables And Magnetic Devices

France

2789225.6

18-Oct-02

Granted

1449265

3-Jan-07

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Superconductor Cables And Magnetic Devices

Germany

2789225.6

18-Oct-02

Granted

60217395.7

3-Jan-07

Superconductor Cables And Magnetic Devices

Italy

2789225.6

18-Oct-02

Granted

1449265

3-Jan-07

Superconductor Cables And Magnetic Devices

Japan

2003-548322

18-Oct-02

Granted

4141957

20-Jun-08

Superconductor Cables And Magnetic Devices

Japan

2006-198166

18-Oct-02

Published

Superconductor Cables And Magnetic Devices

Korea

(ROK)

2004-7007858

24-May-04

Granted

669214

9-Jan-07

Superconductor Cables And Magnetic Devices

United
Kingdom

2789225.6

18-Oct-02

Granted

1449265

3-Jan-07

Superconductor Cables And Magnetic Devices

USA

09/995442

28-Nov-01

Granted

6745059

1-Jun-04

Superconductor Cables And Magnetic Devices

USA

10/853547

25-May-04

Granted

6943656

13-Sep-05

Superconductor Cables And Magnetic Devices

USA

11/104194

12-Apr-05

Granted

7106156

12-Sep-06

Electronic Module Interconnect System

USA

09/966330

27-Sep-01

Granted

6787939

7-Sep-04

Stator Coil Assembly

USA

11/344585

30-Jan-06

Granted

7619345

17-Nov-09

Axially-Expandable EM Shield

USA

09/956328

19-Sep-01

Granted

7282832

16-Oct-07

Buffer Layers On Metal Surfaces Having Biaxial Texture As Superconductor Substrates

USA

09/174188

16-Oct-98

Granted

6159610

12-Dec-00

Method Of Making High-Critical-Current Density YBa2Cu3O7 Superconducting Layers On Metallic Substrates

USA

09/014481

28-Jan-98

Granted

5972847

26-Oct-99

Conductive And Robust Nitride Buffer Layers On Biaxially Textured Substrates

USA

10/919630

17-Aug-04

Granted

7510997

31-Mar-09

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

A Rotor Assembly

China

(PRC)

04-80006628.7

10-Feb-04

Granted

ZL200480006628.7

23-Dec-09

A Rotor Assembly

European
Patent
Convention

4709900.7

10-Feb-04

Published

A Rotor Assembly

Japan

2005-518579

10-Feb-04

Granted

4376869

18-Sep-09

A Rotor Assembly

Korea

(ROK)

10-05-7014816

10-Feb-04

Granted

761432

18-Sep-07

A Rotor Assembly

USA

10/367125

14-Feb-03

Granted

6759781

6-Jul-04

Parting Agents For Metal-Clad High-Temperature Superconductor Wires And Tapes

European
Patent
Convention

2798056.4

10-Sep-02

Published

Parting Agents For Metal-Clad High-Temperature Superconductor Wires And Tapes

USA

10/489015

10-Sep-02

Published

Processing Of Magnesium-Boride Superconductor Wires

USA

11/030817

7-Jan-05

Published

Superconducting Wire And Method Of Manufacturing The Same

USA

08/463777

5-Jun-95

Granted

5935911

10-Aug-99

Superconducting Wire And Method Of Manufacturing The Same

USA

08/463738

5-Jun-95

Granted

6170147

9-Jul-01

Low Impedance Transmission Line With A Power Flow Controller

Canada

2496622

9-Sep-03

Published

Low Impedance Transmission Line With A Power Flow Controller

China

(PRC)

3821150.5

9-Sep-03

Published

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Low Impedance Transmission Line With A Power Flow Controller

China

(PRC)

200910149694.4

9-Sep-03

Published

Low Impedance Transmission Line With A Power Flow Controller

European
Patent
Convention

3794662.1

9-Sep-03

Published

Low Impedance Transmission Line With A Power Flow Controller

Japan

2004-534735

9-Sep-03

Granted

4087383

29-Feb-08

Method And Apparatus For Cooling A Superconducting Cable

USA

11/154344

16-Jun-05

Granted

7453041

18-Nov-08

Deposition Of Buffer Layers On Textured Metal Surfaces

USA

10/812676

30-Mar-04

Granted

7261776

28-Aug-07

Superconductor Methods And Reactors

Japan

2006-515358

2-Jun-04

Published

Power System Having A Phase Locked Loop With A Notch Filter

USA

10/805723

22-Mar-04

Granted

6977827

20-Dec-05

Oxide Films With Nanodot Flux Pinning Centers

China

(PRC)

200480040541.1

15-Nov-04

Granted

ZL200480040541.1

23-Sep-09

Oxide Films With Nanodot Flux Pinning Centers

European
Patent
Convention

4821574.3

15-Nov-04

Published

Oxide Films With Nanodot Flux Pinning Centers

Japan

2006-549250

15-Nov-04

Published

Oxide Films With Nanodot Flux Pinning Centers

Korea

(ROK)

10-06-7016281

15-Nov-04

Granted

815000

12-Mar-08

Oxide Films With Nanodot Flux Pinning Centers

USA

10/758710

16-Jan-04

Published

Oxide Films With Nanodot Flux Pinning Centers

USA

12/346421

30-Dec-08

Published

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Dropwise Deposition Of A Patterned Oxide Superconductor

USA

10/955866

29-Sep-04

Granted

7582328

1-Sep-09

Method Of Manufacturing Oxide Superconducting Wire

USA

07/960307

13-Oct-92

Granted

5288699

22-Feb-94

Method Of Preparing Bismuth Oxide Superconducting Wire

Australia

23459/92

22-Jul-92

Granted

646971

23-Jun-94

Method Of Preparing Bismuth Oxide Superconducting Wire

Canada

2092180

22-Jul-92

Granted

2092180

3-Dec-96

Method Of Preparing Bismuth Oxide Superconducting Wire

France

92916222

22-Jul-92

Granted

551523

6-Mar-96

Method Of Preparing Bismuth Oxide Superconducting Wire

Germany

92916222

22-Jul-92

Granted

551523

6-Mar-96

Method Of Preparing Bismuth Oxide Superconducting Wire

Italy

92916222

22-Jul-92

Granted

551523

6-Mar-96

Method Of Preparing Bismuth Oxide Superconducting Wire

Liechtenstein

92916222

22-Jul-92

Granted

551523

6-Mar-96

Method Of Preparing Bismuth Oxide Superconducting Wire

Netherlands

92916222

22-Jul-92

Granted

551523

6-Mar-96

Method Of Preparing Bismuth Oxide Superconducting Wire

Switzerland

92916222

22-Jul-92

Granted

551523

6-Mar-96

Method Of Preparing Bismuth Oxide Superconducting Wire

United
Kingdom

92916222

22-Jul-92

Granted

551523

6-Mar-96

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Method Of Preparing Bismuth Oxide Superconducting Wire

USA

08/345920

28-Nov-94

Granted

5552376

3-Sep-96

Method Of Preparing High-Temperature Superconducting Wire

European
Patent
Convention

941068991

3-May-94

Granted

631331

11-Mar-98

Method Of Preparing High-Temperature Superconducting Wire

France

941068991

3-May-94

Granted

631331

11-Mar-98

Method Of Preparing High-Temperature Superconducting Wire

Germany

941068991

3-May-94

Granted

631331

11-Mar-98

Method Of Preparing High-Temperature Superconducting Wire

Italy

941068991

3-May-94

Granted

631331

11-Mar-98

Method Of Preparing High-Temperature Superconducting Wire

Sweden

941068991

3-May-94

Granted

631331

11-Mar-98

Method Of Preparing High-Temperature Superconducting Wire

Switzerland

941068991

3-May-94

Granted

631331

11-Mar-98

Method Of Preparing High-Temperature Superconducting Wire

United
Kingdom

941068991

3-May-94

Granted

631331

11-Mar-98

Method Of Preparing High-Temperature Superconducting Wire

USA

08/955322

20-Oct-97

Granted

5902774

11-May-99

Oxide Superconducting Wire, Manufacturing Method Thereof, Oxide Superconducting Coil And Cable

European
Patent
Convention

941120388

2-Aug-94

Granted

638942

13-Jun-01

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Oxide Superconducting Wire, Manufacturing Method Thereof, Oxide Superconducting Coil And Cable

France

941120388

2-Aug-94

Granted

638942

13-Jun-01

Oxide Superconducting Wire, Manufacturing Method Thereof, Oxide Superconducting Coil And Cable

Germany

941120388

2-Aug-94

Granted

638942

13-Jun-01

Oxide Superconducting Wire, Manufacturing Method Thereof, Oxide Superconducting Coil And Cable

Italy

941120388

2-Aug-94

Granted

638942

13-Jun-01

Oxide Superconducting Wire, Manufacturing Method Thereof, Oxide Superconducting Coil And Cable

United
Kingdom

941120388

2-Aug-94

Granted

638942

13-Jun-01

Oxide Superconducting Wire, Manufacturing Method Thereof, Oxide Superconducting Coil And Cable

USA

08/739908

30-Oct-96

Granted

6158106

12-Dec-00

Oxide Superconducting Wire, Manufacturing Method Thereof, Oxide Superconducting Coil And Cable

USA

09/640527

17-Aug-00

Granted

6272732

14-Aug-01

Multifilamentary Oxide Superconducting Wire And Coil Formed By The Same

European
Patent
Convention

941207532

27-Dec-94

Granted

661762

19-Mar-97

Multifilamentary Oxide Superconducting Wire And Coil Formed By The Same

France

941207532

27-Dec-94

Granted

661762

19-Mar-97

Multifilamentary Oxide Superconducting Wire And Coil Formed By The Same

Germany

941207532

27-Dec-94

Granted

661762

19-Mar-97

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Multifilamentary Oxide Superconducting Wire And Coil Formed By The Same

Italy

941207532

27-Dec-94

Granted

661762

19-Mar-97

Multifilamentary Oxide Superconducting Wire And Coil Formed By The Same

United
Kingdom

941207532

27-Dec-94

Granted

661762

19-Mar-97

Multifilamentary Oxide Superconducting Wire And Coil Formed By The Same

USA

08/365521

28-Dec-94

Granted

5516753

14-May-96

Method Of Preparing High-Temperature Superconducting Wire

European
Patent
Convention

951051937

9-Apr-95

Granted

676817

9-Sep-98

Method Of Preparing High-Temperature Superconducting Wire

France

951051937

9-Apr-95

Granted

676817

9-Sep-98

Method Of Preparing High-Temperature Superconducting Wire

Germany

951051937

9-Apr-95

Granted

676817

9-Sep-98

Method Of Preparing High-Temperature Superconducting Wire

Italy

951051937

9-Apr-95

Granted

676817

9-Sep-98

Method Of Preparing High-Temperature Superconducting Wire

Sweden

951051937

9-Apr-95

Granted

676817

9-Sep-98

Method Of Preparing High-Temperature Superconducting Wire

Switzerland

951051937

9-Apr-95

Granted

676817

9-Sep-98

Method Of Preparing High-Temperature Superconducting Wire

United
Kingdom

951051937

9-Apr-95

Granted

676817

9-Sep-98

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Oxide Superconducting Wire With Stabilzing Metal Having None Noble Component

France

961059649

16-Apr-96

Granted

769819

28-Dec-05

Oxide Superconducting Wire With Stabilzing Metal Having None Noble Component

Germany

961059649

16-Apr-96

Granted

769819

28-Dec-05

Oxide Superconducting Wire With Stabilzing Metal Having None Noble Component

Italy

961059649

16-Apr-96

Granted

769819

28-Dec-05

Oxide Superconducting Wire With Stabilzing Metal Having None Noble Component

Sweden

961059649

16-Apr-96

Granted

769819

28-Dec-05

Oxide Superconducting Wire With Stabilzing Metal Having None Noble Component

Switzerland

961059649

16-Apr-96

Granted

769819

28-Dec-05

Oxide Superconducting Wire With Stabilzing Metal Having None Noble Component

United
Kingdom

961059649

16-Apr-96

Granted

769819

28-Dec-05

Oxide Superconducting Wire With Stabilzing Metal Having None Noble Component

USA

08/632229

15-Apr-96

Granted

6469253

22-Oct-02

High-Temperature Oxide Superconductor

Canada

588648

19-Jan-89

Granted

CA1341616

31-May-11

High-Temperature Oxide Superconductor

USA

07/293465

4-Jan-89

Granted

7132388

7-Nov-06

Method For Producing An Elongated Sintered Article

USA

07/883368

16-Jun-92

Granted

5252288

12-Oct-93

Method For Producing An Elongated Sintered Article

USA

08/355814

14-Dec-94

Granted

5480601

2-Jan-96

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Process For Manufacturing A Superconducting Wire Of Compound Oxide-Type Ceramic

USA

07/624536

7-Dec-90

Pending

Process For Manufacturing A Superconducting Wire Of Compound Oxide-Type Ceramic

USA

08/851312

5-May-97

Granted

5981444

9-Nov-99

Process For Manufacturing A Compound Oxide-Type Superconducting Wire

USA

08/056615

4-May-93

Granted

5786305

28-Jul-98

Process For Manufacturing A Superconducting Composite

USA

07/884137

18-May-92

Granted

5338721

16-Aug-94

Process For Manufacturing A Superconducting Composite

USA

08/906855

9-Aug-97

Granted

6301774

16-Oct-01

Process For Manufacturing A Superconducting Composite

USA

08/200540

22-Feb-94

Granted

5424282

13-Jun-95

Process For Producing An Elongated Sintered Article

USA

08/122178

17-Sep-93

Granted

5409890

26-Apr-95

Dynamic Reactive Compensation System And Method

Australia

2005223211

4-Mar-05

Granted

2005223211

19-Jun-08

Dynamic Reactive Compensation System And Method

Canada

2558253

4-Mar-05

Granted

2558253

15-Sep-09

Dynamic Reactive Compensation System And Method

China

(PRC)

200580011413.9

4-Mar-05

Granted

ZL200580011413.9

29-Sep-10

Dynamic Reactive Compensation System And Method

European
Patent
Convention

5724401.4

4-Mar-05

Published

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Dynamic Reactive Compensation System And Method

New
Zealand

549655

4-Mar-05

Granted

549655

12-Jun-08

Dynamic Reactive Compensation System And Method

USA

10/794398

4-Mar-04

Granted

7091703

15-Aug-06

Method Of Producing Oxide Superconductor

USA

08/459624

2-Jun-95

Granted

5639714

17-Jun-97

Method Of Producing Oxide Superconductor

USA

08/747133

12-Nov-96

Granted

6276048

21-Aug-01

Oxide Superconducting Wire

USA

08/999675

14-Oct-97

Granted

6357105

19-Mar-02

Method Of Manufacturing Oxide Superconducting Wire

USA

08/955323

20-Oct-97

Granted

6311384

6-Nov-01

Bismuth Oxide Superconductor Of Preparing The Same

USA

08/283498

1-Aug-94

Granted

5670459

23-Sep-97

Bismuth Oxide Superconductor Of Preparing The Same

USA

08/858842

19-May-97

Granted

5910222

8-Jun-99

Method Of Preparing Bismuth Oxide Superconductor

USA

08/385240

8-Feb-95

Granted

5610123

11-Mar-97

Oxide Superconducting Wire, Method Of Preparing The Same, And Method Of Handling The Same

USA

08/747881

13-Nov-96

Granted

6205345

20-Mar-01

Oxide Superconducting Wire, Method Of Preparing The Same, And Method Of Handling The Same

USA

09/723170

27-Nov-00

Granted

6536097

25-Mar-03

Method Of Preparing Bismuth Superconductor

USA

08/376461

20-Jan-95

Granted

5877125

2-Mar-99

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Method Of Preparing Oxide High-Temperature Superconductor

USA

08/316262

29-Sep-94

Granted

5663120

2-Sep-97

Method Of Preparing A Multifilamentary Bismuth Oxide Superconducting Wire

USA

08/167581

15-Dec-93

Granted

6536096

25-Mar-03

Junction Between Wires Employing Oxide Superconductors And Joining Method Therefor

USA

08/446349

22-May-95

Granted

5949131

7-Sep-99

Junction Between Wires Employing Oxide Superconductors And Joining Method Therefor

USA

09/112970

9-Jul-98

Granted

6194226

27-Feb-01

High Temperature Superconducting Wire Using Oxide Superconductive Material

USA

08/479898

7-Jun-95

Granted

5869430

8-Feb-99

Method Of Preparing Oxide Superconducting Wire

USA

08/295297

24-Aug-94

Granted

5462920

31-Oct-95

Method Of Joining Superconducting Wire Using Oxide High-Temperature Superconductor

Australia

33148/93

19-Feb-93

Granted

663355

23-Jan-96

Method Of Joining Superconducting Wire Using Oxide High-Temperature Superconductor

European
Patent
Convention

931025795

18-Feb-93

Granted

556837

17-Sep-97

Method Of Joining Superconducting Wire Using Oxide High-Temperature Superconductor

France

931025795

18-Feb-93

Granted

556837

17-Sep-97

Method Of Joining Superconducting Wire Using Oxide High-Temperature Superconductor

Germany

931025795

18-Feb-93

Granted

556837

17-Sep-97

Method Of Joining Superconducting Wire Using Oxide High-Temperature Superconductor

Italy

931025795

18-Feb-93

Granted

556837

17-Sep-97

Method Of Joining Superconducting Wire Using Oxide High-Temperature Superconductor

United
Kingdom

931025795

18-Feb-93

Granted

556837

17-Sep-97

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Method Of Joining Superconducting Wire Using Oxide High-Temperature Superconductor

USA

08/019976

19-Feb-93

Granted

5358929

25-Oct-94

Oxide Superconducting Wire And Method Of Preparing The Same

Denmark

961055928

9-Apr-96

Granted

736914

15-May-02

Oxide Superconducting Wire And Method Of Preparing The Same

European
Patent
Convention

961055928

9-Apr-96

Granted

736914

15-May-02

Oxide Superconducting Wire And Method Of Preparing The Same

France

961055928

9-Apr-96

Granted

736914

15-May-02

Oxide Superconducting Wire And Method Of Preparing The Same

Germany

961055928

9-Apr-96

Granted

736914

15-May-02

Oxide Superconducting Wire And Method Of Preparing The Same

Italy

961055928

9-Apr-96

Granted

736914

15-May-02

Oxide Superconducting Wire And Method Of Preparing The Same

United
Kingdom

961055928

9-Apr-96

Granted

736914

15-May-02

Oxide Superconducting Wire And Method Of Preparing The Same

USA

08/627281

4-Apr-96

Granted

6305069

23-Oct-01

Oxide Superconducting Wire And Method Of Preparing The Same

USA

09/9544577

18-Sep-01

Granted

6566609

20-May-03

Method Of Preparing Oxide Superconducting Wire

European
Patent
Convention

971050315

25-Mar-97

Granted

798749

27-Nov-02

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Method Of Preparing Oxide Superconducting Wire

USA

08/823907

25-Mar-97

Granted

5929000

27-Jul-99

Method Of Preparing Oxide Superconducting Wire

USA

09/055287

6-Apr-98

Granted

6192573

27-Feb-01

Connection Structure For Superconducting Conductors

Australia

19090/87

24-Apr-97

Granted

727324

22-Mar-01

Connection Structure For Superconducting Conductors

European
Patent
Convention

97106381.3

17-Apr-97

Granted

807994

14-Aug-02

Connection Structure For Superconducting Conductors

USA

08/846170

28-Apr-97

Pending

Connection Structure For Superconducting Conductors

USA

09/941104

28-Aug-01

Granted

6414244

2-Jul-02

Method And Apparatus For Measuring Critical Current Value Of Superconducting Wire

European
Patent
Convention

98103197.4

24-Feb-98

Granted

860705

20-Sep-06

Method And Apparatus For Measuring Critical Current Value Of Superconducting Wire

USA

09/028929

24-Feb-98

Granted

5936394

10-Aug-99

Oxide Superconducting Wire Material

European
Patent
Convention

989056353

25-Feb-98

Published

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Oxide Superconducting Wire Material

Patent
Cooperation
Treaty

PCTJP98/00754

27-Feb-98

Published

Oxide Superconducting Wire Material

USA

09/380272

27-Aug-99

Granted

6631280

7-Oct-03

Method Of Manufacturing A High Temperature Oxide Superconducting Wire

Australia

18496/99

1-Mar-99

Granted

756334

9-Jan-03

Method Of Manufacturing A High Temperature Oxide Superconducting Wire

European
Patent
Convention

994010304

28-Apr-99

Granted

964458

14-Apr-10

Method Of Manufacturing A High Temperature Oxide Superconducting Wire

USA

09/264570

8-Mar-99

Granted

6311385

6-Nov-01

Oxide Superconductor On Core Type Wire

European
Patent
Convention

991143009

30-Jul-99

Granted

977282

25-May-05

Oxide Superconductor On Core Type Wire

USA

09/363816

30-Jul-99

Granted

6337307

8-Jan-02

Oxide Superconductor On Core Type Wire

USA

09/789725

22-Feb-01

Published

Oxide Superconducting Wire Having Insulating Coat And Production Method Thereof

European
Patent
Convention

904051

18-Feb-00

Granted

1096580

12-Dec-07

Oxide Superconducting Wire Having Insulating Coat And Production Method Thereof

Patent
Cooperation
Treaty

PCTJP00/00952

18-Feb-00

Published

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Oxide Superconducting Wire Having Insulating Coat And Production Method Thereof

USA

09/673256

25-Oct-00

Granted

6555504

29-Apr-03

Manufacturing Process Of Superconducting Wire And Retainer For Heat Treatment

European
Patent
Convention

4012191

4-May-00

Pending

Manufacturing Process Of Superconducting Wire And Retainer For Heat Treatment

USA

09/559377

27-Apr-00

Granted

6601289

5-Aug-03

Manufacturing Method Of Superconducting Wire

Australia

66681/00

23-Oct-00

Pending

774021

Manufacturing Method Of Superconducting Wire

European
Patent
Convention

4037016

28-Dec-00

Granted

1113508

7-Feb-07

Manufacturing Method Of Superconducting Wire

USA

09/666153

19-Sep-00

Granted

6493925

17-Dec-02

Superconducting Wire

Australia

69571/00

26-Oct-00

Pending

781589

Superconducting Wire

European
Patent
Convention

4037024

28-Dec-00

Granted

1113507

13-Aug-08

Superconducting Wire

USA

09/684336

10-Oct-00

Granted

6777376

17-Aug-04

Method Of Manufacturing Oxide Superconducting Wire And Oxide Superconducting Wire

Australia

10538/01

1-Nov-00

Pending

777016

Method Of Manufacturing Oxide Superconducting Wire And Oxide Superconducting Wire

European
Patent
Convention

971734.9

1-Nov-00

Granted

1158543

4-Feb-09

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Method Of Manufacturing Oxide Superconducting Wire And Oxide Superconducting Wire

Hong Kong

1109218.6

1-Nov-00

Published

Method Of Manufacturing Oxide Superconducting Wire And Oxide Superconducting Wire

Patent
Cooperation
Treaty

JP00/07711

1-Nov-00

Published

Method Of Manufacturing Oxide Superconducting Wire And Oxide Superconducting Wire

USA

09/869701

3-Jul-01

Granted

6844064

18-Jan-05

Superconducting Wire And Method Of Manufacturing The Same

European
Patent
Convention

14010334

24-Apr-01

Granted

1150362

21-Mar-07

Superconducting Wire And Method Of Manufacturing The Same

Hong Kong

11083276

27-Nov-01

Published

Superconducting Wire And Method Of Manufacturing The Same

USA

09/820870

30-Mar-01

Granted

6498302

24-Dec-02

Superconducting Wire And Method Of Manufacturing The Same

Australia

23152/01

21-Feb-2001

Pending

0772553

Superconducting Wire And Method Of Manufacturing The Same

European
Patent
Convention

14004725

22-Feb-2001

Granted

1128447

07-Jun-2006

Superconducting Wire And Method Of Manufacturing The Same

Hong Kong

1108125.0

17-Nov-2001

Published

Superconducting Wire And Method Of Manufacturing The Same

USA

09/788492

21-Feb-2001

Granted

6507746

14-Jan-2003

Method Of Preparing Oxide Superconducting Wire And Pressure Heat Treatment Apparatus Employed For The

Australia

54436/01

16-Jul-2001

Pending

0781080

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Method Of Preparing Oxide Superconducting Wire And Pressure Heat Treatment Apparatus Employed For The

European
Patent
Convention

01401877.4

13-Jul-2001

Granted

1172868

14-Apr-2010

Method Of Preparing Oxide Superconducting Wire And Pressure Heat Treatment Apparatus Employed For The

Korea
(ROK)

0042337/01

13-Jul-2001

Pending

0748008

Method Of Preparing Oxide Superconducting Wire And Pressure Heat Treatment Apparatus Employed For The

Taiwan

90116220

03-Jul-2001

Granted

157041

27-Sep-2002

Method Of Preparing Oxide Superconducting Wire And Pressure Heat Treatment Apparatus Employed For The

USA

09/903622

13-Jul-2001

Granted

6632776

14-Oct-2003

Method Of Preparing Oxide Superconducting Wire

Australia

57802/01

03-Aug-2001

Pending

0780949

Method Of Preparing Oxide Superconducting Wire

European
Patent
Convention

14022529

29-Aug-2001

Granted

1187233

10-Jan-2007

Method Of Preparing Oxide Superconducting Wire

USA

09/920947

03-Aug-2001

Granted

6546614

15-Apr-2003

Oxide High-Temperature Superconducting Wire And Method Of Producing The Same

Australia

65496/01

27-Aug-2001

Granted

0779553

27-Jan-2005

Oxide High-Temperature Superconducting Wire And Method Of Producing The Same

European
Patent
Convention

01402245.3

29-Aug-2001

Granted

1187232

11-Apr-2007

Oxide High-Temperature Superconducting Wire And Method Of Producing The Same

USA

09/938829

27-Aug-2001

Published

Method For Manufacturing Oxide Superconductive Wires

Patent
Cooperation
Treaty

PCTJP01/11673

28-Dec-2001

Pending

Method For Manufacturing Oxide Superconductive Wires

Taiwan

90133179

31-Dec-2001

Granted

518614

21-Jan-2003

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

High-Temperature Superconductive Conductor Winding

USA

08/301923

06-Sep-1994

Granted

5506198

09-Apr-1996

High Temperature Superconducting Coil And Method Of Manufacturing Thereof

USA

08/385571

08-Feb-1995

Granted

5512867

30-Apr-1996

Superconducting Coil

European
Patent
Convention

971075916

07-May-1997

Granted

807939

17-Oct-2001

Superconducting Coil

France

971075916

07-May-1997

Granted

807939

17-Oct-2001

Superconducting Coil

Germany

971075916

07-May-1997

Granted

807939

17-Oct-2001

Superconducting Coil

United
Kingdom

971075916

07-May-1997

Granted

807939

17-Oct-2001

Superconducting Coil

USA

08/848464

08-May-1997

Granted

5861788

19-Jan-1999

Cooling Method And Energizing Method Of Superconductor

European
Patent
Convention

97112288.2

17-Jul-1997

Granted

0820071

09-Jan-2002

Cooling Method And Energizing Method Of Superconductor

USA

08/897605

21-Jul-1997

Granted

5787714

04-Aug-1998

Superconducting Coil

European
Patent
Convention

98108366

07-May-1998

Granted

877395

20-Aug-2003

Superconducting Coil

USA

09/073953

07-May-1998

Granted

6081179

27-Jun-2000

Operation Control Method For Superconducting Coil

France

981199524

21-Oct-1998

Granted

0911839

07-Sep-2005

Operation Control Method For Superconducting Coil

Germany

981199524

21-Oct-1998

Granted

0911839

07-Sep-2005

Operation Control Method For Superconducting Coil

Italy

981199524

21-Oct-1998

Granted

0911839

07-Sep-2005

Operation Control Method For Superconducting Coil

Netherlands

981199524

21-Oct-1998

Granted

0911839

07-Sep-2005

Operation Control Method For Superconducting Coil

Sweden

981199524

21-Oct-1998

Granted

0911839

07-Sep-2005

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Operation Control Method For Superconducting Coil

Switzerland

981199524

21-Oct-1998

Granted

0911839

07-Sep-2005

Operation Control Method For Superconducting Coil

United
Kingdom

981199524

21-Oct-1998

Granted

0911839

07-Sep-2005

Operation Control Method For Superconducting Coil

USA

09/176327

22-Oct-1998

Granted

6094333

25-Jul-2000

Superconducting Conductor

USA

07/935664

24-Aug-1992

Granted

5276281

04-Jan-1994

Mesh-Type Stabilizer For Filamentary Coated Superconductors

USA

11/394917

31-Mar-2006

Granted

7763343

27-Jul-2010

Mesh-Type Stabilizer For Filamentary Coated Superconductors

USA

12/844233

27-Jul-2010

Granted

8142881

27-Mar-2012

Superconducting Machine Stator

Australia

2007292252

07-Sep-2007

Granted

007292252

31-Mar-2011

Superconducting Machine Stator

Canada

2660731

07-Sep-2007

Published

Superconducting Machine Stator

European
Patent
Convention

07814752.7

07-Sep-2007

Published

Superconducting Machine Stator

Japan

2009-526953

27-Feb-2009

Published

Superconducting Machine Stator

Korea
(ROK)

10-2009-7006736

07-Sep-2007

Granted

10-1090944

01-Dec-2011

Superconducting Machine Stator

USA

11/516970

07-Sep-2006

Granted

7786645

31-Aug-2010

Low Ac Loss Filamentary Coated Superconductors

USA

10/955875

29-Sep-2004

Granted

7496390

24-Feb-2009

Thick Superconductor Films With Improved Performance

Australia

2005/333196

30-Sep-2005

Granted

2005333196

14-Jan-2010

Thick Superconductor Films With Improved Performance

China
(PRC)

200580038907.6

30-Sep-2005

Granted

CN101258618B

30-Sep-2025

Thick Superconductor Films With Improved Performance

European
Patent
Convention

05858198.4

30-Sep-2005

Published

Thick Superconductor Films With Improved Performance

France

05858198.4

30-Sep-2005

Pending

Thick Superconductor Films With Improved Performance

Germany

05858198.4

30-Sep-2005

Pending

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Thick Superconductor Films With Improved Performance

Italy

05858198.4

30-Sep-2005

Pending

Thick Superconductor Films With Improved Performance

Japan

2007-534868

30-Sep-2005

Published

Thick Superconductor Films With Improved Performance

Korea
(ROK)

10-2007-7009908

30-Sep-2005

Granted

0910601

03-Aug-2009

Thick Superconductor Films With Improved Performance

United
Kingdom

05858198.4

30-Sep-2005

Thick Superconductor Films With Improved Performance

USA

11/241636

30-Sep-2005

Granted

7622424

24-Nov-2009

Thick Superconductor Films With Improved Performance

USA

12/624859

24-Nov-2009

Published

Stacked Filamentary Coated Superconductors

USA

10/955801

29-Sep-2004

Granted

7463915

09-Dec-2008

Doped Y2O3 Buffer Layers For Laminated Conductors

USA

11/192488

29-Jul-2005

Granted

7258928

21-Aug-2007

Motor Mount For Azimuthing POD

USA

11/060849

18-Feb-2005

Granted

7371134

13-May-2008

Method Of Patterning Oxide Superconducting Films

USA

12/713503

26-Feb-2010

Published

Fault Management Of HTS Power Cable

Australia

2006276089

21-Jul-2006

Granted

2006276089

24-Dec-2009

Fault Management Of HTS Power Cable

Canada

2616530

24-Jan-2008

Allowed

Fault Management Of HTS Power Cable

China
(PRC)

200680027495

21-Jul-2006

Granted

CN101233660

16-Jun-2010

Fault Management Of HTS Power Cable

European
Patent
Convention

06787946.0

21-Jun-2006

Pending

Fault Management Of HTS Power Cable

Japan

2008-523973

28-Jan-2008

Granted

4665034

14-Jan-2011

Fault Management Of HTS Power Cable

Korea
(ROK)

1020087004877

21-Jul-2006

Granted

10-0943438

12-Feb-2010

Fault Management Of HTS Power Cable

Mexico

MX/a/
2008/001346

28-Jan-2006

Granted

276605

14-Jun-2010

Fault Management Of HTS Power Cable

Russian
Federation

2008107717

21-Jul-2006

Granted

2359383

20-Jun-2009

Fault Management Of HTS Power Cable

USA

11/459167

21-Jul-2006

Granted

7304826

04-Dec-2007

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Architecture For High Temperature Superconductor Wire

Australia

2006275564

26-Feb-2008

Granted

2006275564

19-Jan-2012

Architecture For High Temperature Superconductor Wire

Canada

2617210

28-Jul-2006

Published

Architecture For High Temperature Superconductor Wire

China (PRC)

200680027034.3

24-Jan-2008

Published

Architecture For High Temperature Superconductor Wire

European

Patent

Convention

06800556.0

07-Feb-2008

Published

Architecture For High Temperature Superconductor Wire

India

472/KOLNP/2008

01-Feb-2008

Pending

Architecture For High Temperature Superconductor Wire

Japan

2008524263

25-Jan-2008

Published

Architecture For High Temperature Superconductor Wire

Korea (ROK)

KR20087003954

19-Feb-2008

Granted

KR1062808

31-Aug-201

Architecture For High Temperature Superconductor Wire

Russian

Federation

2008107760

28-Feb-2008

Granted

2408956

10-Jan-2011

Architecture For High Temperature Superconductor Wire

USA

11/193262

29-Jul-2005

Granted

7816303

19-Oct-2010

Fabrication Of Sealed High Temperature Superconductor Wires

USA

11/490779

21-Jul-2006

Granted

7674751

09-Mar-2010

Thermal Compensation Enclosure For Superconducting Cable Terminal Structure

Austria

Published

Thermal Compensation Enclosure For Superconducting Cable Terminal Structure

China (PRC)

Granted

CN100594635

17-Mar-2010

Thermal Compensation Enclosure For Superconducting Cable Terminal Structure

Denmark

Published

Thermal Compensation Enclosure For Superconducting Cable Terminal Structure

France

FR200550694

17-Mar-2005

Granted

FR2883426

04-May-2007

Thermal Compensation Enclosure For Superconducting Cable Terminal Structure

Germany

Published

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Thermal Compensation Enclosure For Superconducting Cable Terminal Structure

Japan

Published

Thermal Compensation Enclosure For Superconducting Cable Terminal Structure

Korea (ROK)

Published

Thermal Compensation Enclosure For Superconducting Cable Terminal Structure

Spain

Published

Thermal Compensation Enclosure For Superconducting Cable Terminal Structure

USA

11/373816

09-Mar-2006

Granted

7708577

04-May-2010

High Temperature Superconducting Wires And Coils

Australia

2006346993

28-Jul-2006

Granted

2006346993

10-Mar-2011

High Temperature Superconducting Wires And Coils

Canada

2622384

29-Jan-2008

Published

High Temperature Superconducting Wires And Coils

China (PRC)

200680035136.X

20-Mar-2008

Published

High Temperature Superconducting Wires And Coils

European

Patent

Convention

06851624.4

19-Feb-2008

Published

High Temperature Superconducting Wires And Coils

India

723/KOLNP/2008

19-Feb-2008

Pending

High Temperature Superconducting Wires And Coils

Japan

2008-535523

28-Jan-2008

Pending

High Temperature Superconducting Wires And Coils

Korea (ROK)

10-2008-7005094

28-Jul-2006

Pending

High Temperature Superconducting Wires And Coils

Russian
Federation

2008107766

28-Feb-2008

Granted

2414769

20-Mar-2011

High Temperature Superconducting Wires And Coils

USA

11/494993

28-Jul-2006

Granted

7781376

24-Aug-2010

Power System Having A Voltage Regulator With A Notch Filter

USA

11/352946

13-Feb-2006

Granted

7778053

17-Aug-2010

Supplementary Transformer Cooling In A Reactive Power Compensation System

USA

11354562

15-Feb-2006

Granted

7567160

28-Jul-2009

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

A Method Of DC Bus Voltage Harmonic Reduction For Utility Connected Three-Phase Power Converters Under Unbalanced Voltage Condition

Australia

2009228245

1-Aug-2010

Pending

A Method Of DC Bus Voltage Harmonic Reduction For Utility Connected Three-Phase Power Converters Under Unbalanced Voltage Condition

Brazil

PI0906250-5

24-Sep-2010

Pending

A Method Of DC Bus Voltage Harmonic Reduction For Utility Connected Three-Phase Power Converters Under Unbalanced Voltage Condition

Canada

2719584

23-Sep-2010

Published

A Method Of DC Bus Voltage Harmonic Reduction For Utility Connected Three-Phase Power Converters Under Unbalanced Voltage Condition

China (PRC)

200980000160.3

11-Sep-2009

Published

A Method Of DC Bus Voltage Harmonic Reduction For Utility Connected Three-Phase Power Converters Under Unbalanced Voltage Condition

European Patent Convention

09724221.8

01-Sep-2010

Published

A Method Of DC Bus Voltage Harmonic Reduction For Utility Connected Three-Phase Power Converters Under Unbalanced Voltage Condition

India

3352/KOLNP/2010

10-Sep-2010

Pending

A Method Of DC Bus Voltage Harmonic Reduction For Utility Connected Three-Phase Power Converters Under Unbalanced Voltage Condition

Korea (ROK)

10-2010-7024057

27-Oct-2010

Pending

Component Cooling System

China (PRC)

200980110802.5

26-Sep-2010

Published

Component Cooling System

India

6143/CHENP/2010

29-Sep-2010

Published

Component Cooling System

Japan

2011-503097

30-Sep-2010

Pending

Component Cooling System

Korea (ROK)

10-2010-701999

07-Sep-2010

Pending

Component Cooling System

Russian Federation

2010144560

31-Oct-2010

Granted

2448313

20-Apr-12

Component Cooling System

USA

12/059951

31-Mar-2008

Published

High Current, Compact, Flexible Conductors Containing High Temperature Superconducting Tapes

Australia

2007275572

10-Dec-2008

Pending

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

High Current, Compact, Flexible Conductors Containing High Temperature Superconducting Tapes

Canada

2658009

23-Jul-2007

Published

High Current, Compact, Flexible Conductors Containing High Temperature Superconducting Tapes

European Patent Convention

2658009

23-Jul-2007

Published

High Current, Compact, Flexible Conductors Containing High Temperature Superconducting Tapes

Japan

PCT/US07/016544

23-Jul-2007

Published

High Current, Compact, Flexible Conductors Containing High Temperature Superconducting Tapes

Korea (ROK)

10-2009-7001426

22-Jan-2009

Allowed

High Current, Compact, Flexible Conductors Containing High Temperature Superconducting Tapes

Korea (ROK)

0-2012-7009298

10-Apr-2012

Pending

High Current, Compact, Flexible Conductors Containing High Temperature Superconducting Tapes

USA

11/880567

23-Jul-2007

Granted

8044752

25-Oct-2011

Low Resistance Splice For High Temperature Superconductor Wires

Patent Cooperation Treaty

US2007/016567

23-Jul-2007

Published

Low Resistance Splice For High Temperature Superconductor Wires

USA

11/880586

23-Jul-2007

Granted

8030246

04-Oct-2011

Low Resistance Splice For High Temperature Superconductor Wires

USA

13/236824

20-Sep-2011

Allowed

Synthesis Of YBa2Cu3O7 Using Subatmospheric Processing

USA

09/950888

12-Sep-2001

Granted

6794339

21-Sep-2004

Torque Transmission Assembly For Use In Superconducting Rotating Machines

Australia

2007297485

13-Sep-2007

Granted

200729485

18-Nov-2010

Torque Transmission Assembly For Use In Superconducting Rotating Machines

Brazil

IP 0715152-7

19-Mar-2009

Pending

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Torque Transmission Assembly For Use In Superconducting Rotating Machines

Canada

2661563

13-Sep-2007

Granted

2661563

06-Dec-2011

Torque Transmission Assembly For Use In Superconducting Rotating Machines

China (PRC)

200780034812.6

13-Sep-2007

Granted

ZL200780034812.6

28-Mar-2012

Torque Transmission Assembly For Use In Superconducting Rotating Machines

European Patent Convention

07842415.7

13-Sep-2007

Published

Torque Transmission Assembly For Use In Superconducting Rotating Machines

France

07842415.7

19-Mar-2009

Pending

Torque Transmission Assembly For Use In Superconducting Rotating Machines

Germany

07842415.7

19-Mar-2009

Pending

Torque Transmission Assembly For Use In Superconducting Rotating Machines

India

876/KOLNP/2009

13-Sep-2007

Pending

Torque Transmission Assembly For Use In Superconducting Rotating Machines

Italy

07842415.7

19-Mar-2009

Pending

Torque Transmission Assembly For Use In Superconducting Rotating Machines

Japan

2007/078384

27-Feb-2009

Published

Torque Transmission Assembly For Use In Superconducting Rotating Machines

Korea (ROK)

10-2009-7007638

14-Apr-2009

Granted

10-1070598

29-Sep-2011

Torque Transmission Assembly For Use In Superconducting Rotating Machines

Russian Federation

2009114697

13-Sep-2007

Granted

2418352

10-May-2011

Torque Transmission Assembly For Use In Superconducting Rotating Machines

United Kingdom

07842415.7

19-Mar-2009

Pending

Torque Transmission Assembly For Use In Superconducting Rotating Machines

USA

11/533595

20-Sep-2006

Granted

7592721

22-Sep-2009

Torque Transmission Assembly For Use In Superconducting Rotating Machines

USA

12/252723

16-Oct-2008

Granted

7638908

29-Dec-2009

High Temperature Superconductors Having Planar Magnetic Flux Pinning Centers And Methods For Making The Same

USA

11/880533

23-Jul-2007

Granted

7902120

08-Mar-2011

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Systems And Methods For Solution-Based Deposition Of Metallic Cap Layers For High Temperature Superconductor Wires

USA

11/728108

23-Mar-07

Granted

7893006

22-Feb-11

Technique To Enhance The Fault Withstand Capability Of Utility HTS Devices

USA

11/673281

9-Feb-07

Published

Technique To Enhance The Fault Withstand Capability Of Utility HTS Devices

USA

12/692793

25-Jan-10

Published

Technique To Enhance The Fault Withstand Capability Of Utility HTS Devices

Brazil

PI0807347-3

7-Aug-09

Pending

Technique To Enhance The Fault Withstand Capability Of Utility HTS Devices

Canada

2677777

9-Oct-09

Published

Technique To Enhance The Fault Withstand Capability Of Utility HTS Devices

China (PRC)

200880011212.2

9-Oct-09

Published

Technique To Enhance The Fault Withstand Capability Of Utility HTS Devices

European Patent Convention

8780386.2

6-Aug-09

Published

Technique To Enhance The Fault Withstand Capability Of Utility HTS Devices

India

4667/CHENP/2009

7-Aug-09

Pending

Technique To Enhance The Fault Withstand Capability Of Utility HTS Devices

Japan

2009-549170

7-Aug-09

Pending

Technique To Enhance The Fault Withstand Capability Of Utility HTS Devices

Korea (ROK)

10-2009-7018863

9-Sep-09

Allowed

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Technique To Enhance The Fault Withstand Capability Of Utility HTS Devices

Mexico

MX/a/2009/008568

10-Aug-09

Granted

283225

24-Jan-11

Technique To Enhance The Fault Withstand Capability Of Utility HTS Devices

USA

11/688802

20-Mar-07

Published

Fault Current Limiting HTS Cable And Method Of Configuring Same

Australia

2008214111

12-Aug-09

Granted

2008214111

5-Jan-12

Fault Current Limiting HTS Cable And Method Of Configuring Same

Brazil

PI0807527-1

10-Aug-09

Pending

Fault Current Limiting HTS Cable And Method Of Configuring Same

Canada

2678251

7-Aug-09

Published

Fault Current Limiting HTS Cable And Method Of Configuring Same

China (PRC)

200880011215.6

9-Oct-09

Published

Fault Current Limiting HTS Cable And Method Of Configuring Same

European Patent Convention

8728446.9

6-Aug-09

Published

Fault Current Limiting HTS Cable And Method Of Configuring Same

India

4658/CHENP/2009

7-Aug-09

Pending

Fault Current Limiting HTS Cable And Method Of Configuring Same

Japan

JP2009-549169

7-Aug-09

Pending

Fault Current Limiting HTS Cable And Method Of Configuring Same

Korea (ROK)

10-2009-7018866

9-Sep-09

Allowed

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Fault Current Limiting HTS Cable And Method Of Configuring Same

Korea (ROK)

10-2011-70195

23-Aug-11

Pending

Fault Current Limiting HTS Cable And Method Of Configuring Same

Mexico

MX/a/2009/008567

10-Aug-09

Granted

283227

24-Jan-11

Fault Current Limiting HTS Cable And Method Of Configuring Same

Patent Cooperation Treaty

US2008/052290

29-Jan-08

Published

Fault Current Limiting HTS Cable And Method Of Configuring Same

USA

11/688809

20-Mar-07

Granted

7902461

8-Mar-11

Fault Current Limiting HTS Cable And Method Of Configuring Same

USA

12/951293

22-Nov-10

Published

Parallel Connected HTS FCL Device

Patent Cooperation Treaty

US2008/052307

29-Jan-08

Published

Parallel Connected HTS FCL Device

USA

11/688827

20-Mar-07

Granted

7724482

25-May-10

HTS 2G Conductor For A Fault Current Limiting Cable

Australia

2008216583

12-Aug-09

Granted

2008216583

5-Jan-12

HTS 2G Conductor For A Fault Current Limiting Cable

Brazil

PI0807758-4

7-Aug-09

Pending

HTS 2G Conductor For A Fault Current Limiting Cable

Canada

2677680

7-Aug-09

Published

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

HTS 2G Conductor For A Fault Current Limiting Cable

China (PRC)

200880011213.7

9-Oct-09

Published

HTS 2G Conductor For A Fault Current Limiting Cable

European Patent Convention

8728454.3

6-Aug-09

Published

HTS 2G Conductor For A Fault Current Limiting Cable

India

4669/CHENP/2009

7-Aug-09

Pending

HTS 2G Conductor For A Fault Current Limiting Cable

Japan

JP2009-549171

7-Aug-09

Pending

HTS 2G Conductor For A Fault Current Limiting Cable

Korea (ROK)

10-2009-7018864

9-Sep-09

Pending

HTS 2G Conductor For A Fault Current Limiting Cable

Mexico

MX/a/2009/008569

10-Aug-09

Granted

283214

24-Jan-11

HTS 2G Conductor For A Fault Current Limiting Cable

Patent Cooperation Treaty

US2008/052302

29-Jan-08

Published

HTS 2G Conductor For A Fault Current Limiting Cable

USA

11/688817

20-Mar-07

Published

Composite Substrates For High Temperature Superconductors Having Improved Properties

USA

12/061421

2-Apr-08

Granted

8114526

14-Feb-12

Cooling System In A Rotating Reference Frame

Australia

2009255589

30-Jul-10

Granted

2009255589

22-Dec-11

Cooling System In A Rotating Reference Frame

Brazil

PI0906161-4

10-Sep-10

Pending

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Cooling System In A Rotating Reference Frame

Canada

2717577

2-Sep-10

Published

Cooling System In A Rotating Reference Frame

China (PRC)

200980000077.6

11-Mar-09

Published

Cooling System In A Rotating Reference Frame

European Patent Convention

9758836.2

3-Aug-10

Published

Cooling System In A Rotating Reference Frame

India

2821/KOLNP/2010

2-Aug-10

Pending

Cooling System In A Rotating Reference Frame

Korea (ROK)

10-2010-7022280

5-Oct-10

Pending

Cooling System In A Rotating Reference Frame

Patent Cooperation Treaty

PCT/US09/36760

11-Mar-09

Published

Cooling System In A Rotating Reference Frame

USA

12/045973

11-Mar-08

Published

High Temperature Superconductor (HTS) Connection Bus For A Degaussing System Junction Box.

Australia

2009228535

30-Aug-10

Pending

High Temperature Superconductor (HTS) Connection Bus For A Degaussing System Junction Box.

Canada

2719469

23-Sep-10

Published

High Temperature Superconductor (HTS) Connection Bus For A Degaussing System Junction Box.

European Patent Convention

9725012

1-Sep-10

Published

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

High Temperature Superconductor (HTS) Connection Bus For A Degaussing System Junction Box.

Korea (ROK)

10-2010-7023902

26-Oct-10

Pending

High Temperature Superconductor (HTS) Connection Bus For A Degaussing System Junction Box.

USA

12/057836

28-Mar-08

Published

Superconducting Cable Assembly And Method Of Assembly

Australia

2009228246

18-Aug-10

Pending

Superconducting Cable Assembly And Method Of Assembly

Canada

2719524

23-Sep-10

Published

Superconducting Cable Assembly And Method Of Assembly

European Patent Convention

9726332.1

26-Aug-10

Published

Superconducting Cable Assembly And Method Of Assembly

Korea (ROK)

10-2010-7023864

25-Oct-10

Pending

Superconducting Cable Assembly And Method Of Assembly

USA

12/057804

28-Mar-08

Published

Current Source Gate Drive Circuit For Simultaneous Firing Of Thyristors

USA

267860

29-Jun-94

Granted

5585758

17-Dec-96

Apparatus And Method For Regulating A Power Line Using Frequency Domain Self-Synchronization Control

USA

268762

29-Jun-94

Granted

5631545

20-May-97

Capacitor Polarity-Based Var Correction Controller For Resonant Line Conditions And Large Amplitude

USA

*/269165

29-Jun-94

Granted

5548203

20-Aug-96

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Wind Turbine Low-Voltage Ride-Through Solution

Australia

2008358896

4-Jan-11

Pending

Wind Turbine Low-Voltage Ride-Through Solution

Brazil

PI0822478-1

29-Dec-10

Pending

Wind Turbine Low-Voltage Ride-Through Solution

Canada

2728849

21-Dec-11

Published

Wind Turbine Low-Voltage Ride-Through Solution

China (PRC)

200910151842.6

1-Jul-09

Published

Wind Turbine Low-Voltage Ride-Through Solution

European Patent Convention

8781252.5

31-Jan-11

Published

Wind Turbine Low-Voltage Ride-Through Solution

India

96/KOLNP/2011

7-Jan-11

Pending

Wind Turbine Low-Voltage Ride-Through Solution

Korea (ROK)

10-2011-7002437

31-Mar-11

Pending

Wind Turbine Low-Voltage Ride-Through Solution

Spain

200850076

2-Jul-08

Published

Wind Turbine Low-Voltage Ride-Through Solution

USA

12/165921

1-Jul-08

Granted

8120932

21-Feb-12

Circuit To Allow A Static Var Corrector (SVC) To Turn On When The Source Voltage Is Reduced

China (PRC)

200910151846.4

1-Jul-09

Allowed

Circuit To Allow A Static Var Corrector (SVC) To Turn On When The Source Voltage Is Reduced

Patent Cooperation Treaty

PCT/US2009/48592

25-Jun-09

Published

Circuit To Allow A Static Var Corrector (SVC) To Turn On When The Source Voltage Is Reduced

USA

12/166357

2-Jul-08

Granted

7940029

10-May-11

Electricity Transmission Cooling System

Australia

2009298856

14-Feb-11

Pending

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Electricity Transmission Cooling System

Canada

PCT/US2009/057957

30-Mar-11

Pending

Electricity Transmission Cooling System

China (PRC)

200910204982.5

30-Sep-09

Published

Electricity Transmission Cooling System

European Patent Convention

9792877.4

2-Mar-11

Published

Electricity Transmission Cooling System

India

2613/DELNP/2011

8-Apr-11

Pending

Electricity Transmission Cooling System

Korea (ROK)

10-2011-7003947

21-Feb-11

Pending

Electricity Transmission Cooling System

Patent Cooperation Treaty

PCT/US2009/57957

23-Sep-09

Published

Electricity Transmission Cooling System

USA

12/245138

3-Oct-08

Published

Superconductor Structure With High TC Superconductor Material Process For Producing The Structure And Current Limiter Device Having Such A Structure

European Patent Convention

98965108.8

7-Dec-98

Granted

1042820

12-Mar-03

Superconductor Structure With High TC Superconductor Material Process For Producing The Structure And Current Limiter Device Having Such A Structure

France

Granted

1042820

12-Mar-03

Superconductor Structure With High TC Superconductor Material Process For Producing The Structure And Current Limiter Device Having Such A Structure

Italy

Granted

1042820

12-Mar-03

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Superconductor Structure With High Tc Superconductor Material Process For Producing The Structure And Current Limiter Device Having Such A Structure

Japan

2001527298

7-Dec-98

Pending

2001527298

Superconductor Structure With High TC Superconductor Material Process For Producing The Structure And Current Limiter Device Having Such A Structure

Netherlands

Granted

1042820

12-Mar-03

Superconductor Structure With High TC Superconductor Material Process For Producing The Structure And Current Limiter Device Having Such A Structure

Sweden

Granted

1042820

12-Mar-03

Superconductor Structure With High TC Superconductor Material Process For Producing The Structure And Current Limiter Device Having Such A Structure

USA

9592743

13-Jun-00

Granted

6522236

18-Feb-03

Elongated Superconductor Structure With A High-TC Superconductor Material And A Metallic Mount, And Method For Producing The Structure

Germany

27-Jan-00

Granted

1155461

1-Dec-04

Elongated Superconductor Structure With A High-TC Superconductor Material And A Metallic Mount, And Method For Producing The Structure

USA

9920109

1-Aug-01

Granted

6596421

22-Jul-03

High-Temperature Superconductor

USA

10-Mar-89

Granted

5665662

9-Aug-95

High Temperature Superconductor

USA

08/150786

10-Mar-89

Granted

6028036

9-Sep-97

Method Of Manufacturing An Oxide Ceramic Superconductor Having A High Core Density

France

93100838.7

21-Jan-93

Granted

556581

9-Apr-97

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Method Of Manufacturing An Oxide Ceramic Superconductor Having A High Core Density

Germany

93100838.7

21-Jan-93

Granted

556581

9-Apr-97

Method Of Manufacturing An Oxide Ceramic Superconductor Having A High Core Density

Italy

93100838.7

21-Jan-93

Granted

556581

9-Apr-97

Method Of Manufacturing An Oxide Ceramic Superconductor Having A High Core Density

United Kingdom

93100838.7

21-Jan-93

Granted

556581

9-Apr-97

Method Of Manufacturing An Oxide Ceramic Superconductor Having A High Core Density

USA

08/020304

19-Feb-93

Granted

5898021

27-Apr-99

Two-Sided Splice For High Temperature Superconductor Laminated Wires

Australia

2009274080

18-Jan-11

Pending

Two-Sided Splice For High Temperature Superconductor Laminated Wires

Canada

2731693

22-Jul-09

Published

Two-Sided Splice For High Temperature Superconductor Laminated Wires

China (PRC)

200980128997.6

24-Jan-11

Published

Two-Sided Splice For High Temperature Superconductor Laminated Wires

European Patent Convention

9800935

3-Dec-10

Published

Two-Sided Splice For High Temperature Superconductor Laminated Wires

India

639/KOLNP/2011

10-Feb-11

Pending

Two-Sided Splice For High Temperature Superconductor Laminated Wires

Japan

2011/520160

21-Jan-11

Published

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Two-Sided Splice For High Temperature Superconductor Laminated Wires

Korea (ROK)

10-2011-7004084

22-Feb-11

Pending

Two-Sided Splice For High Temperature Superconductor Laminated Wires

USA

12/178469

23-Jul-08

Granted

8195260

5-Jun-12

A Method For Analyzing Superconducting Wire

Patent Cooperation Treaty

PCT/US09/51524

23-Jul-09

Published

Static Var Compensator For Use In Utility Power Systems

Patent Cooperation Treaty

PCT/US2010/031153

15-Apr-10

Published

Static Var Compensator For Use In Utility Power Systems

USA

12/425736

17-Apr-09

Published

Oxide-Ceramic Superconducting Material And Process Of Fabrication Thereof

France

93107783.8

13-May-93

Granted

573804

13-May-93

Oxide-Ceramic Superconducting Material And Process Of Fabrication Thereof

Germany

93107783.8

13-May-93

Granted

573804

13-May-93

Oxide-Ceramic Superconducting Material And Process Of Fabrication Thereof

Italy

93107783.8

13-May-93

Granted

573804

13-May-93

Oxide-Ceramic Superconducting Material And Process Of Fabrication Thereof

United Kingdom

93107783.8

13-May-93

Granted

573804

13-May-93

Elongated Bismuth Cuprate Superconductor And Process For Its Manufacture

Germany

P4434523.2

27-Sep-94

Granted

DE4434523

27-Sep-94

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Method Of Heat Treatment Of High-Temperature Superconductor

France

94,104,648

24-Mar-94

Granted

621610

27-Oct-94

Method Of Heat Treatment Of High-Temperature Superconductor

Germany

94104647.6

24-Mar-94

Granted

621610

27-Oct-94

Method Of Heat Treatment Of High-Temperature Superconductor

Italy

94104647.6

24-Mar-94

Granted

621610

27-Oct-94

Method Of Heat Treatment Of High-Temperature Superconductor

Japan

06-096964

11-Apr-94

Granted

3614461

12-Nov-04

Method Of Heat Treatment Of High-Temperature Superconductor

United Kingdom

94104647.6

24-Mar-94

Granted

621610

27-Oct-94

Method Of Making High TC Multifilament Superconductors

France

Granted

683533

5-May-95

Method Of Making High TC Multifilament Superconductors

Germany

Granted

683533

5-May-95

Method Of Making High TC Multifilament Superconductors

United Kingdom

Granted

683533

5-May-95

Production Of Elongated Superconductor Having High Critical Density

Germany

P4444938.0

16-Dec-94

Granted

4444938

27-Jun-96

Verfahren Zur Herstellung Eines Langgestreckten Hoch-Tc-Supraleiters Mit Einer Bi-2223-Phase

Germany

P4444937.2

16-Dec-94

Granted

4444937

27-Jun-96

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Process For Producing An Elongated Superconductor With A Bismuth Phase Having A High Transition

France

Granted

799166

8-Oct-97

Process For Producing An Elongated Superconductor With A Bismuth Phase Having A High Transition

United Kingdom

Granted

799166

8-Oct-97

Process For Producing An Elongated Superconductor With A Bismuth Phase Having A High Transition

USA

08/849896

19-Jun-97

Granted

6074991

13-Jun-00

Strip-Like Multifilament Superconductor Production

Germany

19620824

23-May-96

Granted

19620824

10-Sep-97

High Temperature Superconductive Composite Conductor Production

Germany

19620825

23-May-96

Granted

19620825

9-Oct-97

Tape-Shaped High TC Multifilament Superconductor And Method Of Manufacturing The Same

Denmark

13-Jun-96

Granted

809305

26-Nov-97

Tape-Shaped High TC Multifilament Superconductor And Method Of Manufacturing The Same

France

22-May-97

Granted

809305

30-Jan-02

Tape-Shaped High TC Multifilament Superconductor And Method Of Manufacturing The Same

Germany

1921068

23-Oct-97

Granted

809305

30-Jan-02

Tape-Shaped High TC Multifilament Superconductor And Method Of Manufacturing The Same

United Kingdom

22-May-97

Granted

809305

30-Jan-02

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Strip-Like Multifilament Superconductor

Germany

19621070

24-May-96

Granted

19621070

6-Mar-03

Silver-Sheathed High Temperature Superconductor Production

Germany

19645995

7-Nov-96

Granted

19645995

30-Jan-03

Long High Temperature Superconductor Product Manufacture

Germany

19719722

9-May-97

Granted

19719722

9-May-97

Long High Temperature Superconductor Product Manufacture

Germany

19820489

7-May-98

Granted

19820489

2-Oct-03

Oxide Superconductor Production Process Involves Multistage Annealing

Germany

19827928

23-Jun-98

Granted

19827928

23-Jun-98

Elementary Conductor For Multi-Filament Superconductor

Germany

19742365

25-Sep-97

Granted

19742365

4-Feb-99

High TC Single Or Multifilament Superconductor And Method Of Manufacturing The Same

France

Granted

905800

31-Mar-99

High TC Single Or Multifilament Superconductor And Method Of Manufacturing The Same

Germany

Granted

905800

31-Mar-99

High TC Single Or Multifilament Superconductor And Method Of Manufacturing The Same

United Kingdom

Granted

905800

31-Mar-99

Method For Producing A Superconductor, In Strip Form, Having A High-TC Superconductor Material

France

Granted

1038301

7-Aug-02

Method For Producing A Superconductor, In Strip Form, Having A High-TC Superconductor Material

Germany

09/591456

Granted

1038301

7-Aug-02

Method For Producing A Superconductor, In Strip Form, Having A High-TC Superconductor Material

United Kingdom

Granted

1038301

7-Aug-02

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Method For Producing A Superconductor, In Strip Form, Having A High-TC Superconductor Material

USA

9591456

9-Jun-00

Granted

US6571453

7-Aug-02

Process For Producing A Strip-Shaped, Multi-Core Superconductor With High-TC Superconducting Material And Superconductor

France

Granted

1042821

29-Oct-02

Process For Producing A Strip-Shaped, Multi-Core Superconductor With High-TC Superconducting Material And Superconductor

Germany

Granted

1042821

29-Oct-02

Process For Producing A Strip-Shaped, Multi-Core Superconductor With High-TC Superconducting Material And Superconductor

United Kingdom

Granted

1042821

29-Oct-02

Process For Producing A Strip-Shaped, Multi-Core Superconductor With High-TC Superconducting Material And Superconductor

USA

9581901

25-Aug-00

Granted

6471785

29-Oct-02

Manufacturing Method E.G. For Extruded Multi-Filament Superconductors

Germany

19754471

26-Nov-97

Granted

19754471

26-Nov-97

Manufacturing Method For A Ribbon-Shaped Multifilament-Superconductor With Bi-Cuprate

European Patent Convention

99103416.6

22-Feb-99

Granted

940820

26-Aug-99

Manufacturing Method For A Ribbon-Shaped Multifilament-Superconductor With Bi-Cuprate

Germany

19809557

5-Mar-98

Granted

19809557

26-Aug-99

Manufacturing Method For A Ribbon-Shaped Multifilament-Superconductor With Bi-Cuprate

Germany

Granted

940820

26-Aug-99

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Manufacturing Method For A Ribbon-Shaped Multifilament-Superconductor With Bi-Cuprate

United Kingdom

Granted

940820

26-Aug-99

Multi-Filament Superconductor Strip With Increased Critical Current Density

Germany

19815140

3-Apr-98

Granted

19815140

14-Oct-99

Coating Method For Use In A Process For Producing High-Temperature Supraconductive Strip Conductors

European Patent Convention

99944141.3

30-Mar-99

Granted

1082766

13-Aug-03

Coating Method For Use In A Process For Producing High-Temperature Supraconductive Strip Conductors

France

Granted

1082766

13-Aug-03

Coating Method For Use In A Process For Producing High-Temperature Supraconductive Strip Conductors

Germany

Granted

1082766

13-Aug-03

Coating Method For Use In A Process For Producing High-Temperature Supraconductive Strip Conductors

Italy

Granted

1082766

13-Aug-03

Coating Method For Use In A Process For Producing High-Temperature Supraconductive Strip Conductors

United Kingdom

Granted

1082766

13-Aug-03

Coating Method For Use In A Process For Producing High-Temperature Supraconductive Strip Conductors

USA

9647564

4-Jan-01

Granted

US6572916

3-Jun-03

Display Device, E.G. A Computer Display Or Television Set, Has An Anion Generating Material

Germany

19929653

28-Jun-99

Granted

19929653

30-Dec-99

Method Of Manufacturing A Strip-Shaped Multiple Channel Superconductor

Germany

19828954

29-Jun-98

Granted

19828954

29-Jun-98

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Multifilament High Temperature Superconductor Strip Production, Having Interior Matrix Regions Of

Germany

19829849

3-Jul-98

Granted

19829849

3-Jul-98

High Tc Multifilament Superconductor For Alternating Current And Method Of Making The Same

France

Granted

FR2783084

3-Oct-00

High Tc Multifilament Superconductor For Alternating Current And Method Of Making The Same

Germany

19833918.6

Granted

1983318

3-Feb-00

Stripform High Critical Temperature (Tc) Superconductor Manufacturing Method

Germany

19859452

22-Dec-98

Granted

19859452

10-Feb-02

Oxidic Superconductor With A Bismuth Phase Of The 2223 Type And Method Of Manufacture Thereof

France

Granted

2787785

21-Feb-02

Oxidic Superconductor With A Bismuth Phase Of The 2223 Type And Method Of Manufacture Thereof

Germany

19860074

23-Dec-98

Granted

19860074

21-Feb-02

Oxidic Superconductor With A Bismuth Phase Of The 2223 Type And Method Of Manufacture Thereof

USA

9469805

22-Dec-99

Granted

US6207619

27-Mar-01

Superconductor Assembly

Germany

10117370

6-Apr-01

Granted

10117370

22-May-03

Torque Support Member For Rotating Electrical Machine

Patent Cooperation Treaty

PCT/US10/42561

20-Jul-10

Published

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Torque Support Member For Rotating Electrical Machine

USA

12/575762

8-Oct-09

Granted

7834510

16-Nov-10

Low Cost HTS Wind Generator With Saturated Ferromagnetic Teeth

China (PRC)

201080043826.6

29-Mar-12

Pending

Low Cost HTS Wind Generator With Saturated Ferromagnetic Teeth

India

2572/DELNP/2012

23-Mar-12

Pending

Low Cost HTS Wind Generator With Saturated Ferromagnetic Teeth

Japan

29-Mar-12

Pending

Low Cost HTS Wind Generator With Saturated Ferromagnetic Teeth

Korea (ROK)

10-2012-7010868

27-Apr-12

Pending

Low Cost HTS Wind Generator With Saturated Ferromagnetic Teeth

Patent Cooperation Treaty

PCT/US2010/042546

20-Jul-10

Published

Low Cost HTS Wind Generator With Saturated Ferromagnetic Teeth

USA

13/164023

20-Jun-11

Published

Thyristor Gate Pulses In Static Var Compensator

USA

12/749930

30-Mar-10

Published

Thick Oxide Film By Single Coating

Patent Cooperation Treaty

PCT/US2011/026779

2-Mar-11

Published

Thick Oxide Film By Single Coating

USA

12/751064

31-Mar-10

Published

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Torque Limiting Coupling For Direct Drive Wind Turbine

Patent Cooperation Treaty

PCT/US2010061734

22-Dec-10

Published

Torque Limiting Coupling For Direct Drive Wind Turbine

USA

12/683877

7-Jan-10

Granted

8035246

11-Oct-11

Reducing Photovoltaic Array Voltage During Inverter Re-Enablement

Patent Cooperation Treaty

PCT/US2010/56665

15-Nov-10

Published

Reducing Photovoltaic Array Voltage During Inverter Re-Enablement

USA

12/625645

25-Nov-09

Published

Power Conversion Systems

Patent Cooperation Treaty

PCT/US2010/055552

5-Nov-10

Published

Power Conversion Systems

USA

12/625093

24-Nov-09

Granted

7989983

2-Aug-11

Power Conversion Systems

USA

13/195950

2-Aug-11

Published

Power Electronic Assembly With Slotted Heatsink

Patent Cooperation Treaty

PCT/US2010/55794

8-Nov-10

Published

Power Electronic Assembly With Slotted Heatsink

USA

12/632379

7-Dec-09

Issued

8189324

29-May-12

Superconductor Electricity Transmission System

Patent Cooperation Treaty

PCT/US2011/21849

20-Jan-11

Published

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Superconductor Electricity Transmission System

USA

13/010239

20-Jan-11

Published

Scheme To Provide A Series Connected Dc-Dc Function From One Or More Paralleled Dc-Ac Converters

Patent Cooperation Treaty

Published

Scheme To Provide A Series Connected Dc-Dc Function From One Or More Paralleled Dc-Ac Converters

USA

12/957501

1-Dec-10

Published

Centralized Power Conditioning

Patent Cooperation Treaty

PCT/US11/55079

6-Oct-11

Published

Centralized Power Conditioning

USA

13/267326

6-Oct-11

Published

Protocol And Topology For Synchronization And Communication Of Networked Power Converters

Patent Cooperation Treaty

PCT/US12/28156

8-Mar-12

Pending

Protocol And Topology For Synchronization And Communication Of Networked Power Converters

USA

13/074225

29-Mar-11

Granted

8120935

21-Feb-12

Live Tank Resistive Superconductor Fault Current Limiter

USA

12/945974

15-Nov-10

Published

Circuit To Allow A Static Var Corrector (SVC) System To Adaptively Gate Thyristor Valves

USA

12/983957

4-Jan-11

Pending

Reduced Low Voltage Cable - Degaussing

USA

13/435197

30-Mar-12

Pending

Internal HTS Splicing And Jumpering

Patent Cooperation Treaty

PCT/US12/28168

8-Mar-12

Pending

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Internal HTS Splicing And Jumpering

USA

13/414811

8-Mar-12

Pending

System For Quick Disconnect Termination Or Connection For Cryogenic Transfer Lines With Simultaneous Electrical Connection & Method Thereof

USA

12/231767

5-Sep-08

Published

Wide Electrical Conductor Having High C-Axis Strength

USA

13/435156

30-Mar-12

Pending

Superconductive Compounds Having High Transition Temperature & Methods For Their Use & Preparation

Canada

558106

04-Feb-1988

Pending

Superconductive Compounds Having High Transition Temperature & Methods For Their Use & Preparation

USA

09/479810

07-Jun-1995

Granted

8060169

15-Nov-11

Rotor Bearing

Austria

AT19940001833

26-Sep-94

Granted

403189

27-Nov-97

Load-Raising Device On A Wind Power Arrangement

Austria

95931076.4

26-Sep-95

Granted

188276

29-Dec-99

Load-Raising Device On A Wind Power Arrangement

Austria

19940001834

26-Sep-94

Granted

401674

25-Nov-96

Load-Raising Device On A Wind Power Arrangement

Denmark

95931076.4

26-Sep-95

Granted

783630

29-Dec-99

Load-Raising Device On A Wind Power Arrangement

Germany

95931076.4

26-Sep-95

Granted

9507537.1

29-Dec-99

Load-Raising Device On A Wind Power Arrangement

Netherlands

95931076.4

26-Sep-95

Granted

783630

29-Dec-99

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Load-Raising Device On A Wind Power Arrangement

Spain

95931076.4

26-Sep-95

Granted

2143652

29-Dec-99

Load-Raising Device On A Wind Power Arrangement

Switzerland

95931076.4

26-Sep-95

Granted

783630

29-Dec-99

Planetary Gear For Wind Turbines

Austria

95933222.2

5-Oct-95

Granted

209753

28-Nov-01

Planetary Gear For Wind Turbines

Germany

95933222.2

5-Oct-95

Granted

9509888.6

28-Nov-01

Planetary Gear For Wind Turbines

Italy

95933222.2

5-Oct-95

Granted

792415

28-Nov-01

Planetary Gear For Wind Turbines

Spain

95933222.2

5-Oct-95

Granted

2166832

28-Nov-01

Wind Power Plant

Austria

98954052.1

3-Nov-98

Granted

261062

3-Mar-04

Wind Power Plant

Denmark

98954052.1

3-Nov-98

Granted

1029176

3-Mar-04

Wind Power Plant

France

98954052.1

3-Nov-98

Granted

1029176

3-Mar-04

Wind Power Plant

Germany

98954052.1

3-Nov-98

Granted

9810927.7

3-Mar-04

Wind Power Plant

Italy

98954052.1

3-Nov-98

Granted

1029176

3-Mar-04

Wind Power Plant

Spain

98954052.1

3-Nov-98

Granted

2214745

3-Mar-04

Wind Power Plant

United Kingdom

98954052.1

3-Nov-98

Granted

1029176

3-Mar-04

Wind Power Plant

USA

09/530751

3-Nov-98

Granted

6428274

6-Aug-02

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Adaptor For Fastening Of Rotor Blades Of A Wind Power Plant To A Rotor Hub And Wind Power Plant With Such Adaptor

Germany

202005007450

11-May-05

Granted

202005007450U1

14-Jul-05

Power Train Of A Wind Power Plant

Australia

2005266829

1-Aug-05

Granted

2005266829

10-Mar-11

Power Train Of A Wind Power Plant

Austria

2004/1319

30-Jul-04

Published

Power Train Of A Wind Power Plant

Brazil

PI0512646-0

1-Aug-05

Pending

Power Train Of A Wind Power Plant

Canada

CA2575095

1-Aug-05

Granted

CA2575095

18-Jan-11

Power Train Of A Wind Power Plant

China (PRC)

200580025839

1-Aug-05

Allowed

200580025839

29-Feb-12

Power Train Of A Wind Power Plant

India

454/KOLNP/2007

1-Aug-05

Pending

Power Train Of A Wind Power Plant

Korea (ROK)

10-2007-7003204

1-Aug-05

Pending

Power Train Of A Wind Power Plant

USA

11/658325

1-Aug-05

Granted

7560824

14-Jul-09

Power Train Of A Wind Power Plant

USA

12/482912

11-Jun-09

Granted

7816798

19-Oct-10

Method And Device For Braking The Rotor Of A Wind Energy Plant

Australia

2006225057

18-Mar-05

Granted

2006225057

15-Mar-12

Method And Device For Braking The Rotor Of A Wind Energy Plant

Austria

2005/468

18-Mar-05

Granted

500843

15-Apr-06

Method And Device For Braking The Rotor Of A Wind Energy Plant

Brazil

PI0608534-2

18-Sep-07

Pending

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Method And Device For Braking The Rotor Of A Wind Energy Plant

Canada

2601675

9-Mar-06

Granted

2601675

21-Sep-10

Method And Device For Braking The Rotor Of A Wind Energy Plant

China (PRC)

200680008824.7

18-Sep-07

Published

Method And Device For Braking The Rotor Of A Wind Energy Plant

European Patent Convention

6704743.1

9-Mar-06

Granted

1866543

16-May-12

Method And Device For Braking The Rotor Of A Wind Energy Plant

France

6704743.1

9-Mar-06

Granted

1866543

16-May-12

Method And Device For Braking The Rotor Of A Wind Energy Plant

Germany

6704743.1

9-Mar-06

Granted

1866543

16-May-12

Method And Device For Braking The Rotor Of A Wind Energy Plant

United Kingdom

6704743.1

9-Mar-06

Granted

1866543

16-May-12

Method And Device For Braking The Rotor Of A Wind Energy Plant

European Patent Convention

8015451.1

9-Mar-06

Published

Method And Device For Braking The Rotor Of A Wind Energy Plant

India

3731/KOLNP/2007

3-Oct-07

Pending

Method And Device For Braking The Rotor Of A Wind Energy Plant

Japan

JP20080501103T

9-Mar-06

Granted

4953469

23-Mar-12

Method And Device For Braking The Rotor Of A Wind Energy Plant

Korea (ROK)

10-2007-7023734

18-Mar-05

Granted

961732

28-May-10

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Method And Device For Braking The Rotor Of A Wind Energy Plant

Mexico

MX/a/2007/011442

9-Mar-06

Granted

276928

25-Jun-10

Method And Device For Braking The Rotor Of A Wind Energy Plant

USA

11/908570

13-Sep-07

Published

Differential Gear Of A Wind Power Plant And Method For Changing Or Switching The Range Of Capacity Of This Differential Gear

Australia

PCT/AT2007/000498

5-Nov-07

Granted

2007324315

25-Jan-12

Differential Gear Of A Wind Power Plant And Method For Changing Or Switching The Range Of Capacity Of This Differential Gear

Austria

2006/1929

21-Nov-06

Granted

504395

15-May-09

Differential Gear Of A Wind Power Plant And Method For Changing Or Switching The Range Of Capacity Of This Differential Gear

Brazil

PI10721387-5

21-May-09

Pending

Differential Gear Of A Wind Power Plant And Method For Changing Or Switching The Range Of Capacity Of This Differential Gear

Canada

2670013

5-Nov-07

Pending

Differential Gear Of A Wind Power Plant And Method For Changing Or Switching The Range Of Capacity Of This Differential Gear

China (PRC)

200780043122.7

21-May-09

Published

Differential Gear Of A Wind Power Plant And Method For Changing Or Switching The Range Of Capacity Of This Differential Gear

European Patent Convention

7815165.1

3-Jun-09

Published

Differential Gear Of A Wind Power Plant And Method For Changing Or Switching The Range Of Capacity Of This Differential Gear

India

3975/DELNP/2009

17-Jun-09

Pending

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Differential Gear Of A Wind Power Plant And Method For Changing Or Switching The Range Of Capacity Of This Differential Gear

Japan

2009-537439

21-May-09

Published

Differential Gear Of A Wind Power Plant And Method For Changing Or Switching The Range Of Capacity Of This Differential Gear

Korea (ROK)

10-2009-7012798

19-Jun-09

Pending

Differential Gear Of A Wind Power Plant And Method For Changing Or Switching The Range Of Capacity Of This Differential Gear

USA

12/515849

21-May-09

Allowed

Variable Ratio Gear

Australia

2009242395

18-Aug-10

Granted

2009242395

15-Dec-11

Variable Ratio Gear

Brazil

PI0906228-9

28-Sep-10

Pending

Variable Ratio Gear

Canada

2716899

24-Aug-10

Published

Variable Ratio Gear

China (PRC)

200980000139.3

31-Aug-09

Allowed

Variable Ratio Gear

European
Patent
Convention

8450047.9

31-Mar-08

Published

Variable Ratio Gear

India

3014/KOLNP/2010

16-Aug-10

Pending

Variable Ratio Gear

Korea (ROK)

10-2010-7024391

29-Oct-10

Pending

Variable Ratio Gear

Patent
Cooperation
Treaty

PCT/EP2009/051011

29-Jan-09

Published

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Variable Ratio Gear

USA

12/527304

14-Aug-09

Granted

7993240

9-Aug-11

Control System For Wind Energy Converters

Australia

2009231247

11-Aug-10

Allowed

Control System For Wind Energy Converters

Brazil

PI0907068-0

23-Sep-10

Pending

Control System For Wind Energy Converters

Canada

2714145

4-Aug-10

Published

Control System For Wind Energy Converters

China (PRC)

200980000179.8

18-Sep-09

Published

Control System For Wind Energy Converters

European Patent Convention

8450046.1

31-Mar-08

Published

Control System For Wind Energy Converters

India

3113/KOLNP/2010

23-Aug-10

Pending

Control System For Wind Energy Converters

Korea (ROK)

10-2010-7024390

29-Oct-10

Pending

Control System For Wind Energy Converters

Patent Cooperation Treaty

PCT/EP2009/050968

29-Jan-09

Published

Control System For Wind Energy Converters

USA

12/528138

21-Aug-09

Granted

8154143

10-Apr-12

Development Of A New Tower Cabling

China (PRC)

200980000200.4

25-Sep-09

Published

Development Of A New Tower Cabling

European Patent Convention

9718569.8

10-Sep-09

Published

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Development Of A New Tower Cabling

Patent Cooperation Treaty

PCT/EP2009/053454

24-Mar-09

Published

Development Of A New Tower Cabling

USA

12/528504

25-Aug-09

Published

Method For Operating A Wind Energy Converter, Control Device For A Wind Energy Converter, And Wind Energy Converter

China (PRC)

200980000186.8

22-Sep-09

Published

Method For Operating A Wind Energy Converter, Control Device For A Wind Energy Converter, And Wind Energy Converter

European Patent Convention

9716196.2

2-Sep-09

Published

Method For Operating A Wind Energy Converter, Control Device For A Wind Energy Converter, And Wind Energy Converter

Patent Cooperation Treaty

PCT/EP2009/053302

20-Mar-09

Published

Method For Operating A Wind Energy Converter, Control Device For A Wind Energy Converter, And Wind Energy Converter

USA

12/527952

20-Aug-09

Published

Generator, Nacelle, And Mounting Method Of A Nacelle Of A Wind Energy Converter

Australia

2009337789

12-Aug-11

Pending

Generator, Nacelle, And Mounting Method Of A Nacelle Of A Wind Energy Converter

Brazil

18110026917 (temp)

14-Jul-11

Pending

Generator, Nacelle, And Mounting Method Of A Nacelle Of A Wind Energy Converter

China (PRC)

200980100023.7

27-Jan-10

Published

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Generator, Nacelle, And Mounting Method Of A Nacelle Of A Wind Energy Converter

European Patent Convention

9716195.4

9-Sep-09

Granted

2232060

24-Aug-11

Generator, Nacelle, And Mounting Method Of A Nacelle Of A Wind Energy Converter

Italy

9716195.4

9-Sep-09

Granted

2232060

24-Aug-11

Generator, Nacelle, And Mounting Method Of A Nacelle Of A Wind Energy Converter

Spain

9716195.4

9-Sep-09

Granted

2232060

24-Aug-11

Generator, Nacelle, And Mounting Method Of A Nacelle Of A Wind Energy Converter

United Kingdom

9716195.4

9-Sep-09

Granted

2232060

24-Aug-11

Generator, Nacelle, And Mounting Method Of A Nacelle Of A Wind Energy Converter

France

9716195.4

9-Sep-09

Granted

2232060

24-Aug-11

Generator, Nacelle, And Mounting Method Of A Nacelle Of A Wind Energy Converter

Germany

9716195.4

9-Sep-09

Granted

2232060

24-Aug-11

Generator, Nacelle, And Mounting Method Of A Nacelle Of A Wind Energy Converter

India

6094/DELNP/2011

10-Aug-11

Pending

Generator, Nacelle, And Mounting Method Of A Nacelle Of A Wind Energy Converter

Korea (ROK)

10-2011-7018472

8-Aug-11

Pending

Generator, Nacelle, And Mounting Method Of A Nacelle Of A Wind Energy Converter

USA

12/528140

21-Aug-09

Granted

7944077

17-May-11

Foundation Fixing Unit, Wind Energy Converter, And Method For Fixing A Tower Of A Wind Energy Converter Onto A Foundation

European Patent Convention

9744669.4

14-Apr-10

Published

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Foundation Fixing Unit, Wind Energy Converter, And Method For Fixing A Tower Of A Wind Energy Converter Onto A Foundation

Patent
Cooperation
Treaty

PCT/EP2009/063919

22-Oct-09

Published

Foundation Fixing Unit, Wind Energy Converter, And Method For Fixing A Tower Of A Wind Energy Converter Onto A Foundation

USA

12/921184

7-Sep-10

Pending

Retro-Fitting A Wind Energy Converter

Patent
Cooperation
Treaty

PCT/IB2011/051067

14-Mar-11

Published

Retro-Fitting A Wind Energy Converter

USA

12/751448

31-Mar-10

Allowed

Device For Adjustment Of A Rotor Blade, Wind Energy Converter, And Method For Adjusting A Rotor Blade

China (PRC)

200980100756.0

20-Apr-10

Published

Device For Adjustment Of A Rotor Blade, Wind Energy Converter, And Method For Adjusting A Rotor Blade

European
Patent
Convention

9755879.5

14-Apr-10

Published

Device For Adjustment Of A Rotor Blade, Wind Energy Converter, And Method For Adjusting A Rotor Blade

Patent
Cooperation
Treaty

PCT/EP2009/064999

11-Nov-09

Published

Device For Adjustment Of A Rotor Blade, Wind Energy Converter, And Method For Adjusting A Rotor Blade

Brazil

PI112012010966

09-May-12

Pending

Device For Adjustment Of A Rotor Blade, Wind Energy Converter, And Method For Adjusting A Rotor Blade

India

4255/DELNP/2012

15-May-12

Pending

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Device For Adjustment Of A Rotor Blade, Wind Energy Converter, And Method For Adjusting A Rotor Blade

USA

12/680999

31-Mar-10

Granted

8172532

8-May-12

Generator, Nacelle, And Mounting Method Of A Nacelle Of A Wind Energy Converter

China (PRC)

200980100993.7

14-May-10

Published

Generator, Nacelle, And Mounting Method Of A Nacelle Of A Wind Energy Converter

European
Patent
Convention

9782974.1

20-Apr-10

Published

Generator, Nacelle, And Mounting Method Of A Nacelle Of A Wind Energy Converter

Patent
Cooperation
Treaty

PCT/EP2009/061879

14-Sep-09

Published

Generator, Nacelle, And Mounting Method Of A Nacelle Of A Wind Energy Converter

USA

12/682818

13-Apr-10

Granted

8154146

10-Apr-12

Wind Turbine Tower And Method Of Fabricating A Wind Turbine Tower

Patent
Cooperation
Treaty

PCT/EP2011/054847

29-Mar-11

Pending

Dual-Generator Arrangement For A Wind Power Plant

Patent
Cooperation
Treaty

PCT/US11/30477

30-Mar-11

Pending

Dynamic Braking And Low Voltage Ride Through

Patent
Cooperation
Treaty

PCT/US11/30440

30-Mar-11

Pending

Title

Country

Application No.

Application Date

Status

Grant No.

Grant Date

Offshore Foundation Structure For Wind Turbines, Corresponding Hull Structure For Offshore Foundation Structures, And Method Of Forming An Offshore Foundation Structure For Wind Turbines

Patent
Cooperation
Treaty

PCT/EP2011/054844

29-Mar-11

Pending

Bearing Arrangement, Wind Energy Converter, Method For Manufacturing A Wind Energy Converter And Apparatus For Accomplishing The Method

Patent
Cooperation
Treaty

PCT/EP2011/054953

30-Mar-11

Pending

Constant Turning Resistance Bearing

Patent
Cooperation
Treaty

PCT/IB2011/055674

14-Dec-11

Pending

WEC Components Made Of UHPC (Ultra High Performance Concrete)

Patent
Cooperation
Treaty

PCT/IB2012050251

18-Jan-12

Pending

LVRT Retrofits For SCIG Wind Turbines Based On Passive Rectifier And Self Excitation

Patent
Cooperation
Treaty

US2011045825

29-Jul-11

Pending

TRADEMARKS

Trademark

Country

App. Date

App. No.

Reg. Date

Reg. No.

Status

D-VAR

Argentina

21-Jul-2009

2930622

07-May-2010

2364642

Registered

D-VAR

Australia

1318569

24-Jun-2009

IR1009501

Registered

D-VAR

Brazil

20-Jul-2009

830351124

Allowed

D-VAR

Canada

07-Jul-2009

1443953

22-Jun-2010

770457

Registered

D-VAR

Chile

08-Jul-2009

868720

25-Mar-2010

877947

Registered

D-VAR

China (PRC)

10-Nov-2006

5715065

21-Feb-2011

571065

Registered

D-VAR

European Patent Convention

24-Jun-2009

IR1009501

24-Jun-2009

IR1009501

Registered

D-VAR

India

30-Jun-2009

1834964

18-Feb-2012

1834964

Registered

D-VAR

Korea (ROK)

24-Jun-2009

1009501

Published

D-VAR

Mexico

23-Jul-2009

1020990

Pending

D-VAR

New Zealand

25-Jun-2009

808502

25-Jun-2009

808502

Registered

D-VAR

Patent Cooperation Treaty

24-Jun-2009

IR1009501

30-Jun-2009

IR1009501

Registered

D-VAR

USA

18-Jan-2001

76/195690

15-Jul-2003

2737801

Registered

PQ-IVR

China (PRC)

10-Nov-2006

5715066

09-Jul-2009

5715066

Registered

Trademark

Country

App. Date

App. No.

Reg. Date

Reg. No.

Status

PQ-IVR

United States Of America

03-Apr-2003

76/503811

10-Jul-2007

3261435

Registered

American Superconductor SWIRL Logo

China (PRC)

20-Jun-2008

6795368

14-Sept-2010

6795368

Registered

American Superconductor SWIRL Logo

China (PRC)

20-Jun-2008

6795367

28-Oct-2010

6795367

Registered

American Superconductor SWIRL Logo

Mexico

24-Nov-2010

1137045

21-Feb-2011

1202771

Registered

American Superconductor SWIRL Logo

United States Of America

17-May-2004

78/419611

04-Jul-2006

3111182

Registered

American Superconductor

United States Of America

17-May-2004

78/419599

01-Aug-2006

3122641

Registered

AMSC

Argentina

22-Oct-2007

2708757

22-Oct-2008

2254370

Registered

AMSC

Australia

21-Sep-2007

948158

21-Sep-2007

1220736

Registered

AMSC

Brazil

28-Sep-2007

829393803

Pending

AMSC

Canada

17-Oct-2007

1367815

Allowed

AMSC

Chile

24-Oct-2007

793150

03-Oct-2008

829311

Registered

AMSC

China (PRC)

10-Nov-2006

5715070

07-Aug-2009

5715070

Registered

AMSC

China (PRC)

10-Nov-2006

5715069

07-Jun-2010

5715069

Registered

AMSC

European Patent Convention

21-Sept-2007

IR948158

21-Sep-2007

IR948158

Registered

AMSC

India

24-Sep-2007

1605078

Pending

AMSC

Korea, Republic of

21-Sep-2007

IR948158

21-Sep-2007

IR948158

Registered

AMSC

Mexico

09-Nov-2007

894828

30-Nov-2007

1016429

Registered

AMSC

New Zealand

20-Sep-2007

776256

20-Mar-2008

776256

Registered

AMSC

Patent Cooperation Treaty

24-Sep-2007

1605078

21-Sep-2007

IR948158

Registered

AMSC

United States Of America

11-Jun-2004

78/433607

03-Mar-2009

3584523

Registered

Windtec & Design/logo

Argentina

03-Sep-2007

2769962

09-Sep-2018

2247391

Allowed

Trademark

Country

App. Date

App. No.

Reg. Date

Reg. No.

Status

Windtec & Design/logo

Australia

10-Sep-2007

1198069

10-Sep-2017

1198069

Registered

Windtec & Design/logo

Brazil

24-Aug-2007

829322361

804644

Pending

Windtec & Design/logo

Canada

15-Aug-2007

1359857

18-Aug-2026

825280

Registered

Windtec & Design/logo

Chile

29-Aug-2007

786700

22-Aug-2018

6294924

Registered

Windtec & Design/logo

China (PRC)

25-Sep-2007

6294924

27-Aug-2020

6294925

Registered

Windtec & Design/logo

China (PRC)

25-Sep-2007

6294925

27-Feb-2020

6294926

Registered

Windtec & Design/logo

China (PRC)

25-Sep-2007

6294926

9294927

Registered

Windtec & Design/logo

China (PRC)

25-Sep-2007

6294927

25-Sep-2020

006298491

Registered

Windtec & Design/logo

European Patent

Convention

03-Sep-2007

006298491

03-Sep-2017

Registered

Windtec & Design/logo

India

20-Aug-2007

1592075

Published

Windtec & Design/logo

Japan

17-Aug-2007

2007089437

26-Mar-2020

5311739

Registered

Windtec & Design/logo

Korea, Republic of

22-Aug-2007

20073638

14-Nov-2018

25373

Registered

Windtec & Design/logo

Mexico

16-Aug-2007

974377

14-Nov-2018

1106623

Registered

Windtec & Design/logo

New Zealand

10-Aug-2007

77375

10-Aug-2017

773725

Registered

Windtec & Design/logo

United States Of America

09-Aug-2007

77/25859

12-Nov-2011

Allowed

American Superconductor & Swirl logo

Argentina

28-Jul-2009

2932531

07-May-2010

2366391

Registered

American Superconductor & Swirl logo

Australia

30-Jun-2009

1318595

30-Jun-2009

IR1009600

Registered

American Superconductor & Swirl logo

Brazil

20-Jul-2009

830351132

Published

American Superconductor & Swirl logo

Canada

07-Jul-2009

1443954

05-Jul-2010

771176

Registered

American Superconductor & Swirl logo

Chile

30-Jun-2009

869135

08-Jul-2011

924065

Registered

American Superconductor & Swirl logo

China (PRC)

10-Nov-2006

5715056

07-Mar-2011

5715056

Registered

Trademark

Country

App. Date

App. No.

Reg. Date

Reg. No.

Status

American Superconductor & Swirl logo

China (PRC)

10-Nov-2006

5715055

07-Mar-2011

5715055

Registered

American Superconductor & Swirl logo

European Patent Convention

30-Jun-2009

IR1009600

30-Jun-2009

IR1009600

Registered

American Superconductor & Swirl logo

India

20-Jul-2009

1841667

Pending

American Superconductor & Swirl logo

Korea, Republic of

30-Jun-2009

IR1009600

30-Jun-2009

IR1009600

Registered

American Superconductor & Swirl logo

New Zealand

26-Jun-2009

808589

11-Feb-2010

808589

Registered

American Superconductor & Swirl logo

Patent Cooperation Treaty

30-Jun-2009

IR1009600

30-Jun-2009

IR1009600

Registered

American Superconductor & Swirl logo

United States Of America

24-Jun-2009

77/766815

22-Jun-2010

3805786

Registered

SeaTitan (text)

Australia

13-Jul-2010

IR1047301

13-Jul-2010

IR1047301

Registered

SeaTitan (text)

Brazil

13-Jul-2010

830681906

Published

SeaTitan (text)

Brazil

13-Jul-2010

830681892

Published

SeaTitan (text)

Canada

05-Jul-2010

1487426

Allowed

SeaTitan (text)

China (PRC)

13-Jul-2010

IR1047301

13-Jul-2010

IR1047301

Registered

SeaTitan (text)

European Patent Convention

12-Jul-2010

009238321

24-Dec-2010

009238321

Registered

SeaTitan (text)

India

07-Jul-2010

190393

Pending

SeaTitan (text)

Japan

13-Jul-2010

IR1047301

Pending

SeaTitan (text)

Korea, Republic of

13-Jul-2010

1047301

21-Jul-2010

1047301

Registered

SeaTitan (text)

Patent Cooperation Treaty

13-Jul-2010

IR1047301

13-Jul-2010

IR1047301

Registered

Trademark

Country

App. Date

App. No.

Reg. Date

Reg. No.

Status

SeaTitan (text)

United States Of America

14-Jan-2010

77911597

Allowed

AMPERIUM (text)

Australia

08-Mar-2011

1419784

20-Oct-2011

IR1071446

Registered

AMPERIUM (text)

Brazil

16-Mar-2011

830980130

Allowed

AMPERIUM (text)

Canada

08-Mar-2011

1518200

Pending

AMPERIUM (text)

China (PRC)

08-Mar-2011

IR1071446

Allowed

AMPERIUM (text))

European Patent Convention

08-Mar-2011

IR1071446

Allowed

AMPERIUM (text))

India

17-Mar-2011

217038

Pending

AMPERIUM (text)

Japan

08-Mar-2011

IR1071446

08-Mar-2011

1071446

Registered

AMPERIUM (text)

Korea, Republic of

08-Mar-2011

85132153

05-Jan-2012

1071446

Registered

AMPERIUM (text)

Patent Cooperation Treaty

08-Mar-2011

IR1071446

08-Mar-2011

IR1071446

Registered

AMPERIUM (text)

United States of America

07-Sep-2010

85/132153

10-Jan-2012

4084725

Registered

American Superconductor in CN characters with English text below line

China (PRC)

01-Apr-2011

9290983

Pending

American Superconductor in CN characters with English text below line

China (PRC)

01-Apr-2011

9290982

Pending

AMSC & Swirl in tear drop

United States of America

12-Oct-2011

85/445162

Pending

Smarter, Cleaner Better Energy (tagline)

United States of America

25-Jan-2010

85524908

Pending

SOFTWARE LICENSES


Product	Software Name	Component	Platform / HW controller	SubComponent	Description
D-VAR	PM2000 DSPA	Power Module Enclosure (PME)	Inverter control card	PM2000 converter	Software controls the inverter half of a PM2000 converter pair

D-VAR	PM2000 DSPB	Power Module Enclosure (PME)	Inverter control card	PM2000 converter	Software controls the inverter half of a PM2000 converter pair

D-VAR	PME-Controller	Power Module Enclosure (PME)	PC104		Software controls the PME cabinet and interfaces between the MCB and the inverters

D-VAR	DAS	Data Acquisition System in Master Control Enclosure (MCE)	PC104		Software gathers and records data from all the components in the system to a hard drive

D-VAR	MCB-controller	Master Control Board in the Master Control Enclosure (MCE)	PC104		This unique software is the brains of a DVAR

D-VAR	Human Machine Interface (HMI)	Windows Laptop in control room	Windows GUI		Application allows customer to interface with the DVAR

D-VAR	Full Conversion Turbine-Line Side - DSP A (FC-LSA)	PMx000 Converter	PM control card		Software that runs on the Line-side DSP A, for full conversion turbines

D-VAR	Full Conversion Turbine-Line Side - DSP B (FC-LSB)	PMx000 Converter	PM control card		Software that runs on the Line-side DSP B, for full conversion turbines

D-VAR	Full Conversion Turbine-Generator Side - DSP A (FC-GSA)	PMx000 Converter	PM control card		For full conversion turbines, this is the software that runs on Generator-side DSP ASoftware that runs on the Generator-side DSP A, for full conversion turbines

D-VAR	Full Conversion Turbine- Generator Side - DSP B (FC-GSB)	PMx000 Converter	PM control card		Software that runs on the Generator-side DSP B, for full conversion turbines

D-VAR	Doubly Fed Turbine-Line Side - DSP A (FC-LSA)	PMx000 Converter	PM control card		Software that runs on Line-side DSP A, for Doubly Fed turbines

D-VAR	Doubly Fed Turbine-Line Side - DSP B (FC-LSB)	PMx000 Converter	PM control card		Software that runs on Line-side DSP B, for Doubly Fed turbines



D-VAR	Doubly Fed Turbine-Generator Side - DSP A (FC-GSA)	PMx000 Converter	PM control card	Software that runs on Generator-side DSP A, for Doubly Fed turbines

D-VAR	Doubly Fed Turbine-Generator Side - DSP B (FC-GSB)	PMx000 Converter	PM control card	Software that runs on Generator-side DSP B, for Doubly Fed turbines

D-VAR	Software Developers Kit (SDK)	PMx000 Converter	PM control card	Software sold to small organizations (schools etc.) for prototyping a PM converter in their application

D-VAR	DVAR-RT DSP A	PMx000 Converter	PM control card	Software runs on the DSP A of the PM converter, used in the DVAR-RT project

D-VAR	DVAR-RT DSP B	PMx000 Converter	PM control card	Software runs on the DSP B of the PM converter, used in the DVAR-RT project

D-VAR	WIND-RT	PMx000 Converter	Next Gen Control Card (NGCC)	Software for the new NGCC

EXHIBIT E

BORROWER’S DEPOSIT ACCOUNTS AND INVESTMENT ACCOUNTS


Bank Name	Account Number	Branch Address	Entity’s Name on Account	Description of purpose of account
Silicon Valley Bank	1. 3300415781 2. 3300864510 3. 3300824400 - SVBSP000609 4. 3300824320 - SVBSP000437 5. 3300824335 - SVBSP000564 6. 3300824354 - SVBSP000588 7. 3300824369 - SVBSP000589 8. 3300824373 - SVBSP000609	275 Grove Street Newton, MA 02462 617-630-4120	American Superconductor Corporation	1. Operating 2. Cash Collateral/ Money Market 3. Cash Collateral/ Money Market 4. Cash Collateral/ Money Market 5. Cash Collateral/ Money Market 6. Cash Collateral/ Money Market 7. Cash Collateral/ Money Market 8. Cash Collateral/ Money Market

Barclays Capital Inc.	9. 834-54776 10. 834-60878	125 High St 16th floor Boston, MA 02110 617-342-4187	American Superconductor Corporation	9. Cash/Liquidity 10. Investment

Bank of America	11. 000057196818 12. 002220016772 13. 5A2-01F09-1-5 QBR 14. 002220017079	100 Federal Street MA5-100-08-12 Boston, MA 02110 617-434-0202	American Superconductor Corporation	11. MA Operating 12. MA Positive Pay 13. Money Market 14. WI Positive Pay

Bank of America	15. 004602291543	100 Federal Street MA5-100-08-12 Boston, MA 02110 617-434-0202	Superconductivity, Inc.	15. WI Operating

Bank of America	16. 004634431407	100 Federal Street MA5-100-08-12 Boston, MA 02110 617-434-0202	AMSC Wisconsin Wind LLC	16. Operating

HSBC Bank USA	17. 005557704	125 High Street Oliver Tower Floor 16 Boston, MA 02110 617-292-8485	American Superconductor Corporation	17. Cash Collateral

EXHIBIT F

COMPLIANCE CERTIFICATE

Hercules Technology Growth Capital, Inc.

400 Hamilton Avenue, Suite 310

Palo Alto, CA 94301

Reference is made to that certain Loan and Security Agreement dated as of June , 2012 and all ancillary documents entered into in connection with such Loan and Security Agreement all as may be amended from time to time, (hereinafter referred to collectively as the “Loan Agreement”) between Hercules Technology Growth Capital, Inc. (“Hercules”) as Lender and AMERICAN SUPERCONDUCTOR CORPORATION (the “Company”) as Borrower. All capitalized terms not defined herein shall have the same meaning as defined in the Loan Agreement.

The undersigned is an Officer of the Company, knowledgeable of all Company financial matters, and is duly authorized, in his capacity as an Officer and not in his individual capacity, to provide certification of information regarding the Company; hereby certifies that in accordance with the terms and conditions of the Loan Agreement, the Company is in compliance for the period ending of all covenants, conditions and terms and hereby reaffirms that all representations and warranties contained therein are true and correct on and as of the date of this Compliance Certificate with the same effect as though made on and as of such date, except to the extent such representations and warranties expressly relate to an earlier date, after giving effect in all cases to any standard(s) of materiality contained in the Loan Agreement as to such representations and warranties. Attached are the required documents supporting the above certification. The undersigned further certifies that these are prepared in accordance with GAAP (except for the absence of footnotes with respect to unaudited financial statement and subject to normal year end adjustments) and are consistent from one period to the next except as explained below.


REPORTING REQUIREMENT	REQUIRED	CHECK IF ATTACHED

Interim Financial Statements	Monthly within 30 days

Interim Financial Statements	Quarterly within 45 days

Audited Financial Statements	FYE within 150 days


Very Truly Yours,

AMERICAN SUPERCONDUCTOR CORPORATION

By:
Name:
Its:

EXHIBIT G

FORM OF JOINDER AGREEMENT

This Joinder Agreement (the “Joinder Agreement”) is made and dated as of [ ], 20[ ], and is entered into by and between ., a corporation (“Subsidiary”), and HERCULES TECHNOLOGY GROWTH CAPITAL, INC., a Maryland corporation, as a Lender.

RECITALS

A. Subsidiary’s Affiliate, AMERICAN SUPERCONDUCTOR CORPORATION (“Company”) [has entered/desires to enter] into that certain Loan and Security Agreement dated as of June , 2012, with Lender, as such agreement may be amended (the “Loan Agreement”), together with the other agreements executed and delivered in connection therewith;

B. Subsidiary acknowledges and agrees that it will benefit both directly and indirectly from Company’s execution of the Loan Agreement and the other agreements executed and delivered in connection therewith;

AGREEMENT

NOW THEREFORE, Subsidiary and Lender agree as follows:

1.	The recitals set forth above are incorporated into and made part of this Joinder Agreement. Capitalized terms not defined herein shall have the meaning provided in the Loan Agreement.

By signing this Joinder Agreement, Subsidiary shall be bound by the terms and conditions of the Loan Agreement the same as if it were Borrower (as defined in the Loan Agreement) under the Loan Agreement, mutatis mutandis, provided however, (a) that with respect to (i) Section 5.1 of the Loan Agreement, Subsidiary represents that it is an entity duly organized, legally existing and in good standing under the laws of [ ], (b) that Lender shall have no duties, responsibilities or obligations to Subsidiary arising under or related to the Loan Agreement or the other agreements executed and delivered in connection therewith, (c) that if Subsidiary is covered by Borrower’s insurance, Subsidiary shall not be required to maintain separate insurance or comply with the provisions of Section 6.4 of the Loan Agreement, and (d) that as long as Borrower satisfies the requirements of Section 6.1 of the Loan Agreement, Subsidiary shall not have to provide Lender separate Financial Statements. Rather, to the extent that Lender has any duties, responsibilities or obligations arising under or related to the Loan Agreement or the other agreements executed and delivered in connection therewith, those duties, responsibilities or obligations shall flow only to Company and not to Subsidiary or any other person or entity. By way of example (and not an exclusive list): (a) Lender’s providing notice to Company in accordance with the Loan Agreement or as otherwise agreed between Company and Lender shall be deemed provided to Subsidiary; (b) a Lender’s providing an Advance to Company shall be deemed an Advance to Subsidiary; and (c) Subsidiary shall have no right to request an Advance or make any other demand on Lender.

[REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]

[SIGNATURE PAGE TO JOINDER AGREEMENT]

SUBSIDIARY:


		By:
		Name:
		Title:

		Address:

		Telephone:
		Facsimile:

HERCULES TECHNOLOGY GROWTH CAPITAL, INC.


		By:
		Name:
		Title:

		Address: 400 Hamilton Ave., Suite 310 Palo Alto, CA 94301 Facsimile: 650-473-9194 Telephone: 650-289-3060

EXHIBIT H

ACH DEBIT AUTHORIZATION AGREEMENT

Hercules Technology Growth Capital, Inc.

400 Hamilton Avenue, Suite 310

Palo Alto, CA 94301

Re: Loan and Security Agreement dated as of June , 2012 between AMERICAN SUPERCONDUCTOR CORPORATION (“Borrower”) and Hercules Technology Growth Capital, Inc. (“Company”) (the “Agreement”)

In connection with the above referenced Agreement, Borrower hereby authorizes the Company to initiate debit entries for the periodic payments due under the Agreement to Borrower’s account indicated below. Borrower authorizes the depository institution named below to debit to such account.


^{DEPOSITORY NAME}		^BRANCH

^CITY		^{STATE AND ZIP CODE}

^{TRANSIT/ABA NUMBER}		^{ACCOUNT NUMBER}

This authority will remain in full force and effect so long as any amounts are due under the Agreement.

AMERICAN SUPERCONDUCTOR CORPORATION


By:

Date:

Schedules to AMSC-Hercules Loan Agreement

Schedule 1

Subsidiaries


Name		Location of Formation/Incorporation
AMSC Australia Pty Ltd (*)		Australia
AMSC India Private Limited (*)		India
AMSC Austria GmbH (*)		Austria
AMSC Wisconsin Wind LLC (*)		Delaware
AMSC United Kingdom Limited (*)		United Kingdom
ASC Devens LLC (*)		Delaware
ASC Securities Corp. (*)		Massachusetts
NST Asset Holding Corporation (*)		Delaware
Superconductivity, Inc. (*)		Delaware
Suzhou AMSC Super Conductor Co., Ltd. (*)		China
American Superconductor Europe LLC (*)		Delaware
American Superconductor Europe GmbH (*)		Germany
American Superconductor Korea Co., Ltd. (*)		South Korea
American Superconductor Canada Limited (*)		Canada
American Superconductor Singapore PTE. Ltd. (*)		Singapore
American Superconductor Europe C.V. (*)		The Netherlands
American Superconductor Europe B.V. (wholly-owned subsidiary of American Superconductor Europe C.V. )		The Netherlands

*	Wholly owned subsidiary of Borrower.

Schedule 1A

Existing Permitted Indebtedness

Indebtedness evidenced by any 7% Senior Convertible Note, including all Senior Convertible Notes issued in exchange, transfer or replacement thereof, issued pursuant to the Securities Purchase Agreement, dated as of April 4, 2012, by and between Borrower and each of the investors listed on the Schedule of Buyers attached thereto.

2.	Intercompany Loan Agreement, dated as of January 16, 2012, by and between Borrower and AMSC Austria GmbH.

3.	Confidential Settlement Agreement and Release, dated May 16, 2012, by and among Moog Unna GmbH, Borrower and Borrower’s wholly-owned Austrian subsidiary AMSC Austria GmbH.

4.	Offer (Settlement Agreement) by and among KEB Antriebstechnik Austria GmbH, Borrower and Borrower’s wholly-owned Austrian subsidiary AMSC Austria GmbH.

Schedule 1B

Existing Permitted Investments

1.	Borrower holds 4,361,939 Common Units of Tres Amigas, LLC, a Delaware limited liability company. This ownership represents approximately 25% of the issued and outstanding equity of Tres Amigas, LLC as of January 2012.

Borrower, through its wholly-owned Austrian subsidiary, AMSC Austria GmbH, holds 100,000 Redeemable Ordinary Shares, each with a par value of £0.01, of Blade Dynamics Limited, a company organized under the laws of England. This ownership represents approximately 25% of the issued and outstanding equity of Blade Dynamics Limited as of January 2012.

3.	Intercompany loan made by Borrower to its wholly-owned Chinese subsidiary, Suzhou AMSC Super Conductor Co., Ltd.

Schedule 1C

Existing Permitted Liens


Name of Holder of Lien/Encumbrance		Description of Property Encumbered
GFC Leasing, a division of Gordon Flesch Co., Inc. (DE filing)		Image runners

U.S. Bancorp (DE filing)		Certain equipment

Electro Rent Corporation (DE filing)		Specific rented equipment (hi frequency transformers and related equipment)

U.S. Bancorp (DE filing)		Certain equipment

HSBC Bank USA, National Association (DE filing)		Deposit Account containing approximately $3,700,000 in cash to collateralize the Company’s letter of credit with HSBC

Air Liquide Industrial U.S., LP (MA filing)		Specific equipment (liquid nitrogen storage vessel, vaporizer, and other related equipment)

US Bancorp (MA filing)		Copiers

Silicon Valley Bank		Money Market Account(s) containing approximately $16,000,000 in cash to collateralize the Company’s letter(s) of credit issued by Silicon Valley Bank

Schedule 5.3

Consents, Etc.

None.

Schedule 5.5

Actions Before Governmental Authorities

Controversy with Sinovel Wind Group Co., Ltd.

Controversy with S & C Electric Company

Controversy with Ghodawat Energy Pvt Ltd.

Controversy with SIP Shineful Technology Ltd.

Controversy with John J. Kenney, Jr.

Controversies with respect to securities litigation disclosed in the Borrower’s filings with the United States Securities and Exchange Commission made pursuant to the reporting requirements of the Securities Exchange Act of 1934, as amended (all of the foregoing filed prior to the date hereof, as each may have been amended, and all exhibits included therein and financial statements, notes and schedules thereto and documents incorporated by reference therein)

Controversies arising out of or related to any adverse purchase commitment described below:

Adverse purchase commitments in excess of the Company’s estimated future demand from certain of its customers in China.

Schedule 5.8

Tax Matters

None.

Schedule 5.9

Intellectual Property Claims

None.

Schedule 5.10

Intellectual Property

None.

Schedule 5.11

Borrower Products

None.

AMERICAN SUPERCONDUCTOR CORP /DE/ - FORM 8-K - EX-10.1 - LOAN AND SECURITY AGREEMENT - June 6, 2012

Attached files

AMERICAN SUPERCONDUCTOR CORP /DE/ Reports