|  Description                                                                                       |    |  Invoice #  |    |  Period Covered |           |    |  Amount |
|---------------------------------------------------------------------------------------------------------|--------------|-----------------------|--------------|---------------------------|----------------|--------------|--------------|
| PDF Kick-Off Presentation                                                                               |    | HHSN2611201300060C-01 |    |                      | Month 1   |    |    | $62,492; 1/4 of totalnegotiated amount |
| Quarterly Report 1                                                                                 |    | HHSN2611201300060C-02 |    |                      | Month 2-3 |    |    | $62,492; 1/4 of totalnegotiated amount |
| Quarterly Report 2                                                                                 |    | HHSN2611201300060C-03 |    |                      | Month 4-6      |    |    | $62,492; 1/4 of totalnegotiated amount |
| Draft Commercialization Plan, Summary of Salient Results, Draft Final Report                            |    | HHSN2611201300060C-04 |    |                      | Month 1-8 |    |    | $31,244.50; 1/8 of totalnegotiated amount |
| PDF of Final Presentation, Final Report, Final Summary of Salient Results, Final Commercialization Plan |    | HHSN2611201300060C-05 |    |                      | Month 1-9 |    |    | $31,344.50; 1/8 oftotal negotiatedamount |
|                                                                                                    |    |                  |    |                      |           |         |    |   |
| Total Fixed Price                                                                                       |    |                  |    | $                         | 249,965        |    |    |   |
|                                                                                                    |    |                  |    |                      |           |         |    |   |

|   | a. | Unless the Government exercises its option pursuant to the option clause referenced in ARTICLEI.3.ADDITIONAL CONTRACT CLAUSES, this contract consists only of the Base Period specified in the Statement of Work as defined in SECTIONS C and F, for the price set forth in ARTICLE B.2. of this contract. |
|--------|----|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | b. | Pursuant to FAR Clause 52.217-9 set forth in ARTICLE I.3. ADDITIONAL CONTRACT CLAUSES of this contract, the Government may, by unilateral contract modification, require the Contractor to perform the Option Period(s) specified in the Statement of Work as defined in SECTIONS C and F of this contract. If the Government exercises this/these option(s), notice must be given before the expiration date of the contract. Specific information regarding the time frame for this notice is set forth in the OPTION PROVISION Article in SECTION H of this contract. The fixed price of this contract will be increased as set forth in paragraph c., below. |
|--------|----|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|                             |         |   |
|----------------------------------|--------------|--------|
| MabVax Therapeutics, Inc.        |    | Page 2 |
| Contract No. HHSN261201300060C   |    |   |
| NCI Control No. N43CO-2013-00060 |    |   |
| Modification No. 4               |    |   |

----

|   | c. | The total estimated cost of the contract (Base Year and exercised options) is Increased by $1,470,034 from $229,536 to $1,699,570. |
|--------|----|-----------------------------------------------------------------------------------------------------------------------------------------|

|   | d. | The fixed fee for the exercised Option of this contract is increased by $29,400, from $20,429 to $49,829. The fixed fee shall be paid in installments based on the percentage of completion of work, as determined by the Contracting Officer. Payment shall be subject to the withholding provisions of the clauses ALLOWABLE COST AND PAYMENT and FIXED FEE referenced in the General Clause Listing in Part II, ARTICLE 1.I. of this contract. |
|--------|----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | e. | The total estimated amount of the contract, represented by the sum of the estimated cost plus fixed fee for the Base Period and Exercised Options is increased by $1,499,434 from $249,965 to $1,749,399. |
|--------|----|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | f. | Upon the delivery and acceptance of the Option Service described in SECTION C of the contract and identified in the schedule of charges below, the Government shall pay the Contractor the unit price(s) set forth below: |
|--------|----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|  Phase I  |                                                            |    | Estimated Cost |      |    | Fixed Fee |   |    | Firm Fixed Price         |         |
|---------------------|-----------------------------------------------------------------|--------------|---------------------|-----------|--------------|----------------|--------|--------------|------------------------------------|--------------|
|                | Base Period (Phase I) 09/20/2013 – 08/15/2014 (Completed) |    | $                   | 229,536   |    |      | $      | 20,429       |                          |    | $ | 249,965 |    |
|  Phase II |                                                            |    | Estimated Cost |      |    | Fixed Fee |   |    | Cost Plus Fixed Fee |         |
|                | Option Period: (Phase II): 08/16/2014-08/15/2016)               |    | $                   | 1,470,034 |    |      | $      | 29,400       |                          |    | $ | 1,499,434 |    |
| Total               |                                                            |    | $                   | 1,470,034 |    |      | $      | 29,400       |                          |    | $ | 1,749,399 |    |

|   | a. | Certification of Small Business Eligibility |
|--------|----|---------------------------------------------|

|                             |         |   |
|----------------------------------|--------------|--------|
| MabVax Therapeutics, Inc.        |    | Page 3 |
| Contract No. HHSN261201300060C   |    |   |
| NCI Control No. N43CO-2013-00060 |    |   |
| Modification No. 4               |    |   |

----

|   | • |   | A minimum of two-thirds of the research or analytical effort shall be performed by the Contractor. |
|--------|---------|--------|----------------------------------------------------------------------------------------------------|

|   | • |   | The Principal Investigator shall be primarily employed with the Contractor. Primary employment means that more than one half (50%) of the employee’s time is spent with the Contractor. Primary employment with the Contractor precludes full-time employment at another organization. |
|--------|---------|--------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | • |   | All research or research and development work shall be performed by the Contractor and its subcontractors in the United States. |
|--------|---------|--------|---------------------------------------------------------------------------------------------------------------------------------|

|   | • |   | A minimum of one-half of the research or analytical effort shall be performed by the Contractor. The percentage of work shall be measured by labor hours. |
|--------|---------|--------|-----------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | • |   | The Principal Investigator shall be primarily employed with the Contractor. Primary employment means that more than one half (50%) of the employee’s time is spent with the Contractor. Primary employment with the Contractor precludes full-time employment at another organization. |
|--------|---------|--------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | • |   | All research or research and development work shall be performed by the Contractor and its subcontractors in the United States. |
|--------|---------|--------|---------------------------------------------------------------------------------------------------------------------------------|

|   | b. | Subcontract – Phase I |
|--------|----|-----------------------------|

|                             |         |   |
|----------------------------------|--------------|--------|
| MabVax Therapeutics, Inc.        |    | Page 4 |
| Contract No. HHSN261201300060C   |    |   |
| NCI Control No. N43CO-2013-00060 |    |   |
| Modification No. 4               |    |   |

----

|   | c. | Consultants – Phase II |
|--------|----|------------------------------|

|  Name             |    | Rate Per Hour |   |    | Number of Hours |   |    | Total Cost IncludingTravel Not to Exceed |         |
|------------------------|--------------|-------------------------|--------|--------------|---------------------------|--------|--------------|-------------------------------------------------------------------|--------------|
| BioPharma Consulting   |    | $                       | 400    |    |                 |   | 50           |                                                         |    | $ | 20,000 |    |
| Ridge Biotechnology    |    | $                       | 300    |    |                 |   | 40           |                                                         |    | $ | 12,000 |    |
| Pacific BioDevelopment |    | $                       | 375    |    |                 |   | 10           |                                                         |    | $ | 3,750 |    |
| ProPharmaCon           |    | $                       | 225    |    |                 |   | 180          |                                                         |    | $ | 40,500 |    |

|   | d. | Contractor/Subcontractor Travel |
|--------|----|---------------------------------|

|   | 1. | Expenditures for travel (transportation, lodging, subsistence, and incidental expenses) incurred in direct performance of this contract shall be unallowable without the prior written approval of the Contracting Officer. No retroactive approvals will be issued, and no travel costs incurred without prior Contracting Officer approval will be paid. |
|--------|----|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 2. | All travel requests shall be sent to both the Contracting Officer and the Contracting Officer’s Representative (COR) 90 calendar days prior to the planned start date of the travel. If it is determined that the travel is allowable, then the Contracting Officer will issue written approval. |
|--------|----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | e. | Contract Number Designation |
|--------|----|-----------------------------|

|                             |         |   |
|----------------------------------|--------------|--------|
| MabVax Therapeutics, Inc.        |    | Page 5 |
| Contract No. HHSN261201300060C   |    |   |
| NCI Control No. N43CO-2013-00060 |    |   |
| Modification No. 4               |    |   |

----

|   | f. | SBIR Funding Agreement Certification |
|--------|----|--------------------------------------|

|   | g. | SBIR Fast Track Recertification Requirement |
|--------|----|---------------------------------------------|

|   | 1. | Conferences and Meetings |
|--------|----|--------------------------|

|   | 2. | Food for Meals, Light Refreshments, and Beverages |
|--------|----|---------------------------------------------------|

|   | 3. | Promotional Items [includes, but is not limited to: clothing and commemorative items such as pens, mugs/cups, folders/folios, lanyards, and conference bags that are sometimes provided to visitors, employees, grantees, or conference attendees.] |
|--------|----|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 4. | Acquisition, by purchase or lease, of any interest in real property; |
|--------|----|----------------------------------------------------------------------|

|   | 5. | Special rearrangement or alteration of facilities; |
|--------|----|----------------------------------------------------|

|   | 6. | Purchase or lease of any item of general purpose office furniture or office equipment regard less of dollar value. (General purpose equipment is defined as any items of personal property which are usable for purposes other than research, such as office equipment and furnishings, pocket calculators, etc.); |
|--------|----|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|                             |         |   |
|----------------------------------|--------------|--------|
| MabVax Therapeutics, Inc.        |    | Page 6 |
| Contract No. HHSN261201300060C   |    |   |
| NCI Control No. N43CO-2013-00060 |    |   |
| Modification No. 4               |    |   |

----

|   | 7. | Travel to attend general scientific meetings; |
|--------|----|-----------------------------------------------|

|   | 8. | Foreign travel; |
|--------|----|-----------------|

|   | 9. | Consultant costs; |
|--------|----|-------------------|

|   | 10. | Subcontracts; |
|--------|-----|---------------|

|   | 11. | Accountable Government Property (defined as non-expendable personal property with an acquisition cost of $1,000 or more and “sensitive items” (defined as items of personal property (supplies and equipment that are highly desirable and easily converted to person use), regardless of acquisition value. |
|--------|-----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 12. | Printing Costs (as defined in the Government Printing and Binding Regulations). |
|--------|-----|---------------------------------------------------------------------------------|

|  Document Title         |    |  Date      |
|------------------------------|--------------|-----------------|
| Statement of Work - Phase I  |    | August 23, 2013 |
| Statement of Work - Phase II |    | August 23, 2013 |

|                             |         |   |
|----------------------------------|--------------|--------|
| MabVax Therapeutics, Inc.        |    | Page 7 |
| Contract No. HHSN261201300060C   |    |   |
| NCI Control No. N43CO-2013-00060 |    |   |
| Modification No. 4               |    |   |

----

|   | a. | Technical Reports |
|--------|----|-------------------|

| 1. | Kick-off Presentation |
|----|-----------------------|

|   | a. | Discussion of the Contractor’s organization/project status, particularly changes that occurred since the proposal submission. |
|--------|----|-------------------------------------------------------------------------------------------------------------------------------------|

|   | b. | The Contractor’s recent achievements (patents, publications, sales, regulatory approvals, partnerships, awards, etc.). |
|--------|----|------------------------------------------------------------------------------------------------------------------------------|

|   | c. | Status of the field. |
|--------|----|----------------------|

|   | d. | Status of commercial and academic competitors. |
|--------|----|------------------------------------------------|

|   | e. | Where the proposed project is positioned against the state of the art. |
|--------|----|------------------------------------------------------------------------|

|   | f. | Intellectual property landscape. |
|--------|----|----------------------------------|

|   | g. | Refresher on the proposed technology/ R&D. |
|--------|----|------------------------------------------------|

|   | h. | Detailed plan for the first budget period of the contract. |
|--------|----|------------------------------------------------------------|

|   | i. | Milestones (technical and commercial) to be achieved by the end of the first budget period of the contract. |
|--------|----|-------------------------------------------------------------------------------------------------------------|

|   | j. | Discussion of anticipated technical risks and alternative approaches. |
|--------|----|-----------------------------------------------------------------------|

|   | k. | Questions to the National Cancer Institute (NCI). |
|--------|----|---------------------------------------------------|

|                             |         |   |
|----------------------------------|--------------|--------|
| MabVax Therapeutics, Inc.        |    | Page 8 |
| Contract No. HHSN261201300060C   |    |   |
| NCI Control No. N43CO-2013-00060 |    |   |
| Modification No. 4               |    |   |

----

| 2. | Quarterly Report – Phase I |
|----|----------------------------------|

|   | a. | Summary of technical objectives with status of each objective clearly marked (e.g. previously complete, complete during the reporting period, not started, etc.) |
|--------|----|------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | b. | Clear description of activities accomplished in the quarter. |
|--------|----|--------------------------------------------------------------|

|   | c. | Analysis of experimental data and presentation of selected date. |
|--------|----|------------------------------------------------------------------|

|   | d. | Comments regarding the timeliness of performance. |
|--------|----|---------------------------------------------------|

|   | e. | Brief explanation of objectives/activities to be pursued in the next reporting period. |
|--------|----|----------------------------------------------------------------------------------------|

| 3. | Draft Updated Commercialization Plan |
|----|--------------------------------------|

|   | a. | Value of the SBIR Project, Expected Outcomes, and Impact |
|--------|----|----------------------------------------------------------|

|                             |         |   |
|----------------------------------|--------------|--------|
| MabVax Therapeutics, Inc.        |    | Page 9 |
| Contract No. HHSN261201300060C   |    |   |
| NCI Control No. N43CO-2013-00060 |    |   |
| Modification No. 4               |    |   |

----

|   | b. | Organization |
|--------|----|--------------|

|   | c. | Market, Customer, and Competition |
|--------|----|-----------------------------------|

|   | d. | Intellectual Property (IP) Protection |
|--------|----|---------------------------------------|

|   | e. | Finance Plan |
|--------|----|--------------|

|   | • |   | Letter of commitment of funding. |
|--------|---------|--------|----------------------------------|

|   | • |   | Letter of intent or evidence of negotiations to provide funding, should the Phase II project be successful and the market need still exist. |
|--------|---------|--------|---------------------------------------------------------------------------------------------------------------------------------------------|

|   | • |   | Letter of support for the project and/or some in-kind commitment, e.g., to test or evaluate the innovation. |
|--------|---------|--------|-------------------------------------------------------------------------------------------------------------|

|   | • |   | Specific steps the Contractor is going to take to secure Phase III funding. |
|--------|---------|--------|-----------------------------------------------------------------------------|

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 10 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|   | f. | Production and Marketing Plan |
|--------|----|-------------------------------|

|   | g. | Revenue Stream |
|--------|----|----------------|

| 4. | Final Commercialization Plan |
|----|------------------------------|

| 5. | Draft Final Report and Draft Summary of Salient Results - Phase I |
|----|-------------------------------------------------------------------|

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 11 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

| 6. | Final Report - Phase I |
|----|------------------------|

| 7. | Final Presentation - Phase I |
|----|------------------------------|

|   | a. | Discussion of the Contractor’s/project status. |
|--------|----|------------------------------------------------------|

|   | b. | The Contractor’s achievements during the Phase l performance period (patents, publications, sales, regulatory approvals, partnerships, awards, etc.). |
|--------|----|-------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | c. | Detailed technical results of the performed research and development. |
|--------|----|-----------------------------------------------------------------------|

|   | d. | Discussion of proposed milestones and whether they were achieved during the contract performance. |
|--------|----|---------------------------------------------------------------------------------------------------|

|   | e. | Summary of submitted commercialization plan. |
|--------|----|----------------------------------------------|

|   | f. | If the Contractor is interested in pursuing Phase II research, detailed discussion of the anticipated Phase II technical activities with emphasis on how they fit in the commercialization plan. The Phase II research plan and commercialization plan shall be included in the final presentation for Phase I. |
|--------|----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | g. | Questions to the NCI. |
|--------|----|-----------------------|

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 12 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|   | a. | Discussion of the Contractor’s/project status. |
|--------|----|------------------------------------------------------|

|   | b. | The Contractor’s achievements during the performance period (patents, publications, sales, regulatory approvals, partnerships, awards, etc.). |
|--------|----|-----------------------------------------------------------------------------------------------------------------------------------------------------|

|   | c. | Detailed technical results of the performed research and development. |
|--------|----|-----------------------------------------------------------------------|

|   | d. | Discussion of proposed milestones and whether they were achieved during the contract performance. |
|--------|----|---------------------------------------------------------------------------------------------------|

|   | e. | Summary of submitted commercialization plan. |
|--------|----|----------------------------------------------|

|   | f. | Questions to the NCI. |
|--------|----|-----------------------|

| 8. | Final Summary of Salient Results - Phase I |
|----|--------------------------------------------|

| 9. | Section 508 Annual Report - Phase I |
|----|------------------------------------------|

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 13 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|   | b. | Other Reports/Deliverables |
|--------|----|----------------------------|

| 1. | Reporting of Financial Conflict of Interest (FCOI) - Phase II |
|----|---------------------------------------------------------------|

| 2. | NIH Small Business Innovation Research (SBIR) Program Life Cycle Certification |
|----|--------------------------------------------------------------------------------|

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 14 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 15 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|   | c. | Inspection and acceptance will be performed at: |
|--------|----|-------------------------------------------------|

|   | d. | This contract incorporates the following clause by reference, with the same force and effect as if it were given in full text. Upon request, the Contracting Officer will make its full text available. |
|--------|----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|  Option        |    |  Option Period                         |
|---------------------|--------------|---------------------------------------------|
| Option for Phase II |    | August 16, 2014 - August 15, 2016 |

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 16 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|  ItemNo. |    |  Description                                                                                                                    |    |  Quantity |    |  Delivery Schedule                                                                                                |
|---------------|--------------|--------------------------------------------------------------------------------------------------------------------------------------|--------------|----------------|--------------|------------------------------------------------------------------------------------------------------------------------|
| 1.            |    | Kick Off Presentation                                                                                                                |    | 2              |    | Due at the conclusion of the Kick-Off presentation which shall be completed within 30 calendar days of contract award. |
|          |         |                                                                                                                                 |         |
| 2.            |    | Quarterly Report One - Phase I                                                                                                  |    | 2              |    | Due within 15 calendar days of completion of month 3 of performance.                                                   |
|          |         |                                                                                                                                 |         |
| 3.            |    | Quarterly Report Two - Phase I                                                                                                  |    | 2              |    | Due within 15 calendar days of completion of month 6 of performance.                                                   |
|          |         |                                                                                                                                 |         |
| 4.            |    | Draft Updated Commercialization Plan, Draft Summary of Salient Results, and Draft Final Report and Draft Final Report - Phase I |    | 2              |    | Due within 15 calendar days of completion of month 8 of performance.                                                   |
|          |         |                                                                                                                                 |         |
| 5.            |    | Final Presentation, Final Summary of Salient Results, Final Report and Final Presentation - Phase I                             |    | 2              |    | Due on or before Phase I completion date.                                                                              |
|          |         |                                                                                                                                 |         |
| 6.            |    | Quarterly Reports - Phase II                                                                                                         |    | 2              |    | Within 15 calendar days after each reporting period.                                                                   |
|          |         |                                                                                                                                 |         |
| 7.            |    | Draft Summary of Salient Results, and Draft Final Report and Draft Final Report - Phase II                                           |    | 2              |    | One month prior to the Phase II completion date.                                                                       |
|          |         |                                                                                                                                 |         |
| 8.            |    | Final Summary of Salient Results, Final Report and Final Presentation - Phase II                                                     |    | 2              |    | Due on or before the Phase II completion date.                                                                         |
|          |         |                                                                                                                                 |         |
| 9.            |    | Annual Utilization Report                                                                                                            |    | 2              |    | Due one year after the start of Phase II.                                                                              |
|          |         |                                                                                                                                 |         |
| 10.           |    | Final Invention Statement                                                                                                            |    | 2              |    | Due on or before contract completion date.                                                                             |

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 17 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|  ItemNo. |    |  Description                                                                 |    |  Quantity |    |  Delivery Schedule                      |
|---------------|--------------|-----------------------------------------------------------------------------------|--------------|----------------|--------------|----------------------------------------------|
| 11.           |    | Invention Disclosure Report                                                       |    | 2              |    | Due on or before contract completion date.   |
|          |         |                                                                              |         |
| 12.           |    | Section 508 Annual Report                                                         |    | 2              |    | Due one year after the start of Phase II.    |
|          |         |                                                                              |         |
| 13.           |    | Section 508 Conformance Certification                                             |    | 2              |    | Due on or before Phase I completion date.    |
|          |         |                                                                              |         |
| 14.           |    | Final Presentation- Phase II                                                      |    | 2              |    | Due on or before the completion of Phase II. |
|          |         |                                                                              |         |
| 15.           |    | New or Revised Financial Conflict of Interest (FCOI) Report and Mitigation Report |    | 1              |    | Due as FCOI arises.                          |

|   | b. | The above items shall be addressed and delivered to: |
|--------|----|------------------------------------------------------|

|  Addressee                                                                                                                                                                 |    |  Deliverable Item No |    |  Quantity                                    |
|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|---------------------------|--------------|---------------------------------------------------|
| Brenda OberholzerNational Cancer InstituteOffice of Acquisitions8490 Progress DriveRiverside Five, Suite 400, Room 4031Frederick, MD 21701Email: oberholzerb@mail.nih.gov  |    | 1-15                      |    | (1) Electronic Copy                               |
| Ming Zhao, CORNational Cancer InstituteNCI SBIR & STTR Programs, Room 1W5349609 Medical Center Drive, MSC9705Bethesda, MD 20892-9705Email: zhaoming3@mail.nih.gov |    | 1-8 and 14                |    | (1) Electronic Copy                               |
| OPERA, OEH, NIH6705 Rockledge Drive Suite 310, MSC 7980Bethesda, Maryland 20892-7980                                                                                            |    | 10-11                     |    | (1) hard copy to OPERA; (1) electronic copy to CO |

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 18 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|  Name             |    |  Title            |
|------------------------|--------------|------------------------|
| Wolfgang Scholz, Ph.D. |    | Principal Investigator |

| MabVax Therapeutics, Inc.        |    | Page 19 |
|----------------------------------|--------------|---------|
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|   | a. | Invoice Submission/Contract Financing Request and Contract Financial Reporting, NIH(RC)-4 for NIH Cost-Reimbursement Type Contracts are attached and made part of this contract. The Contractor shall follow the attached instructions and submission procedures specified below to meet the requirements of a “proper invoice” pursuant to FAR Subpart 32.9, Prompt Payment. |
|--------|----|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 1. | Payment requests shall be submitted to the offices identified below. Do not submit supporting documentation (e.g., receipts, time sheets, vendor invoices, etc.) with your payment request unless specified elsewhere in the contract or requested by the Contracting Officer. |
|--------|----|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | a. | The original invoice shall be submitted to the following designated billing office: |
|--------|----|-------------------------------------------------------------------------------------|

|   | b. | One courtesy copy of the original invoice shall be submitted electronically as follows: |
|--------|----|-----------------------------------------------------------------------------------------|

|   | 1. | The Contractor shall scan the original payment request (invoice) in Adobe Portable Document Format (PDF) along with the necessary supporting documentation as one single attachment. |
|--------|----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 2. | Save the single attachment (scanned invoice along with any supporting documentation) in the following format: YourVendorName_Invoice number (e.g., if you are submitting Invoice123456, save the single attachment as “MabVax Therapeutics_Invoice HHSN261201300060C-01”) [Note: Please do not use special characters such as (#, $, %,*, &, !) when saving your attachment. Only the underscore symbol (    ) is permitted.] |
|--------|----|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 3. | Transmit the saved single attachment via e-mail to the appropriate branch’s Central Point of Distribution. For the purpose of this contract, the Central Point of Distribution is NCIOA Branch C - ncibranchcinvoices@mail.nih.gov. Only one payment request shall be submitted per e-mail and the subject line of the e-mail shall include the Contract |
|--------|----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 20 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|   | Number_Contract Title_ Contractor’s Name_ unique Invoice number (e.g, HHSN261201300060C_Development of an Imaging Agent Targeting Sialyl Lewis A_Support_MabVax Therapeutics_Invoice HHSN261201300060C-01) [Note: The original payment request must still be submitted in hard copy and mailed to the designated billing office listed in subparagraph a, above, to meet the requirements of a “proper invoice.” Also, The Contractor must certify on the payment request that the electronic courtesy copy is a duplicate of the original invoice mailed to NIH’s Office of Financial Management.] |
|--------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 2. | In addition to the requirements specified in FAR 32.905 for a proper invoice, the Contractor shall include the following information on the face page of all payment requests: |
|--------|----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | a. | Name of the Office of Acquisitions. The Office of Acquisitions for this contract is National Cancer Institute. |
|--------|----|----------------------------------------------------------------------------------------------------------------|

|   | b. | Central Point of Distribution. For the purpose of this contract, the Central Point of Distribution is NCI OA Branch C - ncibranchcinvoices@mail.nih.gov. |
|--------|----|----------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | c. | Federal Taxpayer Identification Number (TIN). If the Contractor does not have a valid TIN, it shall identify the Vendor Identification Number (VIN) on the payment request. The VIN is the number that appears after the Contractor’s name on the face page of the contract. [Note: AVIN is assigned to new contracts awarded on or after June 4, 2007, and any existing contract modified to include the VIN number.] If the Contractor has neither a TIN, DUNS, or VIN, contact the Contracting Officer. |
|--------|----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | d. | DUNS or DUNS+4 Number. The DUNS number must identify the Contractor’s name and address exactly as stated in the contract and as registered in the Central Contractor Registration(CCR) database. If the Contractor does not have a valid DUNS number, it shall identify the Vendor Identification Number (VIN) on the payment request. The VIN is the number that appears after the Contractor’s name on the face page of the contract. [Note: A VIN is assigned to new contracts awarded on or after June 4, 2007, and any existing contract modified to include the VIN number.] If the Contractor has neither a TIN, DUNS, or VIN, contact the Contracting Officer. |
|--------|----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | e. | Invoice Matching Option. This contract requires a two-way match. |
|--------|----|------------------------------------------------------------------|

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 21 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

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|   | f. | Unique Invoice Number. Each payment request must be identified by a unique invoice number, which can only be used one time regardless of the number of contracts or orders held by an organization. |
|--------|----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | g. | The Contract Title is: |
|--------|----|------------------------|

|   | h. | Contract Line Items as follows: |
|--------|----|---------------------------------|

|  Line Item # |    |  Line Item Description                                                                                                         |
|-----------------------------|--------------|-------------------------------------------------------------------------------------------------------------------------------------|
| 1                           |    | Development of an Imaging Agent Targeting Sialyl Lewis A, Period of Performance: September 20, 2013 - August 15, 2014. (Phase I)    |
| 5                           |    | Development of an Imaging Agent Targeting Sialyl Lewis A, Period of Performance: August 16, 2014 - August 15, 2016. (Phase II) |

|   | b. | Inquiries regarding payment of invoices shall be directed to the designated billing office, (301) 496-6452. |
|--------|----|------------------------------------------------------------------------------------------------------------------|

|   | c. | The Contractor shall include the following certification on every invoice for reimbursable costs incurred with Fiscal Year funds subject to HHSAR Clause 352.231-70, Salary Rate Limitation in SECTION I of this contract. For billing purposes, certified invoices are required for the billing period during which the applicable Fiscal Year funds were initially charged through the final billing period utilizing the applicable Fiscal Year funds: |
|--------|----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | a. | Upon receipt of accelerated payments from the Government, the Contractor shall make accelerated payments to its small business subcontractors under this contract, to the maximum extent practicable and prior to when such payment is otherwise required under the applicable contract or subcontract, after receipt of a proper invoice and all other required documentation from the small business subcontractor. |
|--------|----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | b. | The acceleration of payments under this clause does not provide any new rights under the prompt Payment Act. |
|--------|----|--------------------------------------------------------------------------------------------------------------|

|   | c. | Include the substance of this clause, include this paragraph c, in all subcontracts with small business concerns, including subcontracts with small business concerns for the acquisition of commercial items. |
|--------|----|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 22 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

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|   | a. | Contractor Performance Evaluations |
|--------|----|------------------------------------|

|   | b. | Electronic Access to Contractor Performance Evaluations |
|--------|----|---------------------------------------------------------|

| MabVax Therapeutics, Inc.        |    | Page 23 |
|----------------------------------|--------------|---------|
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 24 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

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|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 25 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|   | a. | Pursuant to Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d), as amended by the Workforce Investment Act of 1998, all electronic and information technology (EIT) products and services developed, acquired, maintained, or used under this contract/order must comply with the “Electronic and Information Technology Accessibility Provisions” set forth by the Architectural and Transportation Barriers Compliance Board (also referred to as the “Access Board”) in 36 CFR part 1194. Information about Section 508 provisions is available at http://www.section508.gov/. The complete text of Section 508 Final provisions can be accessed at http://www.access-board.gov/guidelines-and-standards. |
|--------|----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | b. | The Section 508 standards applicable to this contract/order are identified in the Statement of Work. The contractor must provide a written Section 508 conformance certification due at the end of each contract/order exceeding $100,000 when the contract/order duration is one year or less. If it is determined by the Government that EIT products and services provided by the Contractor do not conform to the described accessibility standards in the Product Assessment Template, remediation of the products or services to the level of conformance specified in the Contractor’s Product Assessment Template will be the responsibility of the Contractor at its own expense. |
|--------|----|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | c. | In the event of a modification(s) to this contract/order, which adds new EIT products or services or revises the type of, or specifications for, products or services the Contractor is to provide, including EIT deliverables such as electronic documents and reports, the Contracting Officer may require that the contractor submit a completed HHS Section 508 Product Assessment Template to assist the Government in determining that the EIT products or services support Section 508 accessibility standards. Instructions for documenting accessibility via the HHS Section 508 Product Assessment Template may be found on the HHS Web site (http://www.hhs.gov/web/508/contracting/technology/vendors.html). [(End of HHSAR 352.239-73(b)] |
|--------|----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 26 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|   | d. | Prior to the Contracting Officer exercising an option for a subsequent performance period/additional quantity or adding funding for a subsequent performance period under this contract, as applicable, the Contractor must provide a Section 508 Annual Report to the Contracting Officer and Project Officer. Unless otherwise directed by the Contracting Officer in writing, the Contractor shall provide the cited report in accordance with the followings schedule. Instructions for completing the report are available in the Section 508 policy on the HHS Office on Disability Web site under the heading Vendor Information and Documents. The Contractor’s failure to submit a timely and properly completed report may jeopardize the Contracting Officer’s exercising an option or adding funding, as applicable. |
|--------|----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 27 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|   | 1. | Service Involving the Use of Information Technology YEAR 2000 COMPLIANCE—SERVICE INVOLVING THE USE OF INFORMATION TECHNOLOGY |
|--------|----|------------------------------------------------------------------------------------------------------------------------------------|

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 28 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|   | a. | Confidential information, as used in this article, means information or data of a personal nature about an individual, or proprietary information or data submitted by or pertaining to an institution or organization. |
|--------|----|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | b. | The Contracting Officer and the Contractor may, by mutual consent, identify elsewhere in this contract specific information and/or categories of information which the Government will furnish to the Contractor or that the Contractor is expected to generate which is confidential. Similarly, the Contracting Officer and the Contractor may, by mutual consent, identify such confidential information from time to time during the performance of the contract. Failure to agree will be settled pursuant to the “Disputes” clause. |
|--------|----|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | c. | If it is established elsewhere in this contract that information to be utilized under this contract, or a portion thereof, is subject to the Privacy Act, the Contractor will follow the rules and procedures of disclosure set forth in the Privacy Act of 1974, 5 U.S.C. 552a, and implementing regulations and policies, with respect to systems of records determined to be subject to the Privacy Act. |
|--------|----|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | d. | Confidential information, as defined in paragraph (a) of this article, shall not be disclosed without the prior written consent of the individual, institution, or organization. |
|--------|----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | e. | Whenever the Contractor is uncertain with regard to the proper handling of material under the contract, or if the material in question is subject to the Privacy Act or is confidential information subject to the provisions of this article, the Contractor should obtain a written determination from the Contracting Officer prior to any release, disclosure, dissemination, or publication. |
|--------|----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | f. | Contracting Officer determinations will reflect the result of internal coordination with appropriate program and legal officials. |
|--------|----|-----------------------------------------------------------------------------------------------------------------------------------|

|   | g. | The provisions of paragraph (d) of this article shall not apply to conflicting or overlapping provisions in other Federal, State or local laws. |
|--------|----|------------------------------------------------------------------------------------------------------------------------------------------------------|

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 29 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|   | a. | Maintain an up-to-date, written, enforceable policy on financial conflicts of interest that complies with 45 CFR Part 94, inform each Investigator of the policy, the Investigator’s reporting responsibilities regarding disclosure of significant financial interests, and the applicable regulation, and make such policy available via a publicly accessible Web site, or if none currently exist, available to any requestor within five business days of a request. A significant financial interest means a financial interest consisting of one or more of the following interests of the Investigator (and those of the Investigator’s spouse and dependent children) that reasonably appears to be related to the Investigator’s institutional responsibilities: |
|--------|----|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 1. | With regard to any publicly traded entity, a significant financial interest exists if the value of any remuneration received from the entity in the twelve months preceding the disclosure and the value of any equity interest in the entity as of the date of disclosure, when aggregated, exceeds $5,000. Included are payments and equity interests; |
|--------|----|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 2. | With regard to any non-publicly traded entity, a significant financial interest exists if the value of any remuneration received from the entity in the twelve months preceding the disclosure, when aggregated, exceeds $5,000, or when the Investigator (or the Investigator’s spouse or dependent children) holds any equity interest; or |
|--------|----|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 3. | Intellectual property rights and interests, upon receipt of income related to such rights and interest. |
|--------|----|---------------------------------------------------------------------------------------------------------|

|   | 1. | Income from seminars, lectures, or teaching, and service on advisory or review panels for government agencies, Institutions of higher education, academic teaching hospitals, medical centers, or research institutes with an Institution of higher learning; and |
|--------|----|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 2. | Income from investment vehicles, such as mutual funds and retirement accounts, as long as the Investigator does not directly control the investment decisions made in these vehicles. |
|--------|----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | b. | Require each Investigator to complete training regarding the Institution’s financial conflicts of interest policy prior to engaging in research related to any NIH-funded contract and at least every four years. The Institution must take reasonable steps [see Part 94.4(c)] to ensure that investigators working as collaborators, consultants or subcontractors comply with the regulations. |
|--------|----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 30 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|   | c. | Designate an official(s) to solicit and review disclosures of significant financial interests from each Investigator who is planning to participate in, or is participating in, the NIH-funded research. |
|--------|----|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | d. | Require that each Investigator who is planning to participate in the NIH-funded research disclose to the Institution’s designated official(s) the Investigator’s significant financial interest (and those of the Investigator’s spouse and dependent children) no later than the date of submission of the Institution’s proposal for NIH-funded research. Require that each Investigator who is participating in the NIH-funded research to submit an updated disclosure of significant financial interests at least annually, in accordance with the specific time period prescribed by the Institution during the period of the award as well as within thirty days of discovering or acquiring a new significant financial interest. |
|--------|----|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | e. | Provide guidelines consistent with the regulations for the designated official(s) to determine whether an Investigator’s significant financial interest is related to NIH-funded research and, if so related, whether the significant financial interest is a financial conflict of interest. An Investigator’s significant financial interest is related to NIH-funded research when the Institution, thorough its designated official(s), reasonably determines that the significant financial interest: Could be affected by the NIH-funded research; or is in an entity whose financial interest could be affected by the research. A financial conflict of interest exists when the Institution, through its designated official(s), reasonably determines that the significant financial interest could directly and significantly affect the design, conduct, or reporting of the NIH-funded research. |
|--------|----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | f. | Take such actions as necessary to manage financial conflicts of interest, including any financial conflicts of a subcontractor Investigator. Management of an identified financial conflict of interest requires development and implementation of a management plan and, if necessary, a retrospective review and mitigation report pursuant to Part 94.5(a). |
|--------|----|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | g. | Provide initial and ongoing FCOI reports to the Contracting Officer pursuant to Part 94.5(b). |
|--------|----|-----------------------------------------------------------------------------------------------|

|   | h. | Maintain records relating to all Investigator disclosures of financial interests and the Institution’s review of, and response to, such disclosures, and all actions under the Institution’s policy or retrospective review, if applicable, for at least 3 years from the date of final payment or, where applicable, for the other time periods specified in 48CFR Part 4, subpart 4.7, Contract Records Retention. |
|--------|----|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | i. | Establish adequate enforcement mechanisms and provide for employee sanctions or other administrative actions to ensure Investigator compliance as appropriate. |
|--------|----|----------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | j. | Complete the certification in Section K - Representations, Certifications, and Other Statements of Offerors titled “Certification of Institutional Policy on Financial Conflicts of Interest”. |
|--------|----|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 31 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 32 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|   | a. | FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER 1) CLAUSES |
|--------|----|-----------------------------------------------------------------|

|  :FARCLAUSE NO. |    |  DATE    |    |  TITLE                                                                                                                                       |
|---------------------------|--------------|---------------|--------------|---------------------------------------------------------------------------------------------------------------------------------------------------|
| 52.202-1                  |    | Nov 2013 |    | Definitions (Over the Simplified Acquisition Threshold)                                                                                           |
| 52.203-12                 |    | Oct 2010      |    | Limitation on Payments to Influence Certain Federal Transactions (Over$150,000)                                                                   |
| 52.203-17                 |    | Apr 2014      |    | Contractor Employee Whistleblower Rights and Requirements to Inform Employees of Whistleblower Rights (Over the Simplified Acquisition Threshold) |
| 52.204-10                 |    | Jul 2013      |    | Reporting Executive Compensation and First-Tier Subcontract Awards($25,000 or more)                                                               |
| 52.204-13                 |    | Jul 2013      |    | System for Award Management Maintenance                                                                                                           |
| 52.209-6                  |    | Aug 2013      |    | Protecting the Government’s Interest When Subcontracting WithContractors Debarred, Suspended, or Proposed for Debarment (Over $30,000)      |
| 52.215-8                  |    | Oct 1997      |    | Order of Precedence - Uniform Contract Format                                                                                                     |
| 52.219-6                  |    | Jul 1996      |    | Notice of Total Small Business Set-Aside                                                                                                          |
| 52.222-3                  |    | Jun 2003      |    | Convict Labor                                                                                                                                     |
| 52.222-21                 |    | Feb 1999      |    | Prohibition of Segregated Facilities                                                                                                              |
| 52.222-26                 |    | Mar 2007      |    | Equal Opportunity                                                                                                                                 |
| 52.222-35                 |    | Jul 2014      |    | Equal Opportunity for Veterans ($100,000 or more)                                                                                                 |
| 52.222-36                 |    | Jul 2014      |    | Equal Opportunity for Workers with Disabilities                                                                                                   |
| 52.222-37                 |    | Jul 2014      |    | Employment Reports on Veterans ($100,000 or more)                                                                                                 |
| 52.222-50                 |    | Feb 2009      |    | Combating Trafficking in Persons                                                                                                                  |
| 52.222-54                 |    | Aug 2013      |    | Employment Eligibility Verification (Over the Simplified Acquisition Threshold)                                                                   |
| 52.223-6                  |    | May 2001 |    | Drug-Free Workplace                                                                                                                               |
| 52.223-18                 |    | Aug 2011      |    | Encouraging Contractor Policies to Ban Text Messaging While Driving                                                                               |
| 52.225-1                  |    | May 2014      |    | Buy American - Supplies                                                                                                                           |
| 52.225-13                 |    | Jun 2008      |    | Restrictions on Certain Foreign Purchases                                                                                                         |
| 52.227-1                  |    | Dec 2007      |    | Authorization and Consent, Alternate I (Apr 1984)                                                                                                 |
| 52.227-2                  |    | Dec 2007      |    | Notice and Assistance Regarding Patent and Copyright Infringement                                                                                 |
| 52.227-11                 |    | Dec 2007      |    | Patent Rights - Ownership by the Contractor (Note: In accordance with FAR 27.303(b)(2), paragraph (e) is modified to include the requirements     |

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 33 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|  FARCLAUSE NO.                                                          |    |  DATE |    |  TITLE                                                                               |
|-----------------------------------------------------------------------------------|--------------|------------|--------------|-------------------------------------------------------------------------------------------|
| in FAR 27.303(b)(2)(i) through (iv). The frequency of reporting in (i) is annual. |
| 52.227-20                                                                         |    | May 2014   |    | Rights in Data - SBIR Program                                                             |
| 52.232-9                                                                          |    | Apr 1984   |    | Limitation on Withholding of Payments                                                     |
| 52.232-23                                                                         |    | May 2014   |    | Assignment of Claims                                                                      |
| 52.232-25                                                                         |    | Jul 2013   |    | Prompt Payment                                                                            |
| 52.232-33                                                                         |    | Jul 2013   |    | Payment by Electronic Funds Transfer—System for Award Management                    |
| 52.232-39                                                                         |    | Jun 2013   |    | Unenforceability of Unauthorized Obligations                                              |
| 52.233-1                                                                          |    | May 2014   |    | Disputes                                                                                  |
| 52.233-3                                                                          |    | Aug 1996   |    | Protest After Award                                                                       |
| 52.233-4                                                                          |    | Oct 2004   |    | Applicable Law for Breach of Contract Claim                                               |
| 52.243-1                                                                          |    | Aug 1987   |    | Changes - Fixed Price, Alternate V (Apr 1984)                                             |
| 52.244-6                                                                          |    | Jul 2014   |    | Subcontracts for Commercial Items                                                         |
| 52.249-1                                                                          |    | Apr 1984   |    | Termination for the Convenience of the Government (Fixed-Price) (Short Form)              |
| 52.249-9                                                                          |    | Apr 1984   |    | Default (Fixed-Price Research and Development)(Over the Simplified Acquisition Threshold) |
| 52.253-1                                                                          |    | Jan 1991   |    | Computer Generated Forms                                                                  |

|   | b. | DEPARTMENT OF HEALTH AND HUMAN SERVICES ACQUISITION REGULATION (HHSAR) (48 CFRCHAPTER 3) CLAUSES: |
|--------|----|---------------------------------------------------------------------------------------------------|

|  HHSARCLAUSE NO. |    |  DATE |    |  TITLE                                                           |
|-----------------------|--------------|------------|--------------|-----------------------------------------------------------------------|
| 352.202-1             |    | Jan 2006   |    | Definitions                                                           |
| 352.203-70            |    | Mar 2012   |    | Anti-Lobbying                                                         |
| 352.222-70            |    | Jan 2010   |    | Contractor Cooperation in Equal Employment Opportunity Investigations |
| 352.227-70            |    | Jan 2006   |    | Publications and Publicity                                            |
| 352.231-71            |    | Jan 2001   |    | Pricing of Adjustments                                                |
| 352.242-70            |    | Jan 2006   |    | Key Personnel                                                         |
| 352.242-73            |    | Jan 2006   |    | Withholding of Contract Payments                                      |

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 34 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|   | a. | FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER 1) CLAUSES: |
|--------|----|------------------------------------------------------------------|

|  FARCLAUSE NO. |    |  DATE |    |  TITLE                                                                                                                                                                                                                                              |
|---------------------|--------------|------------|--------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| 52.202-1            |    | Nov 2013   |    | Definitions (Over the Simplified Acquisition Threshold)                                                                                                                                                                                                  |
| 52.203-3            |    | Apr 1984   |    | Gratuities (Over the Simplified Acquisition Threshold)                                                                                                                                                                                                   |
| 52.203-5            |    | May 2014   |    | Covenant Against Contingent Fees (Over the Simplified Acquisition Threshold)                                                                                                                                                                             |
| 52.203-6            |    | Sep 2006   |    | Restrictions on Subcontractor Sales to the Government (Over the Simplified Acquisition Threshold)                                                                                                                                                        |
| 52.203-7            |    | May 2014   |    | Anti-Kickback Procedures (Over the Simplified Acquisition Threshold)                                                                                                                                                                                     |
| 52.203-8            |    | May 2014   |    | Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity (Over the Simplified Acquisition Threshold)                                                                                                                             |
| 52.203-10           |    | May 2014   |    | Price or Fee Adjustment for Illegal or Improper Activity (Over the Simplified Acquisition Threshold)                                                                                                                                                     |
| 52.203-12           |    | Oct 2010   |    | Limitation on Payments to Influence Certain Federal Transactions (Over $150,000)                                                                                                                                                                         |
| 52.203-17           |    | Apr 2014   |    | Contractor Employee Whistleblower Rights and Requirements to Inform Employees of Whistleblower Rights (Over the Simplified Acquisition Threshold)                                                                                                        |
| 52.204-4            |    | May 2011   |    | Printed or Copied Double-Sided on Postconsumer Fiber Content Paper (Over the Simplified Acquisition Threshold)                                                                                                                                           |
| 52.204-10           |    | Jul 2013   |    | Reporting Executive Compensation and First-Tier Subcontract Awards ($25,000 or more)                                                                                                                                                                     |
| 52.204-13           |    | Jul 2013   |    | System for Award Management Maintenance                                                                                                                                                                                                                  |
| 52.209-6            |    | Aug 2013   |    | Protecting the Government’s Interest When Subcontracting With Contractors Debarred, Suspended, or Proposed for Debarment (Over $30,000)                                                                                                            |
| 52.215-2            |    | Oct 2010   |    | Audit and Records - Negotiation [Note: Applies to ALL contracts funded in whole or in part with Recovery Act funds, regardless of dollar value, AND contracts over the Simplified Acquisition Threshold funded exclusively with non-Recovery Act funds.] |
| 52.215-8            |    | Oct 1997   |    | Order of Precedence - Uniform Contract Format                                                                                                                                                                                                            |
| 52.215-10           |    | Aug 2011   |    | Price Reduction for Defective Certified Cost or Pricing Data (Over $700,000)                                                                                                                                                                             |
| 52.215-12           |    | Oct 2010   |    | Subcontractor Cost or Pricing Data (Over $700,000)                                                                                                                                                                                                       |
| 52.215-14           |    | Oct 2010   |    | Integrity of Unit Prices (Over the Simplified Acquisition Threshold)                                                                                                                                                                                     |
| 52.215-15           |    | Oct 2010   |    | Pension Adjustments and Asset Reversions (Over $700,000)                                                                                                                                                                                                 |
| 52.215-18           |    | Jul 2005   |    | Reversion or Adjustment of Plans for Post-Retirement Benefits (PRB) other than Pensions                                                                                                                                                                  |
| 52.215-19           |    | Oct 1997   |    | Notification of Ownership Changes                                                                                                                                                                                                                        |

|   | b. | DEPARTMENT OF HEALTH AND HUMAN SERVICES ACQUISITION REGULATION (HHSAR) (48 CFR CHAPTER 3) CLAUSES: |
|--------|----|----------------------------------------------------------------------------------------------------|

|  HHSARCLAUSE NO. |    |  DATE |    |  TITLE                                                           |
|-----------------------|--------------|------------|--------------|-----------------------------------------------------------------------|
| 352.202-1             |    | Jan 2006   |    | Definitions - with Alternate paragraph (h) (Jan 2006)                 |
| 352.203-70            |    | Mar 2012   |    | Anti-Lobbying                                                         |
| 352.216-70            |    | Jan 2006   |    | Additional Cost Principles                                            |
| 352.222-70            |    | Jan 2010   |    | Contractor Cooperation in Equal Employment Opportunity Investigations |
| 352.227-70            |    | Jan 2006   |    | Publications and Publicity                                            |
| 352.228-7             |    | Dec 1991   |    | Insurance - Liability to Third Persons                                |
| 352.233-71            |    | Jan 2006   |    | Litigation and Claims                                                 |
| 352.242-70            |    | Jan 2006   |    | Key Personnel                                                         |
| 352.242-73            |    | Jan 2006   |    | Withholding of Contract Payments                                      |
| 352.242-74            |    | Apr 1984   |    | Final Decisions on Audit Findings                                     |

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 35 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|   | c. | The following clause(s) are added to this contract: |
|--------|----|-----------------------------------------------------|

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 36 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 37 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|   | a. | FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER 1) CLAUSES |
|--------|----|-----------------------------------------------------------------|

|   | 1. | FAR Clause 52.215-17, Waiver of Facilities Capital Cost of Money (October 1997). |
|--------|----|--------------------------------------------------------------------------------------------|

|   | 2. | FAR Clause 52.217-8, Option to Extend Services (November 1999). |
|--------|----|---------------------------------------------------------------------------|

|   | 3. | FAR Clause 52.219-28, Post-Award Small Business Program Representation (July 2013). |
|--------|----|-----------------------------------------------------------------------------------------------|

|   | 4. | FAR Clause 52.242-3, Penalties for Unallowable Costs (May 2001). |
|--------|----|----------------------------------------------------------------------------|

|   | 5. | FAR Clause 52.244-5, Competition in Subcontracting (December 1996). |
|--------|----|-------------------------------------------------------------------------------|

|   | 6. | FAR Clause 52.245-1, Government Property (April 2012). |
|--------|----|------------------------------------------------------------------|

|   | 7. | FAR Clause 52.245-9, Use and Charges (April 2012). |
|--------|----|--------------------------------------------------------------|

|   | 8. | FAR Clause 52.246-23, Limitation of Liability (February 1997). |
|--------|----|--------------------------------------------------------------------------|

|   | b. | DEPARTMENT OF HEALTH AND HUMAN SERVICES ACQUISITION REGULATION (HHSAR) (48 CHAPTER 3) CLAUSES: |
|--------|----|------------------------------------------------------------------------------------------------|

|   | 1. | HHSAR Clause 352.231-70, Salary Rate Limitation (August 2012). |
|--------|----|--------------------------------------------------------------------------|

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 38 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|   | a. | FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER 1) CLAUSES |
|--------|----|-----------------------------------------------------------------|

|   | 1. | This clause implements the temporary policy provided by OMB Policy Memorandum M-12-16, Providing Prompt Payment to Small Business Subcontractors, dated July 11, 2012, and the extension to that policy provided by OMB Policy Memorandum M-13-15, Extension of Policy to Provide Accelerated Payment to Small Business Subcontractors, dated July 11, 2013. |
|--------|----|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 2. | Upon receipt of accelerated payments from the Government, the Contractor is required to make accelerated payments to small business subcontractors to the maximum extent practicable after receipt of a proper invoice and all proper documentation from the small business subcontractor. |
|--------|----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 3. | Include the substance of this clause, including this paragraph (b), in all subcontracts with small business concerns. |
|--------|----|-----------------------------------------------------------------------------------------------------------------------|

|   | 4. | The acceleration of payments under this clause does not provide any new rights under the Prompt Payment Act. |
|--------|----|--------------------------------------------------------------------------------------------------------------|

| 1. | Statement of Work |
|----|-------------------|

| 2. | Invoice Instructions for NIH Fixed-Price Contracts, NIH(RC)-2 – Phase I |
|----|-------------------------------------------------------------------------------|

| 3. | Invoice Instruction for NIH Cost-Reimbursement Contract, NIH(RC)-4 – Phase II |
|----|-------------------------------------------------------------------------------------|

| 4. | Disclosure of Lobbying Activities, SF-LLL |
|----|-------------------------------------------|

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 39 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

| 5. | SBIR Funding Agreement |
|----|------------------------|

|                             |         |    |
|----------------------------------|--------------|---------|
| MabVax Therapeutics, Inc.        |    | Page 40 |
| Contract No. HHSN261201300060C   |    |    |
| NCI Control No. N43CO-2013-00060 |    |    |
| Modification No. 4               |    |    |

----

|                            |         |                                                     |
|---------------------------------|--------------|----------------------------------------------------------|
| TITLE:                          |    | Development of an imaging agent targeting sialyl Lewis A |
| PRINCIPAL INVESTIGATOR(S): |    | Wolfgang W Scholz, PhD                                   |
| PROJECT DURATION:               |    | 24 months                                                |
| COMPANY:                        |    | MabVax Therapeutics                                      |
| SUBCONTRACTORS:                 |    | MSKCC, BioReliance                                       |

| I. | Background Information and Objectives |
|----|---------------------------------------|

| A. | Background Information |
|----|------------------------|

| B. | Technical Objectives |
|----|----------------------|

|                                                                                                    |         |                |         |                                                                                               |
|---------------------------------------------------------------------------------------------------------|--------------|---------------------|--------------|----------------------------------------------------------------------------------------------------|
| Objective 1: Manufacture and test clinical grade material                                               |
|                                                                                                    |    | Milestone 1.1: |    | Demonstrate tumor accumulation, high reproducibility and accuracy in two additional animal models. |
|                                                                                                    |    | Milestone 1.2:      |    | Generate and characterize a MCB for manufacturing of the imaging agent.                            |
|                                                                                                    |    | Milestone 1.3:      |    | Manufacture clinical grade imaging agent.                                                          |
|                                                                                                    |
| Objective 2: Complete dosimetry and toxicology studies. Milestone 2.1: Generate report for CMC section. |
|                                                                                                    |    | Milestone 2.2:      |    | Generate report for pharmacology section.                                                          |
|                                                                                                    |    | Milestone 2.3:      |    | Generate report for toxicology section.                                                            |
|                                                                                                    |
| Objective 3: Generate the documentation required for the filing of an eIND                              |
|                                                                                                    |    | Milestone 3.1:      |    | Prepare eIND package and submit investigator brochure for IRB review                               |

| II. | Services to be Performed |
|-----|--------------------------|

| A. | General Requirements |
|----|----------------------|

|   | 1. | The contractor shall independently perform all work and furnish all labor, materials, supplies, equipment, and services (except as otherwise specified in the contract). |
|--------|----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 2. | All work will be monitored by the Government Project Officer identified in Section G of the contract. |
|--------|----|-------------------------------------------------------------------------------------------------------|

|                      |         |         |
|---------------------------|--------------|--------------|
| MabVax Therapeutics, Inc. |    | Attachment 1 |

----

| B. | Specific Requirements |
|----|-----------------------|

|             |    |          |    |  Months1-9 |   |    |  Months10-18 |   |    |  Months19-24 |         |
|------------------|--------------|---------------|--------------|-----------------|--------|--------------|-------------------|--------|--------------|-------------------|--------------|
| Objective 1 |    |          |    |            | ****** |    |         |   | ***          |         |    |   |   |   |
|             |    | Milestone 1.1 |    |            | X      |    |         |   |         |              |    |   |   |   |
|             |    | Milestone 1.2 |    |            | X      |    |         |   |         |              |    |   |   |   |
|             |    | Milestone 1.3 |    |            |   |         |         |   | X            |         |    |   |   |   |
| Objective 2      |    |          |    |            |   |         |         |   | ***          |         |    |   | ***** |    |
|             |    | Milestone 2.1 |    |            |   |         |         |   | X            |         |    |   |   |   |
|             |    | Milestone 2.2 |    |            |   |         |         |   |         |              |    |   | X |    |
|             |    | Milestone 2.3 |    |            |   |         |         |   |         |              |    |   | X |    |
| Objective 3      |    |          |    |            |   |         |         |   |         |              |    |   | ** |    |
|             |    | Milestone 3.1 |    |            |   |         |         |   |         |              |    |   | X |    |

|                      |         |         |
|---------------------------|--------------|--------------|
| MabVax Therapeutics, Inc. |    | Attachment 1 |

----

|   | (a) | Interim Invoice/Contract Financing Request: These are interim payment requests submitted during the contract performance period. |
|--------|-----|----------------------------------------------------------------------------------------------------------------------------------|

| NIH(RC-4       |    | Attachment 3 |
|----------------|--------------|--------------|
| Revised 7/2013 |    |         |

----

|   | (b) | Completion Invoice: Submit the completion invoice promptly upon completion of the work, but no later than one year from the contract completion date, or within 120 days after settlement of the final indirect cost rates covering the year in which the contract is physically complete (whichever date is later). The Contractor shall submit the completion invoice when all costs have been assigned to the contract and all performance provisions have been completed. |
|--------|-----|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | (c) | Final Invoice: A final invoice may be required after the amounts owed have been settled between the Government and the Contractor (e.g., resolution of all suspensions and audit exceptions). |
|--------|-----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | (a) | Designated Billing Office Name and Address: Enter the designated billing office name and address, as identified in the Invoice Submission Instructions in Section G of the Contract Schedule. |
|--------|-----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | (b) | Contractor’s Name, Address, Point of Contact, TIN, and DUNS or DUNS+4 Number: Show the Contractor’s name and address exactly as they appear in the contract. Any invoice identified as improper will be sent to this address. Also include the name, title, phone number, and e-mail address of the Point of Contact in case of questions. If the remittance name differs from the legal business name, both names must appear on the invoice. Provide the Contractor’s Federal Taxpayer Identification Number (TIN) and Data Universal Numbering System (DUNS) or DUNS+4 number. The DUNS number must identify the Contractor’s name and address exactly as stated in the contract, and as registered in the System for Award Management (SAM) database. |
|--------|-----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | (c) | Invoice/Financing Request Number: Identify each payment request by a unique invoice number, which can only be used one time regardless of the number of contracts or orders held by an organization. For example, if a contractor has already submitted invoice number 05 on one of its contracts or orders, it cannot use that same invoice number on any other contract or order. Payment requests with duplicate invoice numbers will be considered improper and returned to the contractor. |
|--------|-----|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|           |         |         |
|----------------|--------------|--------------|
| NIH(RC-4       |    | Attachment 3 |
| Revised 7/2013 |    |         |

----

|   | (d) | Date Invoice/Financing Request Prepared: Insert the date the payment request is prepared. |
|--------|-----|-------------------------------------------------------------------------------------------|

|   | (e) | Contract Number and Order Number (if applicable): Insert the contract number and order number (as applicable). |
|--------|-----|----------------------------------------------------------------------------------------------------------------|

|   | (f) | Contract Title: Insert the contract title exactly as it appears on the cover page of the contract and/or Section G of the Contract Schedule. |
|--------|-----|----------------------------------------------------------------------------------------------------------------------------------------------|

|   | (g) | Current Contract Period of Performance: Insert the contract start date/effective date through the current completion date of the contract. |
|--------|-----|--------------------------------------------------------------------------------------------------------------------------------------------|

|   | (h) | Total Estimated Cost of Contract/Order: Insert the total estimated cost of the contract, exclusive of fee. If billing under an order, insert the total estimated cost of the order, exclusive of fee. For contracts/orders with options or incremental funding provisions, enter the amount currently obligated and available for payment. |
|--------|-----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | (i) | Total Fixed-Fee: Insert the total fixed-fee (where applicable). For contracts/orders with options or incremental funding provisions, enter the amount currently obligated and available for payment (where applicable). Note: If the contract provides for another type of Fee, i.e. Award or Incentive Fee, insert the amount available to be earned as identified in the contract and indicate the type of fee to be billed on the payment request. |
|--------|-----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | (j) | Two-Way/Three-Way Match: Identify whether payment is to be made using a two-way or three-way match. To determine required payment method, refer to the Invoice Submission Instructions in Section G of the Contract Schedule. |
|--------|-----|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | (k) | Office of Acquisitions: Insert the name of the Office of Acquisitions, as identified in the Invoice Submission Instructions in Section G of the Contract Schedule. |
|--------|-----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | (l) | Central Point of Distribution: Insert the Central Point of Distribution, as identified in the Invoice Submission Instructions in Section G of the Contract Schedule. |
|--------|-----|----------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|           |         |         |
|----------------|--------------|--------------|
| NIH(RC-4       |    | Attachment 3 |
| Revised 7/2013 |    |         |

----

|   | (m) | Billing Period: Insert the beginning and ending dates (month, day, and year) of the period in which costs were incurred and for which reimbursement is claimed. |
|--------|-----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | (n) | Amount Billed - Current Period: Insert the amount claimed for the current billing period by major cost element, including any adjustments and fee. If the Contract Schedule contains separately priced line items, identify the contract line item(s) on the payment request and include a separate breakdown (by major cost element) for each line item. |
|--------|-----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | (o) | Amount Billed - Cumulative: Insert the cumulative amounts claimed by major cost element, including any adjustments and fee. If the Contract Schedule contains separately priced line items, identify the contract line item(s) on the payment request and include a separate breakdown (by major cost element) for each line item. |
|--------|-----|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | (p) | Direct Costs: Insert the major cost elements. For each element, consider the application of the paragraph entitled “Costs Requiring Prior Approval” on page 1 of these instructions. |
|--------|-----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 1) | Direct Labor: Include salaries and wages paid (or accrued) for direct performance of the contract. |
|--------|----|----------------------------------------------------------------------------------------------------|

|   | • |   | hours or percentage of effort and cost by labor category (as specified in the Level of Effort Article in Section F of the Contract Schedule) for the current billing period, and |
|--------|---------|--------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | • |   | hours or percentage of effort and cost by labor category from contract inception through the current billing period. (NOTE: The Contracting Officer may require the Contractor to provide additional breakdown for direct labor, such as position title, employee name, and salary or hourly rate.) |
|--------|---------|--------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 2) | Fringe Benefits: List any fringe benefits applicable to direct labor and billed as a direct cost. Cite the rate(s) used to calculate fringe benefit costs, if applicable. |
|--------|----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 3) | Accountable Personal Property: Include permanent research equipment and general purpose equipment having a unit acquisition cost of $1,000 or more, with a life expectancy of more than two years, and sensitive property regardless of cost (see the HHS Contractor’s Guide for Contract of Government Property). Show permanent research equipment separate from general purpose equipment. |
|--------|----|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|           |         |         |
|----------------|--------------|--------------|
| NIH(RC-4       |    | Attachment 3 |
| Revised 7/2013 |    |         |

----

|   | • |   | item number for the specific piece of equipment listed in the Property Schedule, and, |
|--------|---------|--------|---------------------------------------------------------------------------------------|

|   | • |   | Contracting Officer Authorization (COA) number, if the equipment is not covered by the Property Schedule. |
|--------|---------|--------|-----------------------------------------------------------------------------------------------------------|

|   | 4) | Materials and Supplies: Include equipment with unit costs of less than $1,000 or an expected service life of two years or less, and consumable material and supplies regardless of amount. |
|--------|----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 5) | Premium Pay: List remuneration in excess of the basic hourly rate. |
|--------|----|--------------------------------------------------------------------|

|   | 6) | Consultant Fee: List fees paid to consultants. Identify consultant by name or category as set forth in the contract or COA, as well as the effort (i.e., number of hours, days, etc.) and rate billed. |
|--------|----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 7) | Travel: Include domestic and foreign travel. Foreign travel is travel outside of the United States and its territories and possessions. However, for an organization located outside the United States and its territories and possessions, foreign travel means travel outside that country. Foreign travel must be billed separately from domestic travel. |
|--------|----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | 8) | Subcontract Costs: List subcontractor(s) by name and amount billed. |
|--------|----|---------------------------------------------------------------------|

|   | 9) | Other: List all other direct costs in total unless exceeding $1,000 in amount. If over $1,000, list cost elements and dollar amounts separately. If the contract contains restrictions on any cost element, that cost element must be listed separately. |
|--------|----|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | (q) | Cost of Money (COM): Cite the COM factor and base in effect during the time the cost was incurred and for which reimbursement is claimed. |
|--------|-----|-------------------------------------------------------------------------------------------------------------------------------------------|

|   | (r) | Indirect Costs: Identify the indirect cost base (IDC), indirect cost rate, and amount billed for each indirect cost category. |
|--------|-----|-------------------------------------------------------------------------------------------------------------------------------|

|   | (s) | Fixed-Fee: Cite the formula or method of computation for fixed-fee, if applicable. The fixed-fee must be claimed as provided for by the contract. Note:If the contract provides for another type of Fee, i.e. Award or Incentive Fee, provide the same documentation for the amount claimed. |
|--------|-----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|           |         |         |
|----------------|--------------|--------------|
| NIH(RC-4       |    | Attachment 3 |
| Revised 7/2013 |    |         |

----

|   | (t) | Total Amounts Claimed: Insert the total amounts claimed for the current and cumulative periods. |
|--------|-----|-------------------------------------------------------------------------------------------------|

|   | (u) | Adjustments: Include amounts conceded by the Contractor, outstanding suspensions, and/or disapprovals subject to appeal. |
|--------|-----|--------------------------------------------------------------------------------------------------------------------------|

|   | (v) | Grand Totals |
|--------|-----|--------------|

|   | (w) | Certification: The Contractor shall include the following certification at the bottom of each payment request: |
|--------|-----|----------------------------------------------------------------------------------------------------------------|

|           |         |         |
|----------------|--------------|--------------|
| NIH(RC-4       |    | Attachment 3 |
| Revised 7/2013 |    |         |

----

|           |         |         |
|----------------|--------------|--------------|
| NIH(RC-4       |    | Attachment 3 |
| Revised 7/2013 |    |         |

----

|                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |         |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |   |   |   |   |   |   |   |   |   |   |   |   |
|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|
| (a) Designated Billing Office Name and Address:National Institutes of HealthOffice of Financial ManagementCommerical Accounts2115 East Jefferson Street, Room 4B4, MSC8500Bethesda, MD 20892-8500 (b) Contractor’s Name, Address, Point of Contact,TIN, and DUNS or DUNS+4 Number:ABC CorporationAnywhere, U.S.A. Zip+4Name, Title, Phone Number, and E-mailAddress of Contractor’s Point of Contact.DUNS or DUNS+4:                     TIN:                      |    | (c) Invoice/Financing Request No.:                       (d) Date Invoice/Financing Request Prepared:                      (e) Contract No. and Order No. (if applicable): (f) Contract Title: (g) Current Contract Period of Performance: (h) Total Estimated Cost of Contract/Order: (i) Total Fixed Fee (if applicable): (j) Two-Way Match: Three-Way Match: (k) Office of Acquisitions: (l) Cental Point of Distribution: |
|                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |
| (m) This invoice/financing request represents reimbursable costs for the period from              to             .                                                                                                                                                                                                                                                                                                                                                                                                                                                  |

|                                                                                                                   |   |    |  Cumulative %of Effort/Hrs |    |  Amount Billed |    |        |    |    |    |              |
|------------------------------------------------------------------------------------------------------------------------|--------|--------------|--------------------------------------|--------------|---------------------|--------------|-------------|--------------|---------|--------------|-------------------|
| Expenditure Category*                A |   |    | Neg.B                                |    | ActualC             |    | (n)CurrentD |    | (o)CumE |    | Cost atCompF |    | ContractValueG |    | VarianceH |
| (p) Direct Costs:                                                                                                      |   |    |                                 |    |                |    |        |    |    |    |              |    |   |    |   |
| (1) Direct Labor                                                                                                       |   |    |                                 |    |                |    |        |    |    |    |              |    |   |    |   |
| (2) Fringe Benefits     %                                                                          |   |    |                                 |    |                |    |        |    |    |    |              |    |   |    |   |
| (3) Accountable Property                                                                                               |   |    |                                 |    |                |    |        |    |    |    |              |    |   |    |   |
| (4) Materials & Supplies                                                                                      |   |    |                                 |    |                |    |        |    |    |    |              |    |   |    |   |
| (5) Premium Pay                                                                                                        |   |    |                                 |    |                |    |        |    |    |    |              |    |   |    |   |
| (6) Consultant Fees                                                                                                    |   |    |                                 |    |                |    |        |    |    |    |              |    |   |    |   |
| (7) Travel                                                                                                             |   |    |                                 |    |                |    |        |    |    |    |              |    |   |    |   |
| (8) Subcontracts                                                                                                       |   |    |                                 |    |                |    |        |    |    |    |              |    |   |    |   |
| (9) Other                                                                                                              |   |    |                                 |    |                |    |        |    |    |    |              |    |   |    |   |
| (q) Cost of Money     %                                                                            |   |    |                                 |    |                |    |        |    |    |    |              |    |   |    |   |
| (r) Indirect Costs     %                                                                           |   |    |                                 |    |                |    |        |    |    |    |              |    |   |    |   |
| (s) Fixed Fee     %                                                                                |   |    |                                 |    |                |    |        |    |    |    |              |    |   |    |   |
| (t) Total Amount Claimed                                                                                               |   |    |                                 |    |                |    |        |    |    |    |              |    |   |    |   |
| (u) Adjustments                                                                                                        |   |    |                                 |    |                |    |        |    |    |    |              |    |   |    |   |
| (v) Grand Totals                                                                                                       |   |    |                                 |    |                |    |        |    |    |    |              |    |   |    |   |
|                                                                                                                   |
| “Pursuant to authority vested in me, I certify that this voucher is correct and proper for payment.”       |

|               |   |   |   |    |
|--------------------|--------|--------|--------|---------|
|               |   |   |   |    |
| (Name of Official) |   |   |   | (Title) |

| * | Attached details as specified in the contract or requested by the Contracting Officer |
|---|---------------------------------------------------------------------------------------|

----

|             |         |                 |         |   |
|------------------|--------------|----------------------|--------------|--------|
| x  Yes |    |  ̈  No |    |   |

|             |         |                 |         |                                                                                                                                                                                                                                                                                 |
|------------------|--------------|----------------------|--------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| x  Yes |    |  ̈  No |    |                     N/A Explain why N/A:                      |

----

|                                                                                 |         |                                                                                                                          |         |                   |
|--------------------------------------------------------------------------------------|--------------|-------------------------------------------------------------------------------------------------------------------------------|--------------|------------------------|
| Yes   ̈        No  x |    |                N/A Explain why N/A: |    | C-Corp. Public Company |

|                                                                                 |         |                                                                                                                          |         |                   |
|--------------------------------------------------------------------------------------|--------------|-------------------------------------------------------------------------------------------------------------------------------|--------------|------------------------|
| Yes   ̈        No  x |    |                N/A Explain why N/A: |    | C-Corp. Public Company |

|                                                                                 |         |                                                                                                                                                                                                                                |         |   |
|--------------------------------------------------------------------------------------|--------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|--------|
| x  Yes         ̈  No |    |             N/A Explain why N/A:                     |    |   |

|                                                                                 |         |                                                                                                     |         |   |
|--------------------------------------------------------------------------------------|--------------|----------------------------------------------------------------------------------------------------------|--------------|--------|
| x  Yes         ̈  No |    |             For clarity – 12 employees |    |   |

|                                                                                 |         |                                                                                          |         |   |
|--------------------------------------------------------------------------------------|--------------|-----------------------------------------------------------------------------------------------|--------------|--------|
|  ̈  Yes        x  No |    |             No determination |    |   |

|                                                                                 |         |                                                                                                                                                                |
|--------------------------------------------------------------------------------------|--------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| x  Yes         ̈  No |    |              Deviation approved in writing by funding agreement officer:     % |

| x | Has not been submitted for funding by another Federal agency. |
|---|---------------------------------------------------------------|

|  ̈ | Has been submitted for funding by another Federal agency but has not been funded under any other Federal grant, contract, subcontract or other transaction. |
|--------|-------------------------------------------------------------------------------------------------------------------------------------------------------------|

|  ̈ | A portion has been funded by another grant, contract, or subcontract as described in detail in the proposal and approved in writing by the funding agreement officer. |
|--------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|                                                                                 |         |                                                                                                     |         |   |
|--------------------------------------------------------------------------------------|--------------|----------------------------------------------------------------------------------------------------------|--------------|--------|
| x  Yes         ̈  No |    |            Waiver has been granted |    |   |

----

|                                                                                 |         |   |
|--------------------------------------------------------------------------------------|--------------|--------|
| x  Yes         ̈  No |    |   |

|                                                                                 |         |                                                              |         |   |
|--------------------------------------------------------------------------------------|--------------|-------------------------------------------------------------------|--------------|--------|
|  ̈  Yes        x  No |    |      N/A Explain why N/A: |    |   |

|                                                                                 |         |   |
|--------------------------------------------------------------------------------------|--------------|--------|
|  ̈  Yes        x  No |    |   |

|   |   |                                            |   |        |
|--------|--------|-------------------------------------------------|--------|-------------|
|   |   | Signature/s/ J. David Hansen                    |   | Date7/30/14 |
|   |   | Print Name (First, Middle, Last)J. David Hansen |
|   |   | Title President & CEO                  |
|   |   | Business Name MabVax Therapeutics, Inc.    |