Document:

Amendment No. 5 to Second Amended and Restated Credit Agreement

 Exhibit 10.1 
 AMENDMENT NO. 5 
 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT 
 This Amendment No. 5 to Second Amended and Restated Credit Agreement dated as of August 12, 2008 (the “Amendment”) is executed by and
among Circus and Eldorado Joint Venture, a Nevada general partnership (“Borrower”), Bank of America, N.A., as Administrative Agent and the Lender party to that certain Second Amended and Restated Credit Agreement dated as of March 5,
2002 (as amended, modified or supplemented prior to the date hereof, the “Credit Agreement”) among Borrower, the Lenders referred to therein and Administrative Agent. Capitalized terms used but not defined herein are used with the meanings
set forth for those terms in the Credit Agreement. 
 RECITALS 
 A. As of the date of this Amendment, there are no Loans or Letters of Credit outstanding under the Credit Agreement. 
 B. Borrower has not complied with its obligations under Section 7.6(A) of the Credit Agreement as of the fiscal quarters ending March 31, 2008
and June 30, 2008, and it may be unable to comply with the financial covenants set forth in Sections 7.6(A) or 7.6(B) (the “Financial Covenants”) as to later fiscal quarters. 
 C. The Lender is willing to (i) retroactively waive compliance with the Financial Covenants as of the fiscal quarters ended March 31, 2008 and
June 30, 2008 and (ii) prospectively waive compliance with the Financial Covenants for each subsequent fiscal quarter provided that there are no obligations outstanding under the Credit Agreement. 
 AGREEMENT 
 NOW, THEREFORE, Borrower
and Administrative Agent, with the consent of the undersigned Lender, hereby agree as follows: 
 1. Conditional Waiver of
Financial Covenants. Administrative Agent hereby retroactively waives compliance with the Financial Covenants in respect of the Fiscal Quarters ended March 31, 2008 and June 30, 2008, and prospectively waives compliance with the
Financial Covenants for each subsequent Fiscal Quarter provided that this waiver shall not continue in respect of any Fiscal Quarter following the date upon which any Loans or Letters of Credit are made or issued under the Credit Agreement. This
waiver shall not apply to any other provision of the Credit Agreement and shall not constitute a waiver or suspension of the financial reporting requirements in the Credit Agreement. 
 2. Conditions Precedent to Any Draw on Line of Credit. Following the date hereof, the obligations of Lender to make Loans and the
obligation of the Issuing Lender to provide Letters of Credit, in addition to satisfaction of the conditions precedent specified in Article 4, are subject to the following conditions: 

 (a) the Borrower will be in compliance with the Financial Covenants for the then most
recent Fiscal Quarter in respect of which it is required to deliver financial statements pursuant to Section 6.1 (as though compliance with such Financial Covenants had not be waived with respect to such Fiscal Quarter pursuant to
Section 1 of this Amendment); and 
 (b) the Borrower shall have delivered a certificate to the Administrative Agent
demonstrating that, after giving pro forma effect to the requested Loan or Letters of Credit as of such Fiscal Quarter, Borrower would have been in compliance with the Financial Covenants (as though compliance with such Financial Covenants had not
be waived with respect to such Fiscal Quarter pursuant to Section 1 of this Amendment). 
 3. Confirmation. In
all other respects, the Credit Agreement and the other Loan Documents are hereby confirmed. 
 4. Counterparts. This
Amendment may be executed in any number of counterparts and all of such counterparts taken together shall be deemed to constitute one and the same instrument. 
 IN WITNESS WHEREOF, the parties hereto have executed this Amendment as of the date first written above by their duly authorized representatives. 
  

			
	CIRCUS AND ELDORADO JOINT
VENTURE, a Nevada general partnership
		
	By:	 	/s/ Stephanie Lepori
		
	Name:	 	Stephanie Lepori
		
	Title:	 	Chief Financial Officer
	
	 BANK OF AMERICA, N.A.,
 as Administrative
Agent

		
	By:	 	/s/ Justin Lien
		
	Name:	 	Justin Lien
		
	Title:	 	Senior Vice President
	
	 BANK OF AMERICA, N.A.,
 as sole
Lender

		
	By:	 	/s/ Justin Lien
		
	Name:	 	Justin Lien
		
	Title:	 	Senior Vice PresidentFirst Amendment to Exclusive License Agreement

 EXHIBIT 10.2 
 FIRST AMENDMENT TO 
 EXCLUSIVE LICENSE AGREEMENT 
 THIS FIRST AMENDMENT (the “Amendment”) is made and entered into effective June 16, 2008 (the “Effective Date”), by and between
Cedars-Sinai Medical Center, (“CSMC”) a California non-profit public benefit corporation with offices at 8700 Beverly Boulevard, Los Angeles, California 90048, and ImmunoCellular Therapeutics, Ltd., a Delaware corporation (formerly known
as Optical Molecular Imaging, Inc.) (“Licensee”), with offices at 21900 Burbank Boulevard, Third Floor, Woodland Hills, California 91367, and amends that certain Exclusive License Agreement between the parties dated November 17th,
2006 (“Original License”). Capitalized terms used in this Amendment but not defined herein shall have the meaning assigned to them in the Agreement, unless otherwise defined here in this Amendment. 
 RECITALS 
 A. CSMC and Licensee
entered into an Exclusive License Agreement (“Original License”) dated November 17th, 2006, whereby CSMC granted to Licensee an exclusive, worldwide license to conduct research in the Field of Use, and to develop, manufacture, use and
sell Products in the Field of Use, using the Patent Rights and Technical Information in accordance with the terms and conditions of the Original License. 
 B. Pursuant to Section 13.6 of the Original License, no change, modification, or addition or amendment to the Original License is valid or enforceable unless in writing and signed and dated by the authorized
officers of the parties to be bound thereby. 
 C. The parties desire to amend the Original License to add certain technology called a novel
epitope to CD133 that will be described in and will include all of the claims made in a patent application that will be prepared and approved by CSMC and Licensee (“New Technology”) developed by Dr. John Yu at CSMC as part of the
Patent Rights licensed to Licensee under the Original License, as further described herein. 
 NOW, THEREFORE, in consideration of the mutual
promises and covenants contained herein and in the Original License and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereby agree as follows: 
 1. Section 1.10 (Patent Rights) is hereby amended to include any patent applications existing or subsequently filed in any country covering the New
Technology and any patents that issue on such applications; 
 2. Section 1.12 (Technical Information) is hereby amended to include all
of the intellectual property and data related to the New Technology conceived or reduced to practice prior to the date of this Amendment. 
 3. All of the existing Original License provisions shall apply to the New Technology and products derived from said New Technology. 

 4. In consideration for licensing the New Technology to Licensee, Licensee will issue CSMC 100,000 shares
of Licensee’s common stock as a non-refundable license fee. These shares shall not be registered, but shall be eligible for public resale commencing six months following their issuance in accordance with the provisions of Rule 144 under the
Securities Act of 1933. 
 5. This Amendment is a revision to the Original License only, it is not a novation thereof. Except as otherwise
provided herein, the terms and conditions of the Original License shall remain in full force and effect. Upon the Effective Date, each reference in the Original License to “this Agreement”, “hereunder”, “herein”,
“hereof” or words of like import referring to the Original License shall mean and refer to the Original License as amended by this Amendment. 
 6. Licensee reaffirms each of its representations and warranties set forth in the Original License as if such representations and warranties were set forth in full in this Amendment. Licensee also acknowledges to CSMC
that, as of the date of this Amendment, it is not in default under the Original License, nor has it breached any of the provisions of the Original License. Licensee affirms to CSMC that, as of the date of this Amendment, it does not have any
defenses, offsets or counterclaims against CSMC with respect to the Original License; provided, however, that CSMC and Licensee acknowledge that (i) Licensee asked CSMC to allow Licensee to work directly with TPIMS regarding the
non-academic/educational license rights and the option of TPIMS referenced in Section 2.1(f) of the Original License, (ii) Licensee, to date, has not been able to remove the TPIMS license rights and option, (iii) Licensee intends to
re-initiate its efforts to find a reasonable resolution of the issue with TPIMS and (iv) even though Licensee has no current intention of pursuing a claim against CSMC related to this, Licensee reserves its rights under Section 2.1(f) to
have CSMC and Licensee negotiate in good faith to determine whether a reduction in the number of shares of Licensee’s common stock issued to CSMC as a license fee under the Original License is reasonable and appropriate. CSMC has not asserted
any breach of the Original License by Licensee and, to the best of its current knowledge, without internal or external investigation, is not aware of any circumstances that would constitute such a breach by the Licensee. 
 7. Each of the parties hereto shall execute such further documents and instruments, and do all such further acts, as may be necessary or required in
order to effectuate the intent and accomplish the purposes of this Amendment. 
 8. This Amendment may be executed in any number of
counterparts, each of which shall be deemed an original, but all of which taken together shall constitute one and the same instrument. 

 IN WITNESS WHEREOF, the parties have executed this First Amendment to the Original License as of the day
and year first above written. 
  

			
	“LICENSEE”:
	
	IMMUNOCELLULAR THERAPEUTICS, LTD., A DELAWARE CORPORATION
		
	By:	 	/s/ Manish Singh
		 	Manish Singh, President & CEO
	
	 “CSMC”:
  
 CEDARS-SINAI MEDICAL CENTER, A CALIFORNIA NONPROFIT PUBLICE BENEFIT CORPORATION

		
	By:	 	/s/ Edward M. Prunchunas
		 	 Edward M. Prunchunas
 Senior Vice President &
CFO

		
	By:	 	/s/ Richard S. Katzman
		 	 Richard S. Katzman
 Vice President for Academic
Affairs

	
	 ACKNOWLEDGED AND AGREED:
 “INVENTOR”

		
	By:	 	/s/ John Yu
		 	John Yu, M.D.

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